International Handbook on Education Development in the Asia-Pacific 9811968861, 9789811968860

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Wing On Lee Phillip Brown A. Lin Goodwin Andy Green Editors

International Handbook on Education Development in the Asia-Pacific

International Handbook on Education Development in the Asia-Pacific

Wing On Lee • Phillip Brown • A. Lin Goodwin • Andy Green Editors

International Handbook on Education Development in the Asia-Pacific With 132 Figures and 143 Tables

Editors Wing On Lee Singapore Institute for Adult Learning Singapore University of Social Sciences Singapore, Singapore

Phillip Brown School of Social Sciences Cardiff University Cardiff, UK

A. Lin Goodwin Faculty of Education The University of Hong Kong Hong Kong SAR, China

Andy Green University College London Institute of Education London, UK

Lynch School of Education and Human Development Boston College Chestnut Hill, MA, USA

ISBN 978-981-19-6886-0 ISBN 978-981-19-6887-7 (eBook) https://doi.org/10.1007/978-981-19-6887-7 © Springer Nature Singapore Pte Ltd. 2023 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore Paper in this product is recyclable.

Preface

Background The beginning of the twenty-first century has witnessed significant changes in the education landscape worldwide, especially in the Asia-Pacific regions. Indeed, the increasing global economic significance of the Asia-Pacific, and the transformation of education which it has entailed, explains why this handbook was written. The aim is to investigate the character and impact of social and economic transformation, along with consequences for education systems, individual opportunity, and social cohesion. Educational reforms are often justified by ideas relating to changing economic requirements, such as the imputed needs of a “digital” economy. Advances in artificial intelligence (AI), machine learning, robotics, data analytics, etc. are not only driving scientific and technology innovation, but transforming the future of work, and the ways we communicate, learn, and live our daily lives. This has led to education reforms in many countries that focus on equipping the younger generation with twenty-first century competences and digital skills, together with a renewed focus on lifelong learning. The redesign of teaching and learning in many countries, while intended to keep pace with increasing social, economic, and environmental complexities, are being initiated at a time of “disruption” and doubt often described as “VUCA” (volatile, uncertain, complex, and ambiguous), which make the role of education both more important but also more challenging. These changes require new concepts, theories, and studies of education not restricted to advanced Western societies. The higher education sector has also experienced expansion, one that is characterized by massification and even post-massification movements. Yet, neoliberalism, as demonstrated by increased managerialism, entrepreneurship and governance, and accountability have major impacts on the measurement of university achievements. University rankings have also become a relentless driving force that affects the ecology of higher education institutions. As well, perpetual learning across the lifespan has grown significantly across countries, with many universities offering continuing and professional education programs. These programs not only offer upskilling training for the workforce to cope with changing economies, but also offer certification and degree programs. Again, these changes and debates are quite

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prominent in Asia-Pacific societies, especially in relation to workforce upskilling and reskilling. Despite significant educational development, there is widespread acknowledgment that social and educational inequities have widened, not only in countries where the education system is not well developed, but also in the countries that boast high-performing international student achievements, as reported in studies conducted by the Organisation for Economic Co-operation and Development (OECD) and the International Association for the Evaluation of Educational Achievement (IEA). The International Handbook on Education Development in the Asia-Pacific is organized to provide research-based insights on education development in the AsiaPacific. The handbook contains 13 sections and 127 chapters, covering a wide spectrum of areas, including equity and quality in education, language education, learning and human development, lifelong learning, employability and labor markets, workplace learning and job-skill changes, teacher education and professionalization, higher education development, globalization, citizenship and moral education, and the performance of the Asia-Pacific students in international achievement tests. With its international scholarship, the handbook offers academic discourse and analyses that have worldwide implications, but are understood from Asian perspectives, and examined within Asian contexts.

Special Features of the Handbook This handbook breaks new ground with comprehensive, innovative perspectives on research and education development in the Asia-Pacific; provides timely information and fresh insights based on empirical and conceptual investigations from the AsiaPacific; and delves into a spectrum of critical, contemporary topics in Asian and Pacific contexts and socio-cultural viewpoints, covering the wide spectrum of contemporary topics outlined earlier, such as educational equity and quality, learning and human development, teacher education and professionalization, higher education organizations, and more. The handbook is grounded in specific locations and scholarly traditions, using unique country-specific narratives, for example, Vietnam and Melanesia, and socio-cultural investigations through lenses such as language identity or colonization, while offering parallel academic discourse and analyses framed by broader policy commentary from around the world. Scholarly research on education has primarily drawn from Western debates about important matters such as inequalities in opportunity, citizenship and human development, employability, and workplace learning. These Western debates inform many of the chapters in this volume, but many of them also challenge whether existing concepts, theories, and approaches can be easily transported to countries in the AsiaPacific. Therefore, this handbook is inspired by the growing scholarship within, as well as about the region, that move us towards a much better understanding of the similarities and differences in educational traditions, systems, institutions, and

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cultures. It is also inspired by the research now being conducted by a new generation of educational researchers from the Asia-Pacific region, whom we were very keen to include in this handbook alongside more established colleagues. This handbook also embraces a diversity of dialogues, discourses, and debates on Asian and Western perspectives, epistemology, and ontology. Many authors challenge prevailing knowledge and understanding about the Asia-Pacific, as numerous scholars from the Asia-Pacific have studied in the West and applied Western scholarship and research methodologies and instruments to collect data in the Asia-Pacific contexts, coming up with observations that may not make sense to the Asia-Pacific readers. A fundamental question is raised in this respect: Are the findings and their interpretations applicable to the Asia-Pacific, when the academic literature, methodologies, and analytical frameworks are grounded in Western perspectives and assumptions? Although this handbook does not attempt to provide any definite answers, it does provide a platform for distinguished and more junior scholars from around the world to write on their areas of expertise in the context of the Asia-Pacific. We have invited Western scholars and Eastern scholars to co-author on various aspects and issues related to education in the Asia-Pacific. We have also invited the Asia-Pacific scholars who were trained in the West; readers will find many of them reflect upon and query their own observations and analyses by asking whether this is the best approach to treat this topic. We have also invited indigenous scholars who are deeply tied to local traditions, embody a sense of place, and have been educated in the AsiaPacific regions. Their papers demonstrate culturally informed and embedded approaches to common topics or enduring concerns, using logical arguments and fresh interpretations that offer different conclusions and solutions compared to standard Western-style scholarship. The handbook includes a chapter advocating “Asia as Methods,” authored by two Asian scholars working in an Australian university. We have other scholars arguing that the neo-Confucian understanding of self is very close to the concept of self-actualization. These are just a few of the examples of how the handbook offers cross-cultural and even cross-civilization dialogue. Capturing the richness in current debates on education in the Asia-Pacific has been the primary aim of this handbook. This is reflected in the large number of chapters drawing on diverse academic traditions and approaches. We are delighted to have solicited 127 chapters, providing encyclopedic information and nuanced perspectives on educational progress in the Asia-Pacific that will advance our understanding of the latest developments in this vast region of increasing global significance.

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Clusters and Sections The 13 sections of the handbook reflect current areas of research, academic discourse, practices, and policy making, with sections divided into four clusters, each with a corresponding co-editor. These are as follows: Cluster A: Corresponding Editor: Wing On Lee Section I: Trends and Issues, edited by Wing On Lee Section II: Citizenship, Moral, and Values Education, edited by Thomas Kwan-Choi Tse Section III: Lifelong Learning and Twenty-First-Century Competencies, edited by Renee Tan Section IV: Language Education, edited by Xiao Lan Curdt-Christiansen Cluster B: Corresponding Editor: Phillip Brown Section V: The Future of Education, Employability, and Labor Markets, edited by Phillip Brown Section VI: Future of Work, Adult Learning, and Design of Learning, edited by Helen Bound Section VII: Higher Education, edited by Anthony Welch Cluster C: Corresponding Editor: A. Lin Goodwin Section VIII: Learning and Human Development, edited by Carol K. K. Chan Section IX: Teacher Education and Professionalism, edited by Fiona Ell Section X: Case Studies of High-Performing Education Systems, edited by A. Lin Goodwin Cluster D: Corresponding Editor: Andy Green Section XI: Equity and Quality Education, edited by Brian D. Denman Section XII: Education and Socio-economic Development, edited by Andy Green Section XIII: Education Research and Development Towards the Future, edited by Nancy Law Singapore, Singapore Cardiff, UK Chestnut Hill, USA London, UK September 2023

Wing On Lee Phillip Brown A. Lin Goodwin Andy Green

Contents

Volume 1 Section I Trends and Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Wing On Lee 1

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Progress, Achievements, and Setbacks in Basic Education for All, 2000–2020: A Focus on the Asia-Pacific . . . . . . . . . . . . . . Aaron Benavot

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Comparative Education in Asia: Reflections on an Intellectual Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Maria Manzon

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Education Traditions and Futures with Asian Roots . . . . . . . . . . Maria Manzon and Wing On Lee

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Education Research in Asia as “Method” . . . . . . . . . . . . . . . . . . . Hongzhi Zhang and Philip Wing Keung Chan

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Rethinking Education for the New Normal: Formal Versus Informal and Nonformal Education and Lifelong Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Liz Jackson

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Rethinking the Impact of Globalization on Education in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fazal Rizvi, Jie Zheng, and Yeow-Tong Chia

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Education for Peace and International Understanding in the Asia-Pacific: Trends and Issues . . . . . . . . . . . . . . . . . . . . . . Jeongmin Eom and Kevin Kester

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Shadow Education in Asia and the Pacific: Features and Implications of Private Supplementary Tutoring . . . . . . . . . . . . . Mark Bray

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Homeschooling in Asian Countries in Terms of Law, Tradition, and Habitus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Deokhee Seo

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Section II Citizenship, Moral, and Values Education . . . . . . . . . . . . . Thomas Kwan-choi Tse 10

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Rethinking Lifelong Citizenship Education: Tendencies and Tensions in East Asian Contexts . . . . . . . . . . . . . . . . . . . . . . Thomas Kwan-choi Tse and Sicong Chen

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Nationalism, Patriotism, and Education for Patriotic Citizens in Mainland China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shuqi Rao

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Constructing Cultural Identity Through Heritage Education: The Case of Central China . . . . . . . . . . . . . . . . . . . . . Nan Hao

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Education and Identity in Hong Kong: The “Moral and National Education” Subject Storm . . . . . . . . . . . . . . . . . . . . . . . Thomas Kwan-choi Tse

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Identity Grafting for Marginal Citizens: A Case Study of the Second-Generation Migrant Workers in Beijing . . . . . . . . . . Ji Qi and Wing On Lee

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Global Citizenship Education in Asia: Moving Towards Decolonization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theresa Alviar-Martin and Mark Baildon

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Global Citizenship in Japanese Higher Education: Toward an Ethical Pedagogical Framework for Humanity Empowerment, Critical Moral Consciousness, Autonomy, and Carefulness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Emiliano Bosio Moral and Values Development for Early Childhood Education in Singapore . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Pinhui Sandra Wu and Charlene Tan

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Section III Lifelong Learning and Twenty-First-Century Competences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Renée Tan

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Pawn or Agent in the Lifelong Learning Agenda . . . . . . . . . . . . . Helen Bound

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The Future of Expertise: From Stepwise Domain Upskilling to Multifaceted Mastery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . King Wang Poon, Thijs Willems, and William Shu Yuan Liu

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The Multiple Meanings of Creativity in Lifelong Learning Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Josephine Fleming and Robyn Gibson

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Filipino Women’s Lifelong Learning and Twenty-First-Century Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Zenaida Q. Reyes and Minda C. Valencia

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Reimagining and Revitalizing Lifelong Learning in Brunei for a Digital Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Adeline Yuen Sze Goh

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The Current and Future State of Lifelong Education in the Republic of Korea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Young Sek Kim

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Recruitment and Training in Japanese SMEs: A Case Study Concerning Lifelong Learning in the Manufacturing Industry at the Tokyo Metropolitan Area . . . . . . . . . . . . . . . . . . . . . . . . . . Matthias Pilz and Shinji Sakano Literacy and Lifelong Learning in the Twenty-First Century: Development of Multilingualism and Multiliteracies in ASEAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Azirah Hashim

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Section IV Language and Education . . . . . . . . . . . . . . . . . . . . . . . . . . Xiao Lan Curdt-Christiansen

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Language-in-Education Policy in the Asia-Pacific Region . . . . . . Anthony J. Liddicoat

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English in General Education: Current Issues and Possible Solutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Andy Kirkpatrick

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The Learning of National and Local Languages in Asia-Pacific Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Baoqi Sun and Hock Huan Goh Bilingualism and Multilingualism in Classrooms in Hong Kong and Singapore: Code-Switching and Translanguaging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Xiao Lan Curdt-Christiansen Language-in-Education and Sociology of Resilience for Child (Im)migrants: The Cases of India, China, and Australia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Guanglun Michael Mu Empowering Students Through Cosmopolitan Literacies: Pedagogical Examples from Classrooms in Confucian Heritage Cultures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Suzanne S. Choo and Sharon Y. S. Quek Transcending Anglocentric Ideologies of English Language Teaching in Asia: Global Englishes-Informed Policy and Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Will Baker and Fan (Gabriel) Fang

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Research on English-Medium Instruction in the Asia-Pacific: Trends, Foci, Challenges, and Strategies . . . . . . . . . Jun Lei and Guangwei Hu

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Task-Based Language Teaching (TBLT) in Japanese EFL Contexts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Paul J. Moore

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Chinese-Language Education in Australia and New Zealand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Danping Wang and Alice Chik

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Modern Language Education Programs in Asia and Pacific Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yongyan Zheng

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Language Education and Teacher Awareness Xuesong (Andy) Gao

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Language Assessment Literacy of EFL Teachers in East Asia: From Teachers’ Conceptions of Language Assessment to Their Practices in Classrooms . . . . . . . . . . . . . . . . Lin Fang and Guoxing Yu

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The Association Between Educational Systems and Reading Literacy Performance in PISA Across the Asia-Pacific Region and Countries . . . . . . . . . . . . . . . . . . . . . . . . Andres Sandoval-Hernandez, Dan Zhao, Zhijun Chen, and Nurullah Eryilmaz

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Section V The Future of Education, Employability, and Labor Markets in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Phillip Brown

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The Future of Education, Employability, and Work in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Phillip Brown and Sahara Sadik

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Massification and Privatization of Higher Education in East Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ka Ho Mok, Guo Guo Ke, and Zhen Tian

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Transitions Between Education and Employment in the Twenty-First Century: A View from the Asia-Pacific . . . . . . . . . . Jenny Chesters

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The Expansion of Postgraduate Degrees and Its Labor Market Consequences in East Asia . . . . . . . . . . . . . . . . . . . . . . . . Jisun Jung

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The Future of “Applied” Education, Employability, and the Labor Market in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Jing Xu and Yang Po

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Education, Vocational Training, and Labor Markets in Vietnam: Mutual Distrust and the Supply-Side Approach . . . . . . Junichi Mori and Dean Stroud

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Graduate Employability and University-Enterprise Collaboration in Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Thi Tuyet Tran

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Student Mobility, Employability, and Unlikely Education Destinations in Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yasmin Y. Ortiga

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Structural Similarities of Formal Vocational Education Systems in Low- and Middle-Income Countries . . . . . . . . . . . . . . Stephanie Allais

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Contents

Beyond Economic Goals for STEM Education Development in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Michael Tan

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Volume 2 Section VI Future of Work, Adult Learning, and Design of Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Helen Bound 50

Employee-Driven Innovations: Zones of Initiation, Enactment, and Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Stephen Billett, Justina Tan, Calvin Chan, Wan Har Chong, and Joel Sim Chun Keat

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Workplace Hardship: Learning Entrepreneurial Identities . . . . . Asmita Bhutani and Kiran Mirchandani

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Preparing Graduates for Cross-Country Labor Markets: The Role of Human and Social Capitals in Australia and Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1005 Thanh Pham

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Recognition of Current and Prior Experience in Aotearoa New Zealand and the Role of Eportfolios . . . . . . . . . . . . . . . . . . . 1023 Selena Chan

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Curriculum 5.0 for the Twenty-First-Century Higher Education: A Way to Move Forward . . . . . . . . . . . . . . . . . . . . . . 1041 Jessie S. Barrot

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A Performative View on the Role of Educative Curriculum Materials on Teacher Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . 1057 Valentina Guzmán and Antonia Larrain

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A Task-Based Approach to Lifelong Learning, Well-Being, and Resilience in the Workplace of the Future . . . . . . . . . . . . . . . 1071 Zi An Galvyn Goh and King Wang Poon

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Creating a Future to Be Proud of Through Teacher Workforce Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1091 Tracy Woodroffe

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Localizing Teacher Professional Development at Scale Enabled by Professional Learning Communities: A Study of Teacher Learning Centers in Indonesia . . . . . . . . . . . 1107 Min Liang, Juliana, Norman B. Mendoza, and Cher Ping Lim

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Learning Agility and Learning Organizations in Disruptive Times . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1125 Siew Inn Wendy Tan and Moon-Ho Ringo Ho

Section VII Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1149 Anthony Welch 60

Policies and Practices of Financing Higher Education in the Asia-Pacific Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1155 Jandhyala B. G. Tilak and Pradeep K. Choudhury

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University Ranking Games in East Asia: Triggers and Consequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1187 Xiaoshi Li, Hugo Horta, and Jisun Jung

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Globalization and Internationalization of Higher Education in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1205 Rui Yang

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Private Higher Education in the Asia-Pacific Overview, Development, and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1223 Roger Y. Chao Jr.

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Higher Education in the Island States of Oceania . . . . . . . . . . . . 1241 Seu’ula Johansson-Fua and Michael Crossley

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Higher Education in the Asia-Pacific: Rise or Renaissance- Evolution, Achievements, Challenges . . . . . . . . . . . 1255 Anthony Welch

Section VIII Learning and Human Development . . . . . . . . . . . . . . . . 1271 Carol K. K. Chan 66

Development of the Learning Sciences: Theories, Pedagogies, and Technologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1277 Jun Oshima, Jan van Aalst, Jin Mu, and Carol K. K. Chan

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Knowledge Building Model for Educational and Pedagogical Innovation and Cultural-Contextual Influences . . . . . . . . . . . . . . 1301 Carol K. K. Chan and Seng Chee Tan

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Linguistic, Cognitive, Social, and Educational Perspectives on English Academic Literacy Development in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1327 Ke Zhao and Xiaojing Bai

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Designing Problem-Solving for Meaningful Learning: A Discussion of the Asia-Pacific Research . . . . . . . . . . . . . . . . . . 1349 Chwee Beng Lee, Maree Skillen, and Caitlin Williams

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Learning Analytics for Learning: Emerging International Trends and Case Studies from the Asia-Pacific . . . . . . . . . . . . . . 1367 Elizabeth Koh and Xiao Hu

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Recontextualizing and Translating Twenty-First-Century Competencies into Curriculum . . . . . . . . . . . . . . . . . . . . . . . . . . . 1395 Zongyi Deng

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Process of Learning: Insights from Neuropsychology Studies and the Asia-Pacific Perspectives . . . . . . . . . . . . . . . . . . . 1417 Darren J. Yeo, Fu Yu Kwok, and S. H. Annabel Chen

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The Kaleidoscope of Adolescence: An Asian Perspective . . . . . . . 1443 Namita Ranganathan and Toolika Wadhwa

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The Influence of Culture on Students’ Mathematics Achievement in East Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1463 Frederick K. S. Leung and Shintia Revina

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Cross-Cultural Differences in Motivation . . . . . . . . . . . . . . . . . . . 1481 Zi Yang Wong and Gregory Arief D. Liem

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Advances in Personal Epistemology in the Asia-Pacific: A Content and Bibliometric Analysis . . . . . . . . . . . . . . . . . . . . . . 1509 Hui Luan and Chin-Chung Tsai

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Complexity of Academic Emotions in Online Video-Based Learning: Implications for Asian Learners . . . . . . . . . . . . . . . . . 1539 Hyo-Jeong So, Seunghye Ha, and Eunyoung Kim

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Technology-Enhanced Instructional Practice During COVID-19 Pandemic and Implications for New Normal: Experience from China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1557 Ronghuai Huang, Rongxia Zhuang, and Shuang Chen

Section IX Fiona Ell 79

Teacher Education and Professionalization . . . . . . . . . . . 1577

Learning from Country: Aboriginal-Led Country-Centered Learning for Preservice Teachers . . . . . . . . . . . . . . . . . . . . . . . . . 1581 Katrina Thorpe

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He ara e rua he whāinga kotahi: Walking Dual Pathways Toward Shared Goals in Initial Primary Sector Teacher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1603 Alexandra C. Gunn, Meredith Kelly, Bilinda Offen, A. Parker Ormond, and Steven Sexton

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Supporting the Teaching Profession to Enable a Culturally Responsive Curriculum . . . . . . . . . . . . . . . . . . . . . . . . 1619 Simone White, Peter Anderson, Alison Quin, Graeme Gower, Matt Byrne, and Maria Bennet

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Teacher Education Landscape in the Moana: Future-Inspired Talatalanoa Ako/a‘oga/a‘oa‘oga in Tonga and Samoa . . . . . . . . . 1639 David Taufui Mikato Fa‘avae, Rasela Tufue, Poliana Faoliu-Havea, and Viliami He-Vaha-‘I-Moana Vakapuna

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Teacher Education Conditions in the Solomon Islands, Papua New Guinea, Fiji, and Vanuatu . . . . . . . . . . . . . . . . . . . . . . . . . . . 1661 Jeremy Dorovolomo, Anna Joskin, and Ledua Waqailiti

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Time for a Renaissance in Pre-service Teacher Education in Thailand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1677 Thomas B. Corcoran and Pornpun Waitayangkoon

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Hong Kong Teachers’ Interpersonal Behavior in the Classroom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1693 Atara Sivan

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Systemic Approach Toward Teacher Professional Development for Curriculum Reform and Pedagogical Innovation in Taiwan: An Insider’s Reflective Tale . . . . . . . . . . . 1713 Hsiao-Lan Sharon Chen

87

Teacher Professionalization in Singapore: Equity-Centered Social Justice Teaching for a Multicultural Society . . . . . . . . . . . 1733 Wen-Chia Chang

88

Promoting Teacher Collaboration Through Reflective Dialogue: A Case Analysis of Team Teaching in China . . . . . . . . 1753 Mingjun Fang, Yurong Zhang, and Xiangming Chen

Volume 3 Section X Case Studies of High-Performing Education Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1775 A. Lin Goodwin 89

Lessons from High-Performing School Systems . . . . . . . . . . . . . . 1779 Andreas Schleicher

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Contents

90

Development of a Learning System: The Hong Kong Story, an Insider’s Reflective Account . . . . . . . . . . . . . . . . 1799 Kai-ming Cheng

91

Prioritizing Education: The Macao Experience Since the Millennium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1815 Yisu Zhou and Si Man Lam

92

Will Japan’s High-Performing Education System Be Refreshed or Wither? An Exploration of Official Pedagogic Discourse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1835 Masaaki Katsuno

93

Enabling Sustainable Success: Lessons from Singapore . . . . . . . . 1853 Ee Ling Low

94

Excellence Is Not Enough: The Taiwanese Case . . . . . . . . . . . . . . 1873 Kuan-Ming Chen, Tian-Ming Sheu, and Tsung-Hau Jen

95

The Preparation of Teachers and Pedagogical Universities When Reforming the General Education Curriculum in Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1895 Van Son Huynh

96

China’s Strategies and Pathways for Inclusive and Quality for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1917 Yan Wang

97

Between Light and Shadow: The Contrasting Landscape and Contemporary Development of South Korea’s School System . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1937 Moosung Lee, Soo-yong Byun, and Youngmin Mo

98

Demystifying High-Achieving Education System: Complexifying Quality and Equity in British Columbia Ralf St. Clair

. . . . . . . 1957

99

Te Huarahi Māori: Revaluing the Role of Indigenous Language, Knowledge, and Identity in High-Performing Education Systems . . . . . . . . . . . . . . . . . . . . . . 1973 Tony Trinick, Piata Allen, and Hemi Dale

100

Positioning Teacher Development for High Performance Through Digital Transformation and Support Systems in Kyrgyzstan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1995 Tamo Chattopadhay and Renata Jankunaite

Contents

xix

Section XI Equity and Quality Education . . . . . . . . . . . . . . . . . . . . . . 2015 Brian D. Denman 101

Comparing Equity and Quality Education in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2017 Brian D. Denman and Meeri Hellstén

102

Educational Access and the Power of Education . . . . . . . . . . . . . 2039 Colin Power

103

The Impact of Measures Aimed at Achieving Equity and Quality in Chinese Ethnic Minority Education . . . . . . . . . . . 2057 Mei Wu

104

Educational Inequality in East Asia: A Review of Research Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2071 Larry E. Suter, Frederick K. S. Leung, and Shintia Revina

105

Education in an Uncertain Future: The Promise of Equity . . . . . 2099 Pasi Sahlberg and Caitlin Senior

106

Educational Opportunity, Internationalization, and Upward Mobility in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . 2117 David A. Turner and Baocun Liu

107

From Global Thinker to Innovative Mind: An Equity and Quality Roadmap Through Personalized Learning and Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2131 Brian D. Denman

108

Leading Quality Education in the Asia-Pacific . . . . . . . . . . . . . . . 2153 Haiyan Qian and Allan Walker

109

Equity, Quality, Post-Neoliberalism, and the Knowledge Society of the Future . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2173 Yuto Kitamura, Akemi Ashida, and Takayo Ogisu

Section XII Education and Socioeconomic Development . . . . . . . . . 2191 Andy Green 110

Changing Face of Higher Education and Development in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2197 Jandhyala B. G. Tilak and Pradeep K. Choudhury

111

Changes in Human Capital Discourse from Expansion to Employability: The Case of Higher Education Institutes in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2233 Tien Hui Chiang, Nikos Papadakis, and Maria Drakaki

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Contents

112

Japan’s Child-Focused Development and Education Reform in a New Knowledge Society . . . . . . . . . . . . . . . . . . . . . . 2251 Akito Okada

113

Trends and Perspectives of Climate Change Education in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2271 Hiroki Fujii

114

Higher Education and Social and Civic Development Sheng-Ju Chan

115

Constructing Culture and Educating Citizens in Developmental States: Singapore and China . . . . . . . . . . . . . . . . 2307 Yeow-Tong Chia and Sicong Chen

116

Moral Education in Japan: Four Strands of Research on Policy and Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2325 Sam Bamkin

117

School as a Sanctuary: Trauma-Informed Care to Nurture Child Well-Being in High-Poverty Schools . . . . . . . . . . . 2345 Nomisha Kurian

118

Policy Instruments for Educational Governance: A Comparative Investigation of India and China . . . . . . . . . . . . . 2367 Yifei Yan

. . . . . . . . . 2289

Section XIII Educational Research and Development Towards the Future . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2393 Nancy Law 119

Understanding Learning Lives in Transition: The Cultural Dynamics of Education Among Migrant Children . . . . . . . . . . . . 2399 Ola Erstad

120

Generation Z and Beyond . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2419 Sanna Järvelä, Jonna Malmberg, and Hanna Järvelä

121

How Brain-Based Research Can Rewire Education for Bi/Multilingual Children with Special Educational Needs in Hong Kong, India, and the Philippines . . . . . . . . . . . . . . . . . . . 2431 Shelley Xiuli Tong, Arpitha Vasudevamurthy, Kembell Lentejas, Puyuan Zhang, and Ning An

122

Assessment Research and Practices to Advance Human Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2461 E. Caroline Wylie

Contents

xxi

. . . . . . . . . . . . . 2481

123

Educational Development in the Postdigital Era Jeremy Knox

124

Ethical Principles for the Development and Application of Artificial Intelligence in K-12 Education . . . . . . . . . . . . . . . . . 2501 Charlotte Webb, Rosemary Luckin, and Elise Ecoff

125

Leading the Future of Education: Towards an Ecosystem in Support of Educational Innovations . . . . . . . . . . . . . . . . . . . . . 2521 David Wei Loong Hung, Sao Ee Goh, and Shyam Anand Singh

126

Supporting Quality Use of Research Evidence in Schools and Systems Within the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . 2543 Mark Rickinson, Connie Cirkony, Lucas Walsh, Joanne Gleeson, Mandy Salisbury, and Blake Cutler

127

Interdisciplinary and Interprofessional Partnerships: Mobilizing the Science of Learning to Impact Real-World Practice – The Australian Experience . . . . . . . . . . . . . . . . . . . . . 2569 Stephanie MacMahon and Annemaree Carroll

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2589

About the Editors

Prof. Wing On Lee is Senior Consultant and former Executive Director of the Institute for Adult Learning and Professor at the Singapore University of Social Sciences. He has previously assumed senior positions at Zhengzhou University, Open University of Hong Kong, National Institute of Education, Singapore, Hong Kong Institute of Education (now EDUHK), University of Sydney, and University of Hong Kong. He was former President of the World Council of Comparative Education Societies (WCCES), and has published 36 books and 200 book chapters and journal articles. He is also Editor of three Routledge and one Springer book series. Prof. Phillip Brown is a Distinguished Research Professor in the School of Social Sciences, Cardiff University, United Kingdom. He started working life as an apprentice in the auto industry before training as a teacher. His academic career took him to Cambridge University and the University of Kent at Canterbury, joining Cardiff University in 1997. He has spent much of his academic career studying the future of work and its relationship to education, economy, and society. He has written, co-authored, and co-edited 18 books, including The Death of Human Capital? Its Failed Promise And How To Renew It In An Age of Disruption (Oxford University Press, 2020) and The Global Auction (Oxford University Press, 2011). He Chaired an Independent Review for the Welsh Government examining the impact of digital innovation for the economy and the future of work in Wales (2019), and is a Director of a 4-year international research program on digital futures of education and work, with colleagues at the xxiii

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About the Editors

Institute of Adult Learning, Singapore University of Social Sciences (2019–2023). He is a Fellow of the Academy of Social Sciences, Fellow of the Learned Society of Wales, and sits on the Council of Management, National Institute of Economic and Social Research (NIESR), Westminster, United Kingdom. A. Lin Goodwin (葛文林) is the Thomas More Brennan Chair of Education at the Lynch School of Education and Human Development. Prior to joining Boston College, she was Dean of the Faculty (School) of Education at the University of Hong Kong (2017–2022) and Vice Dean at Teachers College, Columbia University (TCCU) in New York (2011–2017), where she also held the Evenden Foundation Chair in Education. Prof. Goodwin served as Vice President of the American Educational Research Association (AERA) – Division K: Teaching and Teacher Education (2013–2016), and is a Senior Research Fellow of the Learning Policy Institute. She received the 2022 Spencer Foundation Mentor Award honoring her work with emerging academics and doctoral students. Dr. Goodwin’s research focuses on teacher/teacher educator beliefs, identities, and development; equitable education and powerful teaching for immigrant and minoritized youth; comparative analyses of international teacher education practice and policy; and the experiences of Asian/Asian Americans in US schools. She is widely published and has been recognized for her research and scholarship by the AERA SIG: Research on the Education of Asian and Pacific Americans and the Committee on Scholars of Color, and by the National Institute of Education in Singapore as the inaugural Dr. Ruth Wong Professor of Teacher Education. More recently, she is the 2023 recipient of the AERA Division K Legacy Award that celebrates established scholars “who have made significant and exemplary contributions to the field of teaching and teacher education.” She began her career as a special education teacher in secondary school.

About the Editors

xxv

Prof. Andy Green is a Professor of Comparative Social Science at the University College London (UCL) Institute of Education, and Director, since 2008, of the ERSC-funded “Research Centre on Learning and Life Chances” (LLAKES). He was formerly Co-Founder and Co-Director of the DFEE-funded “Wider Benefits of Learning Centre” and has directed major comparative research projects addressing both economic and social impacts of education and training. He has acted as consultant to international bodies, such as CEDEFOP, the European Training Foundation, the European Commission, OECD and UNESCO, and to United Kingdom (UK) Government departments and organizations. He has published widely on a range of social and education issues with major works translated into Chinese, French, German, Japanese, and Spanish, including: Education and State Formation: Europe, East Asia and the USA, Palgrave, 2013; Regimes of Social Cohesion: Societies and the Crisis of Globalization, Palgrave 2011; and Education and Development in a Global Era: Strategies for ‘Successful’ Globalisation, DFID, 2007. His most recent book is on open access with Palgrave: The Crisis for Young People: Generational Inequalities in Education, Work, Housing and Welfare.

Section Editors

Helen Bound Institute for Lifelong Learning University of Social Sciences Singapore, Singapore

Phillip Brown School of Social Sciences Cardiff University Cardiff, UK

Carol K. K. Chan Faculty of Education The University of Hong Kong Hong Kong SAR, China

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Section Editors

Xiao Lan Curdt-Christiansen Professor of Applied Linguistics; Director for the Centre for Research in Education in Asia; Department of Education University of Bath, Bath, UK

Brian Denman Wenner Gren Visiting Professor, Stockholm University and Adjunct Associate Professor University of New England Armidale, NSW, Australia

Fiona Ell Faculty of Education and Social Work University of Auckland Auckland, New Zealand

A. Lin Goodwin Faculty of Education The University of Hong Kong Hong Kong SAR, China Lynch School of Education and Human Development Boston College Chestnut Hill, MA, USA

Section Editors

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Andy Green University College London Institute of Education London, UK

Nancy Law Faculty of Education University of Hong Kong Hong Kong SAR, China

Wing On Lee Singapore Institute for Adult Learning Singapore University of Social Sciences Singapore, Singapore

Renée Tan Institute for Adult Learning Singapore, Singapore

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Section Editors

Thomas Kwan Choi Tse Department of Educational Administration and Policy, Faculty of Education The Chinese University of Hong Kong Hong Kong SAR, People’s Republic of China

Anthony R. Welch School of Education and Social Work University of Sydney Sydney, NSW, Australia

Contributors

Stephanie Allais Centre for Researching Education and Labour, University of the Witwatersrand, Parktown, South Africa Piata Allen Te Puna Wānanga, University of Auckland, Auckland, New Zealand Theresa Alviar-Martin Kennesaw State University, Kennesaw, GA, USA Ning An Academic Unit of Human Communication, Development, and Information Science, Faculty of Education, The University of Hong Kong, Pokfulam, Hong Kong SAR, China Peter Anderson Queensland University of Technology, Brisbane, Australia Akemi Ashida Nagoya University, Nagoya, Japan Xiaojing Bai Tsinghua University, Beijing, China Mark Baildon United Arab Emirates University, Al Ain, United Arab Emirates Will Baker Centre for Global Englishes, University of Southampton, Southampton, UK Sam Bamkin Graduate School of Education, University of Tokyo, Tokyo, Japan Jessie S. Barrot National University, Manila, Philippines Aaron Benavot University at Albany-SUNY, Albany, NY, USA Maria Bennet Charles Sturt University, Albury, Australia Asmita Bhutani University of Toronto, Toronto, ON, Canada Stephen Billett Griffith University, Brisbane, QLD, Australia Emiliano Bosio Toyo University, Tokyo, Japan Helen Bound Institute for Lifelong Learning, Singapore, University of Social Sciences, Singapore, Singapore Mark Bray East China Normal University, Shanghai, China The University of Hong Kong, Hong Kong SAR, China xxxi

xxxii

Contributors

Phillip Brown School of Social Sciences, Cardiff University, Cardiff, UK Matt Byrne Edith Cowan University, Perth, Australia Soo-yong Byun Penn State University, University Park, PA, USA Annemaree Carroll School of Education, The University of Queensland, Brisbane, QLD, Australia Calvin Chan Singapore University of Social Science, Singapore, Singapore Carol K. K. Chan Faculty of Education, The University of Hong Kong, Hong Kong SAR, China Philip Wing Keung Chan School of Education, Culture and Society, Faculty of Education, Monash University, Melbourne, VIC, Australia Selena Chan Ara Institute of Canterbury – A business division of Te Pūkenga (NZ Institute of Skills and Technology), Hamilton, New Zealand Sheng-Ju Chan Graduate Institute of Education, National Chung Cheng University, Chiayi County, Taiwan Wen-Chia Chang National Institute of Education/Nanyang Technological University, Singapore, Singapore Roger Y. Chao Jr. Division of Education, Youth and Sports, ASEAN Secretariat, Jakarta, Indonesia Tamo Chattopadhay Institute of Education, American University of Central Asia, Bishkek, Kyrgyzstan Graduate Programs / MA in Teaching, Bard College, Annandale-on-Hudson, NY, USA Hsiao-Lan Sharon Chen Department of Education, National Taiwan Normal University, Taipei, Taiwan Kuan-Ming Chen National Academy for Educational Research, New Taipei City, Taiwan (R.O.C.) S. H. Annabel Chen Psychology, School of Social Sciences, Nanyang Technological University, Singapore, Singapore Centre for Research and Development in Learning, Nanyang Technological University, Singapore, Singapore Lee Kong Chian School of Medicine, Nanyang Technological University, Singapore, Singapore National Institute of Education, Nanyang Technological University, Singapore, Singapore Shuang Chen Smart Learning Institute of Beijing Normal University, Beijing, China

Contributors

xxxiii

Sicong Chen Department of Education, Kyushu University, Fukuoka, Japan Xiangming Chen Graduate School of Education, Peking University, Beijing, China Zhijun Chen Department of Education, University of Bath, Bath, UK Kai-ming Cheng The University of Hong Kong, Hong Kong SAR, China Jenny Chesters Melbourne Graduate School of Education, The University of Melbourne, Melbourne, VIC, Australia Yeow-Tong Chia University of Sydney, Sydney, NSW, Australia Tien Hui Chiang Anhui Normal University, Wuhu, China Alice Chik Macquarie University, Sydney, Australia Wan Har Chong National Institute of Education, Singapore, Singapore Suzanne S. Choo National Institute of Education, Nanyang Technological University, Singapore, Singapore Pradeep K. Choudhury Jawaharlal Nehru University, New Delhi, India Connie Cirkony Faculty of Education, University of Tasmania, Launceston, Tasmania, Australia Thomas B. Corcoran SEAMEO Center for STEM Education (SEAMEO STEMED), Bangkok, Thailand Michael Crossley University of Bristol, Bristol, UK Xiao Lan Curdt-Christiansen Department of Education, University of Bath, Bath, UK Blake Cutler Monash University Faculty of Education, Clayton, VIC, Australia Hemi Dale Te Puna Wānanga, University of Auckland, Auckland, New Zealand Zongyi Deng Institute of Education, University College London, London, UK Brian D. Denman Stockholm University, Stockholm, Sweden University of New England, Armidale, NSW, Australia Jeremy Dorovolomo University of the South Pacific, Suva, Fiji Maria Drakaki Hellenic Open University, Patras, Greece Elise Ecoff Chief Education Officer, Nord Anglia Education, London, UK Jeongmin Eom Asia-Pacific Centre of Education for International Understanding under the auspices of UNESCO, Seoul, Republic of Korea Ola Erstad Department of Education, University of Oslo, Oslo, Norway

xxxiv

Contributors

Nurullah Eryilmaz Department of Education, University of Bath, Bath, UK David Taufui Mikato Fa‘avae University of Auckland, Hamilton, New Zealand Fan (Gabriel) Fang Department of Foreign Languages and Literature, College of Liberal Arts, Shantou University, Shantou, People’s Republic of China Lin Fang Shantou University, Shantou, China Mingjun Fang School of Educational Science, Hunan Normal University, Hunan, China Poliana Faoliu-Havea University of the South Pacific, Suva, Fiji Josephine Fleming University of Sydney, Sydney, NSW, Australia Hiroki Fujii Faculty of Education, Okayama University, Okayama, Japan Xuesong (Andy) Gao School of Education, University of New South Wales, Sydney, NSW, Australia Robyn Gibson University of Sydney, Sydney, NSW, Australia Joanne Gleeson Monash University Faculty of Education, Clayton, VIC, Australia Adeline Yuen Sze Goh Sultan Hassanal Bolkiah Institute of Education, Universiti Brunei Darussalam, Bandar Seri Begawan, Negara Brunei Darussalam Hock Huan Goh The Centre for Research in Pedagogy and Practice, National Institute of Education, Nanyang Technological University, Singapore, Singapore Sao Ee Goh National Institute of Education/Nanyang Technological University, Singapore, Singapore Zi An Galvyn Goh Lee Kuan Yew Centre for Innovative Cities, Singapore University of Technology and Design, Singapore, Singapore Graeme Gower Curtin University, Perth, Australia Alexandra C. Gunn University of Otago College of Education, Dunedin, New Zealand Valentina Guzmán Universidad Alberto Hurtado, Santiago, Chile Seunghye Ha Ewha Womans University, Seoul, South Korea Nan Hao School of Education, Zhengzhou University, Zhengzhou, China International and Comparative Citizenship Education Research Centre, Zhengzhou University, Zhengzhou, China Azirah Hashim Universiti Malaya, Kuala Lumpur, Malaysia Meeri Hellstén Stockholm University, Stockholm, Sweden

Contributors

xxxv

Moon-Ho Ringo Ho Psychology, Nanyang Technological University, Singapore, Singapore Hugo Horta Faculty of Education, The University of Hong Kong, Hong Kong SAR, China Guangwei Hu The Hong Kong Polytechnic University, Hong Kong SAR, China Xiao Hu Faculty of Education, The University of Hong Kong, Hong Kong SAR, China The Institute of Data Science, University of Hong Kong, Hong Kong SAR, China Ronghuai Huang Smart Learning Institute of Beijing Normal University, Beijing, China David Wei Loong Hung National Institute of Education/Nanyang Technological University, Singapore, Singapore Van Son Huynh Ho Chi Minh City University of Education, Ho Chi Minh City, Vietnam Liz Jackson Education University of Hong Kong, Hong Kong SAR, China Renata Jankunaite Institute of Education, American University of Central Asia, Bishkek, Kyrgyzstan Hanna Järvelä University of Oulu, Oulu, Finland Sanna Järvelä University of Oulu, Oulu, Finland Tsung-Hau Jen National Taiwan Normal University, Taipei City, Taiwan (R.O.C.) Seu’ula Johansson-Fua The University of the South Pacific, Tonga, Tonga Anna Joskin University of Papua New Guinea, Port Moresby, Papua New Guinea Juliana School Development Outreach, Putera Sampoerna Foundation, Jakarta, Indonesia Jisun Jung Faculty of Education, The University of Hong Kong, Hong Kong SAR, China Masaaki Katsuno Graduate School of Education, The University of Tokyo, Tokyo, Japan Guo Guo Ke Lingnan University, Hong Kong SAR, China Joel Sim Chun Keat Institute for Adult Learning, Singapore, Singapore Meredith Kelly University of Otago College of Education, Invercargill, New Zealand Kevin Kester Department of Education, Seoul National University, Seoul, Republic of Korea

xxxvi

Contributors

Eunyoung Kim Ewha Womans University, Seoul, South Korea Young Sek Kim Department of Education, Korea National University of Education, Cheongju, South Korea Andy Kirkpatrick Griffith University, Brisbane, QLD, Australia Yuto Kitamura The University of Tokyo, Tokyo, Japan Jeremy Knox The University of Edinburgh, Edinburgh, Scotland Elizabeth Koh National Institute of Education, Nanyang Technological University, Singapore, Singapore Nomisha Kurian University of Cambridge, Cambridge, UK Fu Yu Kwok Macquarie School of Education, Macquarie University, Sydney, NSW, Australia Si Man Lam Faculty of Education, University of Hong Kong, Hong Kong SAR, China Antonia Larrain Universidad Alberto Hurtado, Santiago, Chile Chwee Beng Lee Western Sydney University, Penrith, NSW, Australia Moosung Lee Faculty of Education, University of Canberra, Canberra, CBR, Australia Department of Education, Yonsei University, Seoul, South Korea Wing On Lee Singapore Institute for Adult Learning, Singapore University of Social Sciences, Singapore, Singapore Jun Lei Ningbo University, Ningbo, China Kembell Lentejas Academic Unit of Human Communication, Development, and Information Science, Faculty of Education, The University of Hong Kong, Pokfulam, Hong Kong SAR, China Frederick K. S. Leung Faculty of Education, the University of Hong Kong, Hong Kong SAR, China Xiaoshi Li Faculty of Education, The University of Hong Kong, Hong Kong SAR, China Min Liang Department of Curriculum and Instruction, Faculty of Education and Human Development, The Education University of Hong Kong, Hong Kong SAR, China Anthony J. Liddicoat Department of Applied Linguistics, University of Warwick, Coventry, UK Gregory Arief D. Liem National Institute of Education, Nanyang Technological University, Singapore, Singapore

Contributors

xxxvii

Cher Ping Lim Department of Curriculum and Instruction, Faculty of Education and Human Development, The Education University of Hong Kong, Hong Kong SAR, China Baocun Liu Beijing Normal University, Beijing, China William Shu Yuan Liu Lee Kuan Yew Centre for Innovative Cities, Singapore University of Technology and Design, Singapore, Singapore Ee Ling Low Academic and Faculty Affairs, National Institute of Education, Nanyang Technological University, Singapore, Singapore Hui Luan Institute for Research Excellence in Learning Sciences, National Taiwan Normal University, Taipei, Taiwan Rosemary Luckin UCL Knowledge Lab, Institute of Education, University College London, London, UK Stephanie MacMahon School of Education, The University of Queensland, Brisbane, QLD, Australia Jonna Malmberg University of Oulu, Oulu, Finland Maria Manzon Sophia University, Tokyo, Japan Norman B. Mendoza Department of Curriculum and Instruction, Faculty of Education and Human Development, The Education University of Hong Kong, Hong Kong SAR, China Kiran Mirchandani University of Toronto, Toronto, ON, Canada Youngmin Mo Office of Data Strategy, Korean Educational Development Institute (KEDI), Jincheon, Chungcheongbuk-do, South Korea Ka Ho Mok Lingnan University, Tuen Mun, Hong Kong SAR, China Paul J. Moore School of Languages and Cultures, The University of Queensland, Brisbane, QLD, Australia Junichi Mori Skills for Prosperity Southeast Asia Programme (SfP-SEA), The International Labour Organization (ILO), Kuala Lumpur, Malaysia Guanglun Michael Mu Education Futures, University of South Australia, Adelaide, SA, Australia Jin Mu Ludwig-Maximilians-University of Munich, Munich, Germany Bilinda Offen University of Otago College of Education, Dunedin, New Zealand Takayo Ogisu Sophia University, Tokyo, Japan Akito Okada Graduate School of Global Studies, Tokyo University of Foreign Studies, Fuchu, Tokyo, Japan

xxxviii

Contributors

A. Parker Ormond University of Otago College of Education, Invercargill, New Zealand Yasmin Y. Ortiga School of Social Sciences, Singapore Management University, Singapore, Singapore Jun Oshima Shizuoka University, Shizuoka, Japan Nikos Papadakis Department of Political Science, University of Crete, Rethymnon, Greece Thanh Pham Faculty of Education, Monash University, Clayton, VIC, Australia Matthias Pilz University of Cologne, Chair of Economics and Business Education, Cologne, Germany Yang Po Institute of Economics of Education, Peking University, Beijing, China King Wang Poon Lee Kuan Yew Centre for Innovative Cities, Singapore University of Technology and Design, Singapore, Singapore Colin Power University of New England, Armidale, NSW, Australia Ji Qi School of Education, Zhengzhou University, Zhengzhou, China Haiyan Qian The Education University of Hong Kong, Hong Kong SAR, China Sharon Y. S. Quek Wee Kim Wee School of Communication and Information Nanyang Technological University, Singapore, Singapore Alison Quin Queensland University of Technology, Brisbane, Australia Namita Ranganathan Department of Education, University of Delhi, Delhi, India Shuqi Rao East China Normal University, Shanghai, China Shintia Revina Eindhoven School of Education, Eindhoven University of Technology, Eindhoven, The Netherlands Zenaida Q. Reyes Graduate Teacher Education Faculty, College of Graduate Studies, Philippine Normal University, Manila, Philippines Mark Rickinson Monash University Faculty of Education, Clayton, VIC, Australia Fazal Rizvi University of Melbourne, Melbourne, VIC, Australia Sahara Sadik Institute for Adult Learning, Singapore University of Social Sciences, Singapore, Singapore Pasi Sahlberg Southern Cross University, Lismore, NSW, Australia Shinji Sakano Tamagawa University Tokyo, School of Education, Tokyo, Japan Mandy Salisbury Monash University Faculty of Education, Clayton, VIC, Australia

Contributors

xxxix

Andres Sandoval-Hernandez Department of Education, University of Bath, Bath, UK Andreas Schleicher OECD, Paris, France Caitlin Senior Southern Cross University, Lismore, NSW, Australia Deokhee Seo Chosun University, Kwangju, Republic of Korea Steven Sexton University of Otago College of Education, Dunedin, New Zealand Tian-Ming Sheu National Taiwan Normal University, Taipei City, Taiwan (R.O.C.) Shyam Anand Singh National Institute of Education/Nanyang Technological University, Singapore, Singapore Atara Sivan Department of Education Studies, Hong Kong Baptist University, Hong Kong SAR, China Maree Skillen Western Sydney University, Penrith, NSW, Australia Hyo-Jeong So Ewha Womans University, Seoul, South Korea Ralf St. Clair University of Victoria, Victoria, Canada Dean Stroud School of Social Sciences, Cardiff University, Cardiff, UK Baoqi Sun The Centre for Research in Child Development, National Institute of Education, Nanyang Technological University, Singapore, Singapore Larry E. Suter ISR-Institute, University of Michigan, Ann Arbor, MI, USA Charlene Tan The University of Hong Kong, Pok Fu Lam, Hong Kong SAR, China Justina Tan Institute for Adult Learning, Singapore, Singapore Michael Tan Policy, Curriculum, and Leadership Academic Group, National Institute of Education, Nanyang Technological University, Singapore, Singapore Seng Chee Tan National Institute of Education, Learning Sciences & Assessment, Nanyang Technological University, Singapore, Singapore Siew Inn Wendy Tan The Flame Centre Pte Ltd, Nanyang Technological University, Singapore, Singapore Katrina Thorpe The Centre for the Advancement of Indigenous Knowledges, University of Technology Sydney, Sydney, NSW, Australia Zhen Tian Lingnan University, Hong Kong SAR, China Jandhyala B. G. Tilak Council for Social Development, New Delhi, India Shelley Xiuli Tong Academic Unit of Human Communication, Development, and Information Science, Faculty of Education, The University of Hong Kong, Pokfulam, Hong Kong SAR, China

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Contributors

Thi Tuyet Tran School of Management, RMIT University, Melbourne, VIC, Australia Tony Trinick Te Puna Wānanga, University of Auckland, Auckland, New Zealand Chin-Chung Tsai Institute for Research Excellence in Learning Sciences and Program of Learning Sciences, National Taiwan Normal University, Taipei, Taiwan Thomas Kwan-choi Tse Department of Educational Administration and Policy, The Chinese University of Hong Kong, Hong Kong SAR, People’s Republic of China Rasela Tufue National University of Samoa, Apia, Samoa David A. Turner Beijing Normal University, Beijing, China Viliami He-Vaha-‘I-Moana Vakapuna Tonga Institute of Education, Nuku’alofa, Tonga Minda C. Valencia Faculty of Behavioral and Social Sciences, Philippine Normal University, Manila, Philippines Jan van Aalst University of Twente, Enschede, The Netherlands Arpitha Vasudevamurthy Academic Unit of Human Communication, Development, and Information Science, Faculty of Education, The University of Hong Kong, Pokfulam, Hong Kong SAR, China Toolika Wadhwa Department of Education, Shyama Prasad Mukherji College for Women, University of Delhi, Delhi, India Pornpun Waitayangkoon SEAMEO Center for STEM Education (SEAMEO STEM-ED), Bangkok, Thailand Allan Walker The Education University of Hong Kong, Hong Kong SAR, China Lucas Walsh Monash University Faculty of Education, Clayton, VIC, Australia Danping Wang The University of Auckland, Auckland, New Zealand Yan Wang Chinese Society of Educational Development Strategy, Beijing, China Ledua Waqailiti Suva, Fiji Charlotte Webb Unthinkable Digital and Creative Computing Institute, University of the Arts London, London, UK Anthony Welch School of Education and Social Work, University of Sydney, Sydney, NSW, Australia Simone White Royal Melbourne Institute of Technology (RMIT), School of Education, Melbourne, Australia Ledua Waqailiti has retired.

Contributors

xli

Thijs Willems Lee Kuan Yew Centre for Innovative Cities, Singapore University of Technology and Design, Singapore, Singapore Caitlin Williams Western Sydney University, Penrith, NSW, Australia Zi Yang Wong National Institute of Education, Nanyang Technological University, Singapore, Singapore Tracy Woodroffe Charles Darwin University, Darwin, NT, Australia Mei Wu Yunnan University, Kunming, China Pinhui Sandra Wu Nanyang Technological University, Singapore, Singapore E. Caroline Wylie ETS, Princeton, NJ, USA Jing Xu Center for Vocational Education Development, Ministry of Education, Beijing, China Yifei Yan Department of Politics and International Relations, University of Southampton, Southampton, UK Rui Yang Academic Unit of Social Contexts and Policies of Education Sciences Education, University of Hong Kong, Hong Kong SAR, China Darren J. Yeo Psychology, School of Social Sciences, Nanyang Technological University, Singapore, Singapore Centre for Research and Development in Learning, Nanyang Technological University, Singapore, Singapore Guoxing Yu University of Bristol, Bristol, UK Hongzhi Zhang School of Education, Culture and Society, Faculty of Education, Monash University, Melbourne, VIC, Australia Puyuan Zhang Academic Unit of Human Communication, Development, and Information Science, Faculty of Education, The University of Hong Kong, Pokfulam, Hong Kong SAR, China Yurong Zhang Renmin University of China, Beijing, China Dan Zhao Department of Education, University of Bath, Bath, UK Ke Zhao Shanghai University of Finance and Economics, Shanghai, China Jie Zheng East China Normal University, Shanghai, China Yongyan Zheng Fudan University, Shanghai, China Yisu Zhou Faculty of Education, University of Macau, Macao, Macau SAR, China Rongxia Zhuang Smart Learning Institute of Beijing Normal University, Beijing, China

Section I Trends and Issues Wing On Lee

This opening section of the Handbook on education development in the Asia-Pacific serves as a kind of introduction, starting the discourse on education development in the region by identifying some key trends and issues, before readers go into specific sections for further deep diving in a certain aspect of the Handbook. As the following delineation will show, trends and issues are not entirely separate topics. They are often intrinsically related to each other – trends are such because certain issues continue to be discussed, and the most outstanding issues are access, equity and equality as well as quality of education. These topics appear in almost any book on education. Some are, however, identifiable trends that may or may not be issues, with topics such as comparative perspectives, Asia as method, and/or homeschooling.

Education Development in the Asia-Pacific Aaron Benavot in the first chapter of the Handbook provides an overview of progress, achievements, and setbacks in basic education for all in the last two decades, 2000–2020. This chapter has charted the growth in private education across countries in the Asia-Pacific. This reflects the lack of quality in school education and aggravation of inequalities as the rich can afford to seek additional educational support.

Comparative Studies in the Asia-Pacific Maria Manzon offers a comparative analysis of the growth of comparative education in the Asia-Pacific, interestingly, through an analysis of the Comparative Education Research Centre (CERC) at the University of Hong Kong. Amazingly, although her analysis is focused on one center, she has demonstrated how CERC has propagated comparative education in Asia. For example, while the Centre was set up in 1994,

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I Trends and Issues

CERC has facilitated the setup of Comparative Education Society of Asia (CESA) in its 1995 inaugural conference. The chapter provides a table showing the wide networking of CERC, which shows CERC’s role as the hub of comparative education in Asia and beyond. CERC does have outstanding international influences. In addition to the renowned CERC Series, another interesting feature in her chapter is to show how different Chairpersons of CERC have defined comparative education; some make it more embracive and others make it more tight and narrow to showcase comparative education as an academic field. As a result, the issue whether comparative education is a “field” has not yet been resolved, and Manzon cites Mark Bray’s observation that nowadays comparative methodology has become more embracive, whereby there are more studies claimed to be comparative studies.

Understanding Asian-Pacific Education Through Traditional Religious Lens Maria Manzon and Wing On Lee attempt to apply a comparative lens to extract some educational features that are influenced by the Asia-Pacific contexts. This is a rather bold attempt as Asia is the most diverse continent with the largest number of languages. The extremists even query whether there is anything that is purely Asian. Especially today, when Asia throughout the years has exchanges with western countries and English has become the lingua franca in the continent. This has particular implications for sustainability education. The harmony with nature is particularly manifested in the significance of spirituality as part of Asian values. Manzon and Lee’s chapter points out that despite cultural differences, Asian values spirituality which is a transcendental communication with nature.

Research Asia Using Asia as “Method” Hongzhi Zhang and Philip Chan raise a question as academia is predominantly influenced by Western perspectives, which has resulted from Western scholars teaching in the Asia-Pacific or Asia-Pacific students who have chosen to pursue education in Western countries. At most, the Western approaches do not have an Asia-Pacific lens in interpreting the data, especially qualitative research that require insider-outsider and ethnographic perspectives. The chapter cites Toki Experiment Project on in-Asian relations, adopting a dialogical model of intercultural performance, which was derived from decolonization, deimperialization, and de-cold war through aesthetic and epistemological deconstruction. Notwithstanding arguments for the need to adopt Asia as Method in Asian studies, the authors caution that Asian and Western theories should not be in opposition to one another.

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Trends and Issues

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Increased Online Learning: A New Normal or Old Tradition in the Asia-Pacific? Liz Jackson captures the phenomenal growth of online learning during the Covid-19 epidemic period around 2020–23, during which basically all countries adopted policies to stop or reduce physical contact. Worldwide, schools and formal schooling were closed down. Zoom or other similar software were used for group learning that replaced classroom learning. As Zoom is basically an online tool, the concept of hybrid learning emerged, which suggested synchronous learning and asynchronous learning operated together in order that formal education would continue. This type of situation has been described as the “new normal,” which combines formal, informal, and nonformal learning, but is not restricted to learning groups. In addition to school/institutional students, almost anyone can learn or enroll in any online courses that suit them. Reflecting upon the question on whether the new normal will become the prominent mode of formal (plus nonformal and informal) learning, her chapter reminds us to look back at the traditional form of learning in Asia and Africa.

Globalization and Education Globalization is a topic that cannot be ignored if we want to address recent educational developments in the Asia-Pacific, since globalization over the past three decades has become a worldwide phenomenon. The chapter written by Rizvi, Zheng, and Chia offers a reflective delineation of globalization and its impact on higher education in the Asia-Pacific. The chapter shows how approaches to globalization in Asian countries are diverse and exceptional, shaped by their engagement with emerging global forces but influenced equally by their traditional cultures. Every country has gone through their own version of local-global debates, and such debates continue. The chapter shows, for example, how the University of Hong Kong and higher education in Shanghai are upfront in adopting the globalization agenda, yet they continuously struggle to balance this agenda with Chinese traditional values, especially Confucianism. In contrast, Singapore has adopted globalization as an explicit strategy for economic development, which has determined its approach to knowledge and university governance. As a multicultural state, Singapore has sought to avoid pragmatically the global-local tensions, emphasizing harmonization across cultures in education. For higher education, the world is regarded as Singapore’s economic “hinterland,” and investment in universities is viewed as the natural way of transforming an export-oriented economy, with its foci on services, innovation, and research. Yet, in Singapore too, its political system is not irrelevant to its adoption of the neoliberal strategies of higher education governance.

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I Trends and Issues

Education for International Understanding As mentioned by several authors above, the Asia-Pacific has an explicit concern with harmony. Jeongmin Eom and Kevin Kester’s chapter comprehensively described the development of education, particularly education for sustainable peace in the AsiaPacific, and found a plethora of terminologies/expressions on the topic in the region, e.g., international understanding, cooperation, global citizenship, and conflict resolution. Furthermore, this chapter has chosen some country/region cases for more detailed analyses including Australia, China, Indonesia, Myanmar, New Zealand, the Philippines, Solomon Islands/Papua New Guinea, South Korea, and Taiwan, offering comprehensive review of education in the Asia-Pacific region from various approaches.

Shadow Education One significant practice in education that can be found almost globally is shadow education. Mark Bray’s chapter has provided expanded description and analysis of this worldwide phenomenon of alternative education, which has been generally also described as private tutoring. Bray has coined it as a shadow education system because of its proliferation across countries, and also because the contents of the tuition are mostly following the existing public exam syllabi of the respective countries. Thus it is more correct to regard private tutoring as supplementary education that “shadows” the current education system of the countries. Bray’s chapter provides a very comprehensive description and analysis of this shadow system, including such areas as scale, intensity and demographic variations, subjects and modes, drivers of demand and supply, etc. Bray has also examined certain issues in depth, such as academic achievement, broader skills and values, efficiencies and inefficiencies, inequalities and social cohesion, and regulations for shadow education. As Bray puts it, “. . . shadow education needs much more attention both by educators in general and by policy makers. The theme should be taken more fully ‘out of the shadows’ for discussion at all levels of government and society, including individual schools and families.”

Homeschooling Another trend and issue which is growing in the Asia-Pacific is homeschooling. In a way, homeschooling is like shadow education and the venue of learning mainly takes place at home or the home of a group of children. It is different from shadow education in that it is not meant to be supplementary learning, but is definitely alternative, as parents opt out of the main school system. Homeschooling is popular in America, which is permitted by all states. Deokhee Seo’s studies on homeschooling in Asia from three perspectives, namely law, tradition, and habitus, found that some Asian jurisdictions like Indonesia, Malaysia, and Singapore do

I

Trends and Issues

5

allow homeschooling by law, whereas some countries such as Japan, Korea, and Taiwan do not have specific law concerning homeschooling. In countries without supportive law, homeschooling is conducted in the form of nonformal education. Certain ethnic or religious groups have their education tradition, and they choose to opt out of the official education system. For middle-class families, homeschooling allows tailored education for their children without suffering from anxiety of being maladjusted in school. Overall, Seo’s prediction is that homeschooling could become more widespread in the Asia-Pacific and should be regulated against increasing parental childhood maltreatment, given that hybrid learning is becoming a “new normal,” and the governments in general support diversity as an important aspect of education in globalization.

Conclusion The above synopsis of the discourse in the chapters in this section shows countries in the Asia-Pacific have actively made efforts in improving their educational provisions. Different countries adopt different approaches that suit their political, economic, and cultural situations. However, despite claimed government efforts to improve educational provisions, the poverty gap continues to be a problem. It seems that the more developed countries are able to achieve outstanding test performance in studies conducted by various international research organizations such as IEA and OECD. However, the majority of Asia-Pacific countries are still struggling towards equity and quality in education. It is noteworthy in the last two decades that more Asia-Pacific countries have participated in international movements in eradicating poverty and inequalities in education and working towards quality education.

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Progress, Achievements, and Setbacks in Basic Education for All, 2000–2020: A Focus on the Asia-Pacific Aaron Benavot

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background: Shifting International Discourse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Trends in Pre-primary to Secondary Education, 2000–2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Early Childhood Care and Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Access to Primary Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Completion of Primary and Secondary Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Educational Inequalities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Privatization of Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Learning Outcomes and Global Learning Metrics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Impact of Covid-19 on Educational Progress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8 8 12 13 14 16 19 22 25 29 30 32

Abstract

This chapter explores progress in basic education in the Asia Pacific region during the first two decades of the twenty-first century. It draws on international data sources to review trends in levels of access, progression, completion, and learning outcomes for the region as a whole and for three subregions. It shows that while signs of progress in pre-primary, primary, and secondary education are readily apparent, such progress is uneven both within countries and across the region. Issues related to quality education, educational inequality and inclusion, and learning outcomes have been – and continue to pose – significant challenges. Initial evidence suggests that educational progress in different subregions stagnated or worsened during the Covid-19 pandemic. Securing resources to address existing and future challenges in basic education constitutes a major policy priority. A. Benavot (*) University at Albany-SUNY, Albany, NY, USA e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_2

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Keywords

Basic education · SDG4 · Educational progress · Learning outcomes · AsiaPacific subregions · Covid-19 · Quality education

Introduction The past two decades have seen significant progress in education in the Asia-Pacific (A-P) region. Most countries in the region have made formidable strides along a wide array of education metrics, though in some cases the pace of progress was quicker and in others considerably slower. Trends in educational access, progression, and completion, from pre-primary to upper secondary education, have been ticking upward since 2000, in some instances notably so. Less progress is evident in the provision of quality education, the reduction of educational inequalities, improvements in learning among all groups, and the inclusion of students with disabilities. An important – albeit contested – trend has been the increasing role of non-state actors in the provision of education (UNESCO, 2021; ▶ Chap. 8, “Shadow Education in Asia and the Pacific: Features and Implications of Private Supplementary Tutoring,” by Mark Bray in IHEDAP). The main purpose of this chapter is to present up to date evidence of these trends and patterns. It also provides a broad regional framing of select issues addressed in subsequent chapters. The data presented here are almost exclusively drawn from international sources that use explicit definitions of education measures, thereby enabling meaningful cross-national and cross-regional comparisons. The bulk of the evidence discussed in the chapter tracks progress in formal education systems in the A-P region and only minimally captures the role and uptake of non-formal and informal education among youth and adults. While participation in lifelong learning opportunities appears to have intensified in recent years, systematic information about these developments is either missing or incomplete (Benavot, 2018; Benavot et al., 2022; and section on Lifelong Learning and Twenty-First-Century competences in IHEDAP). To understand and contextualize broader conditions affecting regional educational progress, the next section discusses the changing international context in which these trends took place.

Background: Shifting International Discourse Beginning with the Universal Declaration of Human Rights (1948) and later reinforced in the Convention on the Rights of the Child (1989), and the World Declaration on Education for All (EFA) (1990), the international community of nations continuously affirmed education as a basic human right. These influential international statements are based on the deeply held belief that human development must be the cornerstone of all development and that educational opportunities should be expanded for all children, youth, and adults to meet their diverse learning needs. Through their technical assistance

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Progress, Achievements, and Setbacks in Basic Education for All,. . .

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and financial aid to newly independent countries, international actors communicated a sense of institution-building, optimism, and solidarity in expanding educational opportunity (Chabbott, 2010). The efforts of international agencies shifted the prevailing discourse: from the articulation of basic humanistic principles to the development and implementation of concrete strategies to turn such principles into realities. Words alone would not universalize access to education. The “expanded vision of, and a renewed commitment to, basic education” in the World Declaration of EFA at Jomtien “rests on the belief that public policy can radically transform education systems and their relationship to society within a few years, given adequate political will and resources” (UNESCO, 2008, p. 17). It also summarized key policy concerns, including equity, learning, and non-formal provision (Inter-Agency Commission, 1990; Unterhalter, 2014). And yet, despite this emergent international consensus, progress towards EFA was halting and uneven during the 1990s. Structural adjustment policies severely impeded educational progress in many low-income countries as the IMF pressured governments to reduce their public expenditures in many sectors, including education (Fredriksen, 2023; Hallak, 1991). In fact, levels of participation in pre-primary and primary education shifted upwards only slightly during this decade (Skilbeck, 2000). Two developments in the late 1990s helped re-focus the global EFA agenda. First, the inter-agency body responsible for EFA monitoring, advocacy, and partnerships – the International Consultative Forum – outlined an ambitious process of national end-of-decade EFA assessments. A robust global update, comprising a global synthesis and statistical document, re-emphasized the importance of EFA (Skilbeck, 2000; UIS, 2000). Second, civil society, frustrated with the slow pace of EFA progress, placed increased pressure on the international community to act. At the forefront of this movement was the Global Campaign for Education (GCE), established in October 1999, whose core members (e.g., ActionAid, Oxfam International and Education International) sought to establish “a platform to unify and coordinate civil society voices about the global education agenda” and “. . .put pressure on governments and the international community to deliver the right of everyone to a free, quality, public education” (GPE, 2023). In April 2000, in the wake of these developments, more than a thousand members of the international community met in Dakar, Senegal at the World Education Forum to revitalize the EFA movement. Representatives from regional groups, international organizations, donor agencies, non-government organizations, civil society groups, and 164 national governments agreed on the EFA Framework for Action to make good on their promises. The Framework established guiding principles, suggested strategies of action, and outlined the roles and responsibilities of different partners, even though many of the undergirding assumptions were left unwritten. The EFA Framework for Action consisted of two key elements: first, a wideranging set of six education goals to be achieved by 2015, with one goal – the elimination of gender disparities at primary and secondary education level – to be achieved by 2005; and second, the formulation of 12 strategies for all stakeholders to advance in their different capacities (i.e., global, national, governmental, or non-governmental). The six EFA goals established targets for: (1) early childhood

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care and education; (2) universal access to, and completion, of free and compulsory primary education of good quality; (3) equitable access to appropriate learning and life-skills programs; (4) a 50 percent improvement in adult literacy levels by 2015 and equitable access to basic and continuing education for all adults; (5) the elimination of gender disparities in primary and secondary education and achieving gender equality in education; and (6) improvements in all aspects of the quality of education, including measurable learning outcomes, especially in literacy, numeracy, and essential life skills. The Dakar Framework for Action sought to facilitate progress on the six EFA goals through different types of global and regional interventions such as coordination mechanisms, EFA campaigns, and regional initiatives (Faul & Packer, 2015). In retrospect, the main areas of EFA progress were those most aligned with the parallel Millennium Development Goals (UN, 2023) and characterized by a strong technical focus. The most influential global mechanisms and interventions had several things in common. They articulated a clear set of objectives, mobilized dedicated strategic and technical capacity, drew on collective funding, secured the support and backing from influential political actors, and were evaluated regularly. The process of monitoring national and international progress in education noticeably improved and expanded after the Dakar conference (Read & Benavot, 2022). Initiatives requiring coordination, political commitment and influence, and those involving voluntary mechanisms and limited political support were less successful (UNESCO, 2015a). As part of a broad stock-taking exercise, countries in the Asia-Pacific (A-P) region were described as having made notable – albeit uneven – headway on the EFA agenda. A regional overview (UNESCO, 2015b) summarized achievements in the following manner: East Asia and the Pacific made great progress towards Education for All (EFA). Since 2000, child survival, nutrition and education have improved greatly. The number of primary school-age children who are out of school has declined by 42% since 1999 to less than 7 million in 2012. Despite this evident progress, the region still faces some challenges. Although literacy levels have increased, 74 million adults will still lack basic literacy skills in 2015, of whom 70% will be women. Poor educational quality remains another challenge in many countries, as are persisting geographic, socioeconomic and ethnic disparities in education. These inequalities must be redressed as the world is defining a new education agenda and for children, youth and adults to benefit equally from the opportunities [that] education provides, regardless of the circumstances of birth. (UNESCO, 2015b, p. 1)

In terms of improvements to quality education, the regional overview noted that: • Several governments (e.g., Republic of Korea) tried to address challenges to teacher deployment in various ways, including centralized deployment; incentives such as housing, financial benefits, and accelerated promotion; and local recruitment. • Improved data and transparent management, exemplified by the Rainbow Spectrum initiative in the Philippines, helped in implementing teacher deployment policies.

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• Some countries, notably Indonesia, had taken steps to raise the status of the teaching profession. • Several countries had introduced induction programs to help new teachers cope with the practicalities of teaching, managing groups and adjusting to the school environment. Most programs provide classroom release time for new teachers to participate in induction activities and allow for the training of mentor teachers. • Many countries in the region had transferred responsibility away from central authorities by assigning tasks to lower levels within ministries, devolving decision-making to elected representatives at subnational levels, and investing authority and responsibility in schools and communities (UNESCO, 2015b, pp. 9–10) As in other world regions, the A-P region’s disproportional focus on universalizing access to primary education and gender parity meant less attention to other commitments, particularly improvements in early childhood care and education, adult literacy, and learning outcomes. Disadvantaged and marginalized populations in the region continued to be the last to benefit from progress in education. Millions of children were unable to access schooling or acquire foundational skills in reading and numeracy. The lives of millions of adults, especially women, were hampered by weak literacy skills, reflecting in part the low priority of this area by governments and donors. Overall, the preponderance of evidence suggests that while EFA achievements were uneven, the EFA movement succeeded in shifting the arc of educational progress upwards. Improvements in key education measures since 2000 were higher than they would have been if the trends of the 1990s had persisted (UNESCO, 2015a). When discussions over the post-2015 development agenda began to take shape, the international education community initially sought to secure a stand-alone goal on education, within what would become known as the 2030 Agenda for Sustainable Development. Beyond the formulation of a separate goal on quality education and lifelong learning, key international and civil society actors had differing views over specific targets to be included within the education goal. Two decades of supporting the EFA Agenda had left the education community unable – or unwilling – to agree on how to define the dimensions of quality education, who should provide and report on it, and what minimum level of formal education all young people in the world should complete (Wulff, 2020). Such disagreements were eventually ironed out, first at the Global Education for All meeting in May 2014 in Muscat, Oman and then at the World Education Forum in Incheon, Republic of Korea in May 2015. Various compromises were reached, although, as Antonia Wulff (2020) discusses, they did not disappear altogether. They continued to influence the rollout of SDG 4 in terms of specific policies, implementation modalities, and financing arrangements: . . .the different actors’ mandates and ideological approaches are reflected in their respective SDG 4 efforts. There have been numerous attempts to reframe the agenda and alter its scope, such as deprioritising certain targets, particularly those on learning environments and

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A. Benavot teachers; denying the universality of the agenda and its relevance for rich countries; and overemphasising measurable and globally comparable learning outcomes at the expense of a broader notion of quality, which marginalises subjects that are more difficult to assess, such as education for sustainable development. This places SDG 4 implementation at the heart of tensions between an instrumentalist and rights-based approach to education. (Wulff, 2020, p. 2)

The adoption of SDG 4 in September 2015, with its 10 universal and outcomeoriented targets, created an unprecedented agenda – comprehensive and ambitious in equal measure. SDG 4 reaffirmed education as a basic right for all; framed education and lifelong learning as drivers of sustainable development; and underscored the need for policies and actions that address the needs of marginalized groups. “The new education agenda’s focus on inclusion and equity—giving everyone an equal opportunity and leaving no one behind—signals another lesson: the need for increased efforts especially aimed at reaching those marginalized or in vulnerable situations” (UNESCO, 2016, p. 25). In the ensuing years and especially in the shadow of the global Covid-19 pandemic, the optimism and ambition of the 2030 education agenda have given way to a more sober assessment, including in the A-P region, of what is possible and feasible to achieve in the agreed upon timeframe. Setbacks due to school closures and to unequal access to remote instruction have multiplied. They include, for example, increases in out of school children and youth; losses in foundational skill proficiencies; and growing educational inequalities in participation, learning and completion, especially among marginalized children (Meinck et al., 2022; Patrinos et al., 2022). In the wake of these reversals, many are calling for concerted efforts to increase government expenditures and external aid for education (e.g., the Financing Education initiative at the UN Summit on Transforming Education, 2022; ECW’s High Level Financing Conference, 2023; Action Aid, 2022). Others, looking beyond 2030, see value in pressing governments to agree to simply extend the timeline of the current SDG 4 agenda, say to 2040, without major alterations to the SDG 4 targets. On the other hand, more international and regional voices, both governmental and non-governmental, are calling on governments to rethink and transform their education systems, in response to urgent and relatively complex global economic, political and environmental challenges (e.g., UN Summit to Transforming Education, 2022). This newly emergent discourse raises questions about a “business-as-usual” or “tinkering” approach to educational reform, and advocates for systemic changes that grapple with urgent existing challenges and a precarious and uncertain future.

Trends in Pre-primary to Secondary Education, 2000–2020 This section presents the main body of evidence to review select trends and patterns in early childhood care and primary and secondary education in the Asia-Pacific region over the past two decades. The data are almost exclusively drawn from international sources to enable valid cross-national and cross-regional comparisons.

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The data are organized to showcase an initial data point (typically, the year 2000) and a final data point (typical on or about the year 2019). As such, the data do not illustrate year to year fluctuations, but rather provide evidence of a trend line of (average) change in select education measures. The emphasis is on the direction and amount of change during this 20-year period for the entire A-P region and for three subregions: Eastern and South-eastern Asia (Brunei Darussalam, Cambodia, China, DPR Korea, Hong Kong – China, Indonesia, Japan, Lao PDR, Macao (China), Malaysia, Mongolia, Myanmar, Philippines, Republic of Korea, Singapore, Thailand, Timor-Leste, and Viet Nam); Central and Southern Asia (Afghanistan, Bangladesh, Bhutan, India, Islamic Republic of Iran, Kazakhstan, Kyrgyzstan, Maldives, Nepal, Pakistan, Sri Lanka, Tajikistan, Turkmenistan, and Uzbekistan); and the Pacific (Australia, Cook Islands, Fiji, Kiribati, Marshall Islands, Micronesia, Nauru, New Zealand, Niue, Palau, Papua New Guinea, Samoa, Solomon Island, Tokelau, Tonga, Tuvalu, and Vanuatu). The number of countries in each subregion is, respectively, 18, 14, and 17, for a total of 49 countries. For many education measures, there is not a full set of data for all countries in each subregion at the initial and most recent time points. Change for the entire region and for the three subregions is therefore presented in two ways: First, changes in average figures are calculated for all countries for which data are available at the earlier and most recent time point; and second, changes in averages are calculated using a constant set of cases. In general, and due to the history and nature of the international sources used, the trends in this section mainly focus on issues of access, participation, enrolment, and completion in primary and secondary education. There is partial information on early childhood, learning outcomes, patterns of privatization, and inequalities along wellknown divides such as gender, household wealth and location. Other aspects of educational inequality, no less salient, are unavailable for this regional overview. These include, for example, disparities by ethnicity, religion, disability status, migration status, and other sociodemographic markers of (dis)advantage. One final caveat: Most of the empirical evidence presented below relates to the formal education system and only minimally captures aspects of non-formal and informal education, even though the latter have expanded and intensified in the region (UIL, 2022; and section on Lifelong Learning and Twenty-First-Century competences in IHEDAP).

Early Childhood Care and Education Accompanying improvements in access to health services and maternal care as well as increases in household income and women’s educational attainment, there is a clear trend of declining fertility and infant mortality rates in the Asia-Pacific region between 2000 and 2020. Especially noteworthy is the fact that the likelihood of a child surviving to age 5 has significantly increased. A key measure of this trend is the decline in the under-5 mortality rate, which is calculated as the number of children who die by the age of 5 years, per 1,000 live births. In 2000, for the region as a whole, about 49 infants per 1,000 live births did not survive to age 5. By 2019 the under-5 mortality rate was cut by more than half to only 23 infants per 1,000 births.

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Table 1 Child survival to age 5: under-5 mortality rates, 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 48.56 (46) 69.21 (14) 46.82 (16)

Average for 2019 (n of cases) 22.64 (46) 27.32 (14) 18.86 (16)

32.23 (16)

22.31 (16)

Average for 2000 48.56

Average for 2019 22.64

69.21

27.32

46.82

18.86

32.23

22.31

Difference (2019–2000) based on constant cases
25.92 (46)
41.89 (14)
27.96 (16)
9.92 (16)

The decline in the under-5 mortality rate was especially steep in Central and Southern Asia (from 69.2 to 27.3) and in Eastern and South-eastern Asia (from 46.8 to 18.9), and less so in the Pacific (from 32.2 to 22.3). With the exceptions of Afghanistan, Pakistan, and Kiribati, where under-5 mortality rates remained at or above 50 in 2020, widespread improvements in the care of young children meant that relatively healthier children from a greater variety of families started the compulsory school cycle (Table 1). Not only are more infants surviving until school age, many more are gaining access to various types of early childhood education. From 2000 to 2019, gross enrolment rates in pre-primary education in the Asia-Pacific region increased by 22 percentage points (from 43.8% to 65.8%). Of the three subregions, the Central and Southern Asia region showed the highest increase in the pre-primary enrolment rate (from 20% in 2000 to 54.9% in 2019 in constant cases). Equally impressive was the 33 percentage-point increase in the rate in the Eastern and South-eastern Asia during the same period. In the Pacific subregion, gross pre-primary enrolment rates were relatively high to begin with and increased at slower pace during the 20-year period. Focusing solely on 2019 figures, the fact that 2/3 of all pre-primary school age children are enrolled in early childhood programs in 37 (of the 49) countries in the region indicates the strong commitment by countries and local communities to support organized early childhood care, as well as children’s cognitive and social and emotional development, as they prepare to transition into the first grade of primary education (Table 2).

Access to Primary Education A long-standing aim of national leaders in the Asia-Pacific region is to ensure that all primary school age children gain access to and complete a full cycle of primary education. Although the universal completion of primary education has not yet been achieved, the past two decades have seen consistent progress towards this target.

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Table 2 Gross early childhood education enrolment ratios in pre-primary education (%), 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 43.77 (27) 19.96 (6) 37.84 (7)

Average for 2019 (n of cases) 65.80 (37) 52.66 (12) 72.57 (13)

56.94 (14)

71.60 (12)

Average for 2000 45.23

Average for 2019 66.12

19.96

54.93

43.49

76.39

61.43

66.67

Difference (2019–2000) based on constant cases 20.89 (22) 34.97 (6) 32.90 (6) 5.24 (10)

One helpful measure of progress is the net primary enrolment rate, which estimates the percentage of primary school age students who are currently registered or enrolled in a primary school. More than 91% of primary school aged children in the region were enrolled in primary schools in 2000 and this increased to between 95% and 97.6% in 2019 depending on the yardstick employed (a constant set of cases or not). Changes in these net enrolment rates, which varied somewhat by subregion in 2000, converged to 95.4% throughout the region by 2019 (Table 3). Another reflection of these trends is the reduction in the rate of out of school children at the primary level to about 3–6% in 2019, in line with the goal of universal primary education. The decline in the rate of out of school primary school age children in the Central and Southern Asia subregion is especially noteworthy (from more than 16% in 2000 to around 4% in 2019). India, in particular, made huge strides in reducing the rate of out of school children during this period. Studies of unenrolled children show they typically belong to three rather different groups: those who were previously enrolled in school and left; those who are currently not enrolled though are likely to enroll in the future; and those who have been and are likely to remain out of school in the future. In the Asia-Pacific region, the prevalence of these types of out of school children varies. In much of South Asia (less so in Central Asia), more than half of all out of school children fall into the category of never have been and likely never will be in school. In the other two subregions, the majority of out of school children (more than half) were enrolled in the past and dropped out of school and about one-third are currently not enrolled though are likely to enroll in the future (UNESCO, 2015a, p. 7). Not only do the factors affecting the enrolment status of children vary – for example, economic duress, armed conflict, gender discrimination, lack of birth certificate – so too do the appropriate policy remedies (Table 4).

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Table 3 Total net primary enrolment rates (%), 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 91.66 (25) 86.93 (9) 92.39 (10)

Average for 2019 (n of cases) 95.39 (35) 95.92 (10) 96.80 (13)

97.53 (6)

93.42 (12)

Average for 2000 91.33

Average for 2019 97.62

87.32

98.49

92.39

96.65

96.70

98.30

Difference (2019–2000) based on constant cases 6.29 (22) 11.17 (8) 4.26 (10) 1.59 (4)

Table 4 Out-of-school rates for children of primary school age (%), 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 9.15 (29) 16.23 (10) 7.89 (11)

Average for 2019 (n of cases) 4.41 (35) 4.07 (10) 3.11 (13)

2.04 (8)

6.09 (12)

Average for 2000 9.81

Average for 2019 4.36

16.24

4.45

8.28

3.59

2.46

5.39

Difference (2019–2000) based on constant cases
5.45 (24)
11.79 (9)
4.69 (9) 2.93 (6)

Completion of Primary and Secondary Education Access to primary or secondary education is not the same as completing a full cycle of each education level. Indeed, under SDG Target 4.1 the level of ambition has increased globally and in the region: Countries are now committed to ensuring all children and youth complete a full cycle of both primary and secondary education by 2030. In the Asia-Pacific region, a full cycle of primary and secondary education ranges from 11 to 14 years of schooling. One-half of the Asia-Pacific countries have a 12-year primary and secondary cycle; one-third have a 13-year cycle; 14% of

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countries have an 11-year cycle and one country (Palau) requires 14 years of primary and secondary schooling. Countries in the Asia-Pacific region also vary in the duration of their primary, lower secondary and upper secondary school cycles, which can be seen in the following diagram (Fig. 1). The most frequent pattern is 6 years of primary, 3 years of lower secondary and 3 years of upper secondary education. The second most frequent pattern is 6 þ 4 þ 3. For the rest of the region, patterns vary considerably. Overall, the percentages of children and youth completing a full cycle of primary, lower secondary, and upper secondary education have increased during the 2000–2019 period. However, completion data for more than half of the countries in the region are missing. With this caveat in mind, the first trend shows increasing rates of primary education completion. (UIS, 2023a provides a definition of completion rates). In 2000 about 7 in 10 of primary school age students completed a full cycle of primary education; by 2019 that percentage had increased to 9 of 10 students. Increases in primary completion rates were noticeable in all three subregions and indicate significant progress toward the target of universal primary completion (Table 5). For the entire region, in 2000, about one-half of all students completed a full cycle of lower secondary education, whereas only about one-third of students completed a full cycle of upper secondary education. In the intervening two decades, in 2019, the completion rates in both lower and upper secondary education had increased,

Fig. 1 Patterns in the organization of primary, lower secondary and upper secondary school cycles in the Asia-Pacific region. (Source: UNESCO (2021) Using ISCED Diagrams to Compare Education Systems. Montreal: UNESCO Institute for Statistics. p. 34)

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Table 5 Completion rates in primary education (%), 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 73.33 (26) 71.82 (13) 75.54 (10)

Average for 2019 (n of cases) 90.17 (29) 89.30 (13) 92.80 (11)

72.50 (3)

86.65 (5)

Average for 2000 73.33

Average for 2019 90.09

71.82

89.30

75.54

94.03

72.50

80.38

Difference (2019–2000) based on constant cases 16.76 (26) 17.48 (13) 18.49 (10) 7.88 (3)

Table 6 Completion rates in lower secondary education (%), 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 51.29 (12) 59.90 (4) 46.98 (8)

Average for 2019 (n of cases) 74.14 (16) 78.63 (7) 72.48 (7)

...

64.28 (2)

Average for 2000 50.68

Average for 2019 74.56

49.64

76.60

51.20

72.48

...

...

Difference (2019–2000) based on constant cases 23.89 (9) 26.96 (3) 22.35 (6) ...

respectively, to 74% and 48%. In relation to the SDG 4.1 target, this means that only half of the younger cohorts are completing a full cycle of primary and secondary education by their early 20s. (If data existed for the missing cases in the region, it is likely that rates of secondary education completion would be lower.) There is some evidence that trends in completion rates in secondary education are higher in Central and Southern Asia and Eastern and South-eastern Asia as compared to the Pacific region. However, given the number of cases with missing information, extreme caution should be exercised in imputing significance to these subregional differences (Tables 6 and 7). Although secondary completion rates are higher and out of secondary school rates are lower, these trends may be levelling off. For example, recent data indicate a slower pace in the reduction of out of school students at the lower and upper

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Table 7 Completion rates in upper secondary education (%), 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 30.95 (12) 36.00 (4) 28.43 (8)

Average for 2019 (n of cases) 47.46 (15) 50.43 (6) 53.68 (7) 16.81 (2)

Average for 2000 34.14

Average for 2019 53.11

33.24

50.50

34.45

53.98

...

...

Difference (2019–2000) based on constant cases 18.96 (8) 17.26 (2) 19.53 (6)

secondary levels in Central and Southern Asia, after a quicker pace beginning in 2000 (UNESCO, 2021, p. 209). Moreover, new figures suggest that the Covid-19 pandemic has increased the number of out of school adolescents in quite a few AsiaPacific countries (UIS, 2023b). In short, if countries in the region are going to make good on their commitment to universalize the completion of both primary and secondary education by 2030, they will need to build more schools and classrooms, allocate additional resources for teachers and teaching and develop plans to ensure no secondary school age adolescent is left behind.

Educational Inequalities Education typically reflects and reproduces the socio-economic and cultural disadvantages that prevail in the rest of society (Bourdieu & Passeron, 1990; Hannum & Buchmann, 2003). Students from marginalized groups or from households characterized by socio-economic disadvantage are more likely to be out of school, or attend schools with poor infrastructure, fewer qualified teachers, less ambitious peers, and classrooms devoted to rote learning of textbook content. Attending schools of lower quality is known to reduce instructional time and the opportunity to learn, thereby lowering learning outcomes. As a result, the likelihood of transitioning from primary to secondary education declines as do completion rates. Current strategies to measure educational inequality have strengths and limitations (Antoninis et al., 2016). A deeper concern is that educational disparities are almost always tracked along several visible dimensions (e.g., gender, location, household wealth, while other dimensions (e.g., language, ethnicity, religion, caste, disability, and migration status) go unmeasured and unnoticed. The invisibility of certain types of educational inequalities, due to data unavailability, does not mean that they do not exist or are unimportant. On the contrary, the call to “leave no one behind” in the 2030 Agenda for Sustainable Development makes it incumbent on

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countries to make such inequalities visible, so that effective policy interventions can be designed. This section reports inequalities on select education measures in terms of gender, location, and wealth. A key metric to determine gender disparities in education is the Adjusted Gender Parity Index (GPIA). When this Index is less than 1, this indicates that girls are more disadvantaged than boys in relation to the specified education measure; when the GPIA is greater than 1, this indicates than boys are more disadvantaged relative to girls. Table 8 reports the most recent GPIA in each A-P subregion for gross enrolment ratios in pre-primary, primary and secondary education, and completion ratios in primary, lower secondary and upper secondary education. The reported GPIAs clearly show that gender disparities in enrolment ratios are not substantial at any level, except in the Pacific region at the secondary level. Evidence from other sources indicates that it has taken more than 20 years to arrive at this gender parity in the region (UNESCO, 2020, pp. 9–10). As national income levels in the region rise, there may be a tendency for increased gender disparities in education favoring girls as has been seen in various middle-income countries (UNESCO, 2020). With respect to completion rates, gender disparities in the region are a bit more salient, though in different directions. In Central and Southern Asia, the GPIA in primary and lower secondary education indicates little gender disparity; however, at the upper secondary level, male youth are completing upper secondary education at higher rates than female youth. By contrast, in Eastern and South-eastern Asia, the GPIA indicates gender disparities favoring girls, as boys are not completing each cycle of education at the same rate as girls, especially in secondary education. Moving beyond gender disparities, it is informative to examine educational disparities between students residing in urban and rural locations, on the one hand, and between students from relatively richer and poorer households, on the other hand. The metrics used, known as the Adjusted Location Parity Index (LPIA) and the Adjusted Wealth Parity Index (WPIA), respectively, can be interpreted in the following manner: A value less than 1 indicates a disparity in favor of either urban

Table 8 Adjusted Gender Parity Index (GPIA) in gross enrolment ratios by education level, 2019

Pre-primary 1.01

Primary 0.99

Secondary 1.01

Adjusted Gender Parity Index (GPIA) in completion ratio by education level (all data refer to 2019) Lower Upper Primary Secondary Secondary 1.00 0.99 0.91

0.99

1.00

1.02

1.02

1.07

1.11

0.98

0.97

0.93

–

–

–

Adjusted Gender Parity Index (GPIA) in gross enrolment ratio by education level (all data refer to 2019) Subregion Central and Southern Asia Eastern & South-eastern Asia Pacific

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Table 9 Disparities in primary completion rates between urban and rural locations, based on the adjusted location parity index (LPIA) Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 0.91 (n ¼ 20) 0.94 (n ¼ 11) 0.87 (n ¼ 5)

Average for 2019 (n of cases) 0.92 (n ¼ 16) 0.93 (n ¼ 7) 0.93 (n ¼ 7)

0.92 (n ¼ 2)

0.85 (n ¼ 2)

Average for 2000 0.89

Average for 2019 0.94

0.90

0.93

0.87

0.96

...

...

Difference (2019–2000) based on constant cases 0.06 (n ¼ 12) 0.03 (n ¼ 7) 0.09 (n ¼ 5) ...

Table 10 Disparities in primary completion rates between the richest and poorest wealth quintiles, based on the adjusted wealth parity index (WPIA) Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2006 (n of cases) 0.74 (n ¼ 20) 0.81 (n ¼ 11) 0.65 (n ¼ 8)

Average for 2019 (n of cases) 0.82 (n ¼ 15) 0.82 (n ¼ 7) 0.81 (n ¼ 7)

0.69 (n ¼ 1)

0.92 (n ¼ 1)

Average for 2006 0.68

Average for 2019 0.82

0.70

0.82

0.66

0.82

...

...

Difference (2019–2006) based on constant cases 0.14 (n ¼ 13) 0.12 (n ¼ 7) 0.16 (n ¼ 6) ...

locations or the richest wealth quintile; a value greater than 1 indicates a disparity in favor of rural locations or the poorest quintile. Tables 9 and 10 report on the extent of location-based and wealth-based disparities, as well as changes over time, in relation to primary completion rates. Not surprisingly, students residing in urban locations and from the wealthiest families are more likely to complete a full cycle of primary education than students in rural locations and from the poorest families. Keeping in mind the number of countries with missing data, trends over the past two decades indicate minimal change for the A-P region, as a whole (using non-constant cases), and some favorable change (i.e., reduced disparities) in the Eastern and South-eastern Asia region. With respect to disparities between the richest and poorest quintiles, the regional evidence shows

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they were wider in 2000 and have been reduced somewhat by 2019. Again, the subregion with the most noticeable reduction in disparities is Eastern and Southeastern Asia (and one country in the Pacific region). Overall, at both time points, wealth disparities in primary completion rates are wider and more significant than urban/rural location disparities. Both types of disparity are larger than gender disparities. Evidence of inequalities in completion rates at higher education levels – lower and upper secondary – have been explored (though not reported) and tend to illustrate the same pattern: pronounced wealth disparities in completion rates and, to a lesser extent, location disparities, with limited progress in reducing disparities over time. Finally, an examination of the intersection of the three dimensions of inequality – gender, location, and wealth – in the A-P region would likely show the impact of multiple disadvantages. Rural girls from poor households are more likely to experience the greatest educational disadvantage (or disparity) as compared to urban boys from the richest households (UNESCO, 2020, p. 11). Such intersections of compounded disadvantage can be explored for select A-P countries in the World Inequality Database in Education (2023). Eliminating inequalities in basic education, a formidable challenge facing the A-P region, not only addresses salient equity issues, but also amplifies the positive influences of education on key social, economic, political, and environmental outcomes, including those articulated in the Sustainable Development Goals (UNESCO, 2016). Given the heterogeneity of A-P countries and their complex colonial and post-colonial histories, there is an acute need for policy actors to formulate and implement equity-oriented policies, addressing long standing disparities in educational access, learning, and completion.

Privatization of Education As the 2021/22 Global Education Monitoring (GEM) Report made abundantly clear, the role and impact of non-state actors in primary and secondary education is complex, nuanced, and contested (UNESCO, 2021). The privatization of education raises issues of quality, equity, profiteering, outsourcing, and accountability – to name but a few – and opinions about the appropriate roles of non-state actors are diverse and often divided. The 2021/22 GEM report, which goes beyond a simple binary classification of public/private schools, makes several key points, which are particularly relevant to the Asia-Pacific region: 1. Non-state actors are highly heterogeneous. They enter the education sector for diverse reasons related to ideas, values, beliefs, and interests. Many develop formal or informal organizational arrangements with government entities, including contracting and public-private partnerships, which blur the lines between state provision and the private sector. 2. Current data on privatization, which primarily relies on enrolments in public and private schools, shed little light on the manifestations of non-state actor

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involvement in many aspects of schooling, including, for example, teacher effectiveness, textbook quality, learning assessment, data management, and school food programs. 3. The links between perceived (or actual) school quality and the demand by parents for non-state provision are many. They vary, for example, by location, household income, and migration status. To evaluate the provision of quality education, parents may refer to class size, teacher quality and effort, school responsiveness, discipline and safety, language of instruction, religion, ethnicity, and culture. 4. Private schools, most of which are single proprietor schools, are mainly located in urban areas and rarely provide a solution to inequalities in access, quality, and completion among children and adolescents residing in rural and sparsely populated areas (UNESCO, 2021, pp. 12–16). In this sense they typically exacerbate, rather than mitigate, educational inequalities between urban and rural children and youth. Mindful of the above caution of relying on binary data, the global share of private institutions worldwide increased by seven percentage points in about 10 years: to 17% by 2013 in primary and to 26% by 2014 in secondary education (UNESCO, 2021). It has remained relatively constant since then. These figures are calculated by counting the total number of students enrolled in educational institutions at a particular level, which are not operated by a public authority but controlled and managed, whether for profit or not, by a private body (e.g., non-governmental organization, religious body, special interest group, foundation or business enterprise), and then expressed as a percentage of the total number of students enrolled in all such educational institutions. In the Asia-Pacific region, the share of private education varies by subregion, country, and educational level. For example, recent data indicate that the share of private enrolments is particularly high in Central and Southern Asia: 36% in primary and 48% in secondary education (UNESCO, 2021, p. 29). This share has also been increasing in Eastern and South-east Asia, but at a slower pace and reaching a level below the global average: about 10% in primary education and about 20% in secondary education. The shares are particularly high at both levels in India, Pakistan, and Macau, and at the secondary level in Indonesia, Bangladesh, and Australia. Based on a sample of constant cases, the share of enrolments in private institutions has increased during the 2000–2019 period at all educational levels: from 11.9% to 16.6% in primary education, from 18.7% to 20.7% in lower secondary education, and from 30.9% to 32.1% in upper secondary education. The pace of privatization proceeded at a quicker pace at the primary level, especially in South and Central Asia. This can be compared to the lower and upper secondary levels, where the share of private enrolments increased in all subregions, except in the Pacific subregion in upper secondary education, where it declined from almost 36–38% in 2000 to 26–33% in 2019. The overall pattern of greater prevalence of private enrolments in upper secondary education, then lower secondary and finally primary education obtained through the period (Tables 11, 12, and 13).

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Table 11 Percentage of enrolment in primary education in private institutions (%), 2000–2019 Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 11.52 (29) 4.43 (7) 14.19 (13)

Average for 2019 (n of cases) 14.64 (39) 11.77 (13) 16.23 (17)

13.18 (9)

15.76 (9)

Average for 2000 11.88

Average for 2019 16.58

4.43

11.85

14.19

18.90

17.39

17.34

Difference (2019–2000) based on constant cases 4.70 (24) 7.42 (7) 4.71 (13)
0.05 (4)

Table 12 Percentage of enrolment in lower secondary education in private institutions (%) Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 20.14 (29) 23.96 (8) 16.77 (13)

Average for 2019 (n of cases) 17.12 (40) 16.78 (13) 16.99 (17)

21.78 (8)

17.76 (10)

Average for 2000 18.71

Average for 2019 20.68

23.96

25.97

16.77

19.17

13.14

13.15

Difference (2019–2000) based on constant cases 1.97 (24) 2.01 (8) 2.40 (13) 0.01 (3)

Table 13 Percentage of enrolment in upper secondary education in private institutions (%) Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 29.75 (26) 29.54 (7) 24.95 (12)

Average for 2019 (n of cases) 28.12 (29) 26.10 (10) 27.71 (14)

38.19 (7)

33.32 (5)

Average for 2000 30.92

Average for 2019 32.13

30.05

34.38

29.85

32.63

36.23

25.99

Difference (2019–2000) based on constant cases 1.21 (19) 4.32 (6) 2.78 (10)
10.25 (3)

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Table 14 Percentage of enrolment in pre-primary education in private institutions (%) Averages based on constant cases

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Average for 2000 (n of cases) 11.52 (29) 4.43 (7) 14.19 (13)

Average for 2019 (n of cases) 14.64 (39) 11.77 (13) 16.23 (17)

13.18 (9)

15.76 (9)

Average for 2000 53.09

Average for 2019 44.45

52.16

19.99

55.68

48.99

45.58

54.17

Difference (2019–2000) based on constant cases
8.64 (21)
32.17 (4)
6.70 (13) 8.60 (4)

The presence of non-state actors in the provision of pre-primary education, typically higher than in primary and secondary education, varies considerably in the A-P region. Whether it has been increasing or decreasing in the past two decades varies by subregion and country. For example, using a constant case sample for the 2000–2019 period, the private share of pre-primary education increased in the Pacific (from 45.6% to 54.2%), decreased significantly in Central and Southern Asia (from 52.2% to 20.0%), and decreased in Eastern and South-eastern Asia (from 55.7% to 49.0%) (Table 14).

Learning Outcomes and Global Learning Metrics Two noticeable shifts were apparent in global education policy in the years following the World Education Forum in Dakar (2000). One involved a shift away from issues of universal access to, participation in, and completion of, basic education (the quantity of education) to one focusing on learning, skills acquisition, and teacher preparation (the quality of education). The second shift involved a narrowing of the conceptualization of quality education. For years, quality education had implied a multidimensional perspective involving inputs (e.g., school infrastructure, expenditure per student, textbook availability, instructional time, and trained teachers), classroom and school processes, and outputs (e.g., learning outcomes and skills acquisition). Increasingly, however, quality education has came to be synonymous with measurable learning outcomes in a narrow set of subjects – reading, mathematics and, to a lesser extent, science. The prioritization of teaching and learning, as a core global policy construct, and measurable learning outcomes, as key accountability and policy levers, gained momentum prior to negotiations over the post-2015 global education agenda, but became the linchpin of core educational targets when stakeholders met at the World Education Forum in May 2015 (Benavot & Smith, 2020; Smith & Benavot, 2020). By the time that UN Member states agreed on the

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SDGs in September 2015, learning outcomes had become the main construct in SDG 4 targets and the acquisition of foundational and employability skills had taken center stage. Since then, the measurement of learning outcomes, especially the creation of global learning metrics, has become a priority for international agencies such as the UNESCO Institute for Statistics and the World Bank. Two metrics have been created from the standardization of comparative learning assessment platforms, mainly international ones like TIMSS, PIRLS and PISA, and regional ones employed in sub-Saharan Africa, Latin America, and the Pacific. One measures the percentage of students at different grade or educational levels that achieve a minimum proficiency in reading and mathematics, aligned with the global indicator for SDG target 4.1 (UIS, 2020, 2021). The other measures learning outcomes on a “harmonized” scale of learning levels (Angrist et al., 2021). In both these global metrics the representation of countries from the Asia-Pacific region is limited. Comparing trends in learning proficiencies or learning levels over time is tenuous. Tables 15 and 16 report estimates of the proportion of students at the end of primary education who achieve at least a minimum proficiency in reading and mathematics at two time points (see UIS SDG 4.1 database; UNESCO, 2021, Table 2). Only five countries in the region report minimum proficiency levels in 2000 and between 17 and 18 countries do so around 2019. As the number of countries reporting proficiency levels has increased, average proficiency levels have declined, clearly an indication of more middle-income countries taking part in comparative learning assessments, the basis of the global metric. Extreme caution

Table 15 Proportion of students at the end of primary education achieving at least a minimum proficiency level in reading (%), circa 2000 and 2019

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Table 16 Proportion of students at the end of primary education achieving at least a minimum proficiency level in mathematics (%), circa 2000 and 2019

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

2000 80.34 (5) 59.84 (1) 83.26 (3) 92.07 (1)

2019 57.88 (17) 60.86 (7) 52.00 (9) 90.00 (1)

2000 65.44 (5) 16.57 (1) 92.39 (2) 62.93 (2)

2019 51.39 (18) 43.14 (7) 55.44 (9) 62.00 (2)

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Table 17 Proportion of students at the end of lower secondary education achieving at least a minimum proficiency level in reading (%), circa 2000 and 2019

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

Table 18 Proportion of students at the end of lower secondary education achieving at least a minimum proficiency level in mathematics (%), circa 2000 and 2019

Asia-Pacific Total Central and Southern Asia Eastern & South-eastern Asia Pacific

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2000 63.43 (10) 19.90 (1) 63.40 (7) 85.29 (2)

2019 63.56 (16) 52.00 (6) 68.63 (8) 78.00 (2)

2000 76.84 (7) 0.00 (0) 72.85 (5) 86.83 (2)

2019 60.29 (17) 48.60 (5) 62.10 (10) 80.50 (2)

is warranted in drawing definitive conclusions from such estimates, either for the region as a whole or for the three subregions. Using the same database, Tables 17 and 18 report estimates of the proportion of students at the end of lower secondary education who achieve at least a minimum proficiency in reading and mathematics circa 2000 and 2019. With respect to reading, the inclusion of additional countries does not adversely impact the regional average, whereas for mathematics the average again declines. Focusing solely on the most recent proficiency levels in reading and mathematics (circa 2019), the evidence suggests that such levels are highest in the Pacific subregion (78–80%), following by the Eastern and South-eastern Asia subregion (62–69%). Only half of all lower secondary age students in Central and Southern Asia pass a minimum proficiency level in reading and mathematics. Adjusted Gender Parity Indexes have been calculated for these proficiency levels in one of the three A-P subregions (Eastern and South-eastern Asia). All reported GPIAs indicates that proficiency levels are significantly higher for girls than for boys, more so in reading than in mathematics (UNESCO, 2021, p. 439). Table 19 draws on the World Bank database on “harmonized” learning levels (not proficiency levels) and provides detailed country by country data for 34 of the 49 countries in the region. Among countries with data at two time points, the evidence shows increased learning levels at the primary level for nine countries (Iran, Kazakhstan, Hong Kong, Japan, Philippines, Singapore, Timor-Leste, Australia, and Tonga) and declining learning levels in two countries (Indonesia and New Zealand). At the secondary level, learning levels have increased in seven

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Table 19 “Harmonized” learning levels in primary and secondary education, circa 2000 and circa 2015

Subregion Central and Southern Asia 1 Afghanistan 2 Bangladesh 3 India 4 Iran, Islamic Rep of 5 Kazakhstan 6 Kyrgyzstan 7 Nepal 8 Pakistan 9 Sri Lanka 10 Tajikistan Eastern & Southeastern Asia 11 Cambodia 12 China 13 Hong Kong, China 14 Indonesia 15 Japan 16 Lao PDR 17 Macao, China 18 Malaysia 19 Mongolia 20 Myanmar 21 Philippines 22 Republic of Korea 23 Singapore 24 Thailand 25 Timor-Leste 26 Viet Nam Pacific 27 Australia 28 Kiribati 29 New Zealand 30 Papua New Guinea 31

Learning data based on a nationally representative sample?

Yes No Yes Yes Yes Yes Yes No Yes No

Yes No Yes Yes Yes No Yes Yes Yes No Yes Yes

Primary Circa 2000

Secondary Circa Circa 2000 2015

315.46 310.29 367.65 401.48 541.09

426.25

432.44

446.39

546.99 434.12 340.51 286.20

418.82 332.31

530.20

400.00 478.12

491.95 527.87

585.53

404.73 554.01

397.06 580.92 339.77 545.58

428.50 344.91

Yes Yes Yes Yes

527.95

Yes Yes Yes No

509.68

Yes

Circa 2015

336.40

453.51 413.87 598.68 604.07 464.77 345.77

538.55 551.63

525.62 555.56

398.55 552.13

416.15 557.78

527.59

537.44

509.39 440.74

468.07

377.53 550.48

559.59

591.65 450.94

584.23 432.13 513.96

528.82

520.43 366.93 498.04 320.99

540.46

506.62

541.77

504.89

328.97 (continued)

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29

Table 19 (continued)

Subregion Solomon Island 32 Tonga 33 Tuvalu 34 Vanuatu

Learning data based on a nationally representative sample?

Primary Circa 2000

Yes Yes Yes

344.68

Circa 2015

Secondary Circa Circa 2000 2015

353.93 373.86 317.03

Source: Data for 34 of the 49 countries in the A-P region are taken from the World Bank Harmonized Learning Outcome Database (https://datacatalog.worldbank.org/search/dataset/ 0038001). For further details see: Angrist et al. (2021) Note: Circa 2000 mainly refers to assessments between 2000 and 2005; circa 2015 refers to assessments conducted in 2015–2017. In some cases, if no data were identified, the range for the former was widened to 2009, and the latter from 2010

countries and declined in six cases (in one of these cases the data are not based on nationally representative samples). In general, countries with lower average learning levels at the earlier time point are more likely to see their average learning level increase over time. Interestingly many countries in the Asia-Pacific region are conducting national learning assessments along a broader array of school subjects and competencies (Benavot & Koselci, 2015; Kamens & Benavot, 2011). Until these national assessment exercises meet international standards, they will not be included in the global metrics.

The Impact of Covid-19 on Educational Progress The main evidence presented in this chapter concludes before the year 2020, when the Covid-19 virus spread throughout the region and brought in its wake school closures and remote instruction. Thus, until more up-to-date data for the A-P region become available, it will be difficult to assess the impact of the Covid-19 pandemic on changes in access, learning, completion, and inequalities in education. That said, several new studies explore the shorter-term influences of the pandemic on education (Meinck et al., 2022; Patrinos et al., 2022). These studies, few of which focus specifically on the Asia-Pacific region, point to growing disruptions and discontinuities in educational provision, uptake, and completion. Inequalities that existed prior to the onset of the pandemic are thought to have been exacerbated, worsening the educational marginalization of vulnerable groups. Given the many uncertainties on the horizon, educational authorities and other stakeholders are shifting resources, reworking policies and priorities, and reconsidering established practices to address twenty-first-century challenges (APCEIU and Benavot 2023; UIL 2016). International governmental and civil society actors are calling on countries to rethink the goals and policies of their education and lifelong learning systems. Indeed, it is quite

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A. Benavot

likely that some of the achievements in education described herein will experience reversals in coming years. Conclusive evidence for this prediction remains elusive (APCEIU and Benavot 2023; UIL 2016).

Conclusion Since 2000 there has been significant signs of progress in expanding educational opportunity in the Asia-Pacific region. Most countries in the region have made impressive strides along many, though certainly not all, measures of educational access and completion, from pre-primary to upper secondary education. In some countries and subregions, the pace of progress was quite rapid and in others considerably slower. Major indications of progress include: • Almost 2/3 of all pre-primary school age children were enrolled in early childhood programs in 37 (of the 49) countries in the region, which indicates concrete commitments by countries and local communities to support organized early childhood care and education, as well as children’s cognitive and social and emotional development, as children prepare to enroll in the first grade of compulsory education. • More than 95% of primary school aged children in the region were enrolled in primary schools in 2019. • The percentages of children and youth completing a full cycle of primary, lower secondary and upper secondary education have increased since 2000. In 2019, about 9 in 10 of primary school age students completed primary education; completion rates increased in both lower and upper secondary education to, respectively, 74% and 48%. Despite these higher completion rates, the evidence suggests that the trends may be levelling off. • In relation to the SDG 4.1 target, only half of the younger cohorts in the A-P region are completing a full cycle of primary and secondary education by their early 20s. • Although it has taken more than 20 years to arrive at this juncture, gender disparities in primary or secondary enrolment ratios are relatively small. With respect to completion rates in primary and lower secondary education, gender disparities are a bit larger and are especially salient in upper secondary education. In some countries and subregions, these disparities favor boys and in other countries and subregions they favor girls. Eliminating wealth and location inequalities in the completion of primary and secondary education remains a formidable challenge in the A-P region. Students residing in urban locations and from the wealthiest families are much more likely to complete a full cycle of primary education than students in rural locations and from the poorest families. Most existing evidence, limited though it may be, points to relatively rigid wealth and location inequalities in completion rates and little progress in reducing them since 2000.

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Compounded disadvantage is also a salient feature of the regional educational landscape: Rural girls from poor households experience the greatest educational disadvantage (or disparity) as compared to urban boys from the richest households. Over the past two decades non-state actors have significantly increased their presence in many aspects of primary and secondary education in the A-P region (UNESCO, 2021). Existing data, rooted in a problematic binary conception of privatization, mainly focus on the share of private education, which varies by subregion, country, and educational level. The main pattern is that the share of private enrolments is higher in pre-primary and upper secondary education, and lower in the compulsory grades of basic education (i.e., primary and lower secondary education). The vision and ambition of educational progress have experienced a major shift during this period. Countries are not only committed to ensuring that all students complete a full cycle of primary and secondary education, but that they also achieve “relevant” learning outcomes, mainly basic literacy and numeracy. New global metrics have been established, although the presence of A-P countries in them is limited and uneven. There is no Asia-Pacific assessment of the percentage of students at specific grades or educational levels that achieve a minimum proficiency in reading and mathematics, aligned with the global indicator for SDG target 4.1. Several points are emerging, despite the limited evidence on learning outcomes: • As more countries, especially low- and middle-income countries, participate in nationally representative learning assessments, average proficiency levels for the region will likely decline. • Focusing on results from recent assessments (2015–2019), proficiency levels in reading and mathematics in lower secondary education appear to be highest in the Pacific subregion (78–80%), following by Eastern and South-eastern Asia (62–69%) and finally Central and Southern Asia, where only half of all students pass a minimum proficiency level in these two subject areas. • In general, countries with lower average learning levels at the earlier time point are more likely to see their average learning levels increase over time. Overall, the A-P region faces considerable challenges in the provision of quality education, improvements in learning outcomes and proficiency levels, and the reduction of educational inequalities, especially among students who experience multiple and compounded disadvantages based on household wealth, geographical location, and gender. This chapter had a limited basis to assess the impact of the Covid-19 pandemic on changes in educational access, learning, completion, and inequalities in the region. That said, emerging research and reports indicate that educational inequalities that existed prior to the onset of the pandemic have likely worsened, especially for children from marginalized and vulnerable groups. Given the many uncertainties on the horizon, there is an acute need for educational authorities and other stakeholders to rework existing policies and priorities, mobilize new resources, and consider new strategies that directly address these policy challenges.

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References Action Aid. (2022). https://actionaid.org/news/2022/make-education-urgent-global-priority. Accessed 13 Feb 2023. Angrist, N., Djankov, S., Goldberg, P. K., & Patrinos, H. A. (2021). Measuring human capital using global learning data. Nature, 592, 403–408. Antoninis, M., Delprato, M., & Benavot, A. (2016) Measuring inequality in education. ISSC, IDS and UNESCO, World Social Science Report 2016: Challenging inequalities, pathways to a just world (pp. 63–67). UNESCO. APCEIU, & Benavot, A. (2023). Feasibility study on monitoring global citizenship competence in the Asia-Pacific Region. The Asia-Pacific Centre of Education for International Understanding under the auspices of UNESCO. Benavot, A. (2018). The invisible friend: Adult education and the sustainable development goals. Adult Education and Development, 85, 4–9. Benavot, A., & Koselci, N. (2015). Seeking quality in education: The growth of national learning assessments, 1990–2013. Background paper for the education for all global monitoring report 2015: Education for all 2000–2015: Achievement and challenges. UNESCO. Benavot, A., & Smith, W. C. (2020). Reshaping quality and equity: Global learning metrics as a ready-made solution to a manufactured crisis. In A. Wulff (Ed.), Grading goal four: Tensions, threats, and opportunities in the sustainable development goal on quality education (pp. 238–261). Brill-Sense. Benavot, A., Hoppers, C. O., Lockhart, A. S., & Hinzen, H. (2022). Reimagining adult education and lifelong learning for all: Historical and critical perspectives. International Review of Education, 68(2), 165–194. Bourdieu, P., & Passeron, J. -C. (1990). Reproduction in education, society and culture (2nd ed.) (R. Nice, Trans.). Sage Publications, Inc. Chabbott, C. (2010). Constructing education for development international organizations and education for all. Routledge. ECW’s High Level Financing Conference. (2023). https://www.educationcannotwait.org/newsstories/featured-content/ecws-high-level-financing-conference. Accessed 13 Feb 2023. Faul, M. V., & Packer, S. (2015). The role of global EFA architectures. Background paper for the 2015 EFA global monitoring report. UNESCO. Financing Education initiative at the UN Summit on Transforming Education. (2022). https://www.un. org/en/transforming-education-summit/financing-education. Accessed 13 Feb 2023. Fredriksen, B. (2023). Promise not kept: Universal primary education for all children in sub-Saharan Africa. Journal of International Cooperation in Education, 25(1), 62–79. Global Partnership in Education. (2023). https://campaignforeducation.org/en/who-we-are/ourstory. Accessed 13 Feb 2023. Hallak, J. (1991) Education for all: High expectation or false hopes? UNESCO International Institute for Educational Planning Contributions No. 3. IIEP. https://unesdoc.unesco.org/ark:/ 48223/pf0000088604. Accessed 19 Feb 2023. Hannum, E., & Buchmann, C. (2003). The consequences of global educational expansion: Social science perspectives. The American Academy of Arts and Sciences. Inter-Agency Commission (1990). Meeting basic learning needs: A vision for the 1990’s. Background paper, world conference on education for all, Jomtien, March 5–9. Inter-Agency Commission (UNICEF, UNESCO, UNDO, World Bank). Kamens, D., & Benavot, A. (2011). National, regional and international learning assessments: Trends among developing countries, 1960–2009. Globalisation, Societies and Education, 9(2), 285–300.

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Meinck, S., Fraillon, J., & Strietholt, R. (2022). The impact of the Covid-10 pandemic on Education. UNESCO and International Association for the Evaluation of Educational Achievement. Patrinos, H. A., Vegas, E., & Carter-Rau, R. (2022). COVID-19 school closures fuelled big learning losses, especially for the disadvantaged. Blog published at https://blogs.worldbank.org/ developmenttalk/covid-19-school-closures-fueled-big-learning-losses-especially-disadvan taged#:~:text¼For%20the%2019%20countries%20for,0.01%20standard%20deviations%2C% 20on%20average. Let’s talk development. Accessed 5 Mar 2023. Read, R., & Benavot, A. (2022). Global education monitoring report. In R. Tierney, F. Rizvi, & K. Ercikan (Eds.), International encyclopedia of education (4th ed.). Elsevier. Skilbeck, M. (2000). Education for all 2000 assessment: Global synthesis. EFA International Consultative Forum Documents. UNESCO EFA Forum. https://unesdoc.unesco.org/ark:/ 48223/pf0000120058. Accessed 6 Mar 2023. Smith, W. C., & Benavot, A. (2020). Quality education and global learning metrics. In T. McCowan & E. Unterhalter (Eds.), Education and international development: An introduction (pp. 189–206). Bloomsbury. UIL (UNESCO Institute for Lifelong Learning). (2016). Third global report on adult learning and education: The impact of adult learning and education on health and well-being: Employment and the labour market; and social, civic and community life. UIL. https://unesdoc.unesco.org/ ark:/48223/pf0000245913. Accessed 11 July 2022. UIL (UNESCO Institute for Lifelong Learning). (2022). 5th global report on adult learning and education: Citizenship education: Empowering adults for change. UIL. https://unesdoc.unesco. org/ark:/48223/pf0000381669. Accessed 11 July 2022. UNESCO. (2008). Education for all by 2015: Will we make it? UNESCO. UNESCO. (2015a). Education for All 2000–2015: Achievements and challenges. UNESCO. UNESCO. (2015b). Regional overview: East Asia and the Pacific. EFA global monitoring report. UNESCO. https://unesdoc.unesco.org/ark:/48223/pf0000232847. Accessed 19 Feb 2023. UNESCO. (2016). Incheon declaration and framework for action for the implementation of sustainable development goal 4. http://uis.unesco.org/sites/default/files/documents/education-2030incheon-framework-for-action-implementation-of-sdg4-2016-en_2.pdf. Accessed 19 Feb 2023. UNESCO. (2020). Global education monitoring report – Gender report: A new generation: 25 years of efforts for gender equality in education. UNESCO. UNESCO. (2021). Non-state actors in education: Who chooses? Who loses? 2021/22 global education monitoring report. UNESCO. UNESCO Institute for Statistics. (2000). Education for all: The year 2000 assessment. Technical guidelines. UNESCO. UNESCO Institute for Statistics. (2020). Evidence-based projections and benchmarks for SDG indicator 4.1.1. UIS. UNESCO Institute for Statistics. (2021). Protocol for reporting on SDG global indicator 4.1.1. UIS. UNESCO Institute for Statistics. (2023a). https://uis.unesco.org/en/glossary-term/completion-rateprimary-education-lower-secondary-education-upper-secondary-education. Accessed 6 Mar 2023. UNESCO Institute for Statistics. (2023b). http://data.uis.unesco.org/?mc_cid¼2c0dff12d8. Accessed 6 Mar 2023. United Nations (UN). (2023). Millennium Development Goals and Beyond 2015. https://www.un.org/ millenniumgoals/. Accessed 6 Mar 2023. Unterhalter, E. (2014). Measuring education for the millennium development goals: Reflections on targets, indicators, and a post-2015 framework. Journal of Human Development and Capabilities, 15(2–3), 176–187. World Inequality Database in Education. (2023). https://www.education-inequalities.org/. Accessed 5 Mar 2023. Wulff, A. (Ed.). (2020). Grading goal four: Tensions, threats, and opportunities in the sustainable development goal on quality Education. Brill-Sense.

2

Comparative Education in Asia: Reflections on an Intellectual Field Maria Manzon

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Current State of Comparative Education in Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . University Courses and Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Professional Societies of Comparative Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Comparative Education Research Centers and Scholarly Networks in Asia . . . . . . . . . . . . . . . . Dynamics of an Intellectual Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CERC History and Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . CERC’s Logic of Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Foundational Era and Pre-1997 Handover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Post-Foundational Era . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Changing Times, Changing Territories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reflections on Comparative Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

36 37 37 38 38 39 40 41 42 47 50 52 54

Abstract

Comparative education in Asia is a century old. University courses and books in the field existed in Japan and China since the 1920s. Institutional growth has since been uneven and discontinuous. Yet, the field remains young, dynamic, and continues to develop in response to changing times and needs. This chapter gives an overview and update of these institutional developments. It analyzes comparative education as an intellectual field in the Bourdieuian sense. The discourse verses on how to define the academic field of comparative education by analyzing the dynamic interactions among academics whose capitals have created diverse impacts on the field. Earlier work on this theme took the professional societies of comparative education and university programs in Asia as the units for analysis (Bray & Manzon, 2014; Manzon, 2017). This chapter extends that work to another level. It focuses on an interdisciplinary research M. Manzon (*) Sophia University, Tokyo, Japan e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_3

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center: the Comparative Education Research Centre (CERC) at the University of Hong Kong. CERC is a major Asian-based scholarly community that has hugely contributed to reshaping academic knowledge production and scholarly networking in the field globally. The discussion is mainly conceptual and philosophical. The paper offers a sociological commentary on the role of a research center in the institutional and intellectual construction of comparative education and highlights its contributions to the field. It is hoped that this knowledge can help inspire the next generations of Asian scholars to articulate their voices in contributing to the sustainable present and futures of education and society. Keywords

Comparative education- institutionalization · Intellectual field · Asia · Comparative Education Research Centre (CERC)

Introduction To write a chapter on the trends and issues in comparative education in Asia is a challenging task. Apart from defining the regional scope of “Asia,” the field has variegated patterns of development. This is an attempt to give a snapshot of the state of the field of comparative education in this region as of 2022. But the chapter is not simply a descriptive piece. It offers a sociological analysis of the field using Bourdieuian theory. This type of analysis has been used before focusing at the field of comparative education globally and in Asia either comprehensively (Manzon, 2011, 2017) or partially (e.g., a focus on Asian professional societies in Bray & Manzon, 2014). This chapter takes a research center as an illustrative case. Why study a research center? And why choose the Comparative Education Research Centre (CERC) in particular? What new insights can it illustrate which differ from the teaching of comparative education at universities, or the activities of professional societies, or the knowledge production through specialist publications? A tentative answer is that CERC’s work intersects with these different spheres. Its influence is not limited to its local or regional geographic remit but has a global reach. The other reason for focusing on CERC is to bring to the notice of a wider audience an informative document that was published on the occasion of CERC’s 20th anniversary in 2015. Changing Times, Changing Territories: Reflections on CERC and the Field of Comparative Education (Manzon, 2015) is a monograph that documents CERC’s trajectory in its first two decades of life. These histories are narrated by each of CERC’s Directors and are couched within their personal biographies and the internal sociology of the University of Hong Kong (HKU) and its Faculty of Education, which are in turn embedded within domestic politics and the (evolving) position of Hong Kong and its universities within the region and internationally. The narratives attest to CERC’s numerous achievements and international prestige, while noting various challenges. This chapter offers a sociological commentary on the role of a research center in the institutional and intellectual construction of the field of comparative education, taking CERC as the unit for analysis.

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The chapter will first give a brief overview of the state of comparative education in Asia. It will then state the conceptual lenses to be employed in this sociological commentary on the institutional construction of the field of comparative education. These lenses will then be applied to an analysis of CERC as a form of social practice. A final section will identify the implications of this analysis for an understanding of the wider field of comparative education.

Current State of Comparative Education in Asia This section gives a cursory overview of the empirical substance of academic comparative education in Asia as of 2022. It focuses on the university programs, professional societies, and research centers. It is not meant to be an exhaustive inventory of the institutions in the field.

University Courses and Programs Manzon (2017) identified some of the specialist programs at the graduate level. Below is an update including a few more countries (Table 1): Lecture courses in the area of comparative education are offered in more universities. In 2019, an international team of researchers led by Sheng-Ju Chan (Taiwan) investigated the state of the art in comparative education at universities in Hong Kong and Macau, Indonesia, Malaysia, Taiwan, and Thailand. Related courses are offered at Vietnam National University-University of Education (Tang, 2021). Table 1 Specialist programs in comparative education in Asia Society China

Hong Kong

Name of institution Beijing Normal University in collaboration with Stockholm University Institute of International and Comparative Education The University of Hong Kong Education University of Hong Kong

Japan

Sophia University

Taiwan

National Chi Nan University

Program title PhD/International Master’s program in Educational Leadership and Policy (Comparative Education) Master in Research and Innovation in Higher Education (Erasmus Mundus) MEd Comparative and Global Studies in Education and Development DEd Specialised Area in Comparative and International Education PhD/MA Comparative and International Education MA International and Comparative Education

Source: BNU 2022 https://admission-is.bnu.edu.cn/docs/20211115112542453779.pdf; http://www. marihe.eu/programs/consortium-partners/beijing-normal-university; HKU 2022 https://web.edu. hku.hk/f/tab/839/53760/MEd%20web_CGSED.pdf; EdUHK 2022 https://www.eduhk.hk/fehd/en/ programmes.php?id¼115; Sophia University 2022 https://www.sophia.ac.jp/eng/admissions/ graduate_p/english_g2/english_edu.html; NCNU 2022 https://www.ced.ncnu.edu.tw/ced_lan guage/about/ins.php?index_id=27&index_m_id=10

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Professional Societies of Comparative Education Comparative education societies serve as “the backbone of the field . . . [as] bodies of people who advance [the field] and who talk about and interact about it” (Epstein, 2004). Table 2 presents the 15 comparative education societies operating in Asia. They are listed in order of year of establishment and grouped by decades. Half were established between 2000 and 2018. Moreover, there are groups in Mongolia and Vietnam working toward forming their society. The earliest societies were the Japanese and the Korean, which also were two of the five founding members of the World Council of Comparative Education Societies (WCCES) in 1970. Currently, the WCCES has 45 constituent societies.

Comparative Education Research Centers and Scholarly Networks in Asia University-based research centers or institutes are another form of scholarly networking or invisible college in comparative education. To name a few in Asia, they are the following listed in order of establishment:

Table 2 Comparative education societies in the Asia-Pacific Name of society Japan Comparative Education Society (JCES) Korean Comparative Education Society (KCES) Chinese Taipei Comparative Education Society (CTCES) China Comparative Education Society (CCES) Comparative Education Society of India (CESI) Comparative Education Society of Hong Kong (CESHK) Comparative Education Society of Asia (CESA) Comparative Education Society of the Philippines (CESP) Council on Comparative Education of Kazakhstan (CCEK) Thailand Comparative and International Education Society (TCIES) Indian Ocean Comparative Education Society (IOCES) Comparative Education Society of Nepal (CESON) International and Comparative Education Society of Malaysia (ICESM) Comparative Education Society of Pakistan (CESPAK) Comparative Education Society of Cambodia (CESCam)

Year founded 1965 1968 1974 1979 1979 1989 1995 2001 2005 2005

Member of WCCES? Yes Yes Yes Yes Yes Yes Yes Yes Yes No

2011 2013 2017

Yes Yes No

2017 2018

No No

Note: This table is an updated and expanded version from Bray and Manzon (2014, p. 233). Some societies had different names at earlier points in time

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• Comparative Education Research Centre (CERC), The University of Hong Kong (1994) • Research Center for International and Comparative Education (RCICE), Beijing Normal University (1999) • Centre for International and Comparative Studies (CICS), National Institute of Education, Singapore (2009) • Centre for Research in International and Comparative Education (CRICE), University of Malaya. (2011) In 2021, the Sophia Comparative and International Education Platform (SCIEP) was launched at Sophia University (Japan) as “a research hub for comparative and international pedagogy that connects Japan and the world, with Sophia University in Tokyo as its base” (SCIEP website). After this cursory overview of the institutionalization of comparative education in Asia, this chapter will now focus on a sociological analysis of a research center, taking CERC as the unit of analysis. Before doing so, the next section lays out the theoretical lens for defining an academic field.

Dynamics of an Intellectual Field The key ideas to be employed in this sociological analysis are as follows. One is the “logic of practice” which interprets any social practice as a result of a triadic interaction among habitus, capital, and field (Bourdieu, 1984a, p. 101). Thus scholarly practices are generated in and by encounters between the habitus of scholars and the constraints, demands, and opportunities of the social field to which their habitus is appropriate. Practices come forth – a change in practices comes about – by a less than conscious process of adjustment of the habitus and practices of individuals to the objective and external constraints of the social world. The field, however, has its own logic, politics, and structure as well as its observed hierarchy of acceptable currencies of capital. The internal logic of the field refracts external influences such as economic and political events (Bourdieu, 1969). The field thus enjoys relative autonomy from external forces and serves as a mediating context between the external field and individual and institutional practices (Bourdieu & Wacquant, 1992, p. 105). Bourdieu further argues that an intellectual field is dynamically constructed by the interactions of occupants within a “system of positions and oppositions” (1969, p. 109), which compete for symbolic power – the capacity to name, categorize, and define legitimate forms of knowledge production (Delanty, 2001). This “law of the search for distinction” gives dynamism to the field and implies that competition between intellectuals and their social groupings will be especially intense for those holding neighboring positions in the field (Bourdieu, 1984b, p. 30). This set of observations may be linked to another key concept: academic tribes and territories (Becher & Trowler, 2001). “Academic tribes” refer to the sociological features of academic communities which are shaped partly by the members of those communities and partly by institutional structures – universities which placed them

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in faculties, departments, centers, or other units. “Academic territories” refer to the epistemological characteristics, i.e., the ideas on which the academics focus, including subject matter, methods, and modes of discourse. Applying these lenses to the present theme, the forms of social practice of comparative education may vary depending on a scholar’s philosophy of knowing and doing comparative education (habitus) and his/her possession of different levels of cultural, economic, and social capital as recognized within a particular social field (e.g., university, professional society, research center at the local, regional, and international levels). More specifically, a research center such as CERC, viewed as an intellectual field, is structured by objective social forces (institutional, macrosocial, and political contexts) and the dynamic interactions of the academic tribes which are positioned unequally in the field. Neighboring tribes compete with each other in the quest for distinction, for the symbolic power to define and act legitimately in the production of scholarly goods and consequent command over resources for more knowledge production. This tribal competition for symbolic capital is a form of exercise of power to secure title and recognition to one’s own territory and to advance its boundaries, either by opposition – leading to fragmentation and splintering of fields – or by “merger and acquisition,” leading to territorial expansion. It resonates with literature on disciplinary institutionalization in which emerging disciplines or fields seek to distinguish themselves from amateur explanations of the object of study, as well as from older, more established neighboring disciplines (see, e.g., Clark, 1987 on scholarly societies in higher education; Wagner & Wittrock, 1991 on the social sciences; Lambert, 2003 on history).

CERC History and Achievements The Comparative Education Research Centre was established at the University of Hong Kong in 1994 as the first research center of the Faculty of Education builds on the Faculty’s considerable expertise in comparative studies in education, with the following aims: • To facilitate, participate in, and initiate a wide range of research projects with comparative perspectives • To support comparative research in education and to disseminate information throughout the region and further afield through publications, newsletters, research activities, including seminars, symposiums, conferences, etc. • To establish and maintain a wide range of contacts with educational researchers and research institutions in China, in the region and internationally • To provide a center upon which institutions and organizations within the region can draw for human and other resources for contract research, consultancies, and training in research methods (CERC, 2015) In line with these aims, CERC’s achievements during its nearly three decades of existence are noteworthy. As at 2022, they include the following:

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• 60 book-length publications under the CERC imprint, of which 34 titles are in the CERC Studies in Comparative Education series (co-published with Springer) and 15 are in the CERC Monograph Series in Comparative and International Education and Development • Bestseller title “Comparative Education Research: Approaches and Methods” (Bray et al., 2014) has been translated to 14 languages • Over 250 seminars • Over 25 symposia and conferences • 32 major projects, many of which have received GRF (General Research Fund from the Hong Kong Research Grants Council) and other external funding Apart from its contributions to knowledge production, CERC has also greatly supported the development of comparative education in Asia and globally. In CERC’s inaugural symposium in 1995, the Comparative Education Society of Asia (CESA) was founded (Mochida, 2007, p. 310). CERC also served the Comparative Education Society of Hong Kong (CESHK) where CERC members served as CESHK leaders and Secretariat for decades (thanks to Emily Mang who served CERC for 17 years, followed by Zhang Wei). CERC also developed a partnership with Beijing Normal University (BNU). For many years, BNU’s journal International and Comparative Education carried a section on CERC. Finally, CERC members served as leaders of the World Council of Comparative Education Societies (WCCES) in various capacities: President twice (Mark Bray and Lee Wing On), Secretary General (Mark Bray), Assistant Secretary General (Bob Adamson, Maria Manzon), as well as members of WCCES sub-committees. In 2016, CERC and HKU Faculty of Education hosted the 60th annual conference of the Comparative International Education Society (CIES) in Vancouver, Canada, with Mark Bray as CIES President-Elect. CERC also served as the website host of CIEclopedia, an online who’s who in Comparative and International Education. These robust achievements are even more remarkable considering that CERC’s operation depends on voluntary support from its Management Committee and other members.

CERC’s Logic of Practice The formation and development of CERC can be analyzed as a form of social practice which is influenced by the interplay among habitus, capital, and field. The four guiding questions below relate to the four elements in Bourdieu’s analytical framework. The questions are: • Q1: How did you come to identify with the field of comparative education? (Personal biography) • Q2: How has CERC developed during the last two decades? (Developments/ achievements)

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• Q3: How has CERC’s embedded position in HKU and in the Faculty of Education influenced its role? (Embeddedness) • Q4: What future directions do you envisage for CERC? (Future plans) Mapping these questions onto Bourdieu’s (1984a, p. 101) formula for the logic of practice, the social practice of CERC in the past (Q2) and possibly in the future (Q4) can be explained as the result of the triadic interaction between the respective Directors’ habitus and capital (Q1) and the field in question, be it the Faculty of Education, HKU, the comparative education societies, etc. (Q3): fðhabitusÞðcapitalÞg þ field ¼ practice Q1 þ Q3 ¼ Q2, Q4 The element of time is also important. Each era of CERC’s history has operated within objective macro-political and macro-social contexts which have changed over time. Thus the formula above would look like this after incorporating the temporal dimension: {(habitus) (capital)}+ field=practice

{(habitus) (capital)}+ field=practice

Time 1

Time 2, etc.

Foundational Era and Pre-1997 Handover CERC’s establishment in 1994 marks the start of a new social practice or intellectual field in the Faculty of Education of HKU. CERC’s institutionalization can mainly be attributed to two scholars: Wing On Lee and Mark Bray. Lee was originally trained in Sinology, which he read through Western lenses at HKU, and was introduced to comparative education in his PhD studies in England. Bray initially entered the field through international education or development studies through his teaching in Africa and subsequent postgraduate work in African Studies at Edinburgh under the direction of Kenneth King. Both Lee and Bray identified themselves with the comparative education tribe. They attended their first World Congress of Comparative Education Societies in Prague in 1992 and subsequently have been part of the leadership of comparative education societies at the local, regional, and global spheres. This can be viewed as valuable social capital for the field; and in terms of their habitus, both had a disposition toward comparative education in their teaching and research. Moreover, their cultural and social capital came to be recognized within the social field of HKU and, more specifically, its Faculty of Education. Taking a Bourdieuian lens, the scholarly practice of comparative education was generated in and by the encounter between the habitus principally of these two

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scholars and the opportunities of the social field – the Faculty, HKU, and Hong Kong – to which their habitus and capital were appropriate and valued. The first Executive Committee meeting of CERC (then called Centre for Comparative Research in Regional and International Education [CCRRIE]) in November 1994 tabled a proposal outlining the aims and functions of the incipient Centre. The discourse on the proposed functions was somewhat different from the aims that later came to define CERC. It reflected the societal discourses facing Hong Kong, as a territory that would revert from colonial to Chinese administration 3 years later. The first proposed function (CCRRIE, 1994, p. 1) was: To initiate regional research in education on topics and issues relating to Hong Kong, SouthEast Asia, and East Asia (known as the “Region”).

The document then mentioned the need to anticipate post-1997 needs by establishing a database and common research interests with the People’s Republic of China, but self-sufficiency in curriculum development, delivery systems and associated values. (. . .) The Centre would be well-placed to maintain Hong Kong’s links both with developments in education in the West, and with Mainland China.

The foundational documents of CERC reveal the identity with which the actors viewed themselves and the role of the Centre. The documents had been prepared during that concrete historical moment in the life of Hong Kong and within the concrete institutional context of HKU, which was the first and at that time the only English-medium university (yet also able to function in Chinese) in Hong Kong. HKU was then strategically poised as a scholarly location that gave access to ideas from both East and West. These ideas were not exported and imported passively through HKU. Rather, the University provided – given its bilingual and bicultural competencies – a hermeneutic function, enabling the West to get to know and understand China, and China to get to know and understand the West. CERC, being embedded within Hong Kong and in HKU in particular, found its unique position to deal with the cross-cultural trade of educational ideas. This was proposed as the second function of the then CCRRIE: “To maintain a clearing house of educational data bearing on the Region, and of publications arising from such work” (CCRRIE, 1994, p. 2). CERC however was not a mere clearing house of ideas. It interpreted and synthesized educational ideas cross-culturally and served as a bridge between China and the West. Concrete examples are the publication of a seminal book, The Chinese Learner (Watkins & Biggs, 1996), as the Centre’s first book publication, and Education in China and Abroad (Gu, 2001). The unique role that the Centre played was also recognized by international scholars. Joseph Farrell (1999, p. 545) of the University of Toronto, reviewing the book by Noah and Eckstein (1998), lauded CERC as “one of the newest and strongest intellectual centres of the world.” He added that:

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The preceding paragraphs have elucidated the macro-societal context of Hong Kong as refracted in the social field of HKU and the Faculty of Education. The theme may be elaborated with remarks on how the scholarly practice of CERC was generated in and by the encounter between the habitus of the founding actors of CERC and the demands and opportunities afforded by the socio-political context of Hong Kong in the early 1990s as it was translated into the discourses of the University and the Faculty. As narrated by Wing On Lee in his chapter (Lee, 2015, pp. 17–18): The climate at the University level became favourable at the beginning of 1994, when the authorities distributed a document about Centres of Academic Activity. These were to be virtual centres, requiring no additional resources but serving as pools for drawing existing research expertise together and attracting sponsorship and funding. In his role of Head of Department, Mark Bray reinvigorated the proposal at the Faculty Board in its April 1994 meeting. The Faculty Board formally endorsed the proposal, and sent it on to the Senate which approved it in May 1994. The last step was the University Council, which approved the proposal in June 1994.

The above is a classic example of how a social practice is generated. The agency of two scholars, one of whom had the added social and symbolic capital of being a Head of Department, responded to the opportunity to establish the first virtual center of HKU’s Faculty of Education and started to form the comparative education tribe within the social field of the Faculty. Certainly, the foundation of the Centre was not solely the work of Lee and Bray. The 1989 pre-history proposal for a research center engaged in regional and comparative studies in education was initiated by their Faculty colleagues, led by John Biggs, who were engaged in IEA (International Association for the Evaluation of Educational Achievement) studies at the Hong Kong IEA Centre based in HKU’s Department of Education. Nevertheless, the move to resurrect the idea of a comparative studies center in 1994 upon the initiative of Bray and Lee and with the support of colleagues who later became members of the Executive Committee proved opportune and in line with HKU’s thrust to promote virtual research centers. Thus CERC was born. The initial name of CERC, i.e., Centre for Comparative Research in Regional and International Education (CCRRIE), partly reflected the desire to serve colleagues from the IEA tribe. In 1995, CCRRIE was renamed the Comparative Education Research Centre (CERC) to provide an acronym that was easier to pronounce and to reflect the embracive goal. As Lee (2015, p. 19) remarked, “[W]e had established it [CERC] for the whole Faculty of Education.” The first strategy of CERC’s founders was to create a sense of social (“tribal”) identity, foster communication among members, and raise awareness of the

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existence of the new group. This goal was partly achieved through the publication of a newsletter, CERCular. A list of publications of Faculty colleagues who were directly or indirectly engaged in comparative studies was circulated through the CERCular. Lee explained (2015, p. 19): We looked for comparative elements in the publications of our Faculty colleagues, i.e., whether they were related to issues beyond Hong Kong, or whether they were looking at certain practices in other countries, or even undertaking an international review of a topic. We realised that many people were related to comparative education in one way or another.

This offers an interesting case to illustrate the apparent contradictions and tensions between the sociological and epistemological dimensions (Becher & Trowler, 2001) of comparative education as a field of study. Lee’s embracive definition of comparative education – which contrasts with narrower definitions (see, e.g., Gu, 2001; Epstein, 1994; Olivera, 2009) – was translated sociologically in his action, as CERC’s first Director, to involve as many colleagues as possible in the newly demarcated territory. Thus the Centre began in October 1994 with 36 self-nominated members, 18 of whom were from the Department of Education, 14 from the Department of Curriculum Studies, and 4 from other parts of the University. Nevertheless, such an all-embracive territory which englobes “incongruous” subtribes is bound to pose challenges and tribal tensions. As Bray (2004, p. 10) observed for comparative education societies around the world, a range of identities may be found and not all members are greatly interested in methodological debates and about the history of the field. Each member possesses distinct habitus and forms of capital and is therefore positioned differently within the field. A similar observation holds true for CERC’s territory which is characterized by a fluidity of boundaries and a diversity of members. In this respect, CERC reflects the field of comparative education in microcosm, as indicated by ongoing debates on its broad or narrow definitions (see, e.g., Mason, 2015; also Chap. 5 of Manzon, 2011) and the empirical data on its contours (Cook et al., 2004). The field, like CERC, is heterogeneous, inclusive, and not always explicitly comparative in content, membership, or purposes (Manzon, 2011, p. 124). It is therefore not surprising that, following the intellectual field’s law of the quest for distinction, some tribes inhabiting the comparative education territory opt to maintain dual (or multiple) citizenship and even subsequently decide to migrate and establish residency in new territories in which they can claim full title under their name, play out their true identity, and avail of the new territories’ resources in order to yield their own knowledge products. In this way, they can receive due recognition and have more symbolic power, i.e., the capacity to name, categorize, and define legitimate forms of knowledge production (Delanty, 2001). As mentioned above, this law of the search for distinction gives dynamism to the field and implies that competition between intellectuals and their social groupings will be especially intense for those holding neighboring positions in the territory (Bourdieu, 1984b, p. 30). Transposing these considerations to CERC, it was the first virtual center set

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up in HKU’s Faculty of Education in 1994. Five years later, the Wah Ching Centre of Research on Education in China (CREC) was established as the second virtual center in the Faculty, with an explicit focus on education policy in China. As of January 2015, the Faculty had eight research centers. The splintering and fragmentation of scholarly networks reflect patterns in the wider academic field (see, e.g., Masemann et al., 2007). As Clark (1987, p. 238) observed, there is an “ongoing contest between centrifugal and centripetal academic forces, paving the way for further subdivisions along subject-matter lines.” Shifting to the other forms of social practice during the early years of CERC, some considerations regarding a field of study are apposite. According to Klein (1990), a field’s presence and importance are largely shaped by its relative visibility, which may take at least two forms. One is the overt form of interdisciplinary institutions (e.g., a research center) and/or interdisciplinary graduate programs. The other embraces less overt forms for interdisciplinary dialogue such as study groups, symposia, conferences, and publications. All these forms have been and/or are present in CERC’s knowledge products. Of these, two forms are highlighted in chapter three: the MEd program and CERC’s publications. Bray recorded the launch of the MEd specialism in Comparative Education at HKU in 1996 (Bray, 2015a). It was a 2-year part-time program in the standard mode for MEd degrees, with modules on comparative education methodology, education policy, curriculum, economics, and financing of education viewed in comparative perspective. The MEd course graduated three cohorts (1998, 2001, 2003) and provided new vitality to CERC’s membership with students who possessed the habitus and cultural capital to inhabit the territory and contribute to widening its frontiers. Another major knowledge product which has made CERC internationally visible, alongside seminars, symposia, and research students, is its strong output of publications. The series CERC Studies in Comparative Education is especially notable. A deliberate strategy from the outset was inclusion of works of CERC visitors who were well known in the field and whose books added considerable prestige and visibility (e.g., Altbach, 1998; Noah & Eckstein, 1998; Postlethwaite, 1999). This social practice was highly influenced by the cultural and social capital of CERC’s Directors – who exercised editorial leadership – and its unique position in the regional and international field of scholarship as an English-medium book series that provides a platform for Western scholars to reach an East Asian readership and for Asian voices (e.g., Gu, 2001) to reach a Western audience. Particularly noteworthy is Volume 19 in the CERC/Springer series, Comparative Education Research: Approaches and Methods (Bray et al., 2007), produced in a second edition in 2014. This book has been translated into 14 languages (see Mason, 2015) and is used in courses of comparative education in all continents of the world. The editors made a conscious effort to produce a book that was globally relevant but at the same time to assert Asian voices associated with the Centre. Publication initiatives further expanded as a result of synergies and the social capital of CERC’s Directors, who were also keen to support CERC by bringing in

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economic capital through various initiatives including consultancy work (see Bray, 2015a; Lee, 2015). The Education in Developing Asia series (in collaboration with the Asian Development Bank [ADB]) came from the work on which Bray had embarked with ADB in 1997. Bray brought in Wing On Lee, and they collaborated with David Chapman and Don Adams under the umbrella of the Academy for Educational Development in Washington DC and UNESCO’s Principal Regional Office for Asia and the Pacific in Bangkok. David Chapman guest-edited a special issue of the International Journal of Educational Research in 1998, drawing on Bray and Lee’s individual reports and the seminar they had held in ADB (Chapman, 1998). Bray requested permission to publish the booklets separately at that time, but due to administrative delays, publication was only achieved in 2002 (see, e.g., Bray, 2002; Lee, 2002), at which time Bob Adamson was Director. Likewise, the CERC Monograph series was launched under Bob Adamson’s leadership with the publication of Yoko Yamato’s MEd dissertation (Yamato, 2003) as a fruit of collaborative work with Mark Bray, her MEd dissertation supervisor. Chinese translations of several CERC publications were also undertaken to enhance circulation to the Chinese-speaking world. One example, mentioned in Chap. 3, was the book Education and Society in Hong Kong and Macau (Bray & Koo, 1999). It was first published in English in 1999 and in Chinese in 2002, and then in second edition in English in 2004, in Chinese traditional characters in 2005, and in Chinese simplified characters in 2006. Another example was Monograph No. 2 (Bray et al., 2004), which resulted from a consultancy project in China’s Gansu Province for the UK government’s Department for International Development (DFID). The Chinese translation was in simplified characters for distribution in Mainland China.

Post-Foundational Era CERC grew steadily after the post-foundational era under the brief leadership of Bob Adamson (2002), succeeded by Mark Mason (2002–2008), Yang Rui (2008–2010), and Mark Bray after his return from the UNESCO (2010 to 2018). The different emphases in the social practices of CERC during their respective eras make an interesting case for analysis following Bourdieu’s logic of practice. Bob Adamson came from a strong (foreign) languages background with a first degree in French and training in teaching English as a foreign language and crosscultural experience as a teacher in China and France. This cultural capital in “things foreign” together with the “unconscious comparative education” habitus “in him” were awakened through conversations with Mark Bray after he joined HKU in 1995. Interestingly, Adamson (2015, p. 40) remarked: [I] also presented at the 11th World Congress of Comparative Education Societies in South Korea in 2001, by which time I considered myself a fully-fledged comparative educationalist —although I was not completely sure what that term actually signified. In response to this uncertainty in my mind—and finding no satisfactory answer in the available literature—I

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This experience, which is common to most members of the comparative education tribe around the world, once more illustrates the tension between the sociological (tribal identity) and epistemological dimensions (territorial grasp) of a field of study. This search to define his own comparative identity led Adamson to plant the seed of what became CERC’s international best-seller Comparative Education Research: Approaches and Methods (Bray et al., 2007, 2014), representing a knowledge product and a social practice which has epistemological significance in defining CERC’s own identity as an authority in comparative methodology in education. As indicated, all contributors were either CERC members or in some way associated with the Centre. Moving on to “Time 3” under Mark Mason, CERC took a “development turn,” owing to his habitus formed in Apartheid South Africa where he: became increasingly involved in activist education politics: working with teachers across the racialised education system to the ultimate end of bringing about the collapse of Apartheid education and, with it, the Apartheid state. (Mason, 2015, p. 47)

Like Adamson, Mason was unaware of the “comparative education cum educational development” habitus that was in him until a conversation shortly after his arrival in HKU in 1998. As he recalled (Mason, 2015, p. 49): While I was not yet aware of the close association in the academic domain of the fields of comparative education, international education, and educational development, Mark [Bray] certainly was, and saw CERC as a natural home for me well before I realised it. Thus was my entry into the field of comparative education through education development—albeit by another name.

Mason’s work in educational development as well as his training in philosophy, language, and mathematics (cultural capital) and his interest in concepts, discourse, scholarship, and publication (habitus) clearly defined the thrust of his Directorship of CERC and were translated into specific knowledge products with distinct “development” imprint. Both involved the renaming in 2008 of some of its knowledge products. One was the MEd specialism, renamed and refocused from “Comparative Education” to “Comparative and International Education and Development.” The other was the CERC Monograph Series, renamed as the CERC Monograph Series in Comparative and International Education and Development. Monograph 5 was co-published with the Southern African Comparative and History of Education Society (SACHES) – another domain of Mark Mason’s social capital – and focused on education, aid, and development in the context of the international Education for All (EFA) agenda (Chisholm et al., 2008). Once more, these phenomena resonate with Bourdieu’s intellectual field theory

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illustrating the exercise of legitimate cognitive power to define the domains of the intellectual field (Bourdieu, 1975). Yang Rui succeeded Mark Mason as CERC Director in 2008. He was educated in comparative education in China, Hong Kong, and Australia. He defines his tribal identity as “a researcher in comparative education.” Like Wing On Lee, Yang experienced the powerful transformative lenses of comparative education in viewing the world and in enhancing his understanding of his own society: The interesting thing is that I wrote about education in other countries when I was within the Chinese Mainland, but almost exclusively about Chinese education while I was (and still am) outside the Mainland. This in itself is telling of how comparative education is perceived and practiced depending on one’s location in the world. (Yang, 2015, p. 58)

Yang brought his distinctive Chinese lens to bear on CERC’s works. One example is his role in organizing a special issue of Comparative Education on conducting educational research on Confucian Heritage Cultures which gathered mostly the works of CERC members (Evers et al., 2011; Yang, 2011). Mark Bray as Director came full circle when he was re-elected in 2010 after his return from Paris. His experience as Director of UNESCO’s Institute for Educational Planning (IIEP) not only enhanced his social capital but also cultivated more deeply his habitus of doing comparative education, i.e., with an emphasis on the applied purpose of research. IIEP has also provided international visibility and uptake of his research in shadow education, leading to more consultancy work and related publications. Both enhanced habitus and enlarged forms of capital were valuable in the changed social field of HKU. The University’s new emphasis on Knowledge Exchange resonated well with the applied dimension of comparative education as well as with Bray’s extensive global networks. He was able to secure annual HKU Knowledge Exchange funding for publication and dissemination through CERC four times from 2010 onward. The encounter of habitus and the field’s opportunities and demands generated new social practices in CERC. One illustrative case is the 2010 formation of a Special Interest Group (SIG) on Shadow Education, the focus of which was subsequently (2011) designated a Faculty Research Theme. The SIG resembles what Crane (1972) called an “invisible college” linking collaborators within the same research area. It brought together over 20 researchers, including 6 PhD students and 9 MEd students from a wide variety of countries (see Bray, 2015b). Bray introduced an IIEP social practice to CERC. This was the pair of 2013 Policy Forums on regulating shadow education. They led to a CERC monograph (Bray & Kwo, 2014) which was produced with the support of HKU Knowledge Exchange funds, bringing added economic capital to the Centre. Another highlight of this period was the granting in May 2012 of the UNESCO Chair in Comparative Education to HKU. Mark Bray became the first Chairholder, and the granting attested to his social capital with the IIEP and UNESCO affiliates.

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The UNESCO Chair provided symbolic capital internationally and at the Faculty and University levels and also provided a mechanism to secure economic capital with various grants including funds for two postdoctoral fellowships for work on shadow education. A final case in point is the further renaming of the MEd specialism, this time from “Comparative and International Education and Development (CIED)” to “Comparative and Global Studies in Education and Development (CGSED).” In ▶ Chap. 4, “Education Research in Asia as “Method”” Bray (2015b, p. 71) explained the reason for this change, reporting on discussions with Yang Rui: Our rationale was that globalisation had become a major meta-narrative, and that the broadened focus would further increase its attractiveness. The adjusted orientation also matched the goals of the UNESCO Chair, with its global focus on issues of EFA and ESD [Education for Sustainable Development].

This strategic shift depicted clearly the interaction of habitus (Yang’s teaching and research on globalization and Bray’s UNESCO identity and links), social networking, and the demands and opportunities afforded by a changed and highly internationalized profile of MEd candidates. This echoed what Bourdieu (1969) posited as a change in social practice which comes about by a less than conscious process of adjustment of the habitus and practices of individuals to the objective and external constraints of the social world. The above discussion has demonstrated that CERC is a heavyweight in its accomplishments albeit light in its fuselage. Continuity across different eras has prevailed with noteworthy enhancements in practice as a result of the interplay among different strengths and orientations of the leaders and members, the territory of ideas with which they worked, the interactions with neighboring territories, and the mutation of the external institutional and macro-societal contexts at the local, regional, and global levels. As an institutional actor in the intellectual field, CERC has managed to achieve distinction locally and internationally through the rich reserve of social and cultural capital of its leaders and members, its prestigious publications, its high visibility in professional societies of comparative education, and its impact on local and international policy agendas.

Changing Times, Changing Territories After having reviewed the historical evolution of CERC under the prism of the logic of practice, this penultimate section is forward looking. What will CERC look like in 10, 20, or 30 years? A related and equally challenging question is: What will Hong Kong (and HKU, and education in Hong Kong) look like in 10, 20, or 30 years? On 30 June 2047, the 50-year term for the “one country, two systems” formula will expire. The implications for Hong Kong and HKU cannot yet be answered. I will

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therefore limit this discussion to insights based on a comparison of the CERC Directors’ visions of the Centre’s future and its social ecology, adding my own views, and how it should prepare itself to shift gear. At the macro-political and macro-societal level, a major transformation that has occurred (and which has had an indirect impact on CERC and HKU) is the reversion of Hong Kong to Chinese administration in 1997. The rapid rise of China as a global power and its enviable human talent is remaking the world in both economic and scholarly terms (Yang, 2015). The Shanghai-Hong Kong stock connect scheme was effected in November 2014, together with Hong Kong’s scrapping of restrictions on renminbi conversion. These developments are symbolic of the gradual integration of Hong Kong into the Mainland Chinese system. At the same time, top higher education institutions in Mainland China are becoming more internationalized, partly owing to the government’s soft diplomacy and the power of attraction of China’s strong economy. In the field of comparative education, Beijing Normal University (BNU), for example, offers an international PhD program in comparative education in both English and Chinese streams. It attracts international students with an added incentive of a full scholarship. The program contemplates a joint co-supervision arrangement on the second year, where the PhD student will be based in a foreign university, on a fully funded basis, to work with a comparative education scholar there. Singapore is considered “international” in the eyes of BNU, thus I had a PhD student from BNU in 2015. She told me however that Hong Kong was not considered “international” under BNU rules, and therefore students choosing a Hong Kong university would not receive any financial subsidy for their studies there. This example aligns with the observations of Yang Rui (2015, p. 61) on the multipolarity of centers of scholarship characterizing the contemporary world and similar patterns in the different periods of the history of comparative education (see also Manzon, 2011, Chap. 3). Yet the poles of attraction depend on one’s position in the social field in which the intellectual field is embedded. While China may be attracting international students to its premier universities and may not consider Hong Kong as “international,” Hong Kong remains “international” in the eyes of students from many other parts of the world, as the enrolment in HKU’s MEd in Comparative and Global Studies in Education and Development exemplifies. Likewise, publication in the CERC Series of Comparative Education may be considered local in HKU’s eyes, but it is considered international by scholars based outside Hong Kong, especially with the co-publishing link with Springer (Bray, 2015c). It all depends on one’s location in the geopolitical world. How the territory will change over time will depend on how the tectonic plates shift and which territories lay on the active fault lines. CERC could maintain a lead in forming a “critical mass of non-Western scholarship [in the] . . .reconsideration of traditional concepts and theories” (Yang, 2015; Adamson, 2015). Yang (2015, p. 62) thus defined CERC’s niche:

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Another major shift is the rise of the Internet and the pervasive use of information technology in teaching, research, and publications. This has made possible the access to huge amounts of data in any part of the world at the click of a mouse. Likewise international travel is more common and affordable. Related to this is the dominance of positivist approaches to the evaluation of educational performance (e.g., OECD international benchmarking) and of scholarship (what David Post [2012] termed as “rank scholarship”). One of the impacts of these developments on the field is seen in the facility to access comparative education data by specialists and non-specialists and the increasing (and possibly indiscriminate) use by politicians of international benchmarks for their policy decisions. These patterns enhance awareness but also have their own dangers. Scholars in the field of comparative education may need to strengthen their methodological contributions, highlighting the pitfalls of shallow comparison and stressing the value of comparative education tools at the service of the common good (Lee, 2015; Adamson, 2015). As economic discourses seek to dominate and shape society, the CERC community can continue to encourage comparative education to play not only a theoretical role but also a critical/emancipatory role (echoing two of the three cognitive interests of Habermas [1971]). In this respect, Bray, Adamson, and Mason coincide in their recommendations for CERC to make strong contributions to new global initiatives associated with the Education for All (EFA) agenda and the Sustainable Development Goals. The global pandemic in 2020 and its multifaceted consequences at a systemic level have served to test the deepest human values and the discourses are shifting.

Reflections on Comparative Education This chapter has analyzed the dynamic forces which shape comparative education as an intellectual field viewed through the prism of CERC. This final section integrates the insights from the analysis with my earlier work on the intellectual and institutional construction of comparative education which took comparative education societies and university programs of comparative education as the units for analysis (Manzon, 2011). In that book, I demonstrated (p. 218) that the institutionalization of comparative education – as professional societies and as university courses – was not purely the outcome of intellectual pursuits but also: of a complex interplay of sociological forces at the macro- and meso-structural level and micro-political interests of agents in the field, as well as the shaping force of contingent societal discourses.

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This remark echoes Cowen’s sociology-of-knowledge perspective on the institutionalization of comparative education as shaped by the interplay of personal biography, the internal sociology of universities, and the national political work agenda vis-à-vis the geopolitical and domestic contexts (Cowen, 1982, 2000, 2009). The above discussion has demonstrated, using Bourdieu’s logic of practice, how CERC has been shaped not only by its leaders’ variegated numerators but also by its embeddedness in Faculty, University, and Hong Kong-China political discourses and in the global field. This case study may serve as a pattern for future research on how similar institutions of comparative education evolve and why. I also focused in the 2011 book on the intellectual construction of comparative education, taken to mean the cognitive power which academics in the field exercise in naming and defining the field. As this CERC narrative has demonstrated, the CERC Directors have enacted an embracive definition of the field, with wide interdisciplinary and paradigmatic openness. Their emphases on the foci and purposes of comparative education work, accomplished through CERC, differed as a result of the permutations of their cultural, social capital, and habitus as well as the institutional and social contexts within which they operated. This aligns with the broader literature that claims that definitions of comparative education are positional (e.g., Anweiler, 1977; Cowen, 1990; Ninnes, 2004). As Cowen (1990, p. 333) cautioned: The academic definitions [of comparative education by comparative educationists] should be noted, but should also be understood as reflecting some of the institutional, social and political contexts of their work. This social contextualisation of comparative education leads to different comparative educations in different parts of the world.

The CERC story has also elucidated the tensions between the epistemological and sociological facets (Becher & Trowler, 2001) of the field of comparative education. The embracive spirit and definitions upheld by actors in CERC, while echoing practices in other parts of the world, also contrast with other stances which propose narrower definitions and stricter gatekeeping (see, e.g., Cowen, 2003; Paulston, 1994). Lee’s use of “comparative education” as a generic name, Adamson’s discovery of his “comparative education habitus,” and Mason’s realization (more precisely, aletheia) of the interrelatedness of comparative, international, and education development demonstrate how sociological practice may not follow neatly the strict typological definitions of comparative education. While the above findings on the dynamics of research centers echo the shaping of university courses, the discourses differ slightly from those of professional societies. This is mainly because professional societies encompass a wider range of membership, both individual and institutional, and thus the politics become more complex. Nevertheless all of these institutional forms of comparative education seem to have their substantive impact in defining the field mainly through publications. Through them, knowledge is disseminated beyond the confines of a research center or a university or a professional society.

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CERC as a research center has played a valuable role in bringing together tribes and sub-tribes of scholars and practitioners with common interests and identities and further disseminating research in comparative education within and beyond its territorial boundaries. If, as Clark (1987, p. 233) observed, such scholarly networks “tighten the hold of specialisation upon academic life, a device that would serve externally as a carrying mechanism for a discipline at large,” then CERC may be applauded for its great achievements in putting Hong Kong comparative education on the world map.

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Education Traditions and Futures with Asian Roots The Significance of a Religious Lens in Understanding Asian Education and Sustainable Development Maria Manzon and Wing On Lee

Contents Introduction: The Interplay of Education, Spirituality, and Sustainability . . . . . . . . . . . . . . . . . . . . . . The Significance of Religious Perspectives in Understanding Asian Trends in Education . . . . . Sustainability Science . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theology and Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Education and Comparative Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Insights from Asian Religions and Philosophies Underlying the Educational Ideals . . . . . . . . . . . Being a Good Person as the Foundation for a Good Citizen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Asian “Self” as an Individual Citizen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Educability for All and Perfectibility for All . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Relationalistic Perspective of the Individual and the Collectivity . . . . . . . . . . . . . . . . . . . . . . Individualism or Individuality? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Spiritual Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion: The Significance of a Religious Lens in Understanding Asian Perspectives of Education and Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Currently there is a lot of talk about futures of education: Education for Sustainable Development (ESD), Sustainable Development Goals (SDGs), and post2030. But who is leading these talks: by whom, for whom, and for what purpose? Asia has deep-rooted and historical, philosophical, and spiritual traditions that shape its culture, education, and ethos. The major world religions were born and spread from Asia. They are characterized by an openness to transcendence. These M. Manzon (*) Sophia University, Tokyo, Japan e-mail: [email protected] W. O. Lee Singapore Institute for Adult Learning, Singapore University of Social Sciences, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_1

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are important foundations for understanding educational values on which to build sustainable futures with Asian characteristics. They may also be used to decenter and dialogue with dominant liberal human-centered ideologies about education and sustainable development from non-Asian spheres. This chapter will analyze the ontological and cosmological implications that shape the epistemological traditions in the Asia-Pacific, making its approach toward knowledge and education quite distinctive from the West. It will elucidate implications for education concepts and practice for a sustainable present and future. Keywords

Asian education · Education for sustainable development (ESD) · Religion and sustainability · Religion and education · Comparative education

Introduction: The Interplay of Education, Spirituality, and Sustainability Education is facing unprecedented challenges around the world ushered in by the uncertainties surrounding a post-pandemic era and the climate crisis. This has probably contributed to personal soul-searching and questioning about the purposes of education. It has also added new momentum to global discussions about the futures of education initiative by UNESCO, leading to the publication of the report Reimagining Our Futures Together: A New Social Contract for Education (UNESCO, 2021a). According to UNESCO (2021b), the report has collected a million views contributing to this document. Among them, prominent comparative education scholars formed part of the International Commission (e.g., Karen Mundy, Antonio Nóvoa, Fernando Rheimers), and in other capacities (e.g., Noah Sobe). Various consultations have also been made through the comparative education society networks such as the World Council of Comparative Education Societies (WCCES), the Comparative Education Society in Europe (CESE), and the Comparative Education Society of Asia (CESA), to name a few. Familiar notions from the comparative education field such as dialogue among cultures, decolonization, and non-Western perspectives are promising perspectives in the UNESCO document. Some scholars emphasized the importance of recovering the moral and ethical purposes of education and nurturing the We-person (UNESCO Bangkok and CESA, 2021), which refers to the significance of collective learning and collective well-being as the purpose of education. Diverging from the traditional focus on equipping individual or independent learning, twenty-first-century competences place special emphasis on “learning to live together” (as mentioned in Delors’ Report) (Delors, 1996). PISA’s introduction of collective problem-solving (OECD, 2015) aligns with the trend of collective learning as a new approach to face the changing economy. In parallel with the UNESCO discourses, comparative education scholars have also actively engaged with global sustainability issues. The conference themes of the

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Comparative and International Education Society (CIES), WCCES, and CESA, to name a few, have focused on climate change education (CCE) and education for sustainable development (ESD), and questioned their taken-for-granted assumptions. Komatsu, Rappleye, and Silova (2020a) pointed out the problematic relationship between student-centered learning (SCL) and sustainability, since SCL fosters ontological individualism. They also pointed out that culture and the cultural context – which encode our values and attitudes – are missing from the current educational paradigm. An earlier version of the article (Komatsu et al., 2020b) cited Pope Francis’ Laudato Si’: On the Care of Our Common Home (2015, pp. 83–84) who called for the need to have an ecological culture that is “a distinctive way of looking at things, of thinking, policies, an educational program, a lifestyle and a spirituality which together generate resistance to the assault of the technocratic paradigm.” Komatsu et al. (2020a) proposed looking at “non-Western” epistemological alternatives (e.g., Japanese teacher-centered learning [TCL] that is grouporiented; Botswana TCL which pursues a return to the sacred origins of the world). These alternatives are laudable. Yet, there seems to be an abrupt leap from a critique of ontological individualism promoted by SCL to a more “practical level” of pedagogies. But their merit lies in signaling the need to be value-explicit in education (Hayhoe, 2021). In this chapter, we will pursue culture in terms of religious cultures and their implications on ontologies, cosmologies, axiology, and education. Since many of the ancient world religions started in Asia, and much of its culture and education are influenced by these spiritual values/traditions, it is important to take them as a starting point for reimagining education futures in Asia. This can also open an enriching dialogue with Western-centered discourses on education and sustainability. By sustainability, we refer to development that “meets the needs of the present generation without compromising the ability of future generations to meet their needs” (Brundtland, 1987, p. 15). It encompasses the social, environmental/ecological, economic, and cultural dimensions. This chapter focuses on the relationships among religion, ecological sustainability, and education. Initially, it reviews different disciplinary strands of literature on religion, ecology, and education to develop an analytical framework for understanding the role of religion in sustainability and education. The following sections will elucidate on the potential of comparative religions in ESD in Asia.

The Significance of Religious Perspectives in Understanding Asian Trends in Education Religion is a significant factor in people’s lives in Asia. According to Pew Research Center (2017), 84% of the world’s population of 7.3 billion had a religious affiliation in 2015. Of the 16% unaffiliated with any religion, some indicated belief in God or a higher power (Pew Research Center, 2015, p. 233). In Asia, statistics show parallel trends as to how people affiliate themselves to a religion. According to the Report Changing Religion, Changing Economies (Grim & Connor, 2015), the impact of

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Fig. 1 Different sciences that study ecology

Science Religion

Education

Ecology

religion is on the rise globally. By 2050, the number of people affiliated with a religion is expected to grow by 2.3 billion, from 5.8 billion in 2010 to 8.1 billion (see also Grim, 2015).The Report did not specifically analyze religions in Asia, but noted that the largest share of the world’s Muslims lived in the Asia-Pacific region, and the number of Hindus in the world is expected to grow by 400 million people between 2010 and 2050. The largest share of the world’s Buddhists lived in the Asia-Pacific region (notably China). Research on the intersections between religion, (environmental) sustainability science, and education is growing in various disciplines that have developed independently of each other (Fig. 1). Yet they are mainly based on Western scholarship. We review research from three fields: first from sustainability science; second from theology; third from (environmental/sustainability) education and comparative education. The purpose of the review is to elucidate the potential roles of religion through education for a more ecological citizenship. This chapter will attempt to fill in the gap by opening an interdisciplinary dialogue among these fields and finding their potentials and unique contributions in and from Asia.

Sustainability Science According to Koehrsen (2015), religion is at the deepest level to influence behavioral change yet it is often missing in the research on sustainability. Research from sustainability science circles tends to focus on system analysis and interventions, but seldom focuses on social spheres and actors that could indirectly influence transformation processes. O’Brien (2018) proposed three spheres of transformation: personal, political, and practical. Most interventions have focused on the practical level of sustainability policies. For example, the SDG Localization in ASEAN (UNDP, 2019) documented localization efforts which focused mainly on macro structures and institutional processes, failing to address culture as an important element. Yet what is missing is the focus on belief systems, which are always culturally embedded, that could lead to a more substantial transformation in a system. This refers to the personal sphere of beliefs, values, worldviews, and paradigms of thoughts. It is in these aspects that religion plays a role (Ives & Kidwell, 2019, p. 1359). Intersections of religion, spirituality, and social values answer the question: what are the processes for learning about, forming, or changing

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social values (Raymond et al., 2019, p. 1176)? According to Hand and Van Liere (1984, cited in Ives and Kidwell 2019, p. 1356), there is increasing attention on the role of culture, and its embedded beliefs and values, in influencing people’s behavior and their relations with nature. Ives and Kidwell (2019) further point out that the increased attention on the role of religion in promoting sustainability is reflected in growing research focused on religion and spirituality in defining social values for sustainability. Many research projects that adopt a religious focus have confirmed the positive correlation between religiosity and self-transcendence, a value which is positive for protecting the environment and social order (Schwartz & Huismans, 1995; Saroglou et al., 2004). Yet Ives and Kidwell (2019) caution that this positive relationship between religiosity and pro-environmental values is complex and may sometimes be presumptuous. This complex relationship is due to the complex nature of religion being embedded in the culture of the community upholding particularly religion(s), as mentioned above. Many authors adopt a view that religion may be understood as a complex, multiscalar, and multi-dimensional institutional phenomena. They conceptualize religious values as on three scales: individual, community, and formal institutional scales. The formal institutional scale refers to “public statements by major religions or denominations”; the community scale represents “the teachings and viewpoints of particular churches, temples or faith communities”; and the individual scale refers to “values held by individual members of these communities, which may be highly diverse and conflict at times with the values espoused at other scales” (Ives & Kidwell, 2019, p. 1358). Thus, for example, at the formal institutional scale is the Laudato si’ document by Pope Francis, which is then transmitted through the diocese to the faith communities; yet at the level of individual believers, there may be different interpretations or reactions, including not accepting part of the institutionalized dogma. These three levels interact with each other (reinforcing or contradicting) and with the secular contexts in which they are embedded. This means that the dissemination and mobilization of values are complex (Kidwell et al., 2018), and could be unpredictable. Yet, religious practices are still important and tend to mutually reinforce “behaviors and values (particularly when such behaviors include contemplation of scripture and teaching). In this way, religion is a powerful contextual and institutional influence on social values for sustainability” (ibid., p. 1359). Even though there are secularized individuals, they may still be influenced by the religious traditions subtly or unconsciously of the collectivity they belong to. Ives and Kidwell (2019, p. 1361) proposed to pay attention to local expressions of values embedded in religious contexts such as compassion and love instead of social psychological concepts of self-transcendence.

Theology and Philosophy We now turn to scholarship on religion and ecology emerging from theological research mainly in the West. Scholarship on religion and ecology has long been established in various ways in the West since the 1990s, such as eco-theology

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eco-sophy, religion, and economy (Grim & Connor, 2015; Grim, 2015). For instance, the Religions of the World and Ecology conference series, hosted by the Center for the Study of World Religions (CSWR) at Harvard Divinity School, was the result of research conducted at the CSWR over a three-year period (1996–1998). In addition, the Harvard conference and book series on Religions of the World and Ecology edited by Mary Evelyn Tucker and John Grim consists of ten volumes examining religious and philosophical worldviews and ecology. Nine out of ten volumes focus on religions that originated in Asia including Christianity and Islam. This work helped initiate religion and ecology as a new field of study. Such literature which employs comparative religions and spiritualities originating in Asia and their influence on ecology, are however less visible in Asian knowledge production. Le Duc (2017) concedes that in Asia, there is a less explicit distinction between religion – seen as institutional – and cultural traditions. This might account for the relative silence in Asian scholarship about religion and ecology in contrast to Western scholarship (including Asian scholars who work in and publish in North America) who actively engage with Asian religions and ecology. Le Duc (2017) proposes a three-pronged framework for exploring how the major religions in Asia can contribute to promoting environmental sustainability: (a) assessing the root cause of environmental destruction; (b) envisioning a religious-based approach to how human beings could relate to the natural environment; and (c) presenting how religion promotes harmonious human-nature relationships through a program of self-cultivation and self-transformation. Possibly one of the most comprehensive reviews of the literature on religion and ecology to date is by Taylor, Van Wieren, and Zaleha (2016). They reviewed over 700 articles from 1980–2015 covering Abrahamic and Asian religions as well as indigenous traditions. Their purpose is to determine the influence of religions on environmental behaviors. They categorized the articles into four genres and methods: (1) hortatory and normative; (2) historical and anecdotal; (3) qualitative/ ethnographic; and (4) quantitative/empirical. Overall, the results are mixed and inconclusive due to the complexity of religious dynamics and biocultural systems, as well as the lack of quantitative studies to establish whether and to what extent religion relates to pro-environment behavior. Religious ideas may hinder environmental concern, yet there is evidence that they may sometimes promote pro-environmental behaviors. Nevertheless, further research is needed on this topic.

Education and Comparative Education Education is a third field of study that examines the intersection between religion and ecology. Concretely, education’s sub-fields such as ESD, environmental education, and comparative education are pertinent here. From the field of environmental education and philosophy, scholars such as Bob Jickling, founder of the Canadian Journal of Environmental Education, has been an active critique of sustainable

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development as a limiting construct for education (Jickling & Wals, 2012). He revisits the purposes of education where most emphasis is given to preparing individuals for the economy, while relegating citizenship, humanities, philosophy, and ethics at the margins. He also argued that attention to normative issues – questions about value-laden issues – are under-represented in environmental education research, that is, a lack of intersection between education and environmental ethics (Jickling, 2009, p. 215). From another yet complementary perspective, Parker (2017) argued for the benefits of religious environmental education especially in a religious-based country (in her study, Indonesia). She cited Beringer (2006, p. 26) who called on environmental ethics (EE) to reintroduce religious-spiritual knowledge of nature, and to reclaim EE “embedded in timeless metaphysical, epistemological, and ontological understandings of the cosmos, and validating non-scientific ways of knowing.” In this regard, Parker (2017) further noted environmental education weakly engages with world religions. This statement confirms that there is a lack of interdisciplinary dialogue among scholars focusing on religion, ecology, and education given that theological and philosophical literature have been doing this work for almost two decades. According to Lee (2009), Asians have a strong belief in harmony, including human relationship and harmony with nature. Harmony with nature is a common belief in Taoism, Buddhism, Confucianism, and Hinduism. Thus, it would be easier to promote sustainability in Asia, if we appeal to their belief systems. Comparative education is starting to focus on ESD and climate change education (e.g., Silova, 2021; Komatsu et al., 2020b; Takayama, 2020), but is likewise late (or possibly reluctant) to engage with religion as a resource for sustainability education. Yet there are exceptions among contemporary comparative education scholars. Ruth Hayhoe has consistently recognized the role of religion in education and sustainable development (Hayhoe, 2019; Hayhoe & Manzon, 2021; Sivasubramaniam & Hayhoe, 2018). Therefore, there is a need to recover the dialogue with religions as Hayhoe reminds us: It is urgent that we bring issues of religion and spirituality into the heart of our comparative research. This will be crucial to realizing the Sustainable Development Goals set forth by the United Nations, also to peace building and the nurturing of citizens able to serve a global knowledge society. (Hayhoe, 2021, p. 81)

She explains her reason for invoking religion in comparative social and educational analysis. She recalls how Brian Holmes explained that what does not change, or what changes only very slowly, may provide the deepest insights into educational development (Hayhoe, 2021). Thus, being able to clarify core features of a persisting religious or philosophical system and identify its views of society, knowledge and the human person may provide deeper comparative insights than political or economic theories of change. This is similar to the cultural approach adopted in the volume edited by Yong Zhao et al. (2011), Handbook of Asian Education. These also

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relate to the literature on global citizenship which, at the fundamental level, poses “ancient and broad questions about how educational approaches and systems address questions of values and how that translates into educational practice” (Marshall, 2018, p. 185). The above review of research from three different fields builds the argument for rediscovering the role of religion in education for sustainability. Paradoxically, UNESCO’s (2021a) Reimagining Our Futures Together used the world “religion” only seven times and always associated with other categories such as race, gender, disability in the context of avoiding discrimination toward them as minority groups. Perhaps the document wanted to avoid polemics with the use of “religion” in its text, but instead called for a dialogue among cultures (UNESCO, 2021a, p. 116). The following section will focus on the lessons that can be learned from Asian philosophies and spirituality. These are deeply embedded in the cultures and educational values of Asian societies and peoples even if they are residing outside their home region. The major world religions were born and spread from Asia, and Asia also absorbed major religions from elsewhere, such as Christianity. They are characterized by an openness to transcendence. Often, the root of the world crises lies in human greed and selfishness, self-immanence. Religions, by contrast, teach us to relate with other beings and realities that are beyond the limits of the human subjectivity’s grasp and control. Religions naturally lead us to be open to a transcendent realm. The Latin root of the term “transcendence” is trans (across) and scandere (climb). Likewise, religious beliefs open our cognition to move across on an uphill climb to realities that cannot be grasped by our limited human senses and remind us that we are not the end-all and be-all of existence and destiny. These are important foundations for understanding educational values on which to build sustainable futures with Asian characteristics, as will be explained in the following sections. In addition, Asia is also a leading model of education and development, as well as points of reference for contextualized sustainability since these are more suitable to its cultures and issues (e.g., Chen, 2010). This exercise will not only benefit the Asian audience but also the world audience because Asians are now spread everywhere and they continue to be influenced by their traditional cultures that shape their educational philosophy and practices. This section aims to nuance the discourse on the futures of education in Asia. It will analyze the ontological and cosmological implications that shape the epistemological traditions in Asia, making its approach toward knowledge and education quite distinctive from the “West.” It will elucidate implications for educational concepts and practice for a sustainable present and future. It does so by rediscovering and highlighting the diversely rich cultural and religious traditions in the region as a method of inter-referencing to engage and enrich discourses on ESD and environmental education, and their implications for educational futures. In this aspect, it will tease out inherent cultural traits and values that contribute to sustainable futures and integral human development. In particular, it stresses on the interconnectedness and mutual respect among the human, non-human, and supra-natural worlds.

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Insights from Asian Religions and Philosophies Underlying the Educational Ideals Using the framework of Le Duc (2017), we briefly introduce some ideas from Asian religions and philosophies that can give fresh perspectives to education for sustainability. Le Duc’s three-pronged framework elucidates how the major religions in Asia can contribute to promoting environmental sustainability by: (a) assessing the root cause of environmental destruction; (b) envisioning a religious-based approach to how human beings could relate to the natural environment; and (c) presenting how religion promotes harmonious human-nature relationship through a program of selfcultivation and self-transformation. These are explained below. (a) Assessment of the root cause of the environmental crisis From a philosophical view, environmental ethicists point to ontological anthropocentrism as the root of the environmental problem. According to this stance, human beings are seen as at the center of the universe and all non-humans as subservient to human needs. Environmentalists critique this stance as dangerously leading to normative anthropocentrism which claims that only humans have intrinsic value while non-humans have instrumental value (Le Duc, 2017). However, from the religious viewpoint, Le Duc argues that the root cause is in the internal human moral and spiritual degeneration (the inner motive forces) behind our thoughts, words, and deeds (ibid., p. 49). This perspective is shared by Buddhism, Christianity, Hinduism, and Islam. To remedy this moral malaise, the world religions propose: Addressing the environmental crisis and issues of sustainability in the Christian framework, as in other religious systems, therefore, must first and foremost begin with realizing human spiritual failures (emphasis added) before devising ways to rectify this situation such as implementing ecological education, taking international action, and instituting structural reforms. Only when human spiritual issues have been addressed, do the means provided by the disciplines of science, politics, economics, etc., can be wisely employed to achieve the desired results for the well-being of humanity and the environment. (Le Duc, 2017, p. 53)

(b) Paradigm of human-nature relationship from religious perspectives The Abrahamic religions propose a three-term metaphysical paradigm: humans, nature, and God. It avoids the dichotomy between ecocentrism and anthropocentrism. Rather it is theocentric. God is over nature and over humans, while humans and nature are in a mutual relationship subjected to God as Creator. The rightful interpretation of the text from the book of Genesis is that human beings are no longer placed in positions higher than the other existent entities, but both under mutual relationship created by the same God who pronounced them as good. Like a fraternal relationship belonging to the same father, so are man and nature in God. This form of stewardship derives from two Genesis texts 1:26–27 and 2:7. “Ethical responsibility is not grounded in human will but in the demand of God, which ensures that it will be

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taken seriously by adherents of the religion” (Le Duc, 2017, p. 58). This idea resonates with Confucianism as Tu Wei-Ming affirms (1998, p. 17) that in Confucianism, “the full meaning of humanity is anthropocosmic,” not anthropocentric. It begins from the self and expands to the entire cosmos. Thus Confucianism, like the Abrahamic religions and other Asian traditions, promotes mutuality and harmony between humans and nature (Le Duc, 2017, p. 59). (c) Religions and self-cultivation for human-nature harmony Since the root cause of the world crises is the internal and moral degeneration in us human beings, as explained above, the solution lies in a deep internal conversion. In the religious sphere, this means that humans’ relationship with nature is a part of their moral obligations to God. Pertinent to the ecological crisis, Pope Francis thus invites people of good will to embark on an “ecological conversion” (Laudato si’, n. 217) whereby their faith is translated into deeds of being protectors of God’s created world. He affirms that “disinterested concern for others, and the rejection of every form of self-centeredness and self-absorption, are essential” (Laudato si’, n. 208), in order to show care for our neighbor and nature, as well as achieve lasting and authentic happiness. This is what deeply constitutes sustainable futures coming from the religious perspective, especially the Abrahamic religions (soteriology in Christianity and in Buddhism and Hinduism as from without) (Le Duc, 2017, pp. 61–62). In parallel, non-religious or non-theistic philosophical traditions such as Confucianism promote self-cultivation and self-transformation as the pathway to social harmony among humans, and humans with heaven and earth (Hansen, 2010, cited in Le Duc 2017, p. 62). The perspectives from religions and philosophies in Asia on ecological and social sustainability suggest that the solution to the world crises lies in a deep moral conversion of human beings. This will be achieved through a lifelong process of self-cultivation and self-transformation that overcomes individualism and materialism. Taking self-cultivation as the point of departure, the following section teases out the implications of the above on education. In particular, we draw on pertinent comparative research on citizenship education in Asia and how the “self” and the “individual” are cognitively and morally defined in contrast to their Western counterparts.

Being a Good Person as the Foundation for a Good Citizen There are both similarities and differences between conceptions of citizenship in the East and the West (Lee, 2004a). Common features include citizenship rights and responsibilities, and the relation between the state and the individuals. The differences are more at the conceptual level and the way citizenship is understood. Concepts of citizenship in the West, ranging from the classical approach where citizenship was a privilege to various liberal, social, nation-state and post-national theories, are largely characterized by state-individual concerns and therefore are

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fundamentally political. Discussion on citizenship in Eastern societies, however, is not bounded by these historical contexts, and the point of departure for discussing citizenship can be quite different. Rather than focusing on state-individual (and political) rights and responsibilities, discussion on citizenship in Eastern societies tends to be relationalistic. A typical citizenship curriculum in the Asia-Pacific societies is concerned with how one relates to self, others (such as family and friends), the state and Nature. One often finds significant emphasis on self-cultivation as well as harmonious relationships between the self and the others. In this view one has to be a good person in order to be a good citizen. The distinction between public and private virtues is often not clear-cut in discussions of citizenship in many Asia and Pacific societies. Referring to the notion of being a good person as a good citizen and applying Turner’s (1986) analysis of the various dimensions of “individual” – namely individualism, individuation, and individuality – suggests that there is more emphasis on individuality than on individualism in the Asia-Pacific literature on citizenship discourses.

The Asian “Self” as an Individual Citizen Indeed, rather than a dichotomy, Asians see the relationship between the individual and the collectivity as two sides of a coin in terms of citizenship. The two can mutually reinforce each other, or are related to each other as being on a continuum, with one end developing toward the other. There is a wealth of meaning in relation to the term “self” in the East. Self-cultivation is a term most commonly used that refers to a continuous process of self-enrichment. This self-enrichment is referred to as continuous self-improvement, self-advancement, self-actualization, and selfperfection; very closely linked to Western concepts of growth and actualization or realization. However, self-cultivation also contains moral and collective senses within it. Many of the studies on “self” in the Asian context, particularly in the Confucian tradition, discuss the concepts of “self” in ways very closely linked to the various aspects of citizenship. William Theodore de Bary (1983), in his exposition of the concepts of self in the Confucian tradition, points out that the term “self” is closely linked to concepts of liberalism: The zi of the ziyou in “liberalism” is a term for “self”, . . . In classical Chinese usage zi also has the connotation “from, in, or of itself”, much like our prefix “auto”. This sense of selforiginated or self-motivated gains added emphasis when used in combination with you, “from” or “out of.” (de Bary, 1983, p. 44)

Thus, according to de Bary, the Chinese equivalent term of liberty means from “within oneself” to “out of oneself” [ziyou], meaning an expression or realization of the internal originality and motivation. It is almost equivalent to the Western concept of liberty. Applying the concept to education, it is quite close to the Western concept of liberal education. In the Confucian tradition, the spheres beyond the “self within”

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and the “self without” refer to the social and national context in respect to humanity, and Nature in respect to metaphysics. Also, the term “nature” in Chinese, ziran, contains the prefix of “self,” and refers to what is so natural of the self as an intimate relationship between the self and Nature. This is a significant belief in Chinese culture (ibid., pp. 44–45). Similar beliefs can also be found in Taoism, Buddhism, and Hinduism.

Educability for All and Perfectibility for All That education enjoys special significance in the Confucian tradition rests upon the Confucian presumption that everyone is educable. Confucius himself set an example by never refusing to teach whosoever came with a nominal ceremonial tutorial fee. Indeed, one of his most famous sayings refers to education without class distinction. This is exemplified by the mixed backgrounds of his students, varying from children of noble families and rich families to those of obscure origins (Zhu, 1992). By saying that all are educable, it does not mean that Confucius ignored differences in talents and/or individual differences. He acknowledged the existence of individual differences, and that there are four types of capability in the context of learning: those who are born with knowledge (talented); those who attain knowledge through study; those who turn to study after having been vexed by difficulties; and those who make no effort to study after having been vexed by difficulties. In practice, very few (or even none) belong to the talented group; Confucius himself explicitly disclaimed himself as talented, but humbly associated himself with every learner that needed to learn in order to know. Further, he stressed that it does not matter whether you are born with knowledge, or you acquire knowledge by learning, or by taking pains to learn. Once you acquire knowledge, it is all the same (The Mean: 2014, XX.I 0). All this suggests is that differences in intelligence, according to Confucius, do not inhibit one’s educability, but the incentive and attitude to learn do. Therefore, although Confucius did not refuse to teach anybody who wanted to learn, he would have refused to teach a person who was not eager to learn. Confucius’ view on human nature was most inclined toward the educability of human beings: “By nature humans are nearly alike, but through experience they grow wide apart” (Analects: 2018, XVII.2). This statement implies the significance of environment, henceforth education, in personal development, and pushed Confucius to take the nurture side in the nature-nurture debate. While Confucius did not specify what human nature is precisely, his disciples have extremely diverse views. For example, Mencius claims that human nature is good, whereas Xunzi asserted that human nature is evil. But interestingly, both of them believed in the significance of environmental influence on education in the process of personal development. Mencius argued that human nature is good, born with compassion, a sense of shame (to misbehave), respect and the ability to distinguish what is right and wrong (Mencius: 2009, VIA.6). This makes all human beings potentially educable, and based on this premise the notion that “everyone can become a sage” emerges.

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The impact of the environment was interestingly reflected in one of the debates on human nature between Mencius and Xunzi. For example, Mencius referred to the possibility of environmental “pollution” to one’s good nature (Mencius: 2009, IIIB.6). This was illustrated by the parable of the Bull Mountain: “no matter how bountiful of trees the mountain is, if trees are hewn down day and night, it will turn out to be a barren rock” (Mencius: 2009, VIA.8). The reinstatement of the mountain’s original beauty requires much nourishment. Likewise, the reinstatement of a person’s good nature requires education (Mencius: 2009, VIA.11). This may be the earliest concept of sustainability in traditional Chinese philosophy. Although Xunzi, a critic of Mencius, held an opposing view on human nature, he shared the idea of human educability: Mencius said: ‘The reason why man is educable is that his nature is good.’ I reply: ‘It is not so. Mencius failed to understand human nature, failed to distinguish between what is congenital and what is acquired. Man’s nature as conferred by Heaven cannot be learned and cannot be worked for; whereas the rule of rites and righteousness, as formulated by sagekings, can be attained by learning and accompanied by work.’ . . . Sagehood is a state that any man can achieve by cumulative effort [of learning]. One may ask, ‘Why is it possible for the sage and not possible for the mass of people to make accumulations.’ My answer is that it is possible for anyone, but the mass does not use it. (Collected in Chai, 1965, pp. 235–236)

The idea that everyone can become a sage reflects a belief in human perfectibility (Tu, 1979), and this belief remains a characteristic of the Confucian tradition. For example, a clear statement is made by the Neo-Confucianist Wang Yangming: “The Teacher said, ‘There is the sage in everyone’. Only because one falls short of selfconfidence the sage is being buried” (Cited by Tu, 1979, p. 141). Inherent in the structure of the human, according to the Confucian tradition, is an infinite potential for growth and an inexhaustible supply of resources for development (Tu, 1979). The concepts that everyone is educable, everyone can become a sage, and everyone is perfectible form the basic optimism and dynamism toward education are embedded in the Confucian tradition. This may be the earliest concept of educational equality in traditional Chinese philosophy.

The Relationalistic Perspective of the Individual and the Collectivity De Bary (1983) argues against the tendency to apply a negative sense to the “self” in the Chinese tradition, such as selfishness and self-interest, and points out the many positive meanings of self inherent in the Chinese tradition. Ambrose King (1992, pp. 9–13), concedes that self in the Chinese tradition is not a passive individual in the collectivity. He further argues that the paradigm of collectivism and individualism is not helpful in understanding the position of the individual in the collectivity in the Chinese tradition, as the Chinese society is neither individualistic nor collectivist,

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but “relationalistic.” Humans are relational beings in the Confucian tradition. Relation governs the interactions between the individual and the collectivity. The relation-based social fabrics have also provided an insight into understanding a particular feature of the Asian culture, that is, harmony. Liang Shuming (2015), a Chinese cultural theorist, provides a very interesting analogy: facing a dilapidated house, Westerners would tear down and rebuild the house, but Easterners would learn to live in it or ignore the problem. Learning how to live in a condition less favorable is a means of maintaining harmony, which is a very significant goal or philosophy of life. Liang’s view of Chinese culture also coincides with King’s in that the Chinese maintain an ethics-based society (Liang, 2015). The term ethics in Chinese actually stems from the concept of relation. The emphasis on ethics or relations as a philosophy of life and social living explains a great deal why moral philosophy has been so elaborate in the Chinese intellectual history, as learning to live together and to live with one another in harmony is an a priori agenda of the culture.

Individualism or Individuality? Coming back to the notion of the self, it is quite clear that the way that the self is discussed in the East is very different from the notion of individualism. Turner’s classification of the self may be helpful for our discussion in this context. Turner (1986) distinguishes the discussion of self into three aspects, namely, individualism, individuality, and individuation. According to Turner, individualism is restricted to the notion of individual rights, mainly concerned with the nature of the external relations that connect individuals to society through a social contract and involving the analysis of the network of rights and duties which is seen to be essential to civil society. Individualism as a concept represents the opposition of the bourgeois to the feudal system, claiming God-given rights for all individuals despite their class origins. Individuality, by contrast, is a romantic theory of the interior and private nature of personal life. In the English context, it rose as a critique of the hedonistic view of motivation in utilitarian individualism. In the German context, it rose against traditional moralities and in opposition to middle-class hypocrisy. While individualism represents bourgeois’ opposition to feudalism, individuality represents literary elites’ opposition to the perceived threat of mass literacy, standardization, and commercialism. Individuation refers to bureaucratic practices and disciplines that individuate citizens for purposes of taxation, social regimentation, and political surveillance. The paradox of individuation is that while making people separate, it also makes them more subject to control and regulation. The three aspects of the self or individual depicted by Turner is again a Western prototype, with particular connotations developed from Western histories. So is the concept of democracy. Without the historical context, the discussion of the meanings of the terms can be meaningless. Looking at the ways that the “self” is discussed in the East as quoted above, it is obvious that the Eastern conception of the “self” does not fit into any of the three notions of individual that Turner has classified. Nevertheless, with such a framework as reference, it is helpful to associate the concept of

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the “self” discussed in the Asian context as much closer to individuality than individualism or individuation. Such a characterization of the self is helpful in interpreting some of the research findings on citizenship studies. Based on a research on Pacific-Basin Values Education, Lee (2004b) found that the three most important reasons to teach values as cited by the Asian educational leaders are, in rank order, “to provide a foundation for spiritual development,” “to increase the sense of individual responsibility,” and “to help young persons develop reflective and autonomous personality.” Obviously, personal qualities rank top as reasons for values education, even higher than collective concerns such as collective values, community development, and social and global concerns (Lee, 2004b).

Spiritual Development From the interviews conducted in Hong Kong, the educational leaders expressed that building moral and spiritual values is intrinsically important for youngsters in their development because, as many of them said, “their intrinsic values determine the directions of their development” (Lee, 2004b, p. 191). Values education is regarded as a significant foundation for building these values, and for helping the youngsters develop a reflective and autonomous personality as well as critical thinking. These dispositions are essential qualities for making wise judgments. However, the interviewees also expressed disappointment about the promotion of critical thinking in schools in practice. They considered that schools are in general conservative, teaching is too didactic, and critical thinking is not encouraged. Overall, whether arguing from an individual perspective or from a collective perspective, the individual and the collectivity are considered to be inseparable, complementary, and mutually reinforcing each other. It is interesting to note that “spiritual development” was ranked top in the PacificBasin Values Education Research, but “religious values” were ranked at the bottom (Lee, 2004b; see Table 1). There must be a distinction between “spiritual” and “religious” values in the mind of the respondents, and this should be an important issue for further study. At this junction, the association of the choices can give some hints in interpreting the relationship between spiritual and religious values. We can infer that “spiritual development” may refer to the kind of quality closely associated with independent thinking and reflectivity. This interpretation is supported by Lee’s

Table 1 Reasons for values education (by rank order) Most important reasons 1. To provide a foundation for spiritual development 2. To increase a sense of individual responsibility 3. To help young persons develop a reflective and autonomous personality Source: Lee (2004b, p. 190)

Least important reasons 15. To combat ecological abuse 16. To promote world peace 17. To improve respect and opportunities for girls and women

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interview findings, as the interviewees also associated critical thinking with autonomy and reflection (ibid., pp. 144–151). To quote: Most important, with the acquisition of intrinsic values, students can learn how to analyze and make rational decisions against outside influence. (p. 144) We should hold an attitude of critical thinking and decide what to take and what to drop. . .. One would accept this value after critical thinking. Hence, it is very important for the youth to think critically before proceeding. (p. 151)

In fact, this is what the study of values should mean. Axiology, that is. the study of values, starts with an axis, and this axis is the fundamental direction of the self. When the Chinese language talks about self-cultivation (xiushen), self-reflection (zixing), self-discipline (zilu), taking it upon oneself (ziren), getting it by, or for, oneself (zide), self-enjoyment (ziqian) etc., all these form the fundamental axis for one’s thinking and choices. If self means auto, an autonomous person in the Confucian tradition contains all these qualities. To de Bary (1983), this is what a neo-Confucian autonomous mind should possess: self-consciousness, critical awareness, creative thought, independent effort, and judgment. While the West focuses on individualism in terms of individual rights and individuation in terms of individual responsibility in its political and citizenship development, the East may have focused upon the development of individuality in its history. This divergence produces fundamental differences in citizenship concepts. The former is political (in terms of rights) and bureaucratic (in terms of the political system), but the latter is apolitical, focusing on self-enrichment which may or may not lead to political ends. To the Eastern citizens, their main concern is to maintain good relationships with people and Nature, and pursue their individuality (in terms of spiritual development or self-cultivation). With this background in mind, it has become easier to understand several features of citizenship education in the East. First, rather than talking about politics, citizenship education in the East talks about morality. “Civics” always goes with “morals” in the East; thus, civic and moral education is a term more commonly used than civics education or citizenship education in Asian countries. Second, many Asian countries would tend to focus on the development of individuality (as far as the self is concerned) and relations (as far as the society is concerned) in citizenship education.

Conclusion: The Significance of a Religious Lens in Understanding Asian Perspectives of Education and Sustainable Development The above discussion on the fundamental concepts of self, individuality, self-cultivation, relationalistic harmony also applies to the conception of Nature in Asian philosophies. Confucianism and Daoism do not mention God, but they both have God-like concepts. This God-like concept is expressed as Heaven in Confucianism. Confucius, when reflecting upon his life experience has mentioned that when he

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reached age 50, he began to know the “will of Heaven” on him, and one of the emphases in Confucius’ teaching is the significance of knowing the will of Heaven for each person. According to Confucius’ philosophy, there is a purpose of life for everyone, and if we can know the will of Heaven on us, we can act accordingly. Mencius, the disciple of Confucius, also taught the significance of reflection, and by reflection, we will have a transcendental touch with Heaven and will be inspired to advance self-understanding. The God-like concept of Daoism is Dao, which means the truth (or the right way). A significant emphasis of Daoist theories is to seek harmony with Nature, which is Dao. Buddhism is both a philosophy and a religion, with concepts of God. However, the “God” of Buddhism is also more like the Nature of Daoism than the personalized God in Christian beliefs. It is more correct to say the Buddhist God is closer to a kind of cosmological belief. Common to Confucianism, Daoism, and Buddhism is the emphasis on harmony with Nature. As mentioned above, learning how to live in a condition less favorable is a means of maintaining harmony with Nature, which is a very significant goal or philosophy of life in Asian philosophies (Liang, 2015). The need to live in harmony with Nature has been an Asian wisdom stemming from the long philosophical traditions across many Asian countries. It has only been recently realized in the West that its negligence is the fundamental cause for the failure in promoting sustainable education. A recent UNESCO (2020) Report entitled Learning to Become with the World has made a strong critique that for long human beings have been treated as separate from Nature which requires a paradigm shift toward understanding the need to become with the world, if we want to succeed in our sustainable effort: We are an inseparable part of the ecosystems we have perilously destabilized and which now threaten life on Earth as we have known it. Second, that any attempts to achieve sustainable futures by continuing to separate humans off from the rest of the world are delusional and futile, even if the intentions are well meaning. And third, that education must play a pivotal role in radically reconfiguring the ways we think about our place and agency within this interdependent world, and therefore the ways we act. This requires a complete paradigm shift, from learning about the world in order to act upon it, to learning to become with the world around us. Our future survival depends on our capacity to make this shift. (UNESCO, 2020, p. 3)

References Analects by Confucius, The. (2018). New Modern Edition (J.McNeill,Trans.). Bottom of the Hill Publishing. Beringer, A. (2006). Reclaiming a sacred cosmology: Seyyed Hossein Nasr, the perennial philosophy, and sustainability education. Canadian Journal of Environmental Education, 11, 26–42. Brundtland, G. H. (1987). Our common future: Report of the world commission on environment and development. United Nations. Chai, C. (Ed. & Trans.). (1965). The humanist way in ancient China: Essential works of Confucianism. Bantam Books. Chen, K. H. (2010). Asia as method: Toward deimperialization. Duke University Press. De Bary, W. T. (1983). The liberal tradition of China. The Chinese University Press.

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Education Research in Asia as “Method”

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Hongzhi Zhang and Philip Wing Keung Chan

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Idea of “Asia as Method” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Key Concepts: Translation, Base Entity, and Inter-Referencing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Enactment of “Asia as Method” in Different Fields of Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cultural Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Science and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Film/Literature/Music/Legal Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Findings and Discussions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Building Up a New Research Imagination Beyond the East and West Dichotomy . . . . . . . . . Repositioning Researcher’s Subjectivity and Identifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methodological Hesitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

The rise of Asia has fueled great interest in the region across all fields of study, including Asian cultural studies, arts, and education. Yet Asian intellectual traditions are slow to gain traction in the academic world. Asian scholars continue to travel to Western nations to pursue doctoral studies and to learn from Western academics. While many Asian scholars research policies and practices in their own countries, they readily pick concepts and theories from Western literature as the theoretical frame to analyze data generated from their home countries in Asia. Such practice not only undermines the richness of the local context in Asia but

H. Zhang (*) · P. W. K. Chan School of Education, Culture and Society, Faculty of Education, Monash University, Melbourne, VIC, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_8

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also reinforces the universality of Western theories to explain observations beyond Western societies (Chua BH, Inter-Asia referencing and shifting frames of comparison. In The social sciences in the Asian century, ANU Press, 2015). Our research is influenced by the approach taken by Chen (Asia as method: toward deimperialization. Duke University Press, Durham, 2010), who argues for critical studies of Asia using “Asia as method” to rethink the process of knowledge production in sociocultural research. Based on a focus group interview of HDR education students (N ¼ 6) in an Australian university, this chapter reports on benefits and difficulties of deploying Asia as Method in the students’ research projects. This chapter argues that Asia as Method provides a new research imagination for HDR students to bring Asian knowledge, traditions, wisdom, and values into Western-dominated intellectual discourse of educational research. This chapter further investigates the difficulties encountered by research participants and strategies they used when they applied Asia as Method in their research. Keywords

Asia as method · Educational research · HDR students · New research imagination

Introduction Asia is now home to more than half the world’s population. The overall economic status of people on the Asian continent has climbed from low to middle income within a single generation. By 2040, it is likely to generate more than 50% of world GDP, and could account for nearly 40% of global consumption (McKinsey Global Institute, 2019). Asia is now the main growth engine of the world, with scholars proclaiming that the West’s centuries-old status as the center of global wealth and power is coming to an end, and that the Asian Century has arrived (Mahbubani, 2018; Khanna, 2019). The swift rise of Asia has fueled great interest in the region across all areas, including Asian cultural studies, arts, and education. Yet Asian intellectual traditions are slow to gain traction in the academic world. It is not uncommon to hear Asian scholars lament about the dominance of intellectual traditions from the West (Zhang et al., 2015). While many Asian scholars research policies and practices in their own countries, they readily pick concepts and theories from Western literature as the theoretical frame to analyze data generated from their home countries in Asia. In doing so, the complexities and nuances of the local data are often ignored, so that the data can “fit into” and be explained using the selected Western theories (Chua, 2015). Such practice not only undermines the richness of the local context in Asia, but also reinforces the universality of Western theories to explain observations beyond Western societies (Chua, 2015). Moreover, opportunities are missed for Asian scholars to bring Asian ideas, knowledge, and values into intellectual discourse.

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Asian scholars continue to travel to Western nations to pursue doctoral studies and to learn from Western academics. In the field of education, numerous students from various regions of Asia are pursuing research degrees throughout the world, but mainly in the United States of America, the United Kingdom, Europe, Canada, and Australia. Graduate research student colleagues from a variety of Asian countries indicate that they frequently, but not always (see O’Sullivan & Guo, 2010), face similar issues to those from Asian countries, who tend to focus their research on educational issues in their home countries, rather than their host countries. They frequently employ what we will refer to as “western” concepts and theories to interpret these issues, meaning that their research on Asian education tends to be conducted “through western eyes”: when Asian PhD and Master’s students come to Australia, they are frequently encouraged to study their own country’s educational practices and systems through a “western” lens. This chapter aims to explore the experience of PhD students who are studying at the Faculty of Education, Monash University while researching educational issues in Asian contexts. This chapter aims first to set out our understanding of Chen’s main ideas of Asia as Method, second to systematically review the literature on how Asia as Method has been employed in various fields of studies, third to introduce the methods of data collection and analysis of our study, and, fourth, to shed light on the benefits and difficulties and, possibly, limitations of Chen’s work for educational PhD students. The main research question is: How do education research students conceptualize the various ways in which they can use Asia as method in their research studies? Three sub-questions are as follows: • What is their perception of Asia as method for conducting educational research? • How has Asia as method influenced their doctoral studies? • What are the difficulties and solutions associated with employing Asia as method in their research?

The Idea of “Asia as Method” Chen’s book, “Asia as method: Towards Deimperalisation” was released at a time coinciding with the increased prominence of Asia on the world stage. His provocative ideas have inspired scholars researching Asia, to look within Asia for their frame of reference and to interact with the rest of the world about Asian knowledge and values. Taken together, these developments could also offer hope for Asia’s status to evolve from being merely a recipient and user of Western knowledge to one that is also an active contributor to global knowledge. Chen (2010) insists that studies of Asia studies move beyond their paralyzing Western focus as either a positive or a negative referent, and that they build their own standpoints, reference points, and research agendas. The implication of ‘Asia as method’ is that using Asia as an imaginary anchoring point can allow societies in Asia to become one another’s reference points, so that the understanding of

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To Chen (2010), the practice of using of Western methods to analyze Asia data is akin to using the wrong lens to interpret and explain Asian phenomena, and they provide a wrong frame of reference for Asian countries. Based on his concepts of “Asia as method,” Chen (2010) calls for the generation of knowledge and values that are specific to the Asian regions. He proposes: [using] Asia as the ‘method’ or an imaginary anchoring point and that societies in Asia can become each other’s points of reference, so that the understanding of the self may be transformed, and subjectivity rebuilt.’ (p. 212)

He urges Asian scholars to ground themselves in the cultures of their own countries and to reference other Asian countries with similar history and context when engaging in research, causing a shift in frame of reference. To do this, he puts forward two strategies – self-reflexivity and inter-Asia referencing. According to Chen (2010), self-reflexivity relates to interventions in local spaces, taking into consideration historical narrative, experience of colonization, imperialization, and cold war in the local context, while inter-referencing operates at the regional level, whereby societies in Asia become each other’s points of reference. “Asia as method” offers a new imagination of study that extends beyond a constant reference to the West toward alternate viewpoints, with Asian history, politics, and culture as main points of reference (Zhang et al., 2015). In many Asian educational contexts and in much study on these contexts, the so-called Western theories are frequently applied in an unproblematic manner, with much too little attention being paid to where these ideas originate and how they are interpreted in Asian educational contexts, with inadequate attention being paid to the so-called non-Western educational thinking and practice. At the same time, the authors have also become aware that people in some of these contexts would reject Western knowledge unproblematically and mobilize somewhat restricted notions of local knowledge and wisdom. What has become apparent to us is that no concepts or ways of thinking are as straightforward or innocent as they might first appear. These meta-notions of “west” and “east” and “Asian” must be viewed with special caution, owing to the nuances that they obscure. This chapter responds to Chen’s invitation to move beyond Western obsession and instead to undertake educational studies in Asia that recognize the complex links between history, geography, culture, and knowledge in and about education. In other words, it views Asian education studies from an Asian viewpoint – completely understanding the manner in which Asian education systems, policies, and activities have interpreted Western awareness differently in relation to their own unique changing societies, contexts, and policies. Employing “Asia as method” in this research suggests the value of starting where people are, not where theory or critique

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would like them to be. It also points to the fact that different institutional and personal situations offer different affordances for this sort of research, and that these need to be taken into account.

Key Concepts: Translation, Base Entity, and Inter-Referencing Asia as method has been conceptualized by different scholars. However, this section focuses on unpacking three major concepts: Translation (Asia and West), Base entity (cultural tradition), and Inter-referencing (Asia and Asia).

Translation To assist us to rethink and reinvestigate traditional cultures in the dialectical dialogue with the West, Chen provides the notion of “translation” that, “gives us a way to conduct reinvestigations that allow the organic shape and characteristics of local society and modernity to surface” (Chen, 2010, p. 244). How does translation play its role in the dialectical dialogue between exotic cultures and local tradition? Chen explains that: The object to be translated has to be subjected to existing social forces and must negotiate with dense local histories if it is to take root in foreign soil. What comes out of this long process of negotiation is not what was imagined at the initial moment of translation at all, but a localized product of this blending process. (2010, p. 244)

We can see, therefore, that the object of translation has to be subjected to both the “local” and the “foreign,” and the process of translation usually involves dialogue and negotiation between exotic cultures and local traditions/wisdom. How, then, does translation actually happen? Chen (2010) posits that translation is a progression of both “negotiations” and “blending” between the “local” and the “foreign,” rather than a simple act of one toppling the other. It occurs through two-way, simultaneous processes. Translation as a guiding concept brings to the fore the manner in which existing regionally based local society is articulated to, and often overdetermined by, the forces of modernity. Or, to put it another way, it invites us to explore the ways in which aspects of modernity are articulated to what was/is already there – all the while keeping in mind that “negotiation” has not occurred on equal terms.

Base Entity Chen (2010) employs the concept base-entity to assist us to think about how we might best understand what I have referred to above as “existing local society.” It is important not to romanticize and essentialize such societies, nor to treat them as if they are fixed over time. The concept base-entity seeks to avoid such problems and to deal with the difficult paradox that certain constancies are constantly evolving. He says:

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H. Zhang and P. W. K. Chan Each geographic space – be it village, city, region, country, or continent – has its own baseentity and local history with different depths, forms and shapes. The methodological questions are: How can these base- entities be analyzed in terms of their internal characteristics? How can we best identify and analyze the interactions between and among different base-entities? (2010, p. 251)

The base-entity in each continent, country, region, city, and village is different. Therefore, it creates different forms of localization in each geographic space. Consequently, scholars in each country will search their local theories, thoughts, or daily language to explain current local phenomena.

Inter-Referencing Chen (2010) proposes de-binary thinking as a method for decolonization and deimperialism by proposing international localism. This is local, but also transborder and regional. The main point, though, is that it involves inter-referencing (2010, p. 223). Here, Asian countries, Asian base-entities, become each other’s reference point; they provide each other with new opportunities for comparison, other than the constant comparison with the West. The purpose of the inter-referencing approach is to avoid judging any country, region or culture as superior or inferior to any other and to tease out historical transformations within the base-entity, so that the differences can be properly explained. (2010, p. 250)

As Wu (2015) indicates, Asia as method aspires to move the locus of power within Asia through inter-referencing. By establishing new intellectual alliances inside Asia and the Third World, the West’s hegemony as the single referent will be challenged; alternative viewpoints will be established, and subjectivity will be reshaped. However, Vu and Le (2015) remind that Asia as Method does not seek to demolish or eradicate the West as method, but rather acknowledges the West as a source of enriching knowledge, while also relying on other frames of reference to modify our subjectivities and worldview. According to Chen, we should recognize the West’s influence on Asian countries and investigate how the West has been understood and remade in local society. We certainly acknowledge the importance of inter-referencing and using Asian references, while, at the same time, concede that this is not all there is to the notion of inter-referencing, as argued and illustrated in the evocative collection edited by Ong and Roy (2011). Focusing on the urban, Ong and Roy argue in their introduction (2011, p. 12) that inter-referencing refers to “practices of citation, allusion, aspiration, comparison and competition.” This suggests the importance of avoiding reductionist notions of what inter-referencing might mean. Further, it has to be said that, when the focus is on inter-referencing only in Asia, the collaboration between Asian and Western research seems to be forsaken, while, concurrently, the binary logic we referred to above is implicitly reinforced. Inter-referencing is about multiplying our conceptual resources, not restricting them to one part of the

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world in ways that may, unintentionally, reinforce modes of territorial apartness (Chan et al., 2015). To conclude this section, Asia as Method can contribute to academic understanding on certain issues. For example, Biggs and Watkins (1996) proposed the concept of “Chinese Learners,” finding that what Westerners generally see as not favorable learning approaches, such as rote learning and large class learning, can in fact produce deep learning and learning outcomes better than those for comparative western cohorts. Theodore de Bary (1983) in his book Liberal Tradition of China analyzed the linguistic meaning of self and found that the concept of self is equivalent to Western concepts of autonomy and liberty. Kennedy et al. (2012)’s Citizenship Pedagogies in Asia-Pacific solicited 13 Asian chapters, expounding on citizenship pedagogies adopted in the respective countries, with very interesting findings. Even in authoritarian states, teachers were exercising their autonomy to teach independent thinking, and there are always contests and contentions between teachers and states in the interpretation of the curriculum and teaching approaches. Lee (2012)’s concept of Asian citizenship found that the Asian self is not submerged by the collectivity, as there is strong emphasis on individuality, rather than individualism. Furthermore there is a strong emphasis in Asian cultures on relations and harmony that affects perceptions and behavior among Asians and the relationship between government and citizenship. Lastly, Lee and Mak (2010), analyzing comparative education journals in China, found that Chinese scholars have been struggling with whether they should uphold Chinese as Method and/or absorb West as Method. This shows self-awareness among Asian academics as to whether they should use their own methodology or Western methodology in their research studies.

Enactment of “Asia as Method” in Different Fields of Studies In a search of key terms such as “Asia as Method” and “Chen Kuan-Hsing,” plus combinations of these terms with alternative expressions, such as “as Method” and “Asia Method” in the ERIC, ProQuest and A+ databases, a total of 53 documents, including articles, dissertations, books, and book reviews surfaced. Upon deleting any duplications, excluding books, book reviews, and commentary, the search yielded 30 unique results relevant for this chapter. Table 1 below is a summary of the 30 articles categorized according to their area of research focus: Chen’s concept of “Asia as method” can be found in works that span across different domains and fields of study, which is evidence of its appeal among researchers. While the influence of Chen’s work is still in its infancy stage, based on the limited cache of 30 articles that we have unearthed for this chapter, we have good grounds to believe that his concept of using “Asia as method” will gain traction in the world of academia against the backdrop of a rising Asia. The following sections discuss the application of Chen’s concept of “Asia as method” that were found across different fields of studies at the time of writing this chapter.

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Table 1 Summary of articles categorised by research themes Themes Curriculum and Education

Cultural studies

Science and Technology Film studies Literature studies Music studies Legal studies

Author(s) Bae and Dimitriadis (2015), Blaise et al. (2013), Burman (2019), Daza (2013), Lee (2019), Lim (2016), Lin (2012), Park (2017), Rhee (2013), Takayama (2016a, b), Yelland and Saltmarsh (2013) and Zhang et al. (2015) Antweiler (2020), Chu (2011), Fujikane (2012), Iwabuchi (2014), Kim (2017), Lo (2014), Maeda (2017), Morris (2017), Schäfer (2020), Subrahmanyam (2016) and Yue (2017) Anderson (2012, 2018), Fan (2016) and Morita (2017)

Number of articles 13

11

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Neves (2012) and Ferrari (2017) Rojas et al. (2016)

2 1

Fung (2019) Lee (2016)

1 1

Education Childhood and Educational Studies Chen’s concept of “Asia as method” has generated significant interest among researchers in the field of curriculum and educational studies. Within the area of childhood and educational studies, it has been applied across Hong Kong, Singapore, and South Korea (Blaise, 2012), in distinctive and historically grounded East Asian understandings of gender inequality in the early years. Chen’s concept of de-colonizing and de-imperializing in “Asia as method” has been also considered in the development of new reflexive and transformative knowledge practices about literacy activities. The research, which took place in the context of a Hong Kong kindergarten classroom, turned to Chen’s concept of “Asia as method” as the researchers felt that the Western understanding of literacy learning does not describe what happened in the Asian context (Blaise et al., 2013). In the same way, Chen’s concept was drawn upon to elaborate on innovative methodologies for ethnographic and cross-national comparison of childhood and educational contexts for the Global Childhoods Project, which was initiated by a group of researchers from Hong Kong, Japan, Korea, Taiwan, Malaysia, Thailand, and Australia. A central premise of the group is that researching global childhoods is best conducted by local researchers with knowledge of their own culture and contexts (Yelland & Saltmarsh, 2013). Other researchers have drawn inspiration from Chen’s work in the development of their own methodological framework. For example, Burman (2019) referred to Chen’s “Asia as method” when she proposed “Child as method,” a framework to analyze the notions of “child” and “development.” She draws a parallel between the two “methods” in her argument that similar to the notion of colonization in Chen’s work, children’s lives, subjectivities, and aspirations are dominated and colonized by

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adults. She argues for a more child-centered view and to consider child development across economic, sociocultural, and individual trajectories.

Curriculum and Pedagogy Chen’s concepts have featured in curriculum analysis and discourse in several education systems across Asia. For example, in her analysis of the content of South Korean high school social studies textbooks, Rhee (2013) applied Chen’s Asia as Method as she moved away from fixating on the West as a reference point. She worked to produce geo-historically grounded knowledge for specific interventions at this mediating site, moving toward decolonization, de-cold war, and de-imperialization. In the process, she discussed how Asia as Method provokes political, psychological, and social engagements of everyday life, multiplies reference points for knowledge production, and requires a researcher to rework one’s subjectivity, which is inevitably constituted by imperialism. Other Korean scholars have also critically examined Chen’s concept and argue for its viability in the context of the Korean education system, as well as its potential contribution to the field of education in content, pedagogy, and knowledge production (Lee, 2019; Park, 2017). In Singapore, Lim (2016) drew on key ideas in Asia as Method in exploring the tensions that arise when a curriculum centered on critical thinking, which is appropriated from Western knowledge traditions that favor autonomy and liberalism, is introduced in a meritocratic and rigidly hierarchical Asian society such as Singapore. Teacher Training, Development, and Research Beyond the field of curriculum, Asia as method has served as a reference point for analyzing teacher training across national contexts (Cheng, 2015) and other pedagogical and educational transnational dynamics (Takayama, 2016a, b), as well as curricular applications in both teacher education and schools (Daza, 2013; Lin, 2012), and in education research (Chan, 2012; Takayama, 2016a, b; Zhang et al., 2015). For example, Takayama (2016a, b) explores the ways in which Japanese education research communities can reposition themselves in the wider international education research community by looking beyond the West as method and considering “Asia as method.” This is a possible strategy for alternative knowledge work, which recognizes the ambivalent epistemic location of Japanese education scholarship.

Cultural Studies Asia as method has generated significant traction in the field of cultural studies in which Takayama works. Published work in this area ranges from critical discussion on key concepts (Lo, 2014; Iwabuchi, 2014), argument for new epistemologies and approaches in the field of Area Studies (Antweiler, 2020; Schäfer, 2020), and the application of Chen’s ideas to examine social phenomena (Fujikane, 2012; Yue, 2017). For example, Fujikane (2012) examines the decolonizing and deimperializing

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movement in Asia and the Pacific, underscoring the need for Asian American settlers to challenge the US settler state and its assault on indigenous peoples and to enact a future beyond empires. While the recent transgender turn in the West has resulted in trans-visibility and acceptance, Yue (2017) argues for a different model to consider the narrative of progressive modernity based on the experience of trans-visibility in Singapore, one that does not replicate Eurocentric ontology. While they have not directly applied Chen’s work in their research, several scholars have been inspired by his work when conceptualizing their own “method” of research (Chu, 2011; Kim, 2017; Maeda, 2017; Morris, 2017).

Science and Technology In the field of science and technology, scholars have sought to examine the development of science and technology in Asia through an Asian-centric lens by considering the distinctive context, focusing particularly on the historical formations of science, technology, and medicine in the region (Anderson, 2012, 2018; Fan, 2016; Morita, 2017). Using Chen’s Asia as method, Morita (2017) offered an Asia perspective in the understanding of Chinese medical practice in the region.

Film/Literature/Music/Legal Studies Beyond the above field of studies, “Asia as method” has been featured in areas such as film studies. Taking film festivals in Asia as its chief example, Neves (2012) examined the idea of inter-Asia referencing and looked at the often-critiqued practice of taking Asia as data or source material and the West as method or theory. Like other scholars in the field of film studies, he advocated for using Asia as a reference point for studies on Asian films and cinema studies in Asia. A theatrical application of Chen’s concept is found in Ferrari’s (2017) Toki Experimental Project, where she takes part in Asia as method’s effort toward “decolonization, deimperialization, and de-cold war” through aesthetic and epistemological deconstruction, endorsing a dialogic model of intercultural performance as a form of inter-Asian relations. In literature, Chen’s Asia as method provided a reference point for the analysis of local Malaysian Chinese literature (Rojas et al., 2016). In music studies, Fung (2019) has observed the lack of suitable concepts, vocabulary, and theories that can accurately elucidate Asian music. Fung points out that this, combined with the fact that studies of Asian popular music are minor voices in the global academic discourse, has resulted in the doubled exclusion of both Asian music and its scholarship. Whenever Asian music has to be explained, it has to be artificially dovetailed with concepts of Western music. The result is that the application of these concepts to Asian music often reaffirms the robustness of these Western concepts instead of revealing the

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specificity of this music. Finally, in human rights studies, Lee (2016), through an application of Chen’s (2010) Asia as Method, critically reviews how global LGBT politics interact with Asian societies that are influenced by Confucianism. Chen’s Asia as method seeks to transcend the established East/West axis that has continued to empower West as method as the dominant mode of knowledge production. Recent work has shown a small but increasing number of Asian scholars taking up Chen’s proposal to consider the unique histories and cultures of Asian societies, while acknowledging the West as constitutive of Asian subjectivity when analyzing situations in Asian societies. The cache of 30 articles presented in this chapter represents a small step toward this endeavor.

Methodology This chapter utilizes a critical interpretive research methodology to examine the data that will enable researchers to make sense of and interpret the interests, concerns, and solutions of research students when they rethink the process of knowledge production during their studies at Monash University. This is a qualitative case study of six postgraduate research students (five PhD and one Master’s) in the Faculty of Education, Monash University. These research students were invited purposefully to participate in this research because their research projects are connected to Asian contexts. Their nationalities are diverse and the group includes one Australian, three Chinese, one Singaporean, and one Vietnamese. Before beginning the data collection phase, the researchers applied for and received ethics approval from the Monash University Human Research Ethics Committee to guarantee that participants were safe, information was confidential, participation in the study was voluntary. The 1-h Zoom session was recorded, transcribed verbatim, and provided to each participant for review. The transcripts were then anonymized and subjected to thematic analysis (Braun & Clarke, 2006). The thematic data analysis began with a review of the final transcripts to identify and manage emerging themes. During this step, literal interpretive readings of the data based on Saldaña (2016)’s affective coding technique were used. By labeling with codes subjective human experiences, such as values, attitudes, evaluations, judgments, decision-making processes, reasoning, and emotions, this method was used to research or explore the concept and enactments of character education (Saldaña, 2016). Finally, the researchers used reflexive reading to develop arguments, in which they critically reviewed and located their own perspectives and theoretical underpinnings during the data analysis process (Seidman, 2006). During this phase, the results of data analysis were juxtaposed with the relevant literature of “Asia as method” in multiple disciplines. Two main themes and five subthemes were identified. The two main themes are theoretical imagination and methodological hesitation.

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Findings and Discussions Building Up a New Research Imagination Beyond the East and West Dichotomy Chen (2010) argues for a new research imagination that extends constant referencing of the West toward alternative perspectives, with Asian history, politics, and culture as key reference points. He offers, instead, a range of standpoints and concepts to assist scholars (such as, Lee, 2019; Lim, 2016; Park, 2017; Rhee, 2013; Takayama, 2016a, b) to move beyond such impasses. This has inspired researchers in various areas to try to develop a fresh research imagination (Chu, 2011; Kim, 2017; Maeda, 2017; Morris, 2017), which also helps us to clarify and address our concerns about “East and West” in education studies. Sandra is doing her PhD on Asian Australian immigrant teachers. She comes from Singapore, a postcolonial context. Just as they are for many others who live in postcolonial countries, Western theories are the “default” ones for Sandra. So even from my educational days, and my teacher training days, and subsequently, when I did my master in Singapore, we have always made references to western theories. So in our studies on pedagogy practices in school, teaching strategies to be used in school, we seem to import all these theories from western centric setting, so theory from the US, theory from the UK, and we import these theories into our teaching practices and to implement them on our students.

Due to her postcolonial educational background, Sandra never previously questioned the so-called “default” Western theories in her educational and teaching experiences. We assume that these theories can be implemented across the contexts, even though Singapore is, theoretically, an oriental society, we are majority Chinese, but yet, we have this assumption that the importation of western theories will benefit our society, just like they have benefited the western society.

This was until recently, when she started reading about “Asia as method,” But as I progressed in my research and researching Asian teachers, I realized that many of my Asian teachers’ beliefs and values are anchored in the Asian ways of doing things and also influenced by their Asian cultural context. And many of these Asian cultural contexts cannot be explained using western theories. So the use of ‘Asia as method’ lens, as an alternative lens to cast light on some of these findings have been very enlightening.

For Sandra, the idea of Asia as method “has been eye opening.” It opens up a different perspective on how she views this whole complexity in education. At the same time, Asia as method also helps to explain many research findings of her PhD

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project, since Western theories do not inform what happens in the Asian context (Blaise et al., 2013). Different from other participants, Jodie is a local Australian PhD student who is looking at an international school in China for local Chinese students through the lens of Western theories. She didn’t know much about “Asia as method” in the beginning. But when she started to become familiar with the concepts, her initial thoughts, from a Western perspective, is that, ‘Asia as method’ encourages the use of using Asian theories and concepts in the Asian context to help understand the research that is happening in that context. And it’s useful for me as a foreign researcher, for me to look back at my own research, and what biases I have and to overcome any deficits that may come through on western theories.

And for Jodie, “Asia as method” provides an opportunity for her as a researcher in Asian education with a Western cultural background to be flexible in the use of conceptual tools. Even though Jodie is not using the specific concepts of “Asia as method,” she is drawing on the theory of cultural logic (Ong, 1999), which introduces the idea of using specific Chinese concepts in her theoretical framework to analyze the data. By using the Chinese concept, Suzhi, Jodie explores her data and provides in-depth analysis. As Jodie indicated, “... by using this Asian method, I can justify my theoretical constraints and say that these are more important than western theory because it provides a deeper analysis.” When Jodie reflected on her understanding and employment of “Asia as method” in her study, she claimed that although she is not specifically using Asia as method (she is using a different Chinese framework), she still applies Asia as method as a theoretical justification for what she is doing. And I think by using ‘Asia as method’, it helps me put forward the argument that western concepts and theories interpret and analyze the issues or tensions, how I get my data. It can help, I guess some fill that gap. And it helps look at the perspectives of my time participants in a different context.

We can say that Jodie has, in a way, used “Asia as method” as a new research imagination to successfully develop new theoretical thinking about the Chinese participants in her research project. It is not perfect by any means, but it suggests the value of starting where participants are, not where theory or critique would like them to be. It also points to the fact that different institutional and personal situations offer different affordances for this sort of research, and that these need to be taken into account. Asia as method points to the benefits of dialogues about how to shift away from Western perspectives, toward more Asia-centered perspectives in educational research about Asia. We believe that this provides a useful pedagogical starting point for deployment by researchers in other similar circumstances who face the knowledge problems and dilemmas that we have faced (Lee, 2019; Park, 2017).

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Repositioning Researcher’s Subjectivity and Identifications In the focus group, some participants reported the struggles of developing their academic identity as Asian scholars in Western countries to make contributions to the academic community. The hardest struggle for Yulisa is finding how to position herself in the academic community, such as what kind of scholar that she wants to be in the future. Using Asia as method gives her a new perspective to think about Western theories, which “actually gives me the confidence to keep pursuing my academic development in this particular way.” However, she is still worried whether her new understanding of Western theories or concepts can be accepted. “Asia as method” provides a lens for Yulisa to reflect on her academic development route in the Western academic community, which will help her to build up an intercultural academic identity by synthesizing her cultural traditions into a Western knowledge framework. As an Asian educational researcher with a Western cultural background, Jodie has encountered a different struggle, that is, how to rebuild her academic identity. For her, the book of “Asia as method” in educational studies (Zhang et al., 2015) is only targeted at Asian researchers who are studying educational issues in their home countries while studying at Western universities. She said, I think one of the reasons why, I don’t know if many people have heard of it, especially in my case, because as foreigners or westerners, we’re not really encouraged to go beyond western theory. And I just want to make the point that we can do that. If you’re a western researcher and you’re out in Asian context, you should be considering ‘Asia as method’ or thinking about how you can integrate culture theories into the specific cultural context you’re looking at.

Because her research is looking at Chinese in the Chinese context, Jodie has tried to go beyond the default “West as method” and to embrace “Asia as method” in her PhD project. But the process of getting her into “Asia as method” is not easy. And as I said, in the beginning I found it very confronting, difficult to work with. It really challenged me as a new academic, because I was just very used to certain western theories. That was my comfort zone. So to go into something new, it really challenged me. And it’s taken me years, and just lots of going back and rereading.

And it was not until the very last stage of her PhD candidature that she could actually see it coming together. I have my data and I have my participants. I have Chinese teachers, I have Chinese students, I have foreign teachers, and they all give me these different stories. And by changing your lens, you see things differently, and you see things that I missed. And I thought, Wow, if I didn’t go back to using Chinese concepts, I would never have discovered it in the first place.

As Kenway (2015) indicates, when Chen (2010) “links knowledge production to matters of subjectivity, he clearly hopes to change the subject – and that means ‘you’,

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whoever and wherever you are” (p. 15). She further argues that “the researcher’s subjectivity and identifications must come under scrutiny. Not least, the research community’s ‘structural flow of desire’ (Chen, 2010) towards the USA and Europe needs to be challenged” (2015, p. 26). Rather than being constantly anxious about the question of the West, we can actively acknowledge it as a part of the formation of our subjectivity, in the form of fragmented pieces. The West has entered our history and become part of it, but not in a totallizing manner. The task for Asia as method is to multiply frames of reference in our subjectivity and worldview, so that our anxiety over the West can be diluted and productive and critical work can move forward. (2010, p. 223)

Kenway (2015, p. 26) suggests that “an important feature of ‘becoming others’ is multiplying the objects of one’s identification and, thereby, constructing alternative frames of reference. This enables a movement beyond the limited lens of single-issue identity politics, it challenges the structures just mentioned and makes new affinities possible. Through such practices, Chen believes, it is possible to find a different sense of self. Indeed, he says, ‘understanding the other is a way of transcending the self’” (2010, pp. 252–3). By looking beyond the West as method we can consider “Asia as method” as strategies toward alternative knowledge production. These strategies provide possible ways in which Asian education scholars can reposition themselves in the wider international education research community (Takayama, 2016a, b). In the process, Asia as Method provokes political, psychological, and social engagements in everyday life, multiplies reference points for knowledge production, and requires a researcher to rework their own subjectivity, which has inevitably been constituted by imperialism (Rhee, 2013).

Methodological Hesitation The last decade has seen the expansion of movement toward understanding theories through a wide range of diverse contextual and cultural perspectives that have emanated from the East. Chen (2010) recommends that scholars from former colonies and ex-imperial countries in Asia should rethink and reexamine their own colonial and imperialist histories. This recommendation has been drawn upon to elaborate innovative methodologies for educational studies (Burman, 2019; Yelland & Saltmarsh, 2013). Our participants, for example, have drawn inspiration from Chen’s work in the development of their methodological framework in their PhD projects. However, the participants also mentioned some methodological hesitation, relating to difficulties and challenges when they applied Asia as method in their Asian education context. Ann first expresses her concerns about using the very term “Asia.” “Asia” brings something new to social theories that are heavily shaped by Western thinkers and ideologists. For many academic researchers in social sciences, including education, choosing a theoretical lens largely shaped by Western thinkers has become the

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standard norm in conducting any research project. But the term “Asia’ itself is problematic, because it entails and reproduces the category between the West and the Rest (East) and involves a possibly harmful generalization, through which contrasting and conflicting bodies of literature from China, India, Japan, Korea, Vietnam, and many other countries are all thrown into a “single cultural basket” called “Asia” (Kumaravadivelu, 2003). Thus, for any research, I think the questions ‘what is Asia?’ and ‘what is Asia as method?’ require complex and multidimensional explanations and justifications before the term ‘Asia as method’ is applied.

Jodie has tried to understand Asia as method in education studies from the perspective of a Western PhD student. As she said, The beginning I found it very confronting, difficult to work with, it really challenged me as a new academic, especially the decolonial approach, the deimperial on the de-Cold War, because I was just very used to certain theories. That was my comfort zone. So to go into something new, it really challenged me. And it’s taken me three years, and just lots of going back and re-reading.

She went out of her comfort zone to use the Chinese concepts, Suzi and save face (literally quality and be respected), to interpret collected data from her project on Chinese students in an Australian international school in China. She challenged herself to look at the pedagogical difference of West and East to teach the Chinese students. And it wasn’t until I got my data, and I analyzed and re-analyzed and had to go deeper, that I began to see the connections and really looking at my participants stories and what was saying, because there are elements in there. And if we just use a western theory, you’re going to miss those key elements and you’ll interpret one thing. But if you apply Asia as method, it gives you a lens to see from perspective that there is something there that really contributes to the field. If I didn’t go back to using Chinese concepts, I would never have discovered it in the first place.

Many academics think that Asia as method targets Asian researchers who are studying their home country’s education issues in a foreign university. In fact, Asia as method encourages Western researchers to go beyond their Western-centric knowledge and to reach “non-western as method.” When they conduct their research in an Asian context, they should be considering Asia as method or thinking about how to integrate cultural theories into the specific cultural context. By adopting Asia as method, they can offer implications of their research findings from both a Western and Eastern perspective. In this way they have the benefit of translation between the two cultures. Yulisa mentioned that the concept of the base entity is ambiguous and fluid under the impact of globalization. She explains her thoughts:

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The difficulty for me is the understanding of the base entity because we are now beyond the [home country] location, because we are looking at, for example, Chinese students in a western context. And in this sense, the basic entity is more complicated. And it’s also being influenced by all sorts of powers, for example, the changing relations in different nations, such as Australia and Chinese relations, and the politics stuff is unpredictable. And so, it’s kind of hard for me, so I keep thinking about this basic entity and to think how to investigate the complex issue in a more flexible way and apply it in the context of globalization or Asian people, Asian origin people in a globalized context.

Chen’s concept of base entity implies an entity with a local history, which is expressed at different levels of depth, with different forms and shapes. But the base entity does not remain indefinitely unchanged. In fact, it will change, but the changes will take place very slowly. Chinese international students’ base entity will be shaken by engaging with another culture. Yulisa added her struggle about positing herself as a future scholar. While using Asia as method gives me a new perspective to think about western theories, I am worries about that whether this concept can be accepted. . . I started to think about this lately and to read more literature. Asia as method gives me the confident to keep pursuing my academic development in this particular way.

The idea of Asia as method inspires young and enthusiastic scholars from different disciplines, who will then engage and develop the research. They use the concept to investigate complex issues in a more flexible way and apply it in the context of globalization and Asian people, or people of Asian origin in a globalized context. Molly doesn’t consider Asia as method or choose Asian theory over Western, because of the limits to her knowledge. She expressed this view: I felt that because my knowledge is absent of come Asian theories, because all educational knowledge I acquired in Monash are all from western, like Vygotsky and Bourdieu. I lack knowledge of this Asia’s method.

Asian scholars have translated Western concepts (such as those of Vygotsky and Bourdieu) to localize/adapt them to local content. Moreover, not all Asian theories and concepts are new to researchers. Some of them have been known in the West for the last 150 years and are widely used in scholarly publications. One such conceptual system is Confucianism, the ancient Chinese belief system that focuses on the importance of personal ethics and morality. Other well-known examples include Yin and Yang, a Chinese philosophical concept, which describes how opposite or contrary forces may be complementary, interconnected, and interdependent in the natural world; Feng Shui, an ancient Chinese art, which involves creating a space that is harmonious with the environment; and thirdly Guanxi, the fundamental dynamic in personalized social networks of power. Asian scholars should be encouraged to boldly theorize Asian concepts. For example, Chan (2019) discusses

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network governance and specifically Mohe in Chinese education governance. He shows that Mohe explains why actors in a network deploy their own resources in exchange for other actors’ resources in order to achieve their goals. The concept is generally useful and fruitful for understanding the policy process in China. Mohe has the potential to provide a framework to analyze the policymaking process in the West, especially for those countries in which state power is still in place and cannot be excluded. It is encouraging to see Molly develop this idea further. She believes that student researchers should spend more time learning about Asia, especially as she explores how Chinese international graduates, as well as international graduates from other Asian countries, study and live in the host country. Yes, I feel like we should have something that is more resonating with our own context, rather than just to simply focus on the theories from western countries. Maybe we can have a combination and share something that’s more flexible and to combine together, so these two theories can support each other, and they can complement those impairments.

Asian and Western theories should not be in opposition to one another. Researchers can aim to synthesize them, or to collaborate using theories from both the Eastern and Western sides of the world, to present the ideas holistically. Yumi shares her problem when she tried to use Asia as method in her study. But if Asian understanding is based on Asian context and then western understanding based on western context, the two concepts are very different and not always comparable, how I’m going to bring them together? It doesn’t have to be labelled as rigidly Asian, it’s just calling for the possibility to have a different way.

There is no single term that can adequately describe the diversity of Asia’s regions. The diversity of Asian cultures, religions, and traditions should be acknowledged and recognized. It follows from this that inter-reference is one of three central concepts in Asia as method. It goes without saying that Asia and the West are equally important reference points. Yumi further added another issue about the acceptance of Asian theory. Because if we can theorize something Asian, and then we bring that into the picture, it’s not just a voice of an individual, it would be a voice being accepted by academia. And then it could be used by go the practitioners to justify their practices. For a teacher in real life, I can use this theory telling my principal.

We also realize that “Asia” and “Asia as method” are somewhat problematic in terms of entailing categorical differences and homogenization. Thus, how to position oneself and avoid being caught up in these generalized categories is challenging. Another difficult thing is our assumption that any theoretical perspective needs at least some clear definitions and explanations. As we read the term/approach “Asia as method,” we would also expect to have some strategical explanations about this approach and how to apply it in educational research. Such requirements might again be problematic, because they create a fixed understanding of the approach itself. The

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last difficulty associated with this approach for a PhD project comes from the dominance of Western theoretical approaches in academic research. Such dominance might create fears for researchers when engaging with any non-Western theoretical approaches in the main theoretical framework of a PhD project.

Conclusion The employment of Asia as Method in educational studies involves an overall pedagogy to help HDR students cultivate a new research imagination for the future. Asian research students studying education in the “West” need to know what the vision of this research imagination might be. The concept offers Asian education studies from Asian perspectives – acknowledging the manner in which Asian education systems, policies, and practices have differentially mediated Western knowledge in relation to their own specific evolving culture, contexts, and politics. Those living and working at the centers of various empires of knowledge must move beyond the “West as Method” (Hall, 1992) and engage with Asia as method in education research about Asia. Educational researchers need to acknowledge the importance of hearing different voices from different countries and also different voices from within them. This is in contrast to the perspective of Western educators who see their international students through Western lens, which has inhibited the process of internationalization (Singh, 2009). In summary, using Asia as method is to ensure that Asian localities, rather than Western theories, become a reference point for each other. Theorists can counteract hegemonic knowledge production by shifting the reference points for Asia away from the West and toward local sites that share similar sociohistorical processes. In other words, Western discourse is not the only reference resource in the social sciences in general, and in Asia-related research in particular. This chapter is important because it is the beginning of a conversation that responds to Chen’s challenge in educational studies. As the world changes, the national states constituting Asia change as well; these Asian states have been “internally pluralised, or multicultured” (Beilharz, 2000, p. 39). Asia as method helps to eliminate anxiety about a lack of reference to Western knowledge and cultural imaginaries as the focal point of reference. It also provides a substantial analytical tool to explore the translation of values and subjectivities. Finally it can raise awareness of the optional use of Western values to enrich cultural values of the base-entity.

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Rethinking Education for the New Normal: Formal Versus Informal and Nonformal Education and Lifelong Learning Liz Jackson

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Historical Context: Nonformal Education and the Rise of Schooling . . . . . . . . . . . . . . . . . . . . . . . . . Early Days: Traditional and Nonformal Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Rise of Schooling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Universal Schooling: Aims and Impacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Beyond Schools: New Technologies and the Rise of Online, Lifelong, and Informal Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rethinking the Place of Schools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Online Learning: Enthusiasm and Skepticism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lifelong Learning: Opportunities and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

In the twentieth century, many assumed that education and schooling were the same thing. However, with the emergence of online and lifelong learning, nonformal and informal education within and beyond schools are also increasingly recognized as significant learning contexts. Now traditional “brick-andmortar” schools represent one educational arena among others, with more people questioning their value for learning in the future. This chapter thus asks: Do we need an education system for the new normal? It begins by exploring the development of formalized education and schooling in contrast with the historical norm of nonformal education. That is, while many assume the institutionalization of schooling as the historical starting point for education, people around the world were educated nonformally before that time. Next, the chapter considers the significance of technological developments, particularly the Internet and online learning, in relation to formalized, nonformal, lifelong, and informal education. L. Jackson (*) Education University of Hong Kong, Hong Kong SAR, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_6

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While schools have typically conceptualized curricula, pedagogy, and assessment from top down and as linear, educational alternatives can provide more creative and flexible learning opportunities which do not require systematic progression, assessment, and examination. Furthermore, whereas traditionally school knowledge was seen to come from those with authority and was therefore to be didactically acquired, alternative learning possibilities frame knowledge as socially based and intelligence as distributed. The chapter concludes by discussing the recent trends in online and lifelong learning in relation to the role of the teacher, the school, and the educational system in contemporary and future society. Keywords

Lifelong learning · Formal/Formalized education · Nonformal education · Online learning · Schooling · Technology

Introduction In many parts of the world, including Western societies and in much of the AsiaPacific region, people tend to consider education and schooling as essentially the same thing. In common language, one “becomes educated” primarily by going to school. In this context, “going to school” has traditionally referred to traveling daily to a physical “brick-and-mortar” place, where designated teachers teach and enrolled students learn. In this system, one’s education culminates in the completion or passing of final exit examinations. These exams signify that one is “educated” at a certain level and qualifies them to apply for admission in higher education institutions and for some occupations in society. In many societies around the world, this was the norm at the turn of the twenty-first century. On the other hand, societies where young people do not commonly attend or complete schooling as the main mode of education are cast in international political-economic discourse as “underdeveloped,” as schooling is linked to understandings of progress and economic and social development from a global lens. Likewise, young people who do not attend schools are often regarded as low status, across diverse societies. However, from a historical view, mass schooling has not been a universal phenomenon. In diverse parts of the world, education of young people in society was conducted in different ways, apart from schooling, for most of human history. What was the earlier norm – education without schooling – is now typically described as “nonformal” education. Nonformal education includes a variety of practices of teaching and learning taking place inside and outside schools and related institutions. In the past, the importance of nonformal education was often neglected and dismissed in scholarship and policy in comparison with school-based education. However, today nonformal education is increasingly recognized as a valuable alternative for educating diverse communities, such as people who live far from

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schools and adult learners, among others, through other kinds of social organizations and institutions that typically have not had official educational functions. One factor in growing appreciation for such alternative forms of education has been the rise of the Internet. Initially viewed as threatening to education and learning, the Internet is now generally seen as a critical context that can complement or possibly even replace school-based education. As it better serves “nontraditional” students such as adult learners, nonformal education is also increasingly linked to “lifelong learning.” This latter term invokes appreciation that people learn continuously throughout life, not only as students in schools, and that this too should be valued within and across societies. In turn, emerging appreciation for lifelong learning and nonformal education reflect new recognition of the significance of “informal education”: that people incidentally learn (information, attitudes, and more) without anyone intending them to, inside and outside of educational venues all the time, and that people can be incidentally educated, for better or worse, by various forces and communities, such as by news and entertainment media, online social networks, and partisan political groups. Deconstructing education and learning as processes that do not require schools or related institutions invites questions about what exactly education is for, and whether formalized education is essential for learning in society going forward. This chapter thus considers the question: Do we need an education system for the new normal, where schools do not monopolize opportunities for learning but instead represent one option or alternative among others? The first section elaborates on the historical role of what we now call nonformal education, and the subsequent development of formalized education (that is, schooling). Next, the chapter considers the role of formalized education in society given major developments in online, lifelong, and informal learning related to recent technologies. This chapter considers the implications of these developments and trends for conceptualizing knowledge and intelligence in contemporary society, and the role of the teacher, the school, and education systems in the future.

Historical Context: Nonformal Education and the Rise of Schooling Early Days: Traditional and Nonformal Education Is nonformal education a new activity for mankind or is it a case of old wine in new bottles? . . .For the great bulk of history, education was carried on by informal processes which were integrated into the fabric of daily life. . . learned from a range of individuals in the community. The major learning modes were imitation combined with learning by doing. . . Formal schools arrived quite late in. . .history and only in the last several hundred years in European history has there been an effort at schooling more than a very small percentage of the population. (Evans, 1981, pp. 11–12).

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Today nonformal is often regarded as an alternative to formalized, or institutionalized, education (that is, schooling). However, the school systems taken for granted in this framing of education are themselves relatively new inventions which developed over time. For most of human history, people were educated without schools, through various social practices and processes. These practices and processes of teaching and learning which existed before schools are now understood as aspects and forms of nonformal education. Nonformal education thus involves any planned pursuit of education that is not strongly formalized and systematized. It includes things children learn outside of schools from family and community elders. Nonformal education has been the most common kind of education for most people around the world until recent history. In premodern societies, children learned outside of formalized educational institutions. While there is no prototypical form of nonformal education as its broadest definition opens up numerous possibilities, nonformal education, today and in the past, has often included agricultural training (i.e., learning how to grow crops), participating in other livelihood and homemaking activities alongside older or more experienced family and community members, and other forms of vocational training where apprenticeship, mentorship, or small-group experiences are used, rather than a technically produced, systematic, formalized curriculum (Reagan, 2000). Thus, in what is called “traditional” education in many parts of Africa and in diverse Indigenous traditions, nonformal education was and has been the norm. In these contexts, youth learn from elders through direct instruction, stories, plays, songs, games, and other activities (Kahembe & Jackson, 2020; Nesterova & Jackson, 2020). Here activities may provide for latent learning about morality or strategy, and social skills such as taking turns, at the same time that they may signify simply being a part of the community. While certain elders may have been valued for their skills as educators and given special roles as such, usually such education was fully integrated with, and enmeshed within, other community functions. For example, a specific elder may be commonly recognized as the best person for teaching (or “looking after” children learning) how to garden or take care of babies, but their designation as an educational leader in such areas is organically organized, rather than decided and conferred by a formal (for example, a state-sanctioned) committee. In traditional nonformal education (and in much of nonformal education today) learners, who may be children or adults, are not necessarily put into classes by age or skill level. In relation, the purpose of their education is not typically to progress through a prescribed linear scale (i.e., of grades or levels) of externally recognized intellectual or competency development. Often, the purpose of such education is to join into a community in a deeper way and to participate more fully in social and vocational life over time, naturally taking on more responsibilities or engaging in more aspects of society as appropriate in relation to each individual’s interests and capabilities and/or the needs of the group. (For more on various purposes of education, see Jackson, 2022; Biesta, 2020). This sometimes reflects, to some extent, what we might call today a student-centered approach to education (Jackson, 2015).

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The Rise of Schooling Formalized or institutionalized education (i.e., schooling) for children and youth in society grew gradually over time in various parts of the world, spreading during the nineteenth and early twentieth centuries and eventually replacing much of traditional nonformal education. Initially, schooling was available for elites primarily and was conducted by religious authorities. In Asia and Africa, such education took place in temples, while in Western societies it developed in monasteries, seminaries, nunneries, and churches. Early schooling around the world was typically based on lectures about canonical texts, and often emphasized student obedience, rather than focusing on student experiences or social activities. Confucian and Buddhist education both had their canons as authoritative texts for learning, while in the West the Bible was normally used. In Ancient China, schools sometimes developed organically among wealthy families who sought famous teachers for their children; often families would jointly hire a scholar to teach their children together. Such study, either through private tutors or in specialized schools, was often oriented toward imperial and civil examinations, commonly used to select civil servants among the population in China as well as Korea and Vietnam (Ko, 2017). In colonial contexts (in many parts of South Asia, Africa, and Latin America), schooling was brought about, shaped, and enforced by foreign missionary and colonial powers (Altbach, 1971). Such schooling represented an interruption of past practices, going beyond the expressed interests of local communities. Missionary and colonial leaders were not interested in the sustainable development of the community, seeing local people as backward, barbaric, or undeveloped. Instead, they wanted to change the society, lifestyle, and local beliefs to orient people more toward their own interests. Typically, the colonial government had an interest in educating a group of local elites to control local populations and collaborate with colonialists, while religious groups were more interested in converting natives. In these cases, those imposing education did not believe in equality across groups, but instead aimed to impose foreign beliefs, norms, and practices, with an ethnocentric view that their way of life was better than that of local people. For instance, as Thomas Macaulay wrote of Indian education as organized by the British in 1835, “We must at present do our best to form a class who may be interpreters between us and the millions. . .a class of persons, Indian in blood and colour, but English in taste, in opinions, in morals, and in intellect” (p. 430). While these historical developments did not initially impact every child in the society, over time massification of education was commended by colonial elites in many parts of the world as essential to control, socialize, and make obedient the “unruly masses,” including increasing numbers of local people whose “training” and other formalized education were sought in order for them to work for colonial companies and institutions. In much of Africa, South America, and South Asia, these colonialist educational institutions transformed gradually into the formalized schooling systems that exist today. Elsewhere (such as in East Asia and Europe), schooling as a mass system (that is, in which all children should or could attend) grew with the rise in nation-state

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politics and the development of national outlooks toward educating populations at large (Reimer, 1971). In the early modern period in East Asia, the USA, and Europe, most children did not go to school, but were raised roughly as their parents were raised, and grew to work as their parents did, in agriculture, factory labor, or other vocations. In many communities, the development of mass schooling was not desired, as families (and factories) depended upon child labor. Thus, universal schooling was often debated early in its history, as it was not seen as the case that education should be for all or was in the best interest of all. Rather, mass schooling was seen as a state interest, to socialize youth to the state and its interests. For example, the Chinese government’s Self-Strengthening Movement in the mid- to late 1800s regarded modern education as a necessity particularly for boys in order for the society to develop international competitiveness and military advantage (Palm, 2012). In the USA, Horace Mann proposed mandatory mass schooling in the USA as it “was his belief that the school must inculcate an appropriate set of moral values in the state’s children” (Tozer et al., 2006, p. 65, emphasis added). Other state purposes for education have included cultivating widespread political obedience and patriotism or shared religious faith, and developing skills to support the society’s economy (e.g., Alix, 2019; see also Westberg, 2019; Jackson, 2022). As in colonial contexts, in most early modern nations one essential reason particularly for massification of education was the perceived political need to control and socialize increasingly diverse large-scale, urban populations and cultivate obedient and skilled workers to support the economy through their labor in factories and other large-scale economic enterprises. With such pragmatic purposes in mind, the mass schools that developed in many ways reproduced and reflected the structures and international organization of factories also being modernized at the same time for efficiency and further industrialization.

Universal Schooling: Aims and Impacts Over the course of the twentieth century, education as mass schooling of children became widely regarded around the world as a gold standard of political-economic development (Cheng, 2017). And by the end of the century, it became increasingly standardized across societies according to global organizations and globally dominant countries’ (such as the USA and the UK) designs (Jackson, 2016; Lingard & Rizvi, 2009). Developed during modern history as a kind of factory for the enriching of a society’s “human capital,” formalized schooling was made more efficient over time by increasingly including the following features: • The development of common curricula, so that children’s educational experiences are now more comparable, across a single society, from France to Fiji (for example). • Requirements that all children attend, and age grading and other forms of tracking or streaming of students by age, size, and capacity, which helps ensure that a “Taylor-production factory” style approach to pedagogy and curricula is

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effective, eliminating the need for highly skilled and expert educators working with highly diversified learners (Boler, 1999). • Student-centered and outcomes-based teaching methodology, wherein students’ individual performances on nationally or internationally set examinations are used to determine educational quality and the (apparent) comparable merit of students and educators across schools, based on externally prescribed educational aims (Jackson, 2015; Ko, 2017). In this global situation, standardization has been increasingly emphasized within and across countries, such that any student or teacher can move around the world and still similarly learn algebra or English grammar (Chen & Huang, 2017; Cheng, 2017; Jackson, 2016). The formalized education developed has thus also been increasingly institutionalized, graded, and “above all certificated” (Rogers, 2004, p. 77). Such standardization enables comparison of students, schools, and societies, and the ability to measure every learner, class, and school based on clear, progressive objectives. Formalized education as schooling can also serve a variety of other purposes through its varied curriculum and monopolizing of children’s time, as children used to work all day but now increasingly engage in school-related tasks throughout their waking hours, particularly in postindustrial societies. Social purposes of education, to orient young people to their society and nation-state, can be forwarded within history, civic/citizenship education, global studies, social studies, and related subjects (Jackson, 2019a). Meanwhile, around the world competency in languages, math, and sciences is regarded as a precursor to more specialized studies, which are now generally expected to take place in later secondary and higher education (Cheng, 2017). What we might today call “general” education is also increasingly seen as a means for qualifying people for employment in various occupations, and for general readiness for participation in society (for example, for paying taxes, managing household budgets, participating in discussions with diverse others, and more). Thus, while traditional forms of education focused primarily on basic socialization and cultivation of skills for immediate use for livelihood, schooling holds many other functions. Additionally, formalized education and schooling helped “create” the roles of “children” and “teachers.” As previously mentioned, as schooling became a major phase of life apart from and prerequisite for work, young people were separated in a significant way from labor activities around the world (Cunningham, 2006). While this is not a bad thing, the association of children with education led to a neglect of how people learn across the life cycle, as adults and elders as well (e.g., Knowles, 1973). It has also led to an experience in many societies of childhood continually extending with ongoing growth of formalized education (Bonnie et al., 2015). Today in postindustrial societies higher and postgraduate education are increasingly seen as a norm and a safety net for employment and qualification. While in the early and mid-twentieth century many people began working, homemaking, and raising children in their teens or early 20s, now many people take these steps into adulthood in

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their 30s or later. In addition, as teachers have become a large workforce around the world, the educative role of other social actors and groups has been deemphasized in education (Kimura & Tatsuno, 2017). As mentioned previously, early school-based education focused on the transferal of moral or religious teachings and other kinds of proselytization. Today, schooling’s major focus on imparting curriculum continues to reflect that there is an important or superior “core” of cultural heritage and other established knowledge and a related need for intergenerational transmission of such wisdom (e.g., Cheng, 2017; Hirsch, 1987). This is part of the teacher-centeredness of formalized schooling. As Charles Wedemeyer relatedly observed, school-based knowledge was understood historically, before mass schooling, to be “ornamental,” as it was reserved for elites, rather than being “productive” in relation to real-life practical concerns with livelihood and survival (1984, p. 130). Today, many continue to critique the abstract nature of much of formalized curricula against the backdrop of real-life societal and vocational demands ordinary people face. In relation, “non-educated” people throughout history often pursued intellectual and artistic activities on their own, such as in music and literature, and developed their vocation without systematic, formalized study (e.g., Hsu, 1964). In this context Wedemeyer noted that: To learners, non-traditional learning is. . .fulfilling to the self, but eliciting from a schooling and credential-oriented society an incomplete and distorted image of actual accomplishments. In ways characteristic of any bureaucracy, the viewpoints, policies, and procedures of traditional education have denigrated, dismissed, or downplayed the self-initiated and selfdirected efforts of learners. (p. 128).

School-based education has also been criticized in the later twentieth century in relation to the goals of equality and social justice, as schooling has often been hoped to lead to equality for all, but has never lived up to that expectation. Relatedly, Paulo Freire’s Pedagogy of the Oppressed (Freire, 1972) elaborated how education oriented toward states, teachers, and government-based educational institutions has not always (or often) been conducted in the interests of students and communities themselves, while his alternative, a pedagogy for freedom and praxis, emphasized community-based learning focused on real-world social problems and challenges. In his work, Freire taught (and learned) alongside illiterate rural farmers in Brazil and based his curricula and pedagogy on what members of the community expressed wanting and needing, intellectually and practically. In Asia, private supplementary tutoring has become a widespread accompaniment to formalized education. Driven by intense educational competition, tutoring is conducted in myriad ways across contexts, such as in schools or out of schools, as a means for families to ensure children’s advancement in the formalized system and particularly through examinations. The popularity of private tutoring across diverse regions of Asia demonstrates a growing sense that the formalized system is not effective in achieving its goals, particularly as private tutoring typically has no further aim beyond ensuring young people’s formalized educational success

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(Bray & Kwo, 2014; Bray & Lykins, 2012). Thus, people have begun to reconsider as the value of formalized education, leading to new recognition of what is now known as nonformal and lifelong learning.

Beyond Schools: New Technologies and the Rise of Online, Lifelong, and Informal Learning Rethinking the Place of Schools At the turn of the twenty-first century, nonformal education and lifelong learning became important alternative pathways for learning apart from formalized schoolbased education (Lee, 2007). The European Communities Memorandum on Lifelong Learning (2000, p. 8) defined nonformal learning at that time as “learning that is not provided by an education or training institution and typically does not lead to certification.” As the memorandum continues, nonformal learning “takes place alongside the mainstream systems of education and training” but is conceptualized as separate from school-based education (see also Eraut, 2000). The value of nonformal and lifelong learning has become clearer to people particularly in relation to the emergence of Internet technology. With the rise of the Internet, access to independent, informal online learning opportunities and new educational technologies led to transformations to distance education and school-based education more generally. Distance education had become commonplace in the twentieth century in contexts where people could not access schools due to geographic, economic, or other personal factors (for instance, for those with special learning needs or for others who did not “fit into” a traditional school and its admissions system, such as older or pregnant students). Historically viewed by educational and societal elites as inferior to brick-and-mortar education, distance learning, traditionally conducted by mail, significantly increased access to education, as well as possibilities for more student-centered approaches, given its capacity for greater specialization and customization (Washor & Mojokowski, 2013; Wedemeyer, 1984). In relation, independent study was not recognized and appreciated in the past as a significant aspect of learning within a teacher-centered approach to formalized education (Moore, 1984). However, over time teachers have been increasingly seen as facilitators rather than instructors: as educational guides providing an environment and overarching structure, rather than authoritative behavior changers, as they were often seen in the nineteenth century (Cheng, 2017). Dewey’s (1938) emphasis on education as experience was important in this context, while universities led the way to provide structured means for adults to learn without going to school or being dependent upon teachers, via mail, telephone, radio, or televised dissemination of information and exchanges. Through distance education, guided but ultimately independent study could also lead to assessment and credentialing within a formalized structure.

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Online Learning: Enthusiasm and Skepticism While increasing Internet access rapidly transformed possibilities for distance education, such technology was not immediately embraced by educators. However, this reflects in part a wider trend in the historical adaption of technologies in education; in a sense, the history of formalized education is a history of technology adaption and transformation, which has often been met by educators with both enthusiasm and skepticism. For instance, before the introduction of moveable type one key purpose of the lecture was for a professor to read out a book, so that students could write it down, making their own copy (Bligh, 2000). With cheap printing, the recreation of a book was unnecessary, and the lecture could then be used to provide examples, inspire, provide context, or address students’ questions (Jackson, 2019b). Today, the virtues of lectures are continually debated in relation to the goals of education (for example, transferring and/or memorizing information versus engaging in independent thought). In distance education and brick-and-mortar schooling, the use of film and radio in schools was viewed with suspicion initially, but they became normal educational tools over time (Lauwerys, 1935). While proponents of “new” technologies generally believe they can prevent curriculum being damaged by poor teachers and better engage students, others see them as needless distractions from traditional processes and models of teaching and learning (e.g., Broudy, 1973). In this context, the Internet and the use of online technologies for teaching and learning were not immediately embraced by educators. Rather, the process of their adaption was gradual during the 1990s and 2000s (Jackson, 2019b). Many at that time were far from convinced that online education had much to offer compared to traditional schooling, instead arguing that it could waste time and energy (e.g., Broudy, 1973). In 1999, Nicholas C. Burbules and Thomas Callister reviewed typical negative views of Internet technology in education. According to such negative perspectives, using the Internet would not entail deeper or more efficient learning, but would only lead to confusion and incoherency. Critics complained that reading hyperlinked texts on the Internet could take a student from an encyclopedia entry on world history to a website about a film, to pop culture pages. Critics feared in this context that using the Internet would result in people losing track of the logic in arguments and the plot points of books, generally steering people away from disciplined and sustained thought and toward pleasurable but random web surfing (Jackson, 2019b). They thus argued that the Internet was a threat to education, offering nothing essentially educative and taking away from what was already on offer. Burbules (Burbules, 2000; also Warnick & Burbules, 2007) foresaw here that Internet technology would undoubtedly change education, but that the threats and challenges of online learning were also accompanied by opportunities for new types of learning, as well as new means of collaboration and knowledge production. Since then, technological moves related to online learning have been toward customization, niche marketing, and tailoring production to the needs of the clients (teachers, schools, and/or students) through a variety of web platforms easily available to use across societies and educational systems (e.g., Moodle or Blackboard) (Jackson, 2019b).

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These forms of customization are often appreciated as they seem more aligned with student-centered learning; for example, while it can be difficult to provide highly diversified resources and approaches to education in traditional classrooms, it can be done more effectively by competent educators with newer technologies (Jackson, 2019b). In the early twentieth century, “blending learning” thus became a norm in schools in postindustrial societies, wherein the use of information technology and Internet resources such as dedicated learning platforms, online collaborative spaces, and video, audio, and text pages complement brick-and-mortar educational experiences. Now in many parts of the world classes have online spaces where students can access resources and engage in formalized and informal conversations with each other and with instructors. Teachers may also use a variety of websites besides those developed especially for their classes and schools, to engage students in more diverse forms of learning, such as by exploring databases collaboratively online, or using an online message board to spur simultaneous sharing from individual student devices (laptops or mobile phones) that can be seen and responded to in real time (Cheng, 2017). Being online more generally opens students up to excellent research databases today, as well as means to communicate with scholars and educational partners beyond their home institution and local society. Since the rise of the Internet, societies and social life in general have also changed dramatically. The place of schools in modern and postindustrial societies as the major traditional site for learning has been downgraded to an extent in this context. The widespread use of the Internet for formalized, informal, and nonformal online learning has also had important implications for how knowledge is perceived, as well as the role of education and the school in society. In education as schooling, knowledge is located primarily with the teacher and school resources. In this hierarchical configuration, the teacher and the resources (i.e., books) are at the center of learning, while students are peripheral and take turns accessing knowledge as particular prescribed curricular content or information. As seen historically, this curriculum is regarded as socially valuable knowledge, but it can also be seen as “ornamental” knowledge, as it may be in a sense separated from the rest of life, held hostage in the school, only given to a select few based on age group, past qualifications, or other factors. Students and teachers thus also hold special places related to knowledge, as kinds of transmitters and receivers, in formalized education as mass schooling. On the other hand, while the Internet has not been specifically designed as a learning platform, its rapid growth and widespread access to it have revolutionized education through changing understandings of knowledge, educators, and learners. Now knowledge as information is not only available to students through schools and teachers. Instead, a more horizontal relation to knowledge is possible. Today someone on a mobile phone in rural Africa or Asia can look up information on Wikipedia, access massive open online courses conducted by global elite universities, and discuss ideas through email or by participating in lectures given by experts nearby or across the world. As increasing quantities of the world’s information are now accessible online, the importance of and need for memorizing content has also been

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downplayed in formalized and other educational approaches, when compared with the development of technological literacy as a set of skills needed to find and evaluate new information and knowledge amidst abundant options. Thus, knowledge and intelligence are increasingly seen as “distributed” and open, rather than centralized within individuals or elite educational or academic governing bodies. Some may not see the role of the teacher as essential in the new normal, because they are no longer seen as having a monopoly over knowledge or information that can now be informally attained. Now, curricula can be independently designed and self-chosen by learners inside and outside of schools, of all ages, who have over the last few decades changed their lifestyles around the world to live in a “knowledge society,” wherein each person is seen as capable of (and increasingly responsible for) learning and gaining access to information in a more or less independent manner. On the other hand, not all people have had the same access to the Internet (in terms of government censorship, for example, and the affordability of online devices and data), or the same skills to use it for meaningful and effective learning. In addition, those who question the role of teachers today overlook their ongoing importance in providing for the social-emotional and human dimensions of learning. Nonetheless, the relatively high previous status of learners as students and educators in schools is increasingly being questioned today, as schools and related institutions in some ways now seem to be “catching up,” through using blending learning, and are sometimes seen as “behind the times,” or too abstract or formal to be particularly useful to ordinary people as lifelong learners (Washor & Mojokowski, 2013).

Lifelong Learning: Opportunities and Challenges Some skills are needed to use the Internet and to otherwise learn by oneself effectively, which are not intuited by everyone surfing the web, from children to elderly adults. Thus, at the turn of the twenty-first century, education for lifelong learning became an important new mission, connected to new recognition of economic globalization and desires for global competitiveness among nations (Lee, 2007). For instance, as the European Commission noted (2000), Europe is experiencing change on a scale comparable with that of the Industrial Revolution. Digital technology is transforming every aspect of people’s lives. . . Modern life brings greater chances and choices for individuals, but also greater risks and uncertainties. People have the freedom to adopt varied lifestyles, but equally the responsibility to shape their own lives. More people stay in education and training longer, but the gap is widening between those who are sufficiently qualified to keep afloat in the labour market and those who are falling irrevocably by the wayside. . . The knowledge, skills and understanding we learn as children and as young people in the family, at school, during training and at college or university will not last a lifetime. Integrating learning more firmly into adult life is a very important part of putting lifelong learning into practice. . . Lifelong learning sees all learning as a seamless continuum “from cradle to grave.” (p. 7; see also Cheng, 2017)

As indicated by the European Commission here, the emphasis on lifelong learning holds a place for school-based education, but the focus here has been shifted

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from a concentration on preparation for adult life (i.e., qualification) and later formalized learning opportunities, to developing competencies for learning (and changing careers, etc.) throughout life (see also Kimura & Tatsuno, 2017). This means an emphasis on practical and “basic” skills, which include particularly skills to adapt to new and changing information, communication, and political-economic technologies: . . .most of what our education and training systems offer is still organised and taught as if the traditional ways of planning and organising one’s life had not changed for at least half a century. Learning systems must adapt to the changing ways in which people live and learn their lives today. . . .We still know and share too little, for example, about how to generate productive self-directed learning, whilst remembering that learning is ultimately a social process; how senior citizens best learn; how to adjust learning environments to enable integration of the disabled; or what the potential for mixed-age learning groups could be for cognitive, practical and social skills development. (European Commission, 2000, p. 14).

As Wing On Lee notes, lifelong learning has been enthusiastically taken up by governments in East Asia, to cultivate a knowledge economy and compete economically at the national level (2007). Enthusiastically endorsing the concept, countries such as Japan, Korea, Thailand, and China have also traced lifelong learning discourse to local educational traditions noting, for example, “lifelong learning is as old as the human race itself. For the hunter and gatherer in ancient times, living by his or her wits was lifelong learning” (Lee, 2007, p. 371). As Lee contends, not all the values associated with lifelong learning have been reflected in related educational reforms, however, as they tend to focus on economic productivity rather than emphasizing other social values, such as the cultivation of democratic culture or active citizenship (see also Cheng et al., 2017). There have been other challenges for education for lifelong learning, related to online and informal learning. Because of the openness of the Internet for ordinary people to become producers and not just consumers of information, not all online content is reliable, truthful, or accurate (Chen & Huang, 2017; Cheng, 2017). In relation, the proliferation of web spaces and social media network pages developed by partisan groups and private for-profit businesses has led to a crisis of faith about truth and, in relation, about the Internet’s educative impact. Advocates for media literacy now warn that information found online can make a negative informal educative impact on people of all ages: teaching problematic lessons; normalizing violence; perpetuating fear, stereotypes, xenophobia, and unhelpful senses of fear, threat, and anxiety; encouraging mindless resource consumption and Internet addiction; and limiting rather than diversifying the scope of voices and perspectives people can find and be receptive to (Jackson, 2014, 2019a). The extent to which these various concerns are warranted, and the scale of such problems in terms of the numbers of people impacted and how, are difficult to identify. However, what is clear is that the Internet and its plethora of news, social, and entertainment media operate according to values and norms that have been developed and shaped from outside the sphere of formalized education (for instance, values of the corporate sector such as to make money through advertising, and values of partisan political groups to orient

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people toward their messages and perspectives). Thus, the Internet now represents a significant competitive educational technology for informal learning alongside formalized schooling, with accompanying risks. When it comes to informal social learning, the need to consider the impact of schooling versus online media is thus vital. In the case of the Trump presidential election campaign in the USA and the pro-Brexit vote in the UK in 2016, data about the way different groups in society use the Internet was manipulated to deliver targeted partisan political messages more effectively to more susceptible users (Jackson, 2017). Neither educational researchers nor social science pollsters predicted the results related to these powerful uses of message development and dissemination online. In relation, the post-digital age (i.e., the time since the rise of the Internet) has recently been described as the “post-truth” era, as polarization within societies has become normalized based on significantly different views of the truth which are partly influenced by online informal learning. Some regard the use of media and social networks by partisan political groups in this context as akin to a new form of terrorism, as communities that are not interested in the greater good spread propaganda online, making the unreal appear real, such as through digital video and photo editing and the use of repetitious messaging across platforms. In this context, communities are being split apart by political polarization (Jackson, 2021). Thus, as Burbules predicted 20 years ago, the age of online learning has indeed been a time of dramatic change, where opportunities for lifelong learning and access to knowledge are greater than ever, alongside new and increased risks and challenges, as a flattening of knowledge has led to post-truth confusion and cynicism. In this situation, the social purposes of schools seem to retain significance, despite important questions about whether and how formalized education can aim to and effectively serve a public good in the future. Given the new problems faced in relation to informal learning online, continued space for formal learning and for focusing on cultivating positive interpersonal relationships with diverse others could be vital to respond to post-truth conditions, to appreciate the value of some aspects of scholarly systems (for example, peer review in research) for evaluating knowledge claims and expertise, and to empower individuals as local and global citizens with literacy and lifelong learning skills needed to engage in meaningful ways with others in their community and worldwide. However, this does not need that the education systems in existence today are essential within the “new normal.”

Conclusion Formalized schools are charged today with benefiting society as a whole, including students and communities. However, a historical view reflects that contemporary educational systems have their roots in the colonialist and elitist past. That is, schools over time have been introduced, systematized, and massified in many cases not to empower all, but rather to enforce social and political order and obedience. Despite the recent popularity of Dewey and Freirean educational approaches among many

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educators and scholars, education systems have never been structurally designed to be student centered in the sense that each students’ needs (or those of their communities) could truly be fulfilled. Rather, the aims and desires of elite politicians and influential economic actors have always held and continue to hold center stage, over other important functions of education (such as for civic participation, socioemotional learning, and related purposes). Today, schools still do not serve all students equitably, despite lip service paid to this goal across systems for many decades. Instead, educational systems are geared toward national and global political economies. This is reflected in the way that lifelong learning and nonformal education are now discussed by political actors as necessary for societal-level political-economic development, which can be contrasted with other senses of humane individual or community-level flourishing. Thus, what we now call nonformal and lifelong learning are formidable contenders today to formalized schooling systems that are increasingly seen as less effective or useful than more student-centered alternatives. In relation, the growth of the Internet has led to the development of the view that knowledge and intelligence are distributed horizontally rather than vertically. That is, knowledge is no longer imagined to be held only by teachers and others within formalized schools. While schools remain the major domain around the world for credentialling, qualification, and certification, and teachers continue to be vital in relation to the human dimensions of learning, educational systems no longer hold a monopoly over what it means to be educated or skilled. Instead, varied possibilities exist for nonformal education to empower diverse social actors, through vocational training, distance and online education, and other forms of teaching and learning beyond formalized schools. Do we need an educational system for the new normal? While the enterprises of teaching and learning will no doubt continue to be systematized within and across educational venues in the future, the formalized schooling system that prevailed in the twentieth century should be uprooted from the colonialist, imperialist, and elitist social and political world in which it developed if it is to play a positive role in the future. Meanwhile, the neglected and undertheorized educational domains of nonformal and lifelong learning, and the pernicious possibilities of informal online education, require greater consideration, given their roles historically and today in providing for diverse pathways for different kinds of learners. Finally, educational actors should be careful not to strive to simply replace one problematic system with another. Rather, we should question the benefits and challenges involved with systemizing and formalizing education, asking to what ends we would wish to formalize and systematize in the future, in relation to broader social and political values.

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Rethinking the Impact of Globalization on Education in the Asia-Pacific Fazal Rizvi, Jie Zheng, and Yeow-Tong Chia

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Hegemonic Globalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Hong Kong and the Politics of Post-Coloniality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shanghai and the Promotion of Another Globalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Singapore and the Mediations of a Strong State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Globalization as Exception . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter suggests that the various accounts of the “impact of globalization”on higher education policies in the Asia-Pacific, which assess this impact as either positive or negative, are misleading. This is so because such accounts run the risk of reifying globalization as if it has an external existence of its own, independent of the ways in which it is discursively constructed. While accepting the contention that the neoliberal imaginary of globalization has become globally hegemonic, the chapter argues that even this imaginary is employed in ways that are mediated by local histories and ideological preferences, as well as the various political interests involved in characterizing the opportunities and challenges associated with the facts of global interconnectivity. Using the cases of three F. Rizvi University of Melbourne, Melbourne, VIC, Australia e-mail: [email protected] J. Zheng East China Normal University, Shanghai, China e-mail: [email protected] Y.-T. Chia (*) University of Sydney, Sydney, NSW, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_7

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systems of higher education, namely, Hong Kong, Shanghai, and Singapore, the chapter seeks to demonstrate how their higher education policies are exceptional in that they are located within the contexts of their different colonial histories, systems of governance, and understanding of geopolitical shifts, as well as their ideological interests in projecting themselves on the global stage. Keywords

Globalization · Exception · Higher education · Hong Kong · Shanghai · Singapore

Introduction Over the past three decades, many scholars (Mok, 2006; Gopinathan, 2013; Yang, 2018, for example) have described how globalization has impacted educational policy and practice across the Asia-Pacific. They have shown how globalization has become a core concept around which the requirements of educational restructuring have been articulated. The processes of globalization they have suggested, represent major shifts that are taking place within the global and regional economies, which no system of education can afford to overlook. Such shifts demand re-articulation of the purposes and governance of higher education. Accordingly, phrases such as the “global context,” the “global imperatives,” “the global pressures,” and the “global competition” have been used widely across the region to drive educational reforms. In its extreme form, these demands for reform are expressed in terms of an anxiety that points to the inadequacies of the current systems of education to prepare students for the global economic, cultural, and political transformations. It is suggested, for example, that the current curriculum fails to effectively prepare students for the rapidly changing nature of work and the globally integrated labor market. Highlighted therefore is the need to educate students for a complex, uncertain, and precarious world of employment. These narratives of higher education are underpinned by the idea that globalization is driven partly by major developments in new technologies and social media and partly by shifts in the global architecture of the world. These shifts are transforming the nature of societies since we are now able to access diverse sources of knowledge, values, and lifestyles, and communicate and forge networks across national and cultural borders. Globalization has thus opened up new opportunities for the mobility of people, capital, and ideas. Within the context of these changes, the demand for higher education has increased rapidly. As higher education has become “massified” (Trow, 1973), it has resulted in a much more diverse body of students on campuses, the needs of whom, it is believed, cannot be adequately met by the existing approaches to the provision of higher education. Across the Asia-Pacific, these beliefs have now become embedded within the popular imagination, with a great deal of policy discussion centered on not only how to meet the challenges posed by globalization but also to take advantage of the

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opportunities associated with it. Highlighted invariably is the importance attached to the values of entrepreneurialism, enterprise, and of being responsible for one’s own life-long and life-wide learning, as well as the need to internationalize education, as a way of developing citizens who are “globally-minded.” Emphasized also is the need to rethink the governance of education, making it more efficient and effective within contexts of limited public resources. Private investment in human capital formation is now widely encouraged, for the returns it is expected to deliver to individuals and nations alike. While this account of globalization and its impact on higher education policy and practice has become commonplace across the Asia-Pacific, we want to argue that there is something misleading about the ways in which it is framed. The use of the term “impact” risks universalizing the logic of globalization. Globalization is treated as a naturalized phenomenon, external to the contexts in which it is interpreted and normatively deployed. It is portrayed as an irresistible force that policymakers need to understand in order to craft their response in line with its imperatives, articulated invariably in terms of a particular neoliberal social imaginary (Rizvi & Lingard, 2010). In this chapter, we maintain that this way of theorizing globalization sidesteps the fact that the political dynamics of globalization are experienced in a range of complex and different ways, and that to describe globalization in such reified terms is to fail to recognize how its hegemony is constructed. In contrast, we propose that just as the anthropologist Aihwa Ong (2007) has shown neoliberalism to be exception, so it is possible also to view globalization and its purported impact on higher education as exceptional in particular contexts. Using case studies of how globalization has been understood and approached differently in three city-states in Asia, namely, Hong Kong, Singapore, and Shanghai, we argue that the specific form that globalization takes is shaped by local interventions of different kinds, linked to their distinctive histories and political systems. As we enter into a multipolar world (Pieterse, 2018), such an analysis of globalization acquires additional significance.

Hegemonic Globalization Historically, the idea of globalization has not been entirely unfamiliar in the AsiaPacific. In recent years, several scholars have documented the significance of Asia in the making of the global economy and world society. Scholars such as Andre Gunder Frank (1998) and Ken Pomeranz (2000) have shown Euro-centric accounts of globalization to be fundamentally misleading. Their revisionist historical studies have implied a profound rethinking of world history. Frank has argued, for example, that between fourteenth and eighteenth century, the two major regions that were most central to the world economy were India and China. Geoffery Gunn has drawn attention to Southeast Asia as a first “globalizer,” while John Hobson (2004) has coined the term “oriental globalization” to highlight the Eastern origins of Western civilization. It was not until colonial exploitation in the nineteenth century of the countries in the Asia-Pacific were rendered economically weak and culturally sidelined in the history of globalization.

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Nor were the normative ideas about global interconnectivity and interdependence, along with cosmopolitan aspirations, entirely absent in Asian civilizations. In Chinese history, the notion of tian xia, for example, can be translated as cosmopolitanism. It suggests a form of global ethics, based on idea of human-heartedness (ren). Chun (2009) has noted that Chinese cosmopolitanism does not only point to the integration of the Chinese people but also to a form of ethical liberalism. It emphasizes the importance of mutually beneficial communication, along with a or rites and proper conduct. Ward (2013) has also shown how Buddhist traditions highlighted the importance of solidarity across cultural difference, along with an exploration of the relationship between the nature of self and the politics of hospitality and solidarity with strangers. Cultural traditions in Southeast Asia, including Vietnamese, Indonesian, and Malaysian, similarly espoused the importance of regional and global interconnectivity as a major source of innovation and national development (Cheah, 2000). These ancient ideas have not entirely vanished from the cultural landscaper of the Asia-Pacific. But they are refracted through the history of colonialism and the contemporary articulations of globalization. As Hird and Song (2018) have noted, contemporary policies and practices in the Asia-Pacific have hybridized forms, containing both the historical and colonial legacies applicable to each location and outcomes of various negotiations between global and local discourses aligned with the agendas of the state of building a modern and cosmopolitan image of the nation. Legacies of pre-colonial, colonial, and post-colonial experiences define the exceptionality of each location. Throughout the world, in the contemporary era, cultural borders are breaking down, as ideas from the outside are imposed, borrowed, and incorporated into local registers. In this way, interpretations of globalization are translated, transmuted, and modified, acquiring exceptional forms. At the same time, however, some ways of thinking about globalization become hegemonic, but not in their entirety. Over the past few decades, the idea of globalization has been described in a number of different ways, with definitions focusing variously on economic, political, and cultural transformations. More than three decades ago, the sociologist Anthony Giddens (1990, p. 7) provided a most generalized account of globalization, defining it as “the intensification of worldwide social relations which link distant localities.” He suggested that globalization accelerated the global mobility of human beings, goods, and services; capital, technologies; and cultural practices across the planet. He used the concept of “time-space distanciation” to show how globalization involves a set of multi-causal and multi-stranded processes that allow the possibilities of stable organization of human activity across vast spatial and temporal distances. In more concrete terms, actual social relations, he argued, have become possible in real-time across vast distances, and need no longer be confined within the borders of a community or a nation (Giddens, 1990, p. 21). Throughout the 1990s, this way of describing globalization was accepted by a range of other authors, each emphasizing the possibilities of increased levels of

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interconnectivity and interactions across different regions, nations and populations around the globe, opened up by better communication, cheaper transport, and so on, which had enhanced the possibilities of internationalized modes of production and consumption. The idea of “global integration of economy” emerged as a core concept around which countries around the world attempted to reshape their economic policies to take advantage of the opportunities that globalization had opened up. A globally integrated economy also became possible through the effects of liberal trade and capital-flow policies. Such neoliberal policies were promoted vigorously by international organizations, such as the World Bank, the Organization of Economic Cooperation and Development (OECD), transnational corporations and various think tanks based mostly in the United States, but elsewhere as well. For the developed countries, global integration enabled them to reach new markets for their goods and services, while for the developing nations, it brought in foreign direct investment at unprecedented levels, especially in the manufacturing sector. Around the turn of the century, this view of globalization became globally hegemonic, portrayed as an inevitable outcome in the next stage of capitalism, a powerful global force that no country could afford to overlook. It became part of a popular social imaginary that Rizvi and Lingard (2010) have referred to as a “neoliberal imaginary of globalization.” This imaginary became hegemonic through a range of overlapping processes that involved the circulation of ideas, various conventions and regional and international agreements, emerging from various modes of international cooperation, as well as a politics of coercion. The new global media enabled the circulation of a “market rationality” (Brown, 2015) that suggested an idea first articulated by the British Prime Minister, Margaret Thatcher that “There Is No Alternative” (TINA), and subsequently encapsulated in a broader discourse of capitalist triumphalism inherent in Fukuyama’s (1992) flawed notion of “the end of history.” The various conventions and international agreements promoted by organizations such as the World Trade Organization (WTO) also contributed to the neoliberal imaginary of globalization becoming hegemonic. Coercive practices left many developing countries seeking foreign aid from organizations such as the World Bank with no other choice but to embrace neoliberal policies of privatization of public institutions and the corporatization of governance, encapsulated in the technologies of New Public Management (Lane, 2002). No hegemonic discourse is however ever absolute. The sense of inevitability it portrays invariably has a chink in its armor, not least because its claims to historical determinism are undermined by the political agency that communities continue to have. So while the neoliberal imaginary of globalization sought to reify global processes, representing the basic tenets of neo-liberalism as natural and inevitable, they did so only if the communities allow themselves to be so disciplined by the states, markets, and other powerful interests, to assume that the march of history toward the precepts of neoliberalism is a necessary outcome of the structural conditions under which they are promoted; and that these conditions necessarily dictate or at least constrain policy options.

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To assume this deterministic logic is, however, to draw attention “disproportionally upon the global economy, reified as a pre-given ‘thing’, existing outside of thought,” the logic of which not only explains the development of policies but even determines the subjectivity of people, “without ever interrogating them about what they are up to” (2000, p. 6). It moreover privileges the economic over the sociocultural and political processes. And as Michael Smith adds, it gives “scant attention to the discursive and material practices by which people create the regularized patterns that enable and constrain them; these discourses lack an effective theory of political agency, or any other kind of agency” (2000, p. 6). It overlooks the fact that imaginaries are socially created and sustained, and that it is possible to have a different social imaginary with respect to social phenomena such as globalization, no matter how overwhelming it might appear. This line of thinking points to the theoretical value of Aihwa Ong’s (2007) concept of “exception” since it allows us to see how the spread of neoliberal imaginary of globalization involves “a historical process that unevenly articulates situated political constellations” (Ong, 2007, p. 3). In relation to neoliberalism, Ong suggests that it is “an economic doctrine with a negative relation to state power, a market ideology that seeks to limit the scope and activity of governing” (p. 3). The same can be said of the neoliberal imaginary of globalization. It too seeks to recast governance to be a matter of identifying problems in a non-political and non-ideological manner to which technical solutions are needed. Such a view however fails to recognize that the ways in which nations organize their governmental activities are inherently political. In this sense, the notion of “exception” is helpful in showing how the meaning and significance of globalization can be expected to vary across different locations and so therefore must its impact. The idea of globalization as an exception suggests that while nations and institutions have invariably engaged with the hegemonic neoliberal imaginary of globalization, the form that this engagement has taken has varied greatly. In crafting their policies, they have engaged with global processes in their own exceptional ways, shaped not only by their historical experiences but also by various modes of political intervention. In ways that are selective, they have some accepted elements of the globally circulating ideas about globalization, while rejecting or resisting others. Admittedly, however, their choices have been affected not only by geopolitical pressures and various global, regional, and local power configurations but also refracted through historically specific processes and the exercise of their own political agency. In what follows, we aim to illustrate this general argument through a discussion of three systems of higher education within the Asia-Pacific region, each located in a global city (Sassen, 2018) where the dynamics of globalization can be expected to be deeply consequential. We consider the ways in which Hong Kong, Shanghai and Singapore have engaged with the ideas of globalization in the development of their higher educational policies, especially with respect to their attempts to reform their systems. We explore how these systems of education have negotiated the seemingly

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hegemonic neoliberal imaginary of globalization in their own exceptional ways to steer educational reforms. We argue that while these reforms are shaped in many ways by the globally converging tendencies, they nonetheless also reveal the profound differences that exist between them in relation to their educational priorities and attempts to reform their governance practices.

Hong Kong and the Politics of Post-Coloniality Higher education policies are inherently political in that they express a preference for a particular set of values that they seek to allocate. In recent decades, policies in Hong Kong as elsewhere have urged higher education institutions (HEIs) to take seriously the challenges associated with the processes of globalization and to view globalization as an opportunity to internationalize their campuses, by renewing their curriculum and by promoting translational research collaborations. Hong Kong has been highly successful in these endeavors. In doing so, it has borrowed heavily from the globally circulating ideas about the shifting purposes of higher education and how HEIs are best governed. However, Hong Kong’s engagement with these ideas has been selective, filtered through the complex geopolitical context within which its HEIs are located. Culturally and politically, HEIs in Hong Kong are located at the intersection of three major historical forces. Their colonial history continues to shape their institutional practices, including the ways in which their curriculum is framed and their assessment regimes are administered. Many of their governance practices still follow British traditions. Nowhere is this more evident than in Hong Kong’s oldest and more prestigious university, the University of Hong Kong (HKU). Established in 1911, HKU has mostly retained the organizational structure that the British had established, including the conditions under which staff are expected to work and are rewarded. Its curriculum remains broadly similar to the ways in which the British universities organize various forms of knowledge. Scholars who are recruited from Britain seldom find the cultural rhythms of the campus life at HKU to be very different from that with which they are familiar. In the area of assessment of teaching and research, HKU, and other HEIs in Hong Kong, also look to England to guide its policies and practices. So, for example, Hong Kong’s Universities Grant Commission follows almost slavishly the methodological tools developed by the UK for its Research Assessment Exercise (RAE), at which HKU excels, perhaps because it is the most British of Hong Kong’s eight universities. However, a second historical force that has unsettled Hong Kong’s continuing devotion to the British educational traditions is mainland China. When in 1997, the British formally left the island, Hong Kong became a Special Administrative Region of China. The citizens of Hong Kong were promised a high degree of autonomy under China’s “One Nation Two Systems” policy. However, in recent years, China has become increasingly assertive in most aspects of life in Hong Kong, including

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higher education, though it exercises its power through indirect means of influence. For example, Beijing-appointed leadership in Hong Kong encourages its HEIs to pursue policies that are China-friendly and conduct research in ways that do not compromise Chinese interests. The growing number of mainland students and staff from the mainland are also transforming the organizational culture of HEIs in Hong Kong. They bring with them sentiments of post-coloniality that are arguably different from those of the local citizens, even if they are both inspired by the Confucius traditions. The third major historical force relevant to an understanding of the cultural politics of Hong Kong is globalization. By any reasonable definition, Hong Kong is one of the world’s leading global cities. A great deal of global capital flows through Hong Kong, attracting investment that is often parked there on its way to mainland China (Chiu, 2018). The city attracts a large number of global tourists. Global flows of people, money, and ideas have indisputably made Hong Kong into a dynamic space where cultures come together, producing new hybridized practices. This has inevitably shaped the cultural tastes of the young people in Hong Kong who are able to draw on multiple traditions to forge their own distinctive identities as citizens of Hong Kong (Au, 2020). The global cultural flows can be expected to affect their political beliefs that are understandably neither exclusively Chinese nor entirely Western. These beliefs inevitably inform the nature of their participation in higher education, as well as their aspirations. For example, it was at the universities that the young people in Hong Kong forged their thinking around the Umbrella Movement, borne out of a desire to engage with the world on their own unique terms. Hong Kong’s system of higher education has to negotiate three historical forces, which interact with each other amid a state of considerable tension. Several scholars have shown how neoliberal ideas have been dominant in shaping attempts at reforming higher education in Hong Kong. More than two decades ago, Ka Ho Mok (2000) argued, for example, that the rising tide of “managerialism” in Hong Kong is due largely to its HEIs embracing the neoliberal understanding of globalization. He noted that most HEIs in Hong Kong have adopted neoliberal technologies such as internal audit, quality assurance, performance pledges, and management-by-objectives in an attempt to improve the efficiency and effectiveness of public services. More recently, Lo (2017, p. 759) has shown that while neoliberal imaginary of globalization has framed the reform policies in Hong Kong in the past, its higher education system “is undergoing a paradigm shift, with which the essence of governance has shifted from managing globalization to managing the tension embedded in the global-local dynamics of agenda-setting in higher education policy.” Lo’s analysis has some similarities with an argument put forward by Marginson (2011), which suggests that higher education throughout East Asia is shaped by Confucius values, which include a belief in the role of the strong state in the shaping of structures, funding, and priorities, and the role of the family in supporting the education of the young as a matter of private duty. While this perspective is accurate

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to an extent, what it does not acknowledge is that the Confucian values are not embraced in the same way across East Asia and that the particularities of Hong Kong imply that the commitment of its HEIs to Confucian values exists alongside values emanating from other historical sources. HEIs in Hong Kong do not appear ready to abandon the British colonial legacies. Indeed in recent demonstrations against the Chinese state, they often express their admiration of such Western values as liberal democracy and individual freedom. Most students appear to desire the European cosmopolitan tastes and have aspirations to locate themselves within the global consumer culture, while also aspiring to a form of post-coloniality. These aspirations are not entirely independent of Hong Kong’s colonial legacy, nor its affiliation to Confucian values. The ways in which historical forces shape the organizational forms and cultural practices of higher education in Hong Kong are thus defined by local conditions and politics, as well as external inputs. Hong Kong’s understanding of globalization is, in this way, exceptional, and so is the manner in which globalization has impacted policy processes in its HEIs. While HEIs in Hong Kong appear to have incorporated the globally circulating vocabulary into their own registers of higher education reform, they have done so on their own terms. Political authority in Hong Kong is not thus absolute and has to tread carefully in shaping its engagement with HEIs. Indeed, it is deeply aware of the need to negotiate the complexities arising out of the conditions of Hong Kong’s exceptionality shaped by multiply conflicting forces.

Shanghai and the Promotion of Another Globalization Like Hong Kong, Shanghai’s engagement with the processes of globalization has been extensive but also exceptional. Through its radical reforms in the 1980s and 1990s, culminating in China’s acceptance into the World Trade Organization in 2002 (Hayhoe & Zha, 2004, p. 87), Shanghai has become a major participant in the global market economy. It has helped boost China’s remarkable rate of economic growth. However, this participation has been on its own unique terms, informed by China’s continuing commitment to socialism and the rule of the Communist Party. China’s understanding of neoliberal precepts has thus been exceptional, with “its own characteristics,” as Harvey (2005) puts it. It has addressed social problems such as social equity and environmental degradation alongside a focus on economic development. The state has remained all-powerful in steering public policy. Zheng and Kapoor (2021) refer to this attempt to balance economic and social imperatives as “state developmentalism,” which includes efforts to curb the negative impact of the global markets on society. To do so, it attaches great importance to the role of education in a particular form of the revitalization of the Chinese nation that is globally confident but locally rooted (MOE, 2004). China attaches a great deal of importance to the development of its HEIs as crucial to its project of nation-building and modernization (Ngok, 2007). Moving

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into the twenty-first century, the Chinese government has quickened the pace of this development through national strategies and initiatives such as “project 211,” “project 985,” and “world-class 2.0” (world-class universities and world-class disciplines). The government is aiming to improve the quality and reputation of its system of higher education by establishing world-class universities to enhance international competitiveness and extend their global influence. It shuns the language of “striving to ‘catch up’ with what were perceived as advanced standards elsewhere” (Hayhoe & Zha, 2004, pp. 89–90). HEIs in China are moreover now expected to contribute to global knowledge production and its soft power projection. Accordingly, since the early 2000s, “China’s higher education internationalization has begun to pay particular attention to exporting Chinese knowledge to the world” (Yang, 2010, p. 243). In its distinctive form of engagement with the processes of globalization, various HEIs in Shanghai have played a major role, building on the city’s cosmopolitan history. The modern industrial development in Shanghai dates back to the late nineteenth century alongside “the incursion of Western settlements” (Wu, 2004, p. 159). Its history of modernization reveals Shanghai to bear traces of cosmopolitanism, expressed in its openness to others, globalized cultural tastes and multicultural population (Wang, 2012). Shanghai has built on this history in contributing to China’s economic growth at an unprecedented rate. Since the Third Plenary Session of the Eleventh Central Committee in 1978 confirmed “reform and opening up” as China’s fundamental state policy, China has softened its restrictions on international trade, assigning four special economic zones in 1980 and further establishing 14 coastal cities including Shanghai in 1984. As a result, Shanghai is now deemed as “a key to modern China,” an international center of commerce, trade, shipping, and technological innovation. At the same time, however, Shanghai aims to become a socialist modern international metropolis with worldwide influence (Shanghai municipal government, 2021). From early 2016, Shanghai has played a leading role in the Yangtze River Delta urban agglomeration (State Council, 2016), but always in ways that are mindful of the amalgam of its Socialist and Confucian values. As a global city, Shanghai’s urban development has driven its ambition to internationalize higher education, with the city expected to accommodate a more culturally diverse population on campuses. Until recently, the internationalization of higher education in Shanghai was inward-oriented. This included dispatching students and faculty members abroad for study or training, hiring foreign faculty members and returned Chinese with overseas credentials, participating in international academic organizations and conferences, offering English medium instruction programs and courses, and establishing collaborative initiatives such as ShanghaiNew York University. As a strategy, the approach to internationalization was not well been integrated into the municipal strategies for urban development (Li, 2017), as it looked for external inputs and validation.

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Since the beginning of the century, however, Shanghai has begun to project a more positive image that denies the need to mimic the Western models. In light of China’s ambitions for soft power projection, the Shanghai municipal government has begun to prioritize quality improvement and innovation of higher education, conceptualizing them in China’s own exceptional terms. Many signs of outwardoriented internationalization can now be observed in Shanghai. It has, for instance, begun to attract a growing number of foreign students to come to study in its leading universities (Li, 2017). China’s Shanghai Jiao Tong University has become the first Chinese university to offer programs abroad and has been operating its Graduate School of Singapore since 2002 at the Nanyang Technological University. It has also been working on a system of global comparison and ranking of universities since 2003 which offers an alternative way for projecting its global presence and its outreach efforts. Fudan University is planning to establish a branch campus in Hungary, but in ways that are distinctive aligned to China’s geopolitical interests. Various ideological and cultural challenges constrain HEIs in Shanghai from “going global.” For instance, Du’s research at Fudan University reveals major tensions between the state’s expectation for socialist conformism and the university’s pursuit of academic independence and innovation (2018). Although Fudan’s agenda for establishing a branch campus in Hungary has been supported by the Chinese and Hungarian governments, its attempts at global outreach in Europe has been resisted by the local population in Budapest, suspicious of China’s government’s geopolitical interests. Shanghai’s capacity to define its own understanding of global outreach through higher education has thus been curtailed by competing images of how to engage in global processes within the context of geopolitical tensions. Culturally, Shanghai has sought to negotiate these tensions by forming the Haipai Center in the hybridity of foreign and local cultures. At the material level, the center highlights the juxtaposition of Shanghai’s colonial architecture along the bund, as well as the newly built postmodern skyscrapers, music, and arts from different parts of the world as a way of displaying the cosmopolitan feature of its urban culture. Still, China’s premodern roots of Sino-centrism persist as is evident in recent calls for indigenization, revealing tensions with respect to the forms of international academic and cultural exchange that should be valued in Shanghai. What this account suggests is that the project of internationalization of HEIs in Shanghai is based on its unique history as a space at the crossroads of civilizations. The city’s leading HEIs have embraced with enthusiasm China’s participation in the global economy, but this participation has been shaped by political and cultural expectations that appear to accept and challenge the globally hegemonic imaginary of globalization simultaneously. The understanding of neoliberal precepts at Shanghai’s HEI has been tentative, accepting some of the market ideas that now drive the internationalization of higher education, but viewing its purposes to be tied to China’s soft power ambitions and the leadership role that China wishes to play in the production and dissemination of new knowledge. China’s perspective on

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modernization and globalization is thus distinctive in shaping experiences and aspirations of its HEIs at the intersection of tensions that are not easily resolved.

Singapore and the Mediations of a Strong State Unlike Hong Kong and Shanghai, which are global cities within a nation, Singapore is in a unique position of being both a city as well as a nation-state. Prior to its independence in August 1965, Singapore has historically been the key commercial and administrative city of British Malaya. Even though the British decided to administer Singapore and Malaya separately following the Second World War, the eventual vision was that of an independent Malaya with Singapore as a key economic center, like New York City is to the USA. The establishment of the University of Malaya over in Singapore in 1949 is evidence of this aspiration (Chou, 2015). Unfortunately, Singapore’s interlude in Malaysia was short and tumultuous. Understanding this historical context is crucial in explaining the tensions and dilemmas faced by the Singapore state in interpreting and harnessing the forces of globalization to achieve its subsequent stellar economic development (Koh, 2010). Even before globalization became a ubiquitous nomenclature, the Singapore state has positioned Singapore as a “global city” within the first decade of its independence. This was first articulated by S. Rajaratnam (1972), then Singapore’s Foreign Minister at a speech to the Singapore Press Club in February 1972. Rajaratnam’s speech sets out the blueprint of the Singapore state’s version of globalization, one that is primarily economic: If we view Singapore's future not as a regional city but as a Global City, then the smallness of Singapore, the absence of a hinterland, or raw materials and a large domestic market are not fatal or insurmountable handicaps. It would explain why, since independence, we have been successful economically and, consequently, have ensured political and social stability.

Rajaratnam went on to argue however that “once you see Singapore as a Global City the problem of hinterland becomes unimportant because for a Global City the world is its hinterland”(1972). The world was and still is, regarded as Singapore’s economic “hinterland.” Being global contributed to Singapore’s economic success, and consequently, its survival as a nation-state. This explains the welcoming of multinational corporations into Singapore, as well as the state’s subsequent adoption of neoliberal globalization to ensure Singapore’s continued economic development. While globalization did present questions as to the strategies for transforming an industrial economy into a truly knowledge-based economy, much of the answer for the Singapore government lay in increasing state investment in the higher education sector, which could be justified on the clear evidence that universities have contributed much toward economic growth (Gopinathan & Lee, 2011, pp. 57–58). After all, investment in universities was the natural answer for transforming an

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export-oriented economy manufacturing electronics, petrochemicals, and component and precision engineering, to an economy focused on services, innovation and research. Moves in this direction first began in earnest in 1991 when the Economic Planning Committee submitted its Strategic Economic Plan, which recommended that the state budget allocation for education be increased to 5% of GDP, from between 2.5% and 4% throughout the 1980s, and particularly with the goal of expanding higher education. The key policy initiative in this regard was the World Class Universities program launched in 1998, which sought to position Singapore as the “Boston of the East.” Teo Chee Hean, then Minister for Education, said in 2000 that: Our vision, in shorthand notation, is to become the Boston of the East. Boston is not just MIT or Harvard. The greater Boston area boasts over 200 universities, colleges, research institutes and thousands of companies. It is a focal point of creative energy, a hive of intellectual, commercial and social activity. We want to create an oasis of talent in Singapore: a knowledge hub, an ideas exchange, a confluence of people and idea streams, an incubator for inspiration. (Teo, 2000)

This set the stage for the subsequent ambitious Global Schoolhouse initiative which aimed to make Singapore a global education hub for prominent foreign universities to set up branch campuses in Singapore (Lee, 2018; Olds, 2007; Sidhu et al., 2011), with mixed success (Tan, 2017). While the Singapore state welcomed the economic benefits brought by globalization, it eschews the political and cultural liberalism aspect of globalization that Appadurai (1996) alludes to. This is best manifested in the Asian Values debate in the 1980s to 1990s, where the state articulated a false binary of decadent “Western” cultural values versus “the tried and tested Asian cultural and moral values” (Singapore Parliamentary Debates, 8 Feb 1977, col. 40), which it regards as inimical to Singapore’s survival as a nation-state (Chia, 2011; Chia, 2015). The dilemmas and tensions between the Singapore state’s version of tactical globalization (Koh, 2010) for economic ends, and that of political and cultural globalization, is brought to a head with the ongoing mini-saga surrounding the imminent closure of Yale-NUS College. Established in 2011, and accepting its first cohort of students in 2013, YaleNUS College was the first liberal arts college in Asia. The Singapore government arguably saw the economic benefits of a liberal arts education, as seen from Prime Minister Lee Hsien Loong’s speech in the opening of Yale-NUS College, where he mentioned the skills of “think[ing] critically across disciplines, and . . . communication and leadership skills” (Lee, 2015), all vital to the knowledge economy. From the onset, Yale-NUS was dogged with controversy, with several Yale faculty members questioning “the compatibility between a liberal arts education dedicated to free enquiry and an authoritarian state with heavy restrictions on free speech and assembly” (Tan, 2017, p. 143). That the Yale leadership continued the venture suggests that they hoped for Yale-NUS College to contribute to the greater cultural and political liberalization of Singapore over time. The sudden

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announcement of the closure of Yale-NUS College in August 2021, and the response and reactions by students, alumni, and staff, and the student activism in organizing virtual town halls and petitions against the closure demonstrates the “success” of this liberal arts experiment in Singapore. Singapore is arguably an archetypical case study of how a strong state harnesses and uses globalization to achieve its stellar economic development and thereby gain political legitimacy. The Singapore state remains strong, wanting to have its globalization cake and eat it too. A fundamental tension that remains unresolved is the innate existential and geopolitical vulnerability of Singapore, which leads to the Singapore state’s strong survivalist mindset. The dilemma of an open economy that globalization affords on one hand, and the siege mentality on the other (which explains why cultural liberalism is disavowed as it is seen by the state as potentially detrimental to Singapore’s survival), lies at the heart of Singapore’s unique version and strategy of globalization in an “exceptional state” (Leifer, 2000).

Globalization as Exception What the case studies of these three metropolises demonstrate is that while they share Confucian traditions, they engage with the processes of globalization is markedly different ways. The values of collectivity, family, and strong work ethics play an important role in defining the nature of society and the state. Citizens in each of Hong Kong, Shanghai, and Singapore display a strong commitment to higher learning as a way of enhancing a sense of themself and contributing to national development and prestige. However, their contrasting histories define their political sensibilities and shape the ways in which they interpret the meaning and significance of Confucian values. In Shanghai, these values feature explicitly in China’s attempts to recover its past glories, while in Singapore and Hong Kong, the Confucian values are masked by colonial legacies. These legacies have inevitably shaped the cultural tastes and aspirations of the citizens of Hong Kong and Singapore, even as they struggle to define their relationship to the economically rising China, and the shifting geopolitics of the region. Their complex histories thus account for the political and cultural differences that exist across Hong Kong, Shanghai, and Singapore, and have informed the ways in which they have interpreted the processes of globalization. Each of them has regarded globalization as an important phenomenon that has given rise to various challenges but has also opened new opportunities. They have recognized its importance in driving higher education reforms. However, the extent to which they have embraced the globally dominant neoliberal ideas has varied. Around the turn of the century, Singapore and Hong Kong largely accepted the governing rationality of neoliberalism to shape their attempts at educational reform, but in recent years their commitment to its core assumptions has waned, as they have sought to develop their own locally-inspired approaches of intervention in the global processes. Shanghai, in

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contrast, has always been suspicious of ideas emanating from the West and has borrowed from them much more selectively and strategically, against its own interests in forging a system of higher education that is globally connected but does not overlook China’s distinctive cultural and geopolitical interests. In thinking about the purposes and governance of higher education, both Singapore and Shanghai have been inclined to make good use of economic globalization for state development, while maintaining a conservative and cautious position toward the realm of culture and politics, which has generated significant tensions but also exceptions in dealing with neoliberal globalization. Although since 1997, China has proposed not to intervene in the local governance of the island, given its “one nation two systems” policy, Hong Kong has not found this political formula easy to translate in a set of effective and coherent practices. The various historical forces that have shaped Hong Kong have caused considerable tensions in its policy processes. While, in its system of higher education, Hong Kong has retained many aspects of its British colonial legacy, it has been unable to escape entirely the political imperatives of the Chinese government. As a city at the crossroads of civilizations, it has had to negotiate economic, cultural, and political pressures emanating from multiple directions. One of these directions is the United States. While Hong Kong and Singapore share a common legacy of the British higher education system, in recent years, the forces of globalization have steered them, and to a lesser extent Shanghai, toward a US higher education model, though in ways that differ markedly across the three cases. These differences are due largely to the fact that they are administered by different political and social systems. Singapore is not only a global city but also a nation-state, with a larger measure of autonomy. This has enabled Singapore to be more pragmatic and not ideological, through its commitment to meritocracy and technocracy, spotlighting the virtues of effort and standards of excellence (Khanna, 2019), at the directions of a strong state. The Singapore government envisions higher education as a major driver of its participation in the globalized knowledge-based economy, contributing to state development. It has built a global education hub largely to derive economic benefits through world-class programs and global initiatives. In Shanghai, higher education is also expected to contribute to China’s participation in a globalizing knowledge-based economy, but it also is required to promote the socialist cause and project it internationally. The political beliefs, such as Marxism-Leninism, constitute an ideological filter through which Shanghai is expected to envisage the possibilities of globalization. In Shanghai, the municipal government is aiming to improve the quality of higher education in order to meet the local demand for human resources development and become a major center for the production and application of new knowledge. To do this, it has to engage with global processes, but it does this in ways that are exceptional since it also demands that Shanghai’s HEIs support the national ambitions for soft power projection through higher education. As such, it regards its world-class 2.0 and Sino-foreign

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cooperative education as critical strategies to foster and strengthen its system of higher education. However, it insists that this strengthening must not eschew the imperatives of ideological and political education in China. Its internationalization initiatives are thus conditional, revealing the exceptional ways in which Shanghai relates to the processes of globalization. While Hong Kong appears to possess greater autonomy than Shanghai, this autonomy is conditional, requiring its engagement with the processes of globalization to be filtered through the complexities of the relations between global trends and the local dynamics, which include the need to keep an eye on Beijing’s expectations. HEIs in Hong Kong are thus required to negotiate the complexities associated with the competing historical forces to which they are constantly subjected. The political authority and HEIs in Hong Kong have to shape their engagement with global processes is linked to their post-colonial aspirations, but these aspirations lie at an uncomfortable intersection of their colonial legacies and their complex relationship with Beijing. Their responses have varied. For example, different from other HEIs in Hong Kong, the Chinese University of Hong Kong has taken a unique collegiate system, which highlights liberal arts education and civic services while bridging Chinese and Western cultures. It has established a Shenzhen campus and trains talented students through the Sino-foreign cooperative education with mainland China. The newer HEIs in Hong Kong are able to forge new hybrid forms, straddling across the competing historical forces, while the older HKU appears reluctant to abandon its colonial legacies. By any measure, Singapore has been one of the most economically successful experiments since the 1960s, becoming transformed from a poor vulnerable island to a globally confident and rich city-state. Higher education has played a major role in this success. But so has Singapore’s public policies. Building on Confucian traditions, its authoritarian state has been able to preserve social cohesion by delivering its promises to the people. Its approach to higher education has been strategic and sure-footed. The recent closure of the Yale-NUS college reveals its utilitarian style of governance, as well as its selective participation in the economic dimensions of globalization but no particular desire to allow greater cultural and political liberalization. Higher education has become a site for disciplining Singapore’s citizens, who are permitted to strive for economic advancement on the global stage, so long as the state’s vision of a cohesive state is not undermined.

Conclusion In this chapter, we have argued that while the neoliberal imaginary of globalization has been dominant in shaping higher education transformations around the world, its hegemonic control has not been absolute. Drawing upon Ong’s (2007) analysis of the ways in which neoliberalism is an exception, with its core ideas being understood and enacted in a wide variety of different ways, we have suggested that globalization and its impact on higher education too can be viewed as exceptional. We have shown how this is the case using illustrative examples of three global cities in the Asia-

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Pacific, namely, Hong Kong, Shanghai, and Singapore. We have demonstrated how HEIs in each of these cities have interpreted and negotiated the processes of globalization in their own exceptional ways. While they share common cultural origins in the Confucian traditions, their distinctive histories, the nature of their administrative state, local politics, and their understanding of the geopolitical challenges have determined the ways in which they have interpreted globalization and its requirements, as well as the strategies they have pursued to develop their policies of higher education reform.

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Education for Peace and International Understanding in the Asia-Pacific: Trends and Issues Jeongmin Eom and Kevin Kester

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Defining EIU and Peace Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Contextual Changes Since 2001 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . EIU Across Educational Contexts of the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Geographical Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Key Themes from the Globe and the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Education in Conflict-Affected Contexts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Identity Development/Cultural Pluralism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Dialogue and Pedagogy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Postcolonial Peace and Understanding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion and New Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Peace and international understanding education as a philosophy and field of practice has grown substantially in recent decades. It is included within global curricular and pedagogical programs of schools, universities, non-governmental organizations, and international agencies. The interdisciplinary field draws on theory and pedagogy from other related educational efforts, including: antiracism education, conflict resolution education, global citizenship education, human rights education, social justice education, and sustainable development J. Eom Asia-Pacific Centre of Education for International Understanding under the auspices of UNESCO, Seoul, Republic of Korea e-mail: [email protected] K. Kester (*) Department of Education, Seoul National University, Seoul, Republic of Korea e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_9

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education. At the core of these endeavors is the concept of a culture of peace as an organizing framework that links together these disparate fields of practice at different levels of education, from early childhood to adult learning, and across curricular subjects. International conferences and global agendas of the United Nations and civil society initiatives support the work. This chapter then aims to address the following questions: What is education for peace and international understanding? How is it practiced differently in diverse contexts of the AsiaPacific region? What are some challenges and opportunities for the field emerging from these unique contexts? What are some theoretical and pedagogical implications? To answer these questions, the chapter will introduce students, scholars, and practitioners to the landscape of peace and international understanding education within the various contexts of the Asia-Pacific region looking specifically to trends and new directions for the field. Theoretical and pedagogical implications will be explored, particularly concerning lingering tensions around global/local, traditional/modern, top-down/bottom-up, and theory/practice debates. The contribution of the chapter is toward illuminating the diverse social agendas and contextual particularities of the Asia-Pacific as entry points into education for peace and international understanding in the region. Educators elsewhere have much to learn from examining the philosophies, principles, and practices of education for peace and international understanding in the AsiaPacific region. Keywords

Education for international understanding · Education for peace · Asia-Pacific · Cases · Critiques · New possibilities

Introduction The purpose of this chapter is to review the literature detailing the practice of Education for Peace and International Understanding in the Asia-Pacific region (hereafter referred to as EIU or peace education). For the purposes of this study, the authors have used the United Nations Statistics Division classification of the Asia-Pacific region (UNSD, 2021). All countries in the region have not been included due to space constraints; instead the authors emphasize Northeast Asia, Southeast Asia, and the Pacific region. The chapter focuses specifically on primary and secondary literature concerning relevant developments in the past two decades since Nagata and Teasdale (2003) published an initial scoping review of EIU and peace education in the region, where they “amassed a substantial collection of scholarly articles, conference papers, reports, and teaching programs” (641). This chapter aims to update that review with contemporary developments in light of the changing cultural, political, and economic landscape of the Asia-Pacific in the past two decades. The specific Asia-Pacific countries selected in this chapter have been chosen based on those prevalent within the focal area of the chapter and in the recent

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literature, with an eye toward a balanced sub-regional presentation. Papers from Northeast Asia, Southeast Asia, and the Pacific are included. To maintain further focus, the chapter is limited to a review of literature that has been published on the topic of EIU and peace education in the Asia-Pacific since 2001. Methodologically, the authors completed the review in three stages by identifying papers in leading journals in the fields of comparative international education and peace education, as well as other relevant journals in the Web of Science and Scopus databases. Additionally, gray literature from UNESCO was integrated due to the authors’ work within various UNESCO institutes. Specifically, the first stage of the study involved reviewing leading international journals relevant to the topic, including Compare; Comparative Education; Comparative Education Review; Globalisation, Societies and Education; International Review of Education; Journal of Peace Education; Asia-Pacific Journal of Education; Asia-Pacific Education Review; The Asia-Pacific Education Researcher; and Asia-Pacific Journal of Teacher Education. This was followed by a second stage examining papers in other scholarly journals that reference peace and international understanding (e.g., Educational Theory; Journal of Education for International Understanding; Teaching in Higher Education). The third stage involved the integration of gray literature, reports, and programs from UNESCO and universities in the region (universities were identified through the first two stages of the literature review). Literature was identified using the following keywords: “education for peace,” “education for international understanding,” “peace education,” and “Asia-Pacific,” as well as variants of these keywords, such as “peacebuilding education” and “peace and conflict education.” We additionally included related terms and concepts, such as “intercultural understanding/education,” “global education,” and “education to counter violent extremism,” as each of these concepts relates to EIU and peace education, and the authors of the relevant papers explicitly reference “peace” in the body of their manuscript(s). Papers not focused on the Asia-Pacific region were omitted from the review. A note on some limitations is needed at this juncture. First, this methodological approach has necessarily limited the review of the literature to that which is primarily published in English. To partially compensate for this limitation, the authors further reviewed relevant literature in Korean in an attempt to offer both a global/local perspective on the topic (Korean keyword translations include: 평화교육, 국제이해 교육, and 아시아태평양). Second, it must also be acknowledged that the review here is not intended as representative or exhaustive of the whole of EIU and peace education in the Asia-Pacific region. The Asia-Pacific region is too vast, and the literature base is historically rich and deep, such that an attempt at summarizing this work in a short chapter would be superficial. Instead, the current chapter is intended as an entry point to support an ongoing dialogue about the role of education in peacebuilding and international understanding in and beyond the Asia-Pacific. We have continually reflected on these challenges throughout the writing of the chapter. In the pages that follow, the chapter will first offer a brief definition of EIU and peace education to frame the discussion. Next the chapter will provide an overview

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of the literature by geographical distribution across Northeast Asia, Southeast Asia, and the Pacific. This will then be followed by a discussion of emergent themes in the literature focusing on conflict-affected contexts, identity development/cultural pluralism, dialogue and pedagogy, and postcolonial peace. Before concluding, the chapter discusses some limitations and future directions for EIU and peace education in the region. We turn now to offer some tentative definitions of EIU and peace education to guide the focus of the review and discussion that follows.

Defining EIU and Peace Education These definitions are not meant to be definitive. Instead, we include them here to provide some conceptual clarity for the review. The UNESCO (1974) Recommendation Concerning Education for International Understanding, Cooperation, and Peace and Education Relating to Human Rights and Fundamental Freedoms outlines education as a process through which “individuals and social groups learn to develop consciously within, and for the benefit of, the national and international communities, the whole of their personal capacities, attitudes, aptitudes and knowledge” (n.p.). Additionally, the recommendation explains that “‘international understanding’, ‘co-operation’ and ‘peace’ are to be considered as an indivisible whole based on the principle of friendly relations between peoples and States having different social and political systems and on the respect for human rights and fundamental freedoms” (n.p.). UNESCO refers to these practices collectively as “international education.” In this chapter, we alternate between “EIU” and “peace education,” following this UNESCO framework. Peace education, while related to EIU and international education, may also be considered distinct in some fundamental ways. For instance, while EIU emphasizes international understanding, cosmopolitanism, state-based orientations, and global solidarity, peace education instead focuses on nonviolence, creative conflict resolution, inner/outer peace, peace pedagogy, and social movements (Kester et al., 2021a; Toh, 2004; Torres, 2017). A succinct definition for peace education might be: Peace education is the transmission of knowledge about requirements of, the obstacles to and possibilities for achieving and maintaining peace, training in skills for interpreting the knowledge, and the development of reflective and participatory capacities for applying the knowledge to overcoming problems and achieving possibilities. (Reardon, 1999, p. 7)

More recently, global citizenship education and transformative education have also emerged as newer approaches within EIU and peace education (Singh, 2018; Wintersteiner, 2019). It should also be noted that there are multiple forms of EIU and peace education, such as approaches that are normative, neoliberal, liberal-humanist, critical, or postcritical (Kester, 2022; Manzon, 2016; Pashby et al., 2020). To be sure, there are many overlaps between EIU and peace education but these are some important distinctions.

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Additionally, the development of EIU and peace education at the turn of the century brought in the newer concept of a “culture of peace,” which includes “. . . a set of values, attitudes, traditions and modes of behaviour and ways of life based on: Respect for life, ending of violence and promotion and practice of non-violence through education, dialogue and cooperation. . ..” (UN, 1999). In turn, a culture of peace has become integral to EIU in UNESCO programs, particularly through the promotion of EIU in the Asia-Pacific region by the Asia-Pacific Centre of Education for International Understanding (APCEIU), a UNESCO Category 2 Centre specialized on EIU. Hence, our argument is that EIU and peace education are intersectional and in many ways complementary, thus for ease of discussion (although recognizing the distinctions between these fields) we will refer to EIU and peace education interchangeably throughout the chapter.

Contextual Changes Since 2001 Next, some key events have occurred in the Asia-Pacific region in the past two decades that have influenced EIU and peace education research in the region, as evidenced in the review of literature. These include: • The US invasion and subsequent military/state-building activities in Afghanistan (2001–2021) and Iraq (2003–2021) • The Bali bombings of 2002 • The 2004 Indian Ocean earthquake and tsunami • The Great Recession of 2007–2009 • The Fukushima Daiishi nuclear disaster in Japan in March 2011 • Mass migration and various refugee crises • The Australian peacekeeping forces in East Timor (until 2012) • Continued conflict and tensions between North Korea and South Korea, including violent clashes, policy shifts, and various efforts toward reconciliation and peacemaking • Increased tensions on the Taiwan Strait • Continuing historical disagreements in Northeast Asia, namely among China, Japan, and the Koreas • Ongoing China-US tensions (2016–) • Acceleration of ASEAN • Lingering issues of colonialism and imperialism in Australia, China, East Timor, Japan, the Korean peninsula, New Zealand, Philippines, Solomon Islands, etc. Each of the events above, in various Asia-Pacific contexts, is largely influenced by broader geopolitical shifts as well as domestic forces at play. These issues and others permeate much of the literature on EIU and peace education in the Asia-Pacific region. We turn now to review the regional literature on EIU and peace education.

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EIU Across Educational Contexts of the Asia-Pacific The review of literature revealed a wide geographical and thematic distribution of research contexts where peace and international understanding education is in practice in the Asia-Pacific region today (see Table 1). Mostly the distribution is even with a few national contexts that stand out, notably Japan and South Korea. Our review here focused on the sites where the research was conducted, that is, the geographical emphasis of the research rather than the location of the researcher (who may or may not have been located nationally within the same context). We must reiterate that the review is not intended to be definitive; it is likely that there are research and teaching practices related to peace and international understanding in these contexts that were not revealed through the search of the existing literature. Yet, our review does indicate a general topography of the peer-reviewed research and books pertaining to peace and international understanding in the Asia-Pacific. We turn first to the geographical distribution.

Geographical Distribution At the global level, six studies broadly discussed international discourse pertaining to global education agendas, including UNESCO’s (2011) Global Monitoring Report, the World Bank’s (2011) World Development Report, and Lerch and Buckner’s (2018) review of UNESCO’s education discourse from 1945 to 2015. At the regional level, there are three studies that broadly discuss peace and international education without reference to a specific national context, yet they are valuable to this chapter, like the global level studies above, because they offer broad overviews of trends across defined national contexts. This includes The Asia Foundation’s (2017) The State of Conflict and Violence in Asia and, with a more specific reference to the Northeast Asian region, APCEIU’s (2021) Peace Education in Northeast Asia: A Situational Analysis. We will discuss these further in the thematic issues section at the end of this chapter. Next, at the state level, there are numerous studies. We list the country studies in order from greatest number of papers found to least number (listed in alphabetical order when the number is equal): Japan (8), South Korea (8), Philippines (5), Australia (3), Indonesia (3), Myanmar (3), Nepal (3), China (3), India (2), Singapore (2), Solomon Islands (2), Sri Lanka (2), Thailand (2), Malaysia (1), New Zealand (1), Pakistan (1), and Taiwan (1). Our initial scoping review of the Asia-Pacific literature identified these 17 contexts, but due to space constraints we narrowed the in-depth review to 10 of these contexts specifically within Northeast Asia, Southeast Asia, and the Pacific. We find that a common connecting issue is the promotion of cultural sensitivity and peacebuilding throughout international education efforts in the AsiaPacific region broadly (Ng, 2012). We will begin now with Northeast Asia followed by Southeast Asia, and then the Pacific.

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Northeast Asia China Peace and international understanding education in China has evolved along with historical development of dominant discourses around security and development, particularly in peace studies, while more recently, the concept of a culture of peace is gaining recognition in the field of education. According to Liu and Huang in APCEIU’s (2021) publication, “(n)ational defence education has always been an essential element of peace education in the PRC” (32–33). Due to PCR’s “perceived history of humiliation,” the authors argue that Chinese leaders promoted national defense education under the banner, “if you want peace, you must prepare for war” (30). Another key strand to conceptualize peace education in China is “Proletarian Internationalism Education,” which is predicated on the belief that “a new world war could be stopped if only the Communist Party of the world could unite all possible peaceful and democratic forces and bring them to greater development” (33). Here, the authors are drawing on the Central Documentary Research Office of the Communist Party of China, indicating the embeddedness of peace education in China with the Beijing government. This is a distinct nationalist orientation to peace education that differs from peace education in most other countries reviewed. More recently, however, the notion of a culture of peace and EIU, including recognition of the diversity of humanity and anti-racism/anti-discrimination as well as education for sustainable development and global citizenship has been brought into peace education in China, broadening the perspectives and enhancing and enriching educational contents (ibid.). Hong (2020) and Li (2021), for instance, demonstrate some Chinese scholars tend to assume peace education to be more in line with recent key international initiatives including, most notably, global citizenship education. Japan In Japan, the literature indicates that peace education curricula tend to focus on antinuclear weapons and denuclearization (Szczepanska, 2017), or memorialization of Japan’s experience with the atomic bombings of 1945 (Monobe & Ruan, 2020; Tanigawa, 2015). Monobe and Ruan (2020) are critical of the way that selected Japanese manga portrays Japan as a victim of US bombing while simultaneously downplaying its responsibility for the Nanjing Massacre. Watanabe (2015), too, details how peace museums in Japan rarely address critical issues of Japan’s responsibility in imperialism and war. There are some notable exceptions, however, such as the Women’s Active Museum on War and Peace that deals with the issue of “comfort women” and Japanese imperialism (Watanabe, 2015). Gibson (2011) also shares narratives of students involved in exceptional peace projects – such as being involved in volunteer work in The Philippines or India, or aid work in Africa – even within an educational system that he describes as having lingering elements of “ultra-nationalism.” Thus, Gibson concludes that there are “flowers in the cracks,”

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that is, shining examples of peace work within systems that may sometimes run antithetical to peacebuilding. Hence, the literature in Japan oscillates between antiwar education and critical perspectives on Japan’s role within past conflicts. South Korea The literature in South Korea demonstrates that peace is a multi-layered and complex issue in South Korea. While peace or the desire for peace is widely considered to be integral to South Korea’s national philosophy and identity, the Korean War, the Cold War Era, and anti-communist authoritarianism, and the contestation by civil society have also turned peace discourse in South Korea into a volatile terrain of politics (Kang & Kwon, 2011; Lee et al., 2018). The South Korean literature emphasizes increasing demographic changes in South Korea from an influx of foreign workers, refugee challenges with migrants from North Korea, efforts toward peace and unification education, and critiques of ethnonationalist and state-centric national security approaches (Collet & Bang, 2016; Yi & Jung, 2019; Kim, 2020). For example, Y. Kim (2020) offers a critical perspective on unification education in South Korea. Through an examination of the representation of North Korea in South Korean middle school social studies textbooks, Kim finds that unification is justified through an ethnonationalist lens, and that North Korea is portrayed through a deficit lens in contrast to South Korea’s cultural, economic, and political superiority. Additionally, J. Yi and G. Jung (2019) argue, through a review of media discourse in South Korean newspapers (i.e., Chosun and Hankyoreh) from 1997 to 2014, that the discourse in many ways tended toward the promotion of international education in line with national security and state welfare interests. Finally, Kester et al. (2021b) call for efforts to decolonize peace education efforts on the peninsula. In sum, peace education in South Korea has changed over the decades through the intersections and interactions of “unification education,” “multicultural education,” “conflict resolution education,” “democratic citizenship education,” and more recently, “global citizenship education” and “education for sustainable development.” Other literature also includes significant influences from the fields of “human rights education” and “education for gender equity” (Kang, 2002). Taiwan While Taiwan’s statehood is contested in the geopolitical arena, it is evident in the literature reviewed for this chapter that much scholarly literature distinguishes Taiwan from Mainland China (e.g., The Asia Foundation, 2017). For this reason and in recognition of such discussions, Taiwan is included within our study. In Taiwan, Chou et al. (2015) examine global literature on global/international education (related to peace education and EIU) to construct a curriculum framework for integrating the core concepts of global education into Taiwanese grades 1–9 curricula. The core competencies they promote include awareness of the global system; promotion of multiculturalism; social justice and human rights; world peace; and ecological sustainability. They conclude their “findings can serve as a reference for

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educators who want to explore standards and benchmarks, so as to frame discussions of external comparison and internal improvement in terms of global education” (677). Taiwan’s emphasis on global education is notable given its lack of representation within many global political and economic organizations, such as the United Nations. Here, education for peace and human rights offers a powerful counterpoint.

Southeast Asia Indonesia In Indonesia, the literature is framed through conflict theory, that is, oppositional forces at play in moves toward peace or conflict (Lopes Cardozo & Shah, 2016; Tamatea, 2006). Lopes Cardozo and Shah (ibid.), for example, detail how teachers in Aceh province during the period of the civil war were caught between being civil servants and members of local communities, or as they explain “the fruit caught between two stones” (331). Tamatea (2006) similarly examines a Gandhian approach to peace education in primary schools in the aftermath of the 2002 Bali bombings. He argues that the school’s Gandhian approach contains two contradictory discourses: globalization from above and globalization from below. His argument is that a globalization from below approach is more congruent with education for peace (as suggested in our definitional comparison of peace education EIU above), and tolerance should thus be promoted. Furthermore according to Taylor et al. (2017), the Bali bombings of 2002 and 2005 also invoked an international awareness, particularly that of Australians, the neighboring country, of the dangers of violent extremism. In response, this brought an Australian initiative for a counterterrorism curriculum development project called, “Beyond Bali,” which they claim to embody UNESCO’s principle of “learning to be.” The Bali bombings affected both Indonesia and Australia, thus giving the conflict and its educational response an international dimension. While genuine local experiences and perspectives on such a peace education initiative still need to be further explored and critically reviewed, the authors nonetheless bring our attention to the importance of transformative learning for global peace education, which requires global perspectives and international collaborations that transcend states. This brings us next to conflict and education in Myanmar. Myanmar In Myanmar, the literature takes interest in issues of marginalized groups in the peace process and education development. For example, Lall and South (2018) explore the process of exclusion of marginalized groups in the contested peace process and argue that the peace process in Myanmar “has failed to engage with issues of language and education policy, while education re-forms have generally not addressed the aspirations and concerns of ethnic minority communities” (500). The authors then argue that the expansion of the state education systems into marginalized ethnic communities tends to undermine the conflict-affected

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communities’ trust in the peace process, while the international organizations and donors’ faulty analysis that presumes the expansion of the state power and government service as a barometer for success are unhelpful at best, and a barrier to the inclusive and equitable education and language policies at the worst. Other studies explore the issues of exclusion, conflict, and reconciliation in the contexts of Burmese refugees and migrants in Thailand (Metro, 2012; Oh & Van Der Stouwe, 2008). For instance, Oh and Van Der Stouwe (ibid.) critically examine the issue of inclusive education for Burmese refugees in Thailand arguing that the content and methods of education in refugee camps must address specific real and pressing issues, such as adolescent marriage, teenage pregnancy, and school dropout, that vulnerable youth face in their daily lives. They argue a general approach to education that does not address specific issues is insufficient.

Philippines In the Philippines, Romero (2005) details university-based initiatives for EIU and peace education on the islands, including programs at Philippine Women’s University, Philippine Normal University, Miriam College, Divine World College of Calapan, and Notre Dame University in Mindano, as well as many other non-tertiary programs for EIU and peace. For example, Nario-Galace (2020) highlights how the Center for Peace Education at Miriam College emphasizes social activism to lobby governments and international organizations to promote peace education. For instance, she details how peace activists lobbied the government to implement the Philippines Executive Order 570 calling for the institutionalization of peace education in basic education and teacher training programs. Navarro-Castro (2010) also explains the importance of teacher training in the practical activities of the Center for Peace Education at Miriam College. She states that peace education seeks to support social transformation “by building awareness and understanding, developing concern and challenging personal and social action that will enable people to create conditions and systems that actualize nonviolence, justice, environmental care and other peace values” (13). Core to the conceptualization of peace that the Filipino scholars focus on is values-based education and the concept of a culture of peace, as previously mentioned in the definitional section. Here, Milligan’s (2003) work in the Philippines emphasizes the importance of values-based education inclusive of religion and religious education within schools. Milligan argues that often religion is excluded from explicit education under the common Western/American perspective (of the former colonizers) that positions religious education in opposition to liberal secular schooling. Yet, he posits that this excludes religious minorities from the so-called status quo Christian education reinforcing a sense of marginalization among the Muslim community. What is important here is the reproduction of conflict and exclusion through normative government education. Instead, he argues that a combination of secular and religious education could be a way forward. Next, we turn to the Pacific.

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The Pacific Australia In Australia, similar to the work above, the papers focus on the development and promotion of international and multicultural education in schools and universities (Lang et al., 2017; Tualaulelei, 2021). Specifically, some authors identify the ethical responsibility of Australia as a resource-rich nation to support neighboring resourcedepleted nations (Page, 2009). These papers especially discuss teaching methods for peace education, including: . . . simulating interactions between students in conflict situations, and viewing/discussing videos of these simulations; examining case studies; holding field visits in conflict situations; using film and video for students to create a less threatening way of examining issues which would normally be seen as threatening; using the anonymity of on-line teaching to allow students from minority groups the freedom to contribute without feeling stereo-typed as minority students; and using popular culture, in the form of movie excerpts and songs, as the starting points for discussion and debate. (Page, 2009, p. 304)

Lang et al. (2017) also highlight the importance of discomfort as a learning opportunity when working with Australian pre-service teachers on an international education placement in Malaysia. They contend the international placement, and the discomfort it facilitates, supports better inclusive education in Australia when the future teachers return. Similar intercultural literature between Australia and surrounding states is also evidenced in work hereafter referencing the Solomon Islands and Papua New Guinea (Jenkins & Jenkins, 2010). Like Milligan’s (2003) work in the Philippines, and Lall and South’s (2018) work in Myanmar, discomfort and critically reflecting on the status quo is fundamental to peace education programs. Other critical issues in Australia include Indigenous representation, which we also find in the New Zealand literature. New Zealand From New Zealand, Ritchie, Lockie, and Rau (2011) discuss the importance of peace education curricula that is theoretically grounded in the local context in which that education takes place. Specifically, they advocate for teaching that explores the history of colonialism, commitments to Indigenous values and epistemologies, and interweaving these local approaches with more global approaches. For example, they suggest that “kaupapa Māori constructs such as rangimārie (peace) and manaakitanga (care) will sit alongside notions drawn from the work of Nel Noddings,” who focus on an “ethic of care” (334). Fascinatingly, they are arguing for this integrative local-global approach even within early childhood education curricula. Solomon Islands/Papua New Guinea In the Solomon Islands, Maebuta (2011) writes that technical and vocational education programs have helped to foster a culture of peace through engaging in a postconflict livelihoods project that seeks to support healing and restoration. The author

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argues that the program supports co-existence and reconciliation. This is an example of what Pineda et al. (2019) refer to as assessment programs indicating the efficacy of peace education. Additionally, Jenkins and Jenkins (2010) share evidence of success from an international peacebuilding partnership with Australian peace educators in collaboration with Bougainville educational stakeholders. The authors detail how a collaborative process of three curriculum development workshops in the 2000s, shortly following the Bougainville conflict, resulted in the creation of “a locally relevant and appropriate curriculum” (191) that was then used in schools and civil society organizations. All in all, what this review thus far reveals is a number of significant themes emerging from the Asia-Pacific, themes that could inform the practice of the field more broadly. We now turn to discuss some of these themes further in the next section.

Key Themes from the Globe and the Asia-Pacific This section reviews several thematic areas that emerged from the review of papers, including education in conflict-affected contexts, identity development/cultural pluralism, dialogue and pedagogy, and postcolonial peace. We begin first with education in conflict-affected contexts.

Education in Conflict-Affected Contexts The global literature on EIU and peace education indicates a broad trend toward scholarly and policy interest in education in conflict-affected contexts, or Education in Emergencies. As reviewed above, Lerch and Buckner (2018) detail this shift through an examination of UNESCO discourse from 1945 to 2015. They find that although peace education predates education in conflict, the move toward Education in Emergencies suggests a shift toward human rights and the necessity of peace as a pre-condition for education (see also Kester, 2021 and Kirk, 2007). Pineda, Celis, and Rangel (2019) focus on peace education in this same period, from 1970 to 2018. They show the ebbs and flows of peace education globally in this time period highlighting five key thematic areas: philosophical foundations and critical pedagogy; efforts to improve international understanding; solutions to internal conflicts; impact evaluation; and intersections with religion. We too find similar themes in the specific Asia-Pacific literature (e.g., Maebuta, 2011; Milligan, 2003; Taylor et al., 2017).

Identity Development/Cultural Pluralism Geopolitical tensions in some sub-regions are particularly concerns of peace education that seeks to build intercultural understanding and challenge national narratives

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of exceptionalism and exclusion. For instance, transcending typical political divisions such as North/South Korea, Japan/Korea, and China/Taiwan efforts toward identity development within peace education may offer alternatives that contrast with perspectives of national peace (i.e., “negative” peace). Here, peace education addresses contestations and contradictions within communities, between postcolonial national state-building and regional identities, such as within linguistic minority communities in Myanmar (Lall & South, 2018) or Muslim communities in the Philippines (Milligan, 2003). These sub-regional identities may challenge (by being different from) the standard national narrative presented in state schools. This is particularly the case in postcolonial states where the boundaries between social groups have often been blurred and arbitrary lines of inclusion/division have been drawn. Here, Milligan (ibid.) especially highlights the problematic use of education, in particular curriculum under the guise of secular inclusion, as a tool for the suppression of religious minorities. In response he suggests that educators must be more critical of status quo education (which he links with American colonial approaches to public education) that separates schooling from religious identity.

Dialogue and Pedagogy Many other programs in the region, too, emphasize the role of dialogue in promoting peace between different identity groups, including dialogue among civilizations, with civil society, nongovernmental groups, and local communities (Jenkins & Jenkins, 2010; Thaman, 2008; Toh & Floresca-Cawagas, 1997). In regard to higher education specifically, Ng (2012) argues that dialogue on internationalization should play a key role in the Asia-Pacific toward supporting the teaching of sustainable cultures of peace. She writes: “institutions of higher learning have a critical role to play in forming our future leaders, in advocating mutual understanding, and in promoting a dialogue among stakeholders towards a global culture of peace through innovative partnerships” (Ng, 2012, p. 454). Thaman (2008), too, argues from the Pacific Islands that international cooperation is exigent toward global peacebuilding. In particular, he outlines the Tongan value of vaa (valuing relationships) as an important approach to support UNESCO’s mandate to cultivate peace in and through education.

Postcolonial Peace and Understanding Some programs in the Asia-Pacific interrogate and respond to the lingering colonialities in and through education. For example, in Indonesia, Tamatea (2005) argues that Gandhian education offers a counter-hegemonic “basic education or Nhai Talim” (140) that challenges lingering hegemonic socioeconomic structures reproduced through education; and Milligan (2003) highlights issues of postcolonialism and the role of education in reproducing (or resisting) minority

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exclusion in the Philippines. Kester et al. (2021b) also argue for postcolonial peace education in South Korea; and Maebuta (2011) argues that a focus on local values is an important complement to global norms in the field. Tualaulelei (2021) details how research that engages culturally-responsive methodologies, such as the Samoan practice of talanoa, supports greater engagement from the community and a sense of usefulness. Further, Jenkins and Jenkins (2010) illustrate how a collaborative process of curriculum development with local stakeholders in Solomon Islands and peace academics from Australia better supports conflict-sensitive and sustainable peace initiatives. Ng (2012), too, similarly suggests that the internationalization of higher education in the region has been dominated by an Anglo-American paradigm, which she defines as being largely driven by neo-liberal priorities. In turn, Ng argues for re-imagining higher education in the region from local value systems. This focus on values is core to locally relevant peace education (Toh, 2004).

Discussion and New Directions There are three key issues to be discussed here emerging from this review of the literature. Each of these points may provide a foundation for future directions in the field, both within the Asia-Pacific region and globally. First, our review of the literature indicates that significant areas are currently omitted from much of the existing literature, including especially the critical work of civil society and NGOs. In the void of this literature, many of the programs examined in the literature are state-oriented public schools or universities. This state-oriented approach is further reinforced through educational efforts that target the state as the key peace agent, such as in the Japanese approach to state-based disarmament education or in the case of China’s national defense education. Thus, further including viewpoints from civil society and NGOs would challenge (and potentially transform) this state-based orientation of the field in turn broadening efforts toward peacebuilding through education. Second, domestic classroom practices are also masked in the literature in part due to the pan-regional focus of an English-language review of the field. This means that at the level of curriculum and classroom pedagogy – where the literature tends to be more in local languages – a nuanced analysis of this work is currently lacking, although again we have attempted to mitigate this through some review of South Korean literature. Thus, educators in other contexts are encouraged to map global/ regional reviews with the local context-specific practices they are familiar with in their own educational settings. These linguistic limitations and challenges to scoping EIU and peace education globally raise a dual provocation: the need for more theoretically robust research in the field that interrogates problematic assumptions and practices in EIU and peace education (Gur Ze’ev, 2001; Zembylas & Bekerman,

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2013), and the need for more practice-oriented insights grounded in local linguistic views that cut across language and cultural barriers. Peace education research elsewhere has sought to respond to these challenges that we find in the Asia-Pacific region (Kester et al. 2021b; Zembylas, 2018). This brings us to our third point. Third, from our own work in South Korea and Japan, we are aware that there are numerous teacher-education programs in these contexts that are designing and implementing curricular developments for EIU and peace education, but these too are missing from the literature. This is in part, we suspect, because within the global literature many practitioners (e.g., teachers, administrators, policymakers) working within peace education in schools, government, and civil society programs are not frequently active in scholarly publishing. However, we find that within the local literature that we are familiar with, such as the Korean-language and Japaneselanguage publications, often schoolteachers and other education practitioners are active in publishing. Hence, a further mapping of training programs and peace education efforts beyond academia in the Asia-Pacific is needed, as well as further efforts to engage the scholarly and practitioner communities globally. We have attempted some of these efforts herein but acknowledge much more is necessary. We now turn to conclude.

Conclusion In sum, this chapter has reviewed the primary and secondary literature on EIU and peace education in the Asia-Pacific region. We have identified 10 national contexts from which much literature in the region emerges, as well as the themes discussed within these national contexts. Furthermore, we have highlighted several key themes in the literature – including education in conflict-affected contexts, identity development, dialogue, and postcolonial peace – that in many cases seek to transcend strict national settings. Finally, we have discussed some limitations and future directions for EIU and peace education in and beyond the Asia-Pacific region. In the end, we suggest that the cases and approaches practiced within this region – such as co-religious and secular approaches, dialogue among civilizations, and postcolonial peace – have much to contribute to a global understanding of EIU and peace education from perspectives in understudied contexts. The final contribution of the chapter is toward enhancing new possibilities for critical EIU and peace education praxis today.

Appendix See Table 1 below.

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Table 1 Geographical distribution of papers

Country/Region (N ¼ 19) Global Asia-Pacific broadly Australia China India Indonesia Japan South Korea Malaysia Myanmar Nepal New Zealand Pakistan Philippines Singapore Solomon Islands Sri Lanka Taiwan Thailand

Number (N ¼ 55)a 6 4 3 3 2 4 8 8 1 3 3 1 1 5 3 2 2 1 2

a

The total number of contexts cited here may exceed the actual number of papers as some papers relate to multiple contexts

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Shadow Education in Asia and the Pacific: Features and Implications of Private Supplementary Tutoring Mark Bray

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Mapping the Landscape . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Scale of Shadow Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Intensity and Demographic Variations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Subjects and Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Demand and Supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Drivers of Demand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Diversity of Supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Impact and Implications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Academic Achievement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Broader Skills and Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Efficiencies and Inefficiencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Inequalities and Social Cohesion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Regulations for Shadow Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

160 161 161 162 165 166 167 168 169 169 170 171 173 174 175 177

Abstract

Increasing amounts of structured teaching and learning take place outside formal school systems. Much of this teaching and learning takes the form of private supplementary tutoring which may be provided one-to-one, in small groups, in large classes, and/or over the Internet. Such provision is commonly called shadow education because much of its content mimics that in schooling: as the curriculum changes in the schools, so it changes in the shadows. Shadow education has long been especially prominent in several rich countries of East Asia, notably Japan and South Korea. For overlapping but different M. Bray (*) East China Normal University, Shanghai, China The University of Hong Kong, Hong Kong SAR, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_10

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reasons, it has also been prominent in several lower-income countries in South and Southeast Asia such as India, Sri Lanka and Cambodia. More recently, shadow education has flourished in such countries as Kazakhstan and Myanmar, and indeed it is now visible throughout the region and beyond. This chapter presents data on the scale and nature of shadow education around Asia and the Pacific, noting commonalities and variations. The chapter includes information not only on the recipients but also on the providers of shadow education. Three main providers may be observed, namely entrepreneurs who operate tutorial centers of various kinds, teachers in mainstream schools who offer private tutoring on the side to supplement their incomes, and informal workers such as university students who desire some extra income. From this mapping of the scale and nature, the chapter turns to the implications. On the educational side, tutoring does not always enhance learning – much depends on the motivations of both the tutors and the students as well as the formats, contents, and durations of tutoring. Tutoring can also have a backwash on schooling. With a wider lens, tutoring tends to maintain and exacerbate social inequalities since rich families can secure more and better shadow education than their lower-income counterparts. Private tutoring also has an economic dimension, providing incomes for tutors and ancillary support services. Regulation of the sector has been generally neglected but is now being taken more seriously in some countries. Keywords

Household costs · Social inequalities · Private tutoring · Private tuition · Shadow education · Regulation

Introduction The period since the 1980s has brought considerable growth of private supplementary tutoring provided in parallel to mainstream schooling. It is widely called shadow education because much of its content mimics that in schooling: as the curriculum changes in the schools, so it changes in the shadows. Also, as school systems grow larger, so do the shadows (Aurini et al., 2013; Bray, 1999, 2009). The focus on private supplementary tutoring as examined here requires a definition. The word “tutoring” commonly implies one-to-one or possibly small-group instruction. This is included in the concept as here presented, but tutoring is also taken to include full classes, sometimes even in large lecture-theaters serving hundreds of students. Next, the word “private” is taken to mean provided in exchange for a fee. Thus free-of-charge tutoring is excluded here, even if provided privately in the sense of being outside the public space. And “supplementary” means additional to mainstream schooling. The principal focus is on academic subjects rather than extracurricular activities such as sports and music. The tutoring may be for remedial or enrichment purposes. Particularly in the latter case, the content may

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extend beyond that provided by schools, but it has convergent objectives in enhancing academic performance. Shadow education has been especially evident in prosperous parts of East Asia, where, for example, South Korea is known for its hagwons (Exley, 2020; Kim, 2016) and Japan for its jukus (Entrich, 2018; Watanabe, 2013), but shadow education is also very evident in lower-income parts of Asia such as Bangladesh (Mahmud, 2021), Cambodia (Marshall & Fukao, 2019), and Myanmar (Bray et al., 2020). Patterns in China are particularly dramatic, since the phenomenon developed with great speed from the 1990s onward (Zhang & Bray, 2021), and has been the focus of high-profile government policies aiming at dampening and control (China, 2018, 2021; Ni, 2021, Zuo, 2021). In Central Asia, shadow education became more evident with the advent of marketization following the collapse of the Soviet Union (Silova et al., 2006; Silova, 2010), and private tutoring has even been reported in North Korea (The Economist, 2019) despite the retained strong Communist ideology in that country. Turning to the Pacific, shadow education has become increasingly evident in Australia and New Zealand (Davis, 2013; Briant et al., 2020; Dhall, 2021). It is less prominent in such countries as Fiji, Papua New Guinea, and Tonga, but experience elsewhere suggests that the forces of globalization, neoliberalism, and social competition are likely to cause expansion there too. Indeed shadow education is now visible in all world regions, including Africa (Bray, 2021a), Europe (Bray, 2021b), the Middle East (Bray & Hajar, 2022), North America (Aurini et al., 2013), and South America (Galvão, 2020; Lasekan et al., 2019). Even the Nordic countries, long famed for high-quality schooling that caters for diversity and does not need supplementation, have experienced emergence of the phenomenon (Christensen & Zhang, 2021). With such matters in mind, this chapter commences by mapping the landscape in Asia and the Pacific. It then elaborates on demand and supply of shadow education, before considering the implications of the phenomenon for regular education systems and wider societies. The chapter concludes with summary remarks on likely future patterns.

Mapping the Landscape This section commences with some quantitative estimates, to map the scale of shadow education. It then remarks on aspects of intensity and demographic variations, and on subjects and modes for shadow education.

The Scale of Shadow Education Unlike schooling, which is now statistically well documented, information on shadow education is patchy. Nevertheless, some sort of picture can be assembled

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from local and national studies as presented in Table 1 and related literature. Within Asia and the Pacific, four main subregional groups may be identified: • East Asia, including Japan, Hong Kong, South Korea, and Taiwan, has long traditions of shadow education and is the world region in which it has been most visible. Patterns can be linked to Confucian traditions that value educational achievement, but as in other parts of the world they also reflect social competition. Mainland China started later than other parts of the region because until the 1980s its government strictly prohibited private enterprise. Shadow education expanded rapidly from the 1990s until a 2021 government crackdown. • South Asia, including Bangladesh, India, Pakistan, and Sri Lanka, also has long traditions of private tutoring. Indeed, official remarks about the phenomenon go back to the 1940s (Ceylon, 1943). As elsewhere, tutoring is driven not only by social competition but also by teachers desiring to increase their incomes. Similar patterns are evident in parts of Southeast Asia, including Cambodia, Myanmar, and Vietnam. • In Northern, Central, and Western Asia, including Mongolia and the former Soviet states, shadow education has similarly expanded to become a major activity. One major force was the collapse in purchasing power of teachers’ salaries after the demise of the Soviet Union. Teachers remaining in the teaching profession had to find supplementary earnings to support their families, and tutoring was an obvious route. Society understood the pressures on teachers and largely accepted the phenomenon. Since that era, the purchasing power of teachers’ salaries has risen in many of these countries, but the provision of tutoring has remained embedded. • The South Pacific is culturally very different but has also seen the emergence of the phenomenon. In Australia, trends have to some extent been led by Asian immigrants who have then increased the competitive pressures on others (Aris, 2017; Doherty & Dooley, 2018; Sriprakash et al., 2016). Less research has focused on this theme in New Zealand, though the Programme for International Student Assessment (PISA) operated under the auspices of the Organisation for Economic Co-operation and Development (OECD) has shown enrolment rates comparable to those in Australia. The phenomenon has not to date received significant research attention in Papua New Guinea or the smaller countries such as Fiji, Solomon Islands, Tonga, and Vanuatu.

Intensity and Demographic Variations Table 1 indicates the proportions of school populations that received private tutoring but does not indicate the intensity of their studies. Official statistics on school enrolment rates imply that pupils attend school for the bulk of the school year. In practice, that assumption may be erroneous, but it is more likely to be valid for school enrolments than for supplementary tutoring. Some students receive tutoring throughout the year, while others do so mainly in the period building up to

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Table 1 Selected cross-national indicators of shadow education Location Australia Bangladesh

Cambodia

China (Mainland)

Hong Kong SAR (China)

India

Japan

Kazakhstan

Kyrgyzstan

Malaysia

Patterns PISA data collected from 15-year-olds in 2012 suggested enrolment rates of 22.3% (but including some fee-free tutoring) (Entrich, 2021, p. 451). National household survey data showed 2010 private tutoring enrolment rates of 39.6% among children aged 6–10, 63.8% among those aged 11–15, and 73.8% among those aged 16–18 (Dahal & Nguyen, 2014, p. 14). Marshall and Fukao (2019), reporting on data from a nationally representative dataset, indicated that in 2016 73% of Grade 8 students had received private tutoring. A related dataset for 2017 showed participation rates of 20.1% for primary school students, 57.0% for lower-secondary students, and 74.7% for upper-secondary students. A household survey was conducted in 2017 by the China Institute for Educational Finance Research (Wei, 2020). Nationwide, 33.4% of primary, 43.7% of lower-secondary, and 48.2% of upper-secondary students had received private tutoring. Participation rates were highest in the northeast (60.8%), followed by the east (38.1%), center (38.0%), and west (30.5%). Participation rates of urban students were twice those of rural students. However, enrolments were radically cut in 2021 by fierce national-government policies seeking “burden reduction” for school children. Many tutorial centers were closed, though some moved underground (Ni, 2021; Zuo, 2021). Bray et al. (2014) surveyed 967 Grade 9 students and 657 Grade 12 students in 16 secondary schools in 2010/2011. They found that 53.8% of Grade 9 students and 71.8% of Grade 12 students had received tutoring during the past year. Concerning gender, 65.6% of surveyed female students received tutoring compared with only 56.8% of males. National survey data collected in 2017/2018 indicated enrolment rates of 16.4% in primary, 21.9% in upper primary/middle, 30.2% in secondary, and 27.5% in upper-secondary schooling (National Statistical Office India, 2020, p. 113). Wide variations were evident in different states. At the top end across all grades was West Bengal at 75.2%, followed by Odisha at 43.5% (p. 185). At the bottom end were Telegana (2.3%) and Chhatisgarh (4.3%). Yet even in Chhatisgarh, rates were 14.9% in urban areas compared with 2.0% in rural areas. A 2017 survey found that 33.7% of elementary students, 51.9% of lowersecondary students, and 29.3% of upper-secondary students attended tutorial enterprises called juku (Kimura, 2018). Kalikova and Rakhimzhanova (2009) asked 1,004 first-year university students about their experiences in the last year of secondary schooling and found that 59.9% of students had received tutoring (private lessons, preparatory courses, or both). PISA data collected from 15-year-olds in 2012 suggested enrolment rates of 71.2% (but including some fee-free tutoring) (Entrich, 2021, p. 452). Bagdasarova and Ivanov (2009) asked 1,100 first-year university students about their experiences in the last year of secondary schooling. They found that 52.5% of students had received tutoring (private lessons, preparatory courses, or both). A 2004/05 government national survey found that 20.1% of households had expenditures on private tutoring (Kenayathulla, 2013, p. 632). (continued)

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Table 1 (continued) Location Myanmar

Nepal

New Zealand Pakistan

South Korea

Sri Lanka

Patterns Bray et al. (2020) surveyed 801 Grade 9 and 836 Grade 11 students from eight schools (five urban and three rural) in Yangon Region, asking about their participation in private tutoring during the past 12 months. The overall participation rate was 84.9%, with little variation between genders, grades, and locations. National household survey data showed 2010 private tutoring enrolment rates of 16.1% among children aged 6–10, 26.1% among ones aged 11–15, and 43.2% among ones aged 16–18 (Dahal & Nguyen, 2014, p. 14). PISA data collected from 15-year-olds in 2012 suggested enrolment rates of 23.0% (but including some fee-free tutoring) (Entrich, 2021, p. 453). The Annual Status of Education Report (ASER) collects data separately in rural and urban areas. In 2019, 6% of rural government-school children were receiving private tutoring, and 22% of private-school children were doing so (ASER, 2020, p. 69). The highest rates were in Grade 10, at 11% and 28%. In urban areas in 2018, 25% of government-school children were receiving private tutoring, and 45% of private-school children were doing so (ASER, 2019, p. 37). Again the highest rates were in Grade 10, at 42% and 59%, but even in Grade 1 they were 21% and 13%. In 2019, 57.9% of elementary-school students were receiving tutoring of some kind (one-to-one, group, via Internet, at home, and in private institutes). The figures for lower-secondary and upper-secondary school students were 61.8% and 49.7% (Korean Statistical Information Service, 2020). Pallegedara’s (2018, p. 1287) analysis of Household Income and Expenditure Survey (HIES) data found that households with expenditures on private tutoring grew from 14% in 1990/1991 to 54% in 2012/2013. The percentage for rural families rose from 9% to 51%, and that for urban families from 23% to 64%. Abayasekara (2018, p. 2), drawing on 2016 HIES data, stated that 65% of urban households and 62% of rural ones had invested in private tutoring.

examinations. For example, among the students in Kyrgyzstan surveyed by Bagdasarova and Ivanov (2009, p. 132), 40.5% received private tutoring lessons regularly throughout the year, 20.0% received them occasionally throughout the year, 19.1% received them regularly in the final semester, 8.0% received them occasionally in the final semester, and 12.3% did so just before examinations. Variations in intensity were also evident in the number of hours per week. The majority of students (57.1%) spent one or two hours per week with a private tutor, while some spent less and others spent more. Casual observers commonly assume that secondary school students receive tutoring more intensively than primary students. There is some validity in this statement as a generalization, as supported for example by Pakistan data (ASER, 2020). However, much depends on selection processes at various stages in the education system. In Singapore, the Primary School Leaving Examination is a major watershed since it is the principal determinant of the secondary school streams that students will enter. For that reason, the intensity of primary school tutoring in Singapore rivals that of secondary schooling (Tan, 2019). As reported in Table 1,

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elementary students in South Korea also had higher participation rates than uppersecondary students. This may reflect parental desires to secure a strong foundation but may also reflect the functions of tutoring as a child-minding agent. One might expect pupils in private schools to receive less shadow education than their counterparts in public schools, on the grounds that the private schools are already more closely attuned to their clients and are already charging fees to permit them to meet those clients’ needs. This is indeed the case in some countries. Nath (2011) presented Bangladesh data indicating that 38% of pupils in government primary schools received private tutoring compared with 12% in nongovernment schools. However, in Pakistan private-school students receive more tutoring than their public-school counterparts (ASER, 2020). One explanation is that parents already have disposable income for private schooling, and have already demonstrated their willingness to use the market to secure an educational edge for their children. Another dimension concerns location. In general, shadow education participation rates are greater in urban areas than in rural areas, and greater in larger cities than in smaller ones. This has been demonstrated, for example, in Bangladesh, China, and Nepal (Dahal & Nguyen, 2014; Zhang & Bray, 2021). However, gaps narrow with expansion of tutoring, as shown, for example, in Sri Lanka (Table 1). A further source of variation may be gender. Some studies have indicated that when parents have to make decisions on whether to invest in the tutoring of boys or girls, they are more likely to choose the former on the grounds that boys are more likely to seek paid employment that will require educational qualifications. Focusing on India and Pakistan, Aslam and Atherton (2014, p. 150) showed not only higher enrolment rates but also higher expenditures on males compared with females. However, the pattern is not universal. In Kyrgyzstan, Bagdasarova and Ivanov (2009, pp. 134–135) found that females comprised 65.4% of enrolments in one-toone and small group tutoring and 67.9% in preparatory courses. On another variable, some societies show significant racial or ethnic variations. That has been the thrust of much Australian research on Asian migrants (Aris, 2017; Sriprakash et al., 2016). In a different context, Jelani and Tan (2012) looked at patterns of private tutoring received by primary school students in Penang, Malaysia. They found that students of Chinese ethnicity were more likely to receive tutoring, observing that such students formed 38% of the population but 46% of students in their sample. By contrast, Malays formed 51% of the population but only 44% of their sample. However, variations by race and ethnicity may reflect economic factors as well as cultural ones.

Subjects and Modes The subjects most in demand for private supplementary tutoring are those that are most necessary for advancement in the education systems. This usually includes mathematics and English. At upper-secondary levels, science students commonly receive more tutoring than arts students.

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Alongside straightforward repetition of school subjects may be elaborations and supplements of various kinds. In order to attract clients, private tutors differentiate themselves from the school sector through their teaching approaches and content. They may offer personalized instruction and a tailored curriculum on a one-to-one basis. Since one-to-one tutoring is costly for the client, many tutors also provide for small groups at lower unit costs (but usually greater overall revenue per hour for the tutors). For remedial tutoring, they are likely to stay within the confines of the school curriculum, but for tutoring they expand the curriculum with additional materials. Such tutoring may also alter the sequence of instruction. Thus, although the metaphor of the shadow implies that the private tutoring follows the regular system, some tutors offer “learning in advance.” This has become a significant phenomenon in South Korea, where some hagwons teach students for 2 months during the vacation before the beginning of the academic year, and during the school year also keep ahead of the school curriculum (Dawson, 2010). This creates difficulties for the school teachers, who find that some students have already learned the materials while others have not. In some societies, alongside one-to-one and small-group tutoring are the very different formats provided by “star” tutors, who are able to pack lecture theaters and operate with overflow video screens. These are a major phenomenon in Hong Kong, where companies advertise personalities on television, in newspapers, and on the backs of buses (Eng, 2019; Koh, 2016). Some students just attend the lectures and/or video-recordings of the lectures, while others purchase add-ons such as personalized interaction with the star tutor or a tutor’s aide via Facebook, e-mail, or other modes. In Sri Lanka, “hall tuition classes” may even serve 1,000 students at a time Pallegedara (2018, p. 1281). Classes are usually held on weekends but sometimes on weekdays, and since they are offered only in large towns some students from rural areas travel long distances to attend. The Internet is also increasingly used for other forms of tutoring at a distance. Such tutoring may be conducted live, through self-service lessons, or in mixed mode. It was much boosted by the Covid-19 pandemic that hit the world in 2020 and prohibited both face-to-face schooling and, in many jurisdictions, face-to-face tutoring (Williamson & Hogan, 2020; Panda & Behera, 2021; Piao & Hwang, 2021). Online tutoring is not restricted by geographic boundaries: The tutors and their clients may be in the same city or they may be in different countries or continents.

Demand and Supply This section commences by reviewing major drivers of demand for tutoring. It particularly addresses transition points in education systems, school quality, and the combination of smaller families and increased wealth. The section then turns to the supply of tutoring, again noting that providers of tutoring may range from informal operations involving single individuals to large multinational companies.

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Drivers of Demand The main driver of demand for supplementary tutoring is awareness that investment in education can generate strong returns from performance in key examinations and entrance to high-status secondary schools and universities. Few parents have read the empirical literature on rates of return to education (e.g., Psacharopoulos & Patrinos, 2018), but most have strong and to some extent valid impressions that the longer a person can stay in the education system, and the better the quality of that education, the greater the prospects for enhanced lifetime earnings and standard of living. By corollary, families know that poor performance in school and on examinations is related to weaker employment opportunities and lower standards of living. Although all education systems in Asia and the Pacific have greatly expanded in recent decades, not all countries have universal lower-secondary education and even fewer have universal upper-secondary education. At the transition points between levels, decisions must be made by schools and higher-level administrators about who will be permitted to proceed in the education systems and who will be pushed out. Families wanting to avoid push-out may invest in private supplementary tutoring to secure an edge in the competition. Competition may also be strong in systems that do have universal lower- and upper-secondary education. Singapore, for example, has a highly stratified system of secondary schooling (Tan, 2019). The implications of each track for future careers are very significant, and since the Primary School Leaving Examination is a major determinant of the tracks in which students will find themselves, many parents invest in supplementary tutoring at the primary level. In all systems, moreover, a major push-out occurs at the end of upper-secondary schooling. Some systems have great pressure at that stage because few postsecondary places are available and the gate is therefore narrow. Observers commonly assume that if the gate is widened through expansion of postsecondary intakes, then pressures for shadow education will ease. This does indeed happen in some systems, but not universally. Instead, the question for families changes from “post-secondary place or no post-secondary place” to “which post-secondary place.” If postsecondary institutions and programs remain highly stratified, with some offering much greater rewards than others, then demand for shadow education during secondary schooling is likely to remain as intense as before. Indeed, patterns in Hong Kong show that expansion of postsecondary education can even increase demand for supplementary tutoring. In the 1980s, when local postsecondary places were available for only about 4% of the cohort, most families assumed that postsecondary education was out of reach. Twenty years later, postsecondary education had expanded to serve 60% of the cohort, and families therefore not only saw it as within reach but also sought the more desirable parts of the system that could be obtained with the help of supplementary tutoring (Zhan et al., 2013). Perceptions of inadequacies in mainstream schooling are another major driver of private tutoring (Joshi, 2021, p. 1136). In Sri Lanka, 53% of 2,378 Grade 10 students, when asked why they sought private tutoring, stated that they had not received

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sufficient exercises in school and that the full syllabus content had not been covered. Similar perspectives are also evident elsewhere in South Asia. In Bangladesh, the point was made forcefully by one student reported by Hamid et al. (2009, p. 298): “Private tutoring is needed because of the failure of school in English teaching. If English was taught properly at school, there would not be any need to take private lessons.” In some cases, this is not so much because of poor-quality teaching but because of no teaching at all. In India’s West Bengal, Sen (2010) noted that teachers often fail to come to school, since they do not perceive a likelihood of sanction for such behavior. Such teachers are more likely to attend their tutoring classes, however, because there is a direct correlation between effort and income. When mainstream schools are unprepared to give even hard-working and talented students the opportunity of learning the relevant materials, families invest in private tutoring not just to gain an extra edge but to cover basic skills and concepts. In some settings, class size is also an issue. Even in wealthy parts of Asia, classes commonly have over 30 students, and in poorer parts many classes are much larger. While the educational consequences of class size are controversial (see Hanushek & Woessmann, 2017), parents usually perceive smaller classes as better. Small classes may allow teachers to engage in more interactive pedagogy, giving students more opportunity to ask questions and gain clarifications. If mainstream classes remain large, families may decide that tutoring is the only way to secure individualized instruction. However, large classes are also found in private tutoring centers: The classes taught by master tutors in Sri Lanka and by star tutors in Hong Kong commonly have more than 100 students. Much therefore depends on perceptions by the clients of what they will be able to gain from whom and in what circumstances. A further factor concerns family size, which has much decreased in most parts of Asia though not in South Pacific countries such as Papua New Guinea. Dawson (2010, p. 17) presented findings from a survey of 40,883 parents that investigated reasons for the “heating up” of juku attendance in Japan. Over one-third (38.6%) of parents indicated that the increasing number of one-child families was a factor. In China, the size of families has been restricted by regulation. The one-child policy launched in 1979 led to the phenomenon of the “priceless child” on whom aspirations and the rapidly expanding economic resources were concentrated (Liu, 2016). Adjustments in the mid-1980s permitted rural parents a second child if the first was female, and in 2013 two children were permitted in all families in which at least one parent was an only child. Then in 2015 all families were allowed two children, with the number raised to three in 2021. Yet despite these adjustments, many families continued with only one child – and educational expenses were among the factors underlying such family decisions (Liu & Bray, 2020).

Diversity of Supply Private tutoring is supplied by a diverse range of providers, from neighbors and classroom teachers to global franchises and web-based firms. Due partly to its

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low-entry barriers, the private tutoring industry is a major provider of employment. Informal suppliers, such as housewives and university students, are commonly untrained, which raises questions about quality. By contrast, classroom teachers are more likely to have training, at least in school-operated teaching methods; but companies may again prioritize revenues and personalities over training. In many countries, the pattern of teachers supplementing their incomes by tutoring students after school hours is more a necessity than a choice – at least as perceived by the teachers themselves – since teachers’ salaries hover close to the poverty line. This has been observed, for example, in Cambodia (Marshall & Fukao, 2019) and Myanmar (Bray et al., 2020). The situation creates a challenge for governments, since any preaching against teachers providing tutoring loses considerable force when teachers do not receive adequate official salaries. Concerning commercial approaches, the franchise model of tutoring has taken hold in several countries. Kumon, for example, was founded in 1954 in Japan and by 2021 was operating through franchises in nearly 50 countries including Australia, India, Indonesia, Malaysia, New Zealand, Philippines, Singapore, South Korea, Sri Lanka, Thailand, and Vietnam (Kumon, 2021). Kip McGrath, which was founded in 1976 in Australia, had franchises in that country, New Zealand, and eight countries of Africa, the Middle East, and Europe (Kip McGrath, 2021). Other companies may be mainly domestic in focus but still operate as chain-stores with multiple locations. Patterns in China are particularly noteworthy since the huge domestic market at one stage also attracted global venture capital. By 2019, 20 Chinese tutoring companies were listed on stock markets in Mainland China, Hong Kong, and the USA (Feng, 2021, p. 94). As noted, however, the 2021 regulations (China, 2021; Zuo, 2021) radically reshaped the marketplace and led to scaling back and even closure of significant listed companies in China (Zhang, 2021).

Impact and Implications Shadow education has many forms of impact, and far-reaching implications. The most obvious, with which this section commences, is in academic achievement. Tutoring may also have an impact on the efficiency of education systems, and it has considerable implications for inequalities and perhaps also for social cohesion.

Academic Achievement Many people assume that shadow education delivers positive results in academic achievement, reasoning that otherwise families would not invest in it. That assumption may not always be sound: much depends on the quality and forms of the tutoring and on the motivations and abilities of the learners. Some tutors have excellent skills and conducive infrastructures but work with students who are unmotivated or not appropriately matched in academic level. By corollary, some students are motivated and capable, but their tutors lack content knowledge and pedagogical skills. Families

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may continue to invest in tutoring even when learning gains are elusive. When students do not make progress, tutors commonly blame the students rather than themselves, and families may accept this diagnosis and continue to invest. Alternatively, students may continue to seek tutoring chiefly because most of their classmates seem to be doing so. Research on this theme encounters difficulties arising from the many types of tutoring and the overlapping variables that also shape learning (Zhang & Bray, 2020). Overall, it shows mixed findings on the impact of private tutoring on academic achievement (Cole, 2017; Kang & Park, 2021; Liao & Huang, 2018). Large numerical datasets permit statistical modelling, but they do not always demonstrate clear implications of different types and durations of provision. Tutoring delivered by teachers in large classes to the children for whom they are already responsible, and perhaps even in the same classrooms, is obviously different from one-to-one tutoring delivered by highly paid professionals in specially equipped learning centers. Further variations arise with the large classes taught by star tutors, and with Internet tutoring; and the experiences of lower-primary students may be very different from those of upper-secondary ones. Whatever the research evidence, however, most families believe that tutoring does make a difference – and that even when learning gains are disappointing, the solutions may be either to try harder with the existing tutors or to seek different tutors. For many families, the question is not so much whether they should purchase tutoring, but how to purchase tutoring that best fits the learning needs and temperaments of their children. Certainly there is enough evidence to indicate that tutoring can make improve learning, even if it does not always do so.

Broader Skills and Values Education, of course, is about more than just academic achievement. It includes physical development through sports; esthetic development through music and arts; and social development through relationships with peers and other members of society at local, national, and even global levels. The expansion of academic supplementary tutoring is commonly at the expense of these other domains. Especially at the level of upper-secondary schooling, students commonly drop sports, music, and arts altogether and have little time for focused attention to interpersonal matters. More positively, private tutoring can develop children’s self-esteem and sense of achievement. Slow learners may be enabled to keep up with their peers, and fast learners can stretch their learning further. Certain types of tutoring may provide a more rounded education, and tutoring may promote study habits that stress the importance of learning and self-discipline. Japan’s juku have been part of a social fabric that has stressed diligence and learning, and in turn has been a major ingredient in the country’s economic success (Entrich, 2018). On the other hand are concerns in some countries about corruption. In Vietnam, Vu and Ngo (2011) noted that teachers who provided extra private classes for the

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school-pupils for whom they were already responsible commonly disclosed examination questions in advance during those classes. The report pointed out (p. 20) that extra private classes “clearly corrupt the fair and true appraisal of students’ performance.” Other parts of Asia have stronger ethical standards, and such types of corruption are rarely witnessed in Hong Kong, Japan, South Korea, and Singapore. However, even in these societies parents and others worry about some of the values promoted by tutoring. For example, in Hong Kong one way through which the star tutors attract clients is by using vocabulary in the classroom that appeals to teenagers but would not be considered appropriate in schools (Koh, 2016).

Efficiencies and Inefficiencies A fundamental principle for many people, especially economists, is that resources should be used with maximum efficiency to achieve designated goals. The question then arising is whether the expansion of shadow education promotes or diminishes efficiency in the use of resources. In general, it must be admitted, mainstream school systems are themselves inefficient machines for achieving their goals. School systems are often shaped more by historical circumstances, economic conditions, and social norms than by deliberate planning. Over the decades and centuries, many policy makers have sought to change various components of these models. They have had some success, though in general school systems have demonstrated strong resilience. It might be assumed that private tutoring is more efficient than public schooling. Operating in a marketplace, tutors run businesses that would seem to demand careful use of resources and that serve clients who presumably want value for money. If the managers do not attend to these matters, then their businesses are likely to collapse. Some large tutoring companies even have research departments to identify costeffective approaches to teaching and learning through computer software and other means. Smaller companies cannot undertake such research, but they must still heed the efficiency of operation; even self-employed tutors working on an individual basis have to budget their time and other inputs carefully. However, even if internal efficiency in a business sense may be assumed, wider efficiency might be less easily demonstrated. One problem, as indicated above, is that it cannot be assumed that private tutoring always results in learning gains. For several reasons, the absence of a consistent positive relationship does not always reduce demand for tutoring. First, few clients have investigated the empirical evidence and therefore have to operate on the basis of assumptions and advertisements rather than clear evidence; second, clients are pressed to achieve higher grades and believe that success is possible; and third, tutoring establishments, like schools, may be adept at taking credit for academic success while avoiding accountability for academic failure. In this respect, many tutoring enterprises continue to operate despite unsatisfactory performance from a simple input-output perspective.

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Nevertheless, complementarities may also be found. Nazeer (2006) conducted a qualitative study of the learning styles of nine students in the Maldives. All the students received tutoring, and Nazeer noted that teachers in schools generally used direct explanation methods while tutors in tutorial centers gave students opportunities to discuss concepts. When Nazeer asked students what happened when they did not understand something during lessons at school, five of them indicated that they sought help from their tutors rather than their teachers (p. 159). One said: Almost all students in my class go to private tuition. So if we don’t understand something in the school we ask our tutor at night.

In such instances, it can be argued that the tutoring complements schooling by increasing the overall effectiveness of learning. The teachers asserted that they had no time for individual attention during 35-minute periods and during the crowded school day. However, the existence of private tutoring to some extent permitted the teachers to abdicate from domains that were arguably part of their responsibility within the normal school day, and required an overall increase in time for teaching and learning which is not the hallmark of an education system that is operating efficiently. Moreover, in some settings inefficiencies are expanded further when students pay more attention to tutors for whom they or their parents are directly paying money than to school teachers, who seem to be free of charge and who may be taken for granted. This is part of the hidden curriculum of tutoring, which can lead to an undervaluing of school systems (Bray et al., 2018). Furthermore, students who work long hours at tutoring centers may be short of energy for daytime schooling. From the perspective of inefficiencies, even more problematic may be circumstances in which regular teachers also provide private tutoring. Such teachers may be tired and may reserve their energies for the private classes after school. Particular problems may arise when the teachers tutor their existing students. In Nepal, Jayachandran (2014, p. 191) observed that: teachers sometimes refrain from teaching some of the curriculum during school in order to generate demand for their fee-generating tutoring classes. Teachers say, in not so many words or sometimes even explicitly, “You need to know X, Y, and Z to pass the exam. We’ll cover X and Y in class. If you want to learn Z, come to tutoring.”

With reference to Cambodia, Dawson (2009) described such practices as among the “the tricks of the teacher.” In such cases, the shadow education system leads to inefficiencies in the school system. This is not only a matter of teachers operating in less than optimal ways, but it is also a matter of the children’s time being used inefficiently. In such circumstances, children may be deprived of other constructive opportunities to use their time, including for leisure and rest. While in some countries students who are receiving much tutoring are tired and therefore sleep in school classrooms, in other countries they may stop going to

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school altogether. With reference to Azerbaijan, Silova and Kazimzade (2006, p. 128) reported that: numerous interviews with school directors, teachers, and students reveal that school nonattendance increases shortly before the end of the school year (especially in the last grade of secondary school), when students begin skipping classes to attend private tutoring lessons during school hours. Some students pay bribes to their teachers or school administrators to be excused from school and instead attend private tutoring lessons.

Similar observations have been made in India (Bhorkar & Bray, 2018).

Inequalities and Social Cohesion A recurrent concern about shadow education is its impact on social inequalities. Shadow education can be a vehicle for disadvantaged students with determination to reach higher strata, as exemplified by Yung (2020), yet self-evidently more prosperous families are able to purchase greater quantities and better qualities of supplementary tutoring than can less prosperous families. Diversification within the industry has made forms of tutoring available at lower cost, e.g., through large classes provided by companies. However, some families cannot afford even the less expensive forms of tutoring or cannot access them because they live in remote locations. These patterns may be viewed in the context of official policies on fee-free education that are espoused in international conventions and in the constitutions of such countries as Azerbaijan, Cambodia, Japan, and Pakistan. It might be argued that shadow education is not covered by such statements because it exists in the private supplementary sector rather than the mainstream. However, families have increasingly felt that supplementary tutoring has become essential. In some societies, perceptions of social inequalities have led to major unrest, which has had economic as well as political consequences. The decades of civil war in Sri Lanka may come to mind, as might various incidents in India, Tajikistan, and many other locations. In this connection, it is useful to return to some of the remarks made above under the heading of demographic variations. Concerning Sri Lanka, Pallegedara’s (2011, p. 24) review of household expenditure data showed that Sinhalese students, who comprised 70% of the total population, were much more likely to invest in private tutoring than Tamil students who comprised 20%. Beginning with the 1995/1996 data, Pallegedara reported that only 17% of Tamil households spent money on private tutoring compared with 24% of Sinhalese households. By 2006/2007, the proportions were 59% among Tamils and 65% among Sinhalese – i.e., a great increase in both groups and a reduction of gaps, but with differences nevertheless remaining. In contrast to Sri Lanka, where the ethnic majorities receive more tutoring than the minorities, in Malaysia higher rates of tutoring are received by minorities. Jelani and Tan (2012) found that students of Chinese ethnicity in Penang formed 38% of

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the population but 46% of students in their sample, and that Malays formed 51% of the population but only 44% of their sample. Similarly, Tan (2011, p. 105) found that in his sample of schools in Kuala Lumpur and Selangor, 66% of Chinese students in Grades 1–3 had received tutoring compared with 46% of Indian students and 28% of Malay students.

Regulations for Shadow Education Overall, regulations for shadow education lag far behind those for schooling. Many governments sidestep the issues with laissez faire approaches, while others have modest regulations, and a few have strong approaches. The two main foci of regulations where they exist are tutorial companies and teachers who provide extra private tutoring. No governments in the region (or indeed beyond) have significant regulations on tutoring provided by university students or other informal suppliers, chiefly because such work is difficult to monitor and control. Concerning companies, in some countries the basic regulations remain only at the general level, supervised by the Ministry of Commerce or equivalent, and focus on such matters as accounting, contracts, advertising, fire escapes, and toilets (Bray & Kwo, 2014; Zhang, 2021). Governments in other countries have issued regulations focusing on educational matters including class size, tutors’ qualifications, and curriculum. The South Korean government, for example, has set a ceiling on the fees that can be charged by tutorial centers, with a call centre to which parents can complain if overcharged. The government has also set a curfew on hours of operation (Choi & Choi, 2016). However, the enactment of such regulations requires both strong government machinery and political consensus, the combination of which is not available in all countries of the region. Turning to teachers, the model employed in Bhutan is at one end of the spectrum. A regulation issued in 2001 prohibited all teachers in public schools from providing private supplementary tutoring, and the following year was extended to teachers in private schools (Bray & Kwo, 2014, p. 45). Similar regulations for public schools were at one stage issued in Bangladesh but were adjusted in 2012 to allow teachers to tutor up to ten students per day in their own residences provided those students were not from their own schools (The Independent, 2012). In contrast, Malaysian regulations have allowed teachers to tutor students from their own schools and even from their own classes provided they meet various requirements (Bray & Kwo, 2014, p. 47; Government of Malaysia, 2006, Sect. 4). In all settings, however, a danger arises of regulations existing only on paper if the parents and other stakeholders do not see a justification for such restrictions. Thus, in such countries as Cambodia, Myanmar and India the provision of supplementary tutoring by serving teachers remains widespread despite the existence of restrictions. In part, this is because parents continue to press teachers for support in the competitive environment, and the governments lack both the resources and the political consensus to take stringent approaches.

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Nevertheless, at one extreme are the tough regulations issued by the Chinese authorities (China, 2021). These regulations, as mentioned, sought to reduce the burden on students from external study on top of schooling, and a less explicit goal was restricting the outflow of resources from Chinese families to foreign capitalists trading on external stock exchanges. In the short run, the regulations had a far-reaching impact with closure of many tutorial institutions. Some parents were glad to have the reduced pressures, but others felt deprived of an avenue for strengthening their children’s capacities in the competitive environment. In this respect, parallels with the prohibition of private tutoring in South Korea in 1980 seemed pertinent (Bray, 2009, pp. 50–53; Lee & Jang, 2010). In South Korea at that time, the prohibition drove shadow education underground, raising prices and arguably making some dimensions of the phenomenon even more problematic by taking it beyond public scrutiny. The Korean government was forced by stages to relax the prohibition, and by the 2000s the scale of shadow education far exceeded that in the pre-prohibition era. The Chinese regulations similarly addressed just the supply of shadow education rather than the demand, raising a strong possibility that the path in China may imitate that in South Korea.

Conclusion Shadow education has a long history in parts of Asia and is now also increasingly visible in the Pacific. Reference was made above to a 1943 official comment on the phenomenon in Ceylon (now Sri Lanka), and government concerns in South Korea go back to the 1950s (Lee & Jang, 2010; Seth, 2002). However, at least until recently, private tutoring has been ignored by policy makers in most parts of the region. Even in Japan, where juku have long been known to play a major role in the lives of young people, the education-sector authorities have historically preferred a laissez-faire stance (Zhang & Yamato, 2018). Shadow education can no longer be ignored. It has grown significantly and will continue both to grow and to evolve, with far-reaching implications. Chinese patterns following the 2021 regulations seemed to be an exception, but even in that country the sector is likely to continue to thrive underground and to rebound when policy circumstances permit. While some dimensions of the expansion of shadow education might be welcomed as ways to extend the provision of education and build human capital, the phenomenon is socially stratifying yet has a backwash on schooling. Shadow education is much less about remedial help for students to keep up with their peers, and much more about competition and creation of differentials. It may also have corrupting dimensions. In remarks about the demand for tutoring, this chapter has highlighted the roles of selection mechanisms at transition points in education systems, cultural factors, parental perceptions of qualitative shortcomings in regular schools, and the combination of increased wealth and smaller families. These determinants of demand have operated within a context of overall expansion of education systems. As countries

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have progressed toward, and achieved, universal primary education, they have experienced pressure to expand lower-secondary education. And as they have achieved expansion of lower-secondary education, they have experienced pressure to expand upper-secondary and postsecondary education. Thus, enrolment rates at all levels have greatly risen during the last two decades. With expansion of the mainstream has come expansion of the shadow. Another broad trend has been the increased acceptability of marketization in the education sector. Many countries have socialist legacies, whether as part of the Soviet Union or as independent nations such as China, Laos, Mongolia, and Vietnam. Before the 1990s, in these countries the operation of free markets in any sector – and perhaps especially in education – was very limited. Economic and political reforms have permitted and encouraged the delivery of education through private channels alongside public ones. Marketization has also become increasingly evident in such countries as India, Malaysia and Singapore, which have always had capitalist systems but in which education has been seen as primarily a government responsibility. Thus the expansion of shadow education reflects wider changes in the roles of the state. The expansion of shadow education may also be linked to the forces of globalization and increasing competition. Families have always invested in education in order to maintain or advance their social and economic positions, but whereas in earlier decades social and economic positioning was mainly in the context of local and national conditions, now they are shaped by the forces of globalization that are accompanied by mobility of capital and of labor. Education is widely seen as a core instrument to “win” in the competitive environment; and, by corollary, lack of education is widely seen as a factor that limits career and other opportunities. Within this broad picture, different locations have different emphases. In almost all countries, urban areas have stronger shadow education enrolments than rural areas, and around Asia and the Pacific is diversity among and within geographic subregions. Part of this diversity reflects the providers and forms of shadow education. In Cambodia, most tutoring is provided by teachers, whereas in Thailand it is provided by individuals, small companies, or large companies. In Mongolia and the Maldives, most tutoring is labor-intensive, while entrepreneurs in Japan and South Korea make increasing use of computers and other forms of technology. These observations raise questions about the roles of government. In general, governments around the region have been slow to address the phenomenon, feeling that their chief responsibility is for mainstream schooling and that families take their own decisions on private supplements. Nevertheless, the topic has entered government agendas across the region (Bray & Kwo, 2014) and especially in China (Zhang, 2019, 2021). This chapter has stressed the diversity of circumstances because it exposes the complexity of the work of policy makers, but some broad lines for action are clear. The first is to recognize the existence, nature and implications of shadow education. An overall message is that shadow education needs much more attention both by educators in general and by policy makers. The theme should be taken more fully “out of the shadows” for discussion at all levels of government and society, including individual schools and families. The domain is complex, but appropriate

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ways forward will be found much more easily if the sector is actively discussed rather than ignored. Acknowledgments Parts of this chapter draw on and update material previously copublished by the Asian Development Bank and the Comparative Education Research Centre at the University of Hong Kong (Bray & Lykins, 2012).

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Homeschooling in Asian Countries in Terms of Law, Tradition, and Habitus Deokhee Seo

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Analytical Framework for Meta-analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Tradition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Habitus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Homeschooling in which families are pursuing an alternative education without sending their children to schools has been taking place in many countries in Asia. This chapter aims to understand these homeschooling phenomena of many Asian countries from comparative cultural perspective, especially in light of the multidimensional concept of culture: law, tradition, and habitus (Bourdieu’s term). For this purpose, this chapter adopted meta-analysis of established literature on homeschooling in Asia. As research results, it is revealed that against the backdrop of new class stratification and neoliberal globalization in Asia, some faithful parents with middle-class background started homeschooling. In addition to this common

This chapter is a revised version of my published article (Seo, 2021), “Comparative study on Homeschooling in Asian Countries in terms of law, tradition, and habitus”, Korean Journal of Comparative Education 31(5) Nov., 117–144. D. Seo (*) Chosun University, Kwangju, Republic of Korea e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_4

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feature, some distinguishing features as well as similar ones among countries are analyzed in terms of law, tradition, and habitus. First, in terms of law, the countries under study could be categorized according to how compulsory education law is enforced regarding homeschooling: collective, collective but elective, and liberal. Secondly, in regard with tradition, homeschooling in Asia emerged and expanded mainly for fostering religious education: Confucianism, Christianity, or Islam. Lastly, from Bourdieu’s perspective of habitus, most homeschooling parents with middle-class background have a “liberalistic” preference of individualized and customized way of teaching. Also, they tend to be “conservative” in a way that they put an emphasis upon transferring specific traditional values to their children. It is revealed that most homeschoolers in these countries have been satisfied with their choice of homeschooling. However, considering recent criticism on homeschooling in regard with children’s socio-emotional development, it is time to reconsider if the right to education does belong to the parents or to the children. At the same time, the duty of the society as well as that of parents to promote children’ right to education should be reconsidered. Keywords

Comparative study · Homeschooling · Asia · Law · Tradition · Habitus

Introduction Homeschooling in which families are pursuing an alternative education without sending their children to regular schools has been increasing in the world. While homeschooling or home education has recently become very diverse in the way how parents teach or support their children’s education (Jolly & Matthews, 2020), two common features of homeschooling can be identified: parents as the controller of their children’s education and home as the center for it, even if some other homeschooling families might be accompanied and local facilities including schools in the neighborhood be utilized depending upon the parents and children’s decisions. In terms of these features, in the USA, for example, about two million children, roughly 3–4% of the total population of school-age children are being educated at home (Elizabeth, 2020). In spite of many controversies and conflicts from educational and political perspectives (Apple, 2000, 2015; Elizabeth, 2020; Beck, 2015; Seo, 2008), homeschooling seems to have emerged worldwide as one of the educational alternatives to mainstream schools which have suffered from many sociocultural and educational issues. While in the US homeschooling movement started around 1980 (Holt & Farenga, 1981) and its population has increased very rapidly during the recent three decades (Jolly & Matthews, 2020, p. 272) (e.g. between 1988 and 2017, homeschooling grew by 1033% while overall public school enrollment by 40%), in most Asian countries

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homeschooling emerged around the beginning of the new millennium, when most countries became confronted with the educational limitations of regular school systems in the aftermath of economic drawbacks along with the neoliberal globalization (Seo, 2009; Sheng, 2017). At that time some parents recognized the inefficient and inhumane aspects of uniformed and standardized education. On the one hand, some parents recognized the inabilities of regular schools to prepare students for drastically changing environment (e.g., the knowledge society) (Kennedy & Lee, 2008). On the other hand, many students suffered from some relational difficulties among peer groups from bullying and other harsh treatment (Jolly & Matthews, 2020, p. 278). Also, some of them had difficulties learning properly at their own pace and relishing their intrinsic values for learning within the very competitive atmosphere of regular schools (Shin et al., 2019). This aggravated atmosphere of regular schools due to knowledge society, neoliberal unlimited competition, and outcomeoriented education system have affected some middle-class parents to choose homeschooling as a way of school choice, which is the most representative neoliberal policy in education (Angus, 2013; Jolly & Matthews, 2020). Indeed, Asian educational systems, in particular, east Asian ones, have been described as “miracles” as well as “paradox” (Lien & Tan, 2019). According to the PISA (Programme of International Student Assessment) by the OECD, for example, students in eight Asian countries (China, Hong Kong, Japan, Korea, Macao, Singapore, Taiwan, and Vietnam) performed very well especially on science and mathematics, while the students’ life satisfaction and schooling belongingness were very low and they experienced high schoolwork-related anxiety (OECD, 2017). In a word, east Asian students as “high achievers with low motivations” have appeared to Western researchers as miracles as well as paradox, since high academic achievement always goes along with high motivations in Western countries (Liem & Tan, 2019, pp. 1–4). Pressure upon high academic achievement based upon the parents’ traditional Confucian beliefs, high-stake examination, and aggravated dependency upon private after-school tutoring have lowered the east Asian students’ happiness (Shin et al., 2019; Dawson, 2010). Such miraculous and paradoxical situations of regular schooling systems have impacted upon some intrinsic or moral value-oriented parents in east Asian countries to adopt an alternative education for various reasons (Seo, 2008; Sheng, 2017). Even in some societies such as China, Japan, and Korea, where homeschooling is still illegal, some middle-class parents have been very determined to choose homeschooling for their children’s proper education without any accreditation or diploma. They put a priority on “embodied” cultural capital rather than “institutionalized” one in terms of Bourdieu’s term (Bourdieu & Passeron, 1990). In other Asian societies, where homeschooling is legal, they can adopt homeschooling as a way of school choice without any institutional disadvantage. Despite these similarities aforementioned, however, homeschooling phenomena do not manifest homogeneously in each society, with a wide spectrum of ideological, religious, and educational beliefs and realities (Seo, 2008; Apple, 2015; Beck, 2015; Jolly & Matthews, 2020). Unlike the above east Asian countries, south Asian

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countries such as India, Malaysia, and Indonesia have gone through different trajectories of public educational development during the period of neoliberal turn (Thachil, 2009). Also, while most Western countries except Germany have allowed parents to adopt homeschooling as one of the ways to implement compulsory education for their children (Spiegler, 2015), different cultural features among Asian countries, in particular, have influenced upon its legal status, its style and content of instruction and curriculum, and its effect on the academic careers of those homeschooled in each country. More than anything else, the law of each country in Asia has positioned homeschooling differently within the public education system. Also, diverse traditions like religions in Asia have impacted upon the curriculum and instruction of homeschooling. Lastly, who adopts homeschooling as an alternative to regular schools matters for understanding this new trend in the context of Asia. This chapter aims to understand these features of homeschooling in Asia from the perspective of culture. Understanding cultural features of homeschooling in Asia can help estimate the possibility of such critical issues being emerged regarding homeschooling such as social integration and child maltreatment in these societies. Also, it can help suggest a rough direction in which homeschooling needs to be regulated and supported. Against the backdrop of its dramatically rapid expansion in the USA, for example, old and new social and educational issues of social integration (Beck, 2015) and child maltreatment (Elizabeth, 2020) have emerged repeatedly. Elizabeth (2020) asserts that homeschooling without any regulations in the USA gives an option for far-right Christians and child abusers to choose against the right of children to education. Such a turbulent trajectory of homeschooling expansion in the USA might be found in Asian countries in the near future. At the proper time for critical understanding, cross-cultural analysis of homeschooling in Asian countries needs to be addressed. For this purpose, eight Asian countries were selected: China, Taiwan, Korea, Japan, Singapore, India, Malaysia, and Indonesia. In addition to comparatively easy access to literature regarding homeschooling in English, these countries can show diverse cultural features of homeschooling due to very different religions and historical experiences among them. From socialist country to most developed ones in market economy, from Islamic country to Confucian ones, and from collective country to liberal ones, they reveal various features in multidimensions of culture in regard with homeschooling. In this vein, this chapter focused upon understanding similarities and differences between homeschooling phenomena among eight different Asian countries in terms of multidimensional culture. An analytical framework composed of law, tradition, and habitus, which will be delineated later in more detail, was adopted for metaanalysis of established literature on homeschooling phenomena in Asia. This framework could be a useful heuristic tool to reveal and analyze cross-cultural meanings of homeschooling phenomena in Asia. Based upon the research results, theoretical implications for further research and practical applications for educational development in Asia are discussed in this chapter.

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Analytical Framework for Meta-analysis As the dominant mode of education in most Asian countries is school system, homeschooling should be started and maintained only through the adoption and practice of homeschooling families. It means that it has been characterized differently depending upon what kind of culture each society and its homeschooling families have been embedded within. Specifically, in what way the law concerning education deals with homeschooling, on what tradition the homeschooling families rely, and by which class dispositions they structuralize their educational adventure can contribute to diverse aspects of homeschooling phenomena of each country. In a word, homeschooling phenomena could be diversely emerged according to their own cultural context of each society. Indeed, in Asian countries, the context in which homeschooling families educate their children are diverse, depending upon the socio-cultural differences among countries. Especially, Asian countries have many different historical and traditional backgrounds from Western countries (Liem & Tan, 2019). Of the countries studied, apart from Japan and China, all the other countries had suffered from colonial rule. Some of those countries suffered colonial rule from Western countries, and Korea and Taiwan from Japan. These historical differences had influenced upon the laws regarding the education systems of these countries. Also, in Asia there have been diverse traditions, namely religions, which have had a deep impact upon parents’ beliefs and attitudes toward parenting and education. From an anthropological perspective of culture, homeschooling is not just some determined parents’ adventures but a socio-cultural phenomenon revealing multidimensional characteristics of each society. In order to identify and compare those cultural dimensions of homeschooling, this study adopts Seo’s analytical framework (Seo, 2011, 2013) of law, tradition, and habitus. These analytical terms are based upon the concept of culture as process of cultivating and expressing quality in itself with artificial frames or patterns (Seo, 2009, 2011). Also, with her critical emphasis upon its relation with body and power, manifested dimension of culture varies depending upon what its origin of cultivating power is and how its cultivating process operates upon body. This framework can make it possible to understand the mechanism of homeschooling systematically within a particular socio-historical context and to suggest the practical policies to support and reflect homeschooling in a systemic way. For the validation of this framework, take an example. According to Seo (2016), the educational situations with which immigrant youths were confronted could be understood critically and the policy concerned could be suggested systematically in terms of multidimension of culture. For example, in terms of law, the stakeholders need to investigate the legal status (nationality, citizenship, visa status, etc.) of immigrant youths to support them. Regarding tradition, the stakeholders also should pay attention to the cultural tradition they have been domesticated in their motherlands. Lastly, their educational achievement and their parents’ effort to support them are different depending upon their parents’ cultural capital (habitus). As is shown

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above, this theoretical framework can reveal different dimensions of culture of homeschooling from the cross-cultural perspective. First, “law” denotes the conscious, public, and collective process of cultivating the people’s body as its subject with public power in an artificial and instrumental way. For example, not sending school-aged children to school is banned by the compulsory schooling law in some Asian countries. Second, “tradition” refers to the community’s selective and value-oriented process of cultivating its members by including or excluding them from the access to traditional values in a collective, conscious or tacit way. Some communities of authoritarian religion can introduce homeschooling as a conscious way to cultivate its young members tuned to their religious way of life. Lastly, “habitus,” originated by Bourdieu (1977), means socially ingrained habits, skills, and dispositions. Regarding homeschooling, it means (semi) families’ natural and mundane way of cultivating their children within given socio-material environment. Indeed, without proper public support for educating children, the possibilities and limitations of homeschooling could be determined by the parents’ socio-cultural capital to specify their vision within their class-specific horizon. Three dimensions of culture Law

Subject being cultivated People ruled by law

Tradition

Community

Habitus

(Semi) family who share paramount reality

Origin of cultivating power Public power

Access to traditional values Conservative nature of body

Mode of cultivating Conscious, public, collective Conscious, tacit, Collective Conscious, unconscious, private

Nature of cultivating Artificial, instrumental Selective, valueoriented Natural, mundane

These three dimensions of culture are always intertwined with one another as we can see how religious traditions have had an impact upon everyday lives of ordinary people in some societies or how a legal system with regard to human rights have increasingly influenced upon everyday lives of students and teachers at school. As different dimensions of culture, three criteria and their dynamic relations can reveal complicated mechanisms of diverse homeschooling in those countries. After adopting this frame, established literature on homeschooling in Asia was searched, selected, and analyzed repeatedly during the study. First, Chosun University Database and Seoul National University Database were used for searching established literature in English and in Korean regarding homeschooling in Asia. Among those literature, a few articles regarding homeschooling within the situation of Corona pandemic were foreclosed due to the involuntariness and temporariness of homeschooling practices. As there is not enough literature on homeschooling in Asia, countries to be analyzed need to be limited to eight countries such as China, Korea, Japan, Taiwan, Singapore, India, Malaysia, and Indonesia. Second, during the process of analyzing the literature from the perspective of law, tradition, and

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habitus, another kind of literature was searched and analyzed in regard to the legal systems about education and traditional characteristics of those countries. Lastly, the results of analysis were interpreted from the cross-cultural viewpoint. The literature analyzed are listed briefly as below. Country China India Indonesia Japan Korea Malaysia Singapore Taiwan

Literature De Beer et al. (2020), Liu (2005), Sheng (2015, 2017, 2019) De Beer et al. (2020), Gururaj (2021), Han (2020), Shin (2012), Sinha (2016) Jung (2007), Kamarul and Zulafiat (2019), Kang (2011), Rahma (2018), Razi (2016), Suyatno and Saputro (2017) Kemble (2005), Lee and Sim (2018), Lee (2016) Choi (2008), Kang and Ha (2020), Mindle (2000), Seo (2008, 2009), Yoo and Jeong (2015) Alias et al. (2013), Lee (2016) Tan (2019, 2020) Sun (2016), Lee (2016)

Research Results Law Though global processes are partly constitutive of local realities (Archer, 1991), the education system of each country has its own distinguishing features depending upon its historical and traditional background. In regard with homeschooling, it is crucial whether it is legalized or regulated by the compulsory education law, which is drastically different among Asian countries. Also, it can be influential upon everyday practices of homeschoolers whether the public support systems exist for non-formal learners in the country under study.

Compulsory Schooling vs Compulsory Education In terms of law, it shows the mainstream society’s cultural perspective upon the relationship between collective schooling and children’s right to education whether homeschooling is legally justified, and properly regulated and supported. Three different legal characteristics of the established education system are found among the countries under study: collective, collective but elective, and liberal. Collective: China China is the only socialist country among the eight countries. Labor party of China with Mao, a historical socialist leader of People’s republic of China, announced in 1957 that their basic policy of education is to educate all the people into civilized laborers with a socialist consciousness. Since the party announced compulsory education for 9 years in 1985 for the first time, which was adopted in 1986, China has tried to make the announcement realize step by step through enforcing compulsory education for 9 years. In particular, this law was amended in 2006 for

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identifying why and how it should implement the compulsory education policy. It made sure that when children reach school age, their parents or guardians have a duty to ensure that the child attends school (Sheng, 2017). Because compulsory education equals compulsory schooling in China, homeschooled children have no right to take an exam for entering colleges and to get admission to any colleges no matter how much they achieve academically. Also, according to the Law of 2006, penalties will be given to the parents who violate the Compulsory Education Law (Sheng, 2017). Sometimes, they could be sued by others for violating the Law (Liu, 2005). In such a strict legal situation, there has been increasing hostility between homeschoolers and the government. For example, from 2006 to 2010, many Confucian home education sectors were closed down, and since 2010, many Confucian and Christian homeschooling have been conducted in a secret way (Sheng, 2017). Also, many homeschooling parents in China choose to send their children abroad for their future. Collective but Elective: Taiwan, Korea, Japan, and India Taiwan and Korea have in common the history of being colonized by Japan at the beginning of the modern era, respectively in 1895 and in 1910, when their modern legal systems were established by the Japanese rulers. Japan promulgated the first modern public education law in 1872, which had adopted German law as a model. Japan followed German law, a representative of “civil law” (Wacks, 2008), saying that all the school systems are under the states’ control without allowing individuals to choose homeschooling (Bae, 2019). However, Taiwan, Korea, and Japan share a critical blank in their legal systems for compulsory schooling: there is no law concerning homeschooling. While compulsory education means compulsory schooling in these countries, all of them have a loophole for homeschoolers to evade legal penalties for not sending their children to school. As there is national qualification examination system for those who are excluded for having illness or being foreigners from opportunities to get diploma at regular schools, homeschooled children can have chances to get diploma and to get admission to colleges by taking the qualification tests (Sinha, 2016). Homeschooling parents can provide appropriate reasons for not sending their children to the schools where their children belong legally (Mindle, 2000). In a word, in Japan and Korea, there is no provision under law that prohibits homeschooling, neither any one that permits one (Sheng, 2017). Though the legal system of India were affected by the British law, the present legal situation of homeschooling in India is similar to those of Korea and Japan. After the passage of the Right of Children to Free and Compulsory Education Act (RTE) in 2009, which renders formal education a fundamental right of any child between the ages of 6 and 14, the legality of homeschooling has been discussed (Gururaj, 2021). Since homeschooling is not included as “school” in the RTE Act, homeschooling is not currently governed by any governmental department. However, homeschooled children can take a test for IGCSE (International General

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Certificate of Secondary Education) as private candidates or write the Class 10/12 examination of the National Institute of Open Learning (NIOS), which gives students the option to get a degree or certificate (Sinha, 2016). Recently, this elective part of their compulsory schooling law seems to transform into a more systematic one for regulating and supporting education outside of regular schools. In Taiwan, the Legislative Yuan legalized homeschooling in 1999 (Sheng, 2017). Also, in Japan, because of “school refusal” phenomenon with a remarkable number of school dropouts and absentees, “the law for Prevention from Collective bullying” was enforced in 2013 and “The Educational Opportunity Law” in 2017, which provides a legal basis for supporting alternative education. These laws have been founded upon the idea of student’s right to self-determination in choosing their ways of compulsory education, which includes many kinds of alternative schools like about 400 free schools or Tokyo Shure (Lee & Sim, 2018). Likewise, in Korea, “The Alternative Education Law” was suggested in National Assembly in 2017 and has eventually enforced in 2021. Liberal: Singapore, Malaysia, and Indonesia These countries belonging to “liberal” type of law have in common a long history of being colonized by the West (Singapore – the UK, Malaysia – the UK, Indonesia – Netherland). The laws of all three countries belong to “common law” (its representatives are those of the UK and the USA). Also, these three countries have shared a relatively similar religious background, in comparison with the above “collective” countries: not a small Muslim population. In all these countries, homeschooling is legal. For example, in Singapore, even though the Compulsory education Act states that a child must attend a national primary school for at least 6 years, three categories of children are exempted: those attending schools like religious schools (Muslim, Christian, San Yu Adventist), homeschoolers, and those who need special education. As a way of regulating homeschooling, the ministry of Education of Singapore makes PSLE (Primary School Leaving Examination) compulsory in four subjects (English, Mother Tongue, Mathematics, and Science) and ask homeschoolers to meet upper 33% of aggregate score of mainstream students (Tan, 2020). Malaysia and Indonesia have in common the recent introduction of Compulsory Education Act in 2003. In Malaysia, Free and Compulsory Education Act for primary schools was introduced, permitting parents to send their children to private institution or operate homeschooling (Alias et al., 2013). In Indonesia, according to National Education Law, Article 27, the national education system recognizes three educational pathways: formal, non-formal, and informal education. As non-formal education, homeschooling has been increasing as an alternative to solve the problems such as low quality of public schools, and social and psychological problems students get involved in. Educational outcomes of homeschooling are admitted if only the learner passes the examination in accordance with the national standard of education (Razi, 2016).

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Public Support System for Non-formal Education or Else There are some public support systems for homeschoolers in “liberal” countries like Singapore, Indonesia, and Malaysia. In Singapore, there are support groups for homeschooling parents to join for learning more about homeschooling and sharing resources. Also, forums are available online to help parents decide whether homeschooling is right for their child. Those parents who decide to homeschool should speak to institutions which help them understand its system and course, guide them, and sometimes ask their children to be enrolled in school (Tan, 2019). In Indonesia, for all the children to get access to primary education, non-formal education programs are particularly popular (Lee, 2016). In the form of Teaching and Learning Center, government agencies support homeschooling families and Community Learning Center (CLC) provides programs for them as informal education channels. For example, in South Jakarta, about 25 institutions CLC organizers supported 100 students (Razi, 2016). In “collective but elective” countries like Japan, Korea, and Taiwan, there are some public support systems officially not for homeschoolers but for dropouts or those students who are likely to drop out of school. As mentioned above, as more students are getting unadjusted to school systems, Japan and Korea have tried to support those students in a diverse way. According to “The Educational Opportunity Law” in 2017, Japanese government is supposed to support those children who would like to learn at alternative schools such as free schools or Tokyo Shure (Lee & Sim, 2018). In Korea, “mandatory delay before school dropout” program was introduced to reduce the number of dropouts by using a network with local youth culture centers and others (Kim & Joo, 2018), where homeschooling children can participate in educational programs and social activities with other students. Most homeschoolers in “collective” countries including China seem to have relied upon private institutes for overcoming the limitations of individual homeschooling. For example, in Korea, private associations of Christian community homeschooling emerged nowadays in order to compensate for the disadvantages of homeschooling conducted individually. According to Kang and Ha (2020), there are 15 community homeschooling who have different characteristics: homeschooling networks (3), homeschooling support centers (7), and community homeschooling composed of 5–10 families (5). Also, there are 10 church homeschooling in which a particular church in a regional community leads and guides families in conducting Christian homeschooling as a religious mission. As a network of homeschoolers, such community homeschooling activates the network between homeschooling families, supports meeting among them, and provides information about diverse learning activities or programs. Also, they sometimes provide professional learning activities like music, reading classics, writing essays, and English which cannot be fulfilled by individual families. Finally, some associations supervise education conducted by homeschooling families and support them with curriculum, collaborative meetings, seminar, learning coaching, and academic career management (Kang & Ha, 2020).

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In a different situation from those of the three countries, the government in India has focused upon online learning system for secondary education in order to overcome extreme educational polarization. Elite education in private schools is excellent, but, on the other hand, popular education in public schools, especially in rural areas, is suffering from poor curriculum and deficient teachers (Shin, 2012). To deal with this issue for educational equity, the government has supported the development of online learning system, which has triggered the expansion of homeschooling in India (Han, 2020).

Tradition Like most of other Western countries, homeschooling in Asia emerged and expanded partly for religious education. Considering tradition, Confucianism, Christianity, and Islam have been main traditional factors to influence upon expectations and aspirations for education among parents, resulting in different curriculum, and methods of homeschooling.

Confucianism Confucianism is the most influential tradition upon education in China, Taiwan, Korea, Japan, and even Singapore, all of which have been well-known for high achievement in PISA and TIMSS. Parents in these Confucian Asian societies tend to regard academic achievement as a primary path to success. However, nowadays some middle-class parents, contrary to this mainstream culture, regard education as a lifelong journey of learning not confined to schools (Seo, 2008; Tan, 2020). These parents still regard education as the most important task of theirs but the values on which they put an emphasis in parenting are different from those of mainstream ones. Not all homeschooling parents do focus upon Confucianism in conducting homeschooling, but most of them care for their children’s character, morality, and social competencies as well as academic achievement. According to Sheng (2015), in China, for example, 12 homeschooling parents set up a gathering, “Meng Mu Tang” in 2005. This gathering was a kind of community homeschooling, which the homeschooling mothers named after a notable figure of Confucianism, Meng Zhi, whose mother committed herself to educating her son at the expense of several moving. By letting their children read Confucian Works there, the parents wanted their children to internalize their preferred values and culture embodied in Confucian Works (Sheng, 2015). Christianity In terms of tradition, Christianity is the most dominant religious factor to start homeschooling except in Indonesia. Even in China, Christianity has made a major role in spreading homeschooling. Many homeschooling mothers in China have experienced studying or staying abroad, especially in the USA or the UK, where they became followers of Christianity. After they returned to China, they felt dissatisfied with examination-focused education provided by schools. They wanted

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to cultivate their children Christian doctrines (Sheng, 2019). Singapore and Korea are not different from one another in this point. From January, 2012, when Korean association of Christian homeschooling had established, about 4500 homeschooling parents registered to this association till August, 2013 (Yoo & Jeong, 2015). In particular, recent community homeschooling movement has been initiated mostly by churches, especially Protestant one, part of which announced homeschooling as a mission of transmitting Christianity to the young generation (Oh, 2005; Kemble, 2005; Kang & Ha, 2020). Though in many Asian countries, Christian homeschooling has contributed to the expansion of homeschooling, however, the degree of incorporating their religious beliefs and curriculum varies. For example, Christian homeschooling in Korea seem to have had a hardship in integrating Christianity and secular curriculum even though they started homeschooling as a method to transmit their Christian beliefs to their children on their own. Also, it is revealed that the homeschooling parents do not believe only in Christianity but also in humanism, which is manifested in their children-centered way of education (Yoo & Jeong, 2015). Such a coexistence between Christianity and humanism are commonly found in Christian homeschooling practices in Asia, which can be called “beyond the dichotomy of pedagogues and ideologues” (Tan, 2020).

Islam Most of Indonesian (88%) believe in Muslim except people in Bali (Hinduism) and Chinese people (Buddhism), which makes Indonesia the biggest Islamic country in the world. Based upon the first principle of “Pancasila” that the foundational rule of Indonesia is the Faith in Absolute God, religious education must be taught in every level of schools (Jung, 2007). Indeed, this regime of trying to unify politics and religion was supported by the largest Muslim organization, “Nahdlatul Ulama,” which have not only tried to develop Islamic culture, but also participated eagerly in nationalist movement against Dutch and Japanese Rule during the colonial periods (Kang, 2011). Against this religious background, homeschooling in Indonesia emerged as an alternative to secular schools for value and moral education (Kamarul & Zulafiat., 2019). According to some homeschooling scholars, one of the main reasons of homeschooling in Indonesia is that harsh realities of secularization happened and attacked religious values in formal schools as the effects of globalization like sexual violence, bullying, and stress caused by a high standard of passing grade (Razi, 2016). Muslim activists’ unfulfilled expectation and disappointment in school made homeschooling “Islamization wave” in Indonesia (Suyatno & Saputro, 2017).

Habitus Lastly, in light of socioeconomic class habitus (Bourdieu’s term), in most Asian societies homeschooling has been initiated mainly by middle-class families with educational, social, and cultural capital (Seo, 2008; Sheng, 2015; Razi, 2016). Since

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the initiation and development of market-oriented reforms of all the countries even in China around 1980s and 1990s, drastic social change resulted in social stratification, namely emergence of a new social group, middle class (Li, 2000, recited in Sheng, 2015, p. 345). Homeschooling parents are usually more educated and wealthier than average in most Asian countries like in the early stage of homeschooling in the USA and elsewhere (Apple, 2015). For example, the various groups trying to do Islamic homeschooling in Indonesia have derived from “College Muslim Activists” who transformed into middle class Muslim (Suyatno & Saputro, 2017). These middleclass parents with college diploma and sometmes with experiences staying in Western countries have regarded more holistic and moral development as more conducive to their children’s future in ever-changing knowledge society rather than just higher academic achievement (Seo, 2009; Sheng, 2015). This new stratification of middle-class has made a launching board for homeschooling in Asian countries.

Teaching Style: Liberalism As higher educated middle-class, homeschooling families of all these countries seemed to take a political stance of liberalism, which has become an ideological foundation of modern constitution and schooling. Homeschooling parents, more educated than average, have been cultivated at westernized schools into “liberal” individuals through a long schooling, who put a propriety on individual’s freedom to choose. In doing homeschooling, they put an emphasis upon tailored way of teaching their children and children-centered activities (Tan, 2020) regardless of in what countries homeschooling is conducted. Also, they take a liberalistic slogan as a tool of gaining counter-hegemony against the government’ Compulsory Schooling Law. As results, sometimes this middle-class liberalism has been easily connected with neoliberal competitiveness in the globalization era (Seo, 2009; Sheng, 2019). Many homeschooling parents prefer tailored teaching tuned to individual interests and learning needs to examination-oriented and standardized teaching (Seo, 2009; Sheng, 2015, 2019). They criticized mainstream schools in exam-oriented education, saying that school is a “vehement monster,” giving students unnecessary pressure from testing. Given that liberalism is the westernized principle of education as one of human rights, middle-class homeschooling parents adopted it as their educational vision and have a preference of individualized and tailored education (Tan, 2020). By differentiating themselves from teachers, many homeschooling parents in Asia took a role of an assistant by supporting their children in flexible and child-centered way. Also, some of them noticed that regular schools had been unable to nurture students’ creativity, self-directed competency of learning and problem-solving competency urgently needed for a competitive globalized era (Seo, 2009). However, in order to cope with the limitations with which the individual homeschooling families confronts, the form of community homeschooling has been emerging in many countries under study. Also, depending upon the characteristics of community homeschooling, not only children-centered teaching but also more structured and semi-formal education has been conducted (Sheng, 2019; Kang

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& Ha, 2020). Such a diversification of ways in which homeschooling is conducted is likely to deepen as more families with diverse motivations join this trend as a school choice, which we have already seen in the USA (Jolly & Matthews, 2020). Especially, India and Indonesia could be the example of such a diversification since homeschooling has long been legalized in these societies with a comparatively large population of homeschooled students.

Teaching Curriculum: Conservatism As well as being liberal in their educational beliefs to protest against conventional schooling, not a few homeschooling parents are conservative in a way that they put an emphasis upon transferring specific values and cultural norms to their children. They felt deeply disappointed with competitive examination-oriented education provided by regular schools. Most cases found in Asian countries in China (Sheng, 2015, 2019), Indonesia (Razi, 2016), and Korea (Seo, 2008) are like those of other regions in the world (Apple, 2015). Many homeschoolers in Asia believe that the powerful influence of religion or moral education on the formation of the child’s character was significant (Seo, 2008; Sheng, 2019; Razi, 2016; Tan, 2020). For example, “middle-class Muslim” in Indonesia established homeschooling group “Khairu Ummah,” whose role is to provide education that puts the Islamic religious values and moral standard (Razi, 2016). Sometimes, this conservatism is related with educational elitism. In Singapore and China, for example, not only religious orientation but also bilingualism of higher educated families with middle-class background was one of the motivations to start homeschooling. For example, homeschoolers in Singapore emphasized that bilingualism was not only a tool for gaining economic benefits but also one for communicating religious messages (Tan, 2020). On the one hand, it has been warned by some researchers (Permoser & Stoeckl, 2021) that this conservative trend in homeschooling appear as advocates of human rights and freedoms but sometimes just in order to defend the patriarchal family as the ultimate source of authority and the primary carrier of rights. On the other hand, such a value-oriented homeschooling could manifest the identity of minor groups against mainstream cultures in very collectivistic societies (e.g. China, Taiwan, Japan, and Korea) like in the USA, where homeschooling has been adopted by some African American families as a protest against mainstream cultures reproduced by school systems (Puga, 2019). This seemingly paradoxical features of moral or value-oriented homeschooling in Asia need to be more closely dealt with by future research.

Conclusions Against the backdrop of new class stratification around the new millennium of most Asian countries and following neoliberal globalization throughout the globe, some faithful parents with middle-class background in Asia started homeschooling as an alternative to regular schools. They have been commonly disappointed with

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standardized and uniformed school systems which could not properly deal with academical and social problems that students are confronted with. However, depending upon the multidimensional cultural context of each society, homeschooling phenomena in Asian countries under study have manifested themselves in diverse ways. Firstly, in terms of law, it is revealed that the countries under study could be categorized: collective, collective but elective, and liberal. In most countries, let alone mandatory qualification examinations, specific regulations and support system for quality education has not been prepared for homeschoolers only to suffer from all the difficulties and to count on their own time, energy, and capitals to overcome them. Nowadays, however, the Compulsory Education Law of many Asian societies, except in China, has become more flexible due to their recognition of limitations of regular schools. From this result, we can easily predict that homeschooling or home education will be legalized in most Asian countries in the near future. In order to foster proper compulsory education for all children, appropriate regulation for homeschooling is necessary because parents’ right to choose education is not equal to children’s right to education (Elizabeth, 2020). Fortunately, regarding support system, as we can see in some countries like Korea and Japan, there are emerging some community movements for educating and supporting children with public fund outside of schools including homeschooled children (Seo, 2021a). This community movements for all children’s education need to be institutionalized and funded by the public authorities. In regard with tradition, like most of other Western countries, homeschooling in Asia emerged and expanded partly for fostering religious education. Confucianism, Christianity, and Islam have been main traditional factors to influence upon expectations and aspirations for education among parents, resulting in different curriculum, and methods of homeschooling. While Confucianism has influenced upon the attitude of homeschooling parents to put a priority on parenting and educating their children in China, Taiwan, Korea, Japan, and Singapore, Christianity or Islam has been the major factor of religious homeschooling movement in the societies concerned. These results point out a critical defect of regular schools in those societies: lack of the purposiveness of teaching and learning. Secularization of schooling in most of Asian countries within the sociocultural context of global neoliberalism has made teachers and students focus only upon achieving higher academic performance competitively, which has resulted in meaningless and stressful everyday lives of students. Learning and teaching only for surviving within limitless competitive globalized world cannot trigger students’ genuine interests in academic performance. In this vein, regular schools are in a desperate position to answer the questions not only how we need to learn and teach but also why we have to do so (Seo, 2021b). Regarding social integration issue, the present situations in Asian countries are not critical in comparison with those of the USA because of a very small homeschooling population in those regions. However, the public efforts to give all

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the homeschoolers opportunities to enhance their sociality with different groups are desperately needed not only for homeschoolers but also for social integration. Since the purpose of compulsory education for all children is sound citizenship as well as academic achievement, social activities with different groups need to be provided regularly for homeschoolers, regardless of religion that they believe. From Bourdieu’s perspective of habitus, most homeschooling parents with middle-class background have a “liberalistic” preference of more individualized and customized way of teaching. Even if they started homeschooling as a religious mission, some of them believed children-centered education to be better than teacher-centered one. On the other hand, not a few homeschooling parents in these countries are conservative in a way that they put an emphasis upon transmitting specific traditional values and cultural norms to their children. Some of them think these traditional values could protect their children from being extremely secularized by the globalization. Middle-class homeschoolers’ seemingly contradictory ways of educating children at home manifest their experiences and beliefs about education. Through the rapid modernization of those Asian societies, these middle-class parents might have been taught by their traditionally educated parents but have internalized liberalistic ideology at modern schools. Middle-class families, a few of whom had taken homeschooling adventure as an intensive parenting within the overwhelming neoliberal force (Seo, 2009; Lubienski & Brewer, 2015), however, have dwindled due to social polarization in Asian countries. Together with this trend, remarkably alternative features of homeschooling might be decreasing in the near future. Rather, like in the USA, where child abusers in a few vulnerable families pulled their children out of school for avoiding child protection reports (Elizabeth, 2020), it is likely that some parents or guardians could neglect children under their custody under the name of “unschooling” (Gaudreau & Brabant, 2021). Indeed, we have seen increasing cases of parents’ abuse during the Corona pandemic. If legalized, homeschooling parents need to give rationale for choosing homeschooling to the authority concerned and to be regulated by public officials such as nearby school teachers or social workers. So far, most of homeschoolers in these countries have been satisfied with their choice of homeschooling. However, in the USA where homeschooling has a longer history and larger population more than any other country, a recent research result shows that homeschooling has a negative effect on both completion of college degree and labor income (Sun, 2016). Also, in Indonesia, where the largest homeschooling population among Asian countries would be estimated, critical viewpoints regarding social emotional development of homeschooled children have begun emerging nowadays (Razi, 2016; Rahma, 2018; De Beer et al., 2020). In particular, it is maintained that individual homeshooling might have disadvantages in nurturing diverse kinds of sociality needed for the proper growth of their children (Seo, 2008; Rahma, 2018; De Beer et al., 2020). In order to develop social and emotional assets and resilience, homeschooling children should be encouraged to participate in different and regular activities with friends from diverse family backgrounds (Seo, 2008; Rahma, 2018). If

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homeschooling is legal but is not supported and regulated properly by the public education system, the present situations of homeschooling in these eight Asian countries would deteriorate in the near future. In particular, without everyday-life experiences with peer groups from different backgrounds like class, religion, and other socio-cultural factors, children who are immersed within a uniform tradition and way of life might not learn how to deal with differences and live harmoniously with others (Gaudreau & Brabant, 2021). As future education system is supposed to enable diversification of time and space for education in a “ubiquitous era,” children will be able to be educated anywhere and anyplace (Choi, 2008). However, online education at home during the present Corona 19 pandemic have been conducted in a drastically different way depending upon which class the parents belong to (Seo, 2021b). Indeed, this similar education had already been conducted by Cyber Charter Schools in the USA, where the rate of dropouts was much higher than other Charter schools (Kim, 2009). All these trials and errors allow us to rethink about the duty of the society to realize children’s right to education in a more interpersonal, communitarian, and valueoriented way. Guaranteeing the right to choose school for children and their parents are not sufficient for realizing children’s right to education. Echoing Dewey and Confucius, education does not occur in each isolated individual but within its relations with others and environments (Greenwalt, 2021). Also, education is not just for its outcome but for intrinsic value during its process. For a holistic and civil education of all children, home and schools, embedded in the community, are necessary to cooperate with each other.

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Section II Citizenship, Moral, and Values Education Thomas Kwan-choi Tse

Citizenship is multifaceted in nature, and so is citizenship education – a lifelong and society-wide political learning experience across formal, informal, and nonformal contexts and institutions. And citizenship and citizenship education are related to a wide range of crucial sociopolitical and educational issues. There are eight chapters in this section that will examine various aspects of the sociopolitical and educational issues in Asian societies. The concept and practice of citizenship education vary across places in terms of the content and orientation, depending on the regimes of governance. Thomas Tse and Sicong Chen illustrate the intersection of citizenship education and lifelong learning with the cases of mainland China, Hong Kong, Taiwan, and Japan under different state-civil society relations. With a richer conception of citizens’ qualities and a broader understanding of the scope and journey of “citizenship education,” the corresponding pedagogy is expanding citizens’ learning experience such as learning in or through the community. Effective citizenship education also commands a real politics-related pedagogy grounded in public engagement and deliberation. And there are a number of diversified and innovative projects initiated by the civil society. Exposure to political learning and development of political literacy is closely related to the broader policies in relation to civil liberties. But a strong economic orientation is still dominant in the present neoliberalist lifelong learning discourse in relation to citizenship education. In the prevailing political order of nation-states, national identity and nationalism remain core parts of citizenship, and Shuqi Ro concedes that the discussion of “Chineseness” is essential to our understanding and analysis. Rao gives a very comprehensive and informative overview of Chinese nationalism/patriotism and unpacks several entangled key concepts. To avoid terminological confusion and misunderstandings and to ascertain the specific meanings, it is essential to interpret the relevant terms against China’s own cultural and historical contexts. Moreover, Chinese patriotism as advocated from the late 1980s onwards by the part-state is a state-centric conception of nationalism, used to fill the ideological vacuum and secure people’s loyalty and the regime’s legitimacy. The belief crisis in Marxism,

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Socialism and the CPC propelled the Chinese government to promote patriotism in multiple ways, including launching of its patriotic education campaign inside and outside schools at national-wide scale. The cultural tradition, especially Confucianism which was once defamed in the Mao era, was also revived to sustain the Chinese identity. Besides the special Chinese features, she pinpoints the potential tension between Chinese identity and global identity arising from the recent challenge of globalization. Also about the case of China, Nan Hao illustrates how Henan province has constructed Chinese cultural identity through heritage education of the Central Plains Region of China in recent years. The Central Plains Region or Zhong Yuan is often seen as the cradle of Chinese civilization. The formats of heritage education today are not restricted to classroom teaching, field visits, museums, lectures, handicraft art workshops and cultural tourism are also ways of delivery. Her account about works of the government and some higher education institutes can extend our understanding of cultural nationalism and the wider ideological-political implications. Historical heritage is about our collective memory of the past, and it is subject to selection, representation and interpretation. It is interesting to see how tangible and intangible heritage resources have been selected and adopted by the official players for the purpose of cultural identification and heritage education. Another interesting point is that the discourse also highlights Chinese civilization as an ancient, dynamic and open system in learning and absorbing diverse cultural elements from neighboring tribes or other civilizations in the process of boundary expansion. In short, cultural identity can also entail multicultural elements. With China as a case study, Shuqi Rao and Nan Hao have together demonstrated the salience of nationalism in national education policy and citizenship education as well in an increasingly globalized world. Boosting cultural confidence can serve to enhance the nation’s cohesion and soft power, and for the cause of the rejuvenation of the Chinese nation. Absorbing cultural elements from the other regions will be apparent, given that this has happened throughout Chinese history. Identities emerge from and through action and discourse. Identity formation is also a fluid and ever-changing process related to myriad contextual factors. With the 2010–2012 campaign against the official proposal of a school-subject strengthening national identity in Hong Kong as a case study, Tse elucidates the opponents’ claims and reveals their plural identities and overlapping and specific concerns with civic values, which are complementary when combating the official discourse. The counter-discourses reveal both common ground and specific concerns. And the opposition groups indeed articulate multiple and hyphenated identities with various concerns such as professionalism, Christianity, and ethnicity, hence pushing for a civic notion of identity advocating criticality, multi-culturalism, and cosmopolitanism. A nuanced account for the nature and sources of civic identification requires a refined differentiation of the objects and modes of identification. With rich narratives by the second-generation migrant girls in Beijing, Ji Qi and Wing On Lee examine how these migrant students construct a new pro-urban identity from their daily interactions with the local people. Their work further unveils the intricate and hybridized nature of their identity, as well as the individual

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autonomy in their search for understanding themselves. With an attention to the active agency in negotiating one’s identity, their work could cast light on the significant issues about identity grafting and marginal citizenship in a recent world more and more characterized by migration, mobility, and intercultural experience even within a country itself. While nation-states and patriotism remain the locus of conventional citizenship (education), new trends of globalization and multiculturalism have facilitated supranational or global citizenship by extending citizenship beyond state boundaries. We have two chapters contributing to conceptualization and practices of global citizenship education (GCE). Theresa Alviar-Martin and Mark Baildon shift their focus from the national-level discourses, policies, and curriculum concerning GCE to school-level implementation and classroom enactment in different Asian places. Under the buzz word of “global citizenship education” are different ontological and epistemological standpoints and the interfaces between neoliberal, humanitarian, critical, and other discourses. And the desirable way forward is grounding GCE in decolonial purposes, perspectives, and analyses of power relations by confronting the biases and prejudices of teachers and students. We must promote global social justice by foregrounding the critique and transformation of the hegemonic global forces and legacies of colonialism, imperialism, neoliberalism, or nationalism. The readers will definitely benefit from their articulation of a nuanced analytical framework in guiding future studies and advancing practices. In a related attempt, Emiliano Bosio further enriches our understanding of GCE in Japan’s higher education institutes from the perspectives of educators there. It is crucial for educators to develop ethical pedagogical approaches for teaching GCE. Echoing the chapter by Alviar-Martin and Baildon, for instance, students need to identify power structures and to engage with critical modes of inquiry. His proposal of an ethical pedagogical framework is of practical relevance for genuine empowerment and social transformation. Finally, Sandra Wu and Charlene Tan give a very informative account of moral and values development for early childhood education in Singapore by examining the three related official national frameworks. We can also learn from the authors’ further explication of the elements of moral and values development and their relationship with student well-being, let alone the new pedagogical initiatives relevant to the education of children. Given the multifaceted nature of citizenship, citizenship studies naturally entail analytical, normative, and empirical ones and the chapters above have tackled different aspects and advanced the frontiers of research. They have reviewed some current development and central debates of the field and also pointed to a much nuanced account of citizenship and citizenship education. In addition to its scholarly significance to different issues, this section also provide vital insights to education practitioners in enhancing the well-being of students and the general public. Today, as from the analyses of the policy and practice in several Asian countries, it is clear that citizenship is not only about legal status but also about active and critical civic engagement for building inclusive, just, and democratic relations among citizens at multiple levels. To improve the practices of citizenship, we need to understand better

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the barriers or facilitators involved. The diversity of practice and enactment across programs and places also warrants special attention and comparative analysis. And in view of prevailing neoliberalist or paternalistic bearing of citizenship in many places, creating and improving learning and institutional conditions conducive to lifelong civic engagement is much anticipated.

Rethinking Lifelong Citizenship Education: Tendencies and Tensions in East Asian Contexts

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Thomas Kwan-choi Tse and Sicong Chen

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Citizenship and Related Forms of Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Developments and Differences in East Asian Contexts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Top-Down Ideological Control: China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Role of NGOs: Hong Kong . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Role of Community Universities: Taiwan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Role of Grassroots Groups: Japan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Tensions Between Citizenship Education and Lifelong Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion: Prospects and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Citizenship is a polysemy referring to legal status, entitlements, obligations, identity, and virtues associated with the membership of a democracy. The development of a strong and full democracy is both a political and an educational task. People learn to be citizens, and citizenship entails an opportunity, an outcome, and a process related to learning. This chapter views citizenship education as a societywide political socialization experience across formal, informal, and nonformal contexts over human life course. Citizenship is learned in various forms and processes embedded in a wide variety of social and political institutions. Mass media, public broadcasting agents, libraries, museums, civil society organizations, and the community are all important sources and agents of political learning. T. K.-c. Tse (*) Department of Educational Administration and Policy, The Chinese University of Hong Kong, Hong Kong SAR, People’s Republic of China e-mail: [email protected] S. Chen Department of Education, Kyushu University, Fukuoka, Japan e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_146

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This chapter illustrates the intersection of citizenship education and lifelong learning by discussing the cases of four East Asian societies under different state-society relations (Mainland China, Hong Kong, Taiwan, and Japan) and highlighting the significant roles of civil society organizations in citizenship education. The chapter then turns to the marginalization of citizenship in the present lifelong learning discourse, discussing that fostering citizenship with lifelong education is yet a fully delivered promise as it is not an official central concern, especially given the recent neoliberalist education policies in East Asia as well as in other parts of the world. Reclaiming the public and democratic nature of citizenship in lifelong education, the chapter calls for improving learning and institutional conditions (diverse opportunities, access to information in particular) that enable active and critical citizenship for lifelong engagement in both the state and the civil society. Keywords

Citizenship education · Lifelong learning · The state · Civil society · East Asia

Introduction The development of a strong and full democracy is both a political and an educational task. Citizenship, citizenship education, and lifelong learning are complex, dynamic, and contested concepts. Ideally speaking, an efficacious citizen is also an educated one, and citizenship entails an opportunity, an outcome, and a process related to learning. This chapter has the following four sections to explore the intersection of citizenship education and lifelong learning. The first section clarifies the concepts of citizenship and citizenship education in relation to lifelong learning. The second section illustrates the recent developments of lifelong citizenship education in the region by looking at the four cases of Mainland China, Hong Kong, Taiwan, and Japan, while the third section analyzes the tensions between citizenship education and lifelong learning. The chapter concludes by observing some prospects and challenges ahead.

Citizenship and Related Forms of Education With a long history traceable to ancient Greece and Rome, citizenship is a multidimensional concept containing such elements as membership, entitlement, obligation, identity, and virtue (Heater, 2004). While citizenship in modern times is predominantly perceived as legal membership of the nation-state with corresponding rights and obligations, contemporary forces of globalization and postmodernism arouse the debates about who is entitled to the legal status, what rights and obligations are, and the limits of the exclusionary nation-state (Chen, 2018). Furthermore, citizenship is now discussed to be not merely about status with benefits and burdens

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but also about the feeling of belonging to and practice as active citizens in the political community (Osler & Starkey, 2005). This shift of emphasis from formal to substantive citizenship leads to increased attention on what citizens do or act in relation to others in the political community (Isin & Nielsen, 2008). With a more sophisticated understanding of the public sphere and robust democracy, scholars and activists have turned to civil society, in which citizens act for common interests and public good. Attention is paid to how and why people are able and willing to act as capable citizens committed to public engagement. Democratic citizenship is often considered as requiring a public sphere within which citizens can actively participate within and beyond the state, in addition to a set of formal rights and responsibilities. Although nation-state as the institutional paradigm of political community remains the locus of contemporary citizenship, and patriotism (even nationalism) is often a, if not the, pillar of contemporary citizenship education, there are new trends toward multiculturalism and post-nationalism in recent decades (Tse, 2003). Various groups of gender, sexuality, ethnicity, religion, social class, and age within the nation-state are active in claiming their rights and identities, and many countries have sought to address their concerns by recognizing and accommodating differences and diversity in harmony. Meanwhile, forces of economic and cultural globalization in terms of intensified international exchange and interdependence heighten the need to foster supranational or global citizenship by extending citizenship beyond individual state boundaries. These interweaving local, national, and international factors influence the conception and substance of citizenship and citizenship education. People learn to be citizens, and citizenship education belongs to a broader phenomenon of political socialization. Political socialization is a learning process by which people become political beings, a process from which people, particularly the younger generation, acquire the knowledge, attitudes, sociopolitical norms and values, and behaviors to fit into political life and become the members of a political community (Hyman, 1959). Fred Greenstein (1968) describes two general ways to understand political socialization. A narrow one refers to “the deliberate inculcation of political information, values and practices by institutional agents who have been formally charged with this responsibility,” whereas a broad one means “all political learning, formal and informal, deliberate and unplanned, at every stage of the life cycle, including not only explicitly political learning but also nominally non-political learning of politically relevant characteristics” (p. 551). This broad conceptualization points to the society-wide and lifelong nature of explicit and latent political socialization in formal, nonformal, and informal contexts over life course, highlighting the significance of lifelong exposure and opportunities of political learning as well as the political implications of life-wide experience. It foreshadows the concept of lifelong citizenship education and learning developed since the 1970s. Citizenship is learned in various forms and processes embedded in a wide range of social and political institutions. These agents or settings of political socialization include primary ones where people have close and informal relationships and share similar values like family and peers (friends, classmates, neighbors, and colleagues), and secondary ones where people have formal and impersonal relationships (school,

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workplace, church, political parties, and unions). Youth organizations (e.g., Scouts and YMCA), mass media, military, and other public institutions (e.g., public broadcasting agents, libraries, and museums) are also important ones. The formation of citizenship is both an individual and a collective process involving complicated interactions and negotiations between individual actors and the immediate and institutional contexts. International Association for the Evaluation of Educational Achievement (IEA)’s Octagon Model of Civic Learning (Torney-Purta et al., 1999: 18) also foregrounds these constructivist and ecological features. There are also other models to capture the complexity and dynamics involved (see, for example, Istance, 2003; Williams & Gerber, 2002: 239). The scope under the umbrella of “citizenship education” is also wide ranging, complicated by the controversies and debates in the public arena and the academic circle, including, for instance, new rights and duties and post- or supranational identities associated with regional political communities such as the Association of Southeast Asian Nations (ASEAN) and global citizen (Alviar-Martin & Baildon, 2021; Hirata, 2015; Ho, 2018), and the increased emphases on human rights, multiculturalism, and peace education in recent years (Cha et al., 2018; Osaka, 2020; SHAPE-SEA, 2019). Diverse conceptions of citizenship lead to an expansion of citizenship education and require learning in terms of cognitive, affective, attitudinal, competent, and active components. A thick conception of citizens’ traits or qualities highlights citizens’ abilities to have their say and take actions. Citizenship education is expected to cultivate abilities and facilitate actions for participation in public associations or affairs, and the basic competences include advocacy, formulating policy goals, effective communication, cooperation with others, moral deliberation, and social policy research (Remy, 1980). Citizenship education would become more relevant and practical when it is connected to the neighborhood or local community – a nonformal setting that encourages civic participation among people and nurtures effective, well-informed, and committed citizens. The relevant pedagogy is about connecting and expanding citizens’ learning experience such as learning in or through the community. Most modern governments provide political education to their members, though with different political orientations or emphasis and ways of practice. Citizenship education is a multifaceted terrain cutting across contemporary schooling and social education. Apart from formal citizenship education, many governments across the globe are coming to terms with an emphasis on lifelong learning. There has been growing recognition of citizenship education as a lifelong endeavor that citizens learn about citizenship in formal, informal, and nonformal settings, even though the boundaries are never clear-out as there is often some overlap among them (more discussion on the distinction can be found in the Section of Lifelong Learning and Twenty-First Century Competences as well as ▶ Chap. 5, “Rethinking Education for the New Normal: Formal Versus Informal and Nonformal Education and Lifelong Learning,” by Liz Jackson in the Handbook). In this regard, processes of citizenship education are not confined to the formal provision made by the government, and post-schooling, such as adult and continuing education, is as important as school education. Advancement of information and communications technologies also has

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the potential to develop lifelong citizenship education and learning in new and innovative ways. People accordingly need to practice and develop competences to deal with various kinds and messages of media (hidden messages in particular).

Developments and Differences in East Asian Contexts The content and orientation of citizenship education differ in place and time, depending on the characteristics of political regimes. Many modern states intend to socialize people to support government policy and accept government legitimacy – a process called political socialization – through formal, informal, and nonformal education. Many educators and government officials recognize the significance of inculcating and perpetuating political values in the minds of citizens, often via citizenship education taught in formal school lessons. Conventional schooling aside, organizations in the civil society or the third sector, such as philanthropy or charities, voluntary associations, social enterprises and cooperatives, nonprofit organizations (NPOs), nongovernmental organizations (NGOs), and the community itself, are also significant sources and agents for civic-political learning. Civil society indeed embraces a broad spectrum of organizations with variations in types, sizes, purposes, and forms. Partnership with organizations in civil society has been sought to enhance the relevance and effectiveness of citizenship education. Civil society organizations, with their diversity and flexibility, can play key roles in supporting citizenship education through less formal channels, complementing schools’ provision of citizenship education. These organizations serve as the connectors among people, schools, and society (Edwards, 2004). Because different types of civil society organizations facilitate different forms of citizenship education (Bron & Schemmann, 2001), citizenship education cannot be restricted to a conventional format such as reading materials or classroom lectures. It is particularly important to include peaceful demonstrations, protests, and rallies on certain causes of human rights, democracy, and social justice as effective ways of citizenship education for the general public (Broom, 2017). The content and ways that states shape the values and political attitudes of their citizens are often under the influence of dominant political frameworks and official ideologies. Some states are far more aggressive in steering or controlling the content and processes of socialization, while others leave it more to the civil society to fulfill that role. Unlike democratic polities that embrace active citizenship participation, either as an instrument to secure liberty or as an intrinsic element of democracy, traditional authoritarian regimes tend to foster compliant political culture, depoliticize civil society, and discourage active participation. Socialist states have entire propaganda and education machines to produce a uniform value system and create a unified national will and collective goals. The states try to engineer a socialist culture and shape the minds and behaviors of the population for social transformation since their founding. They deliberately lead the populace for revolution and mobilize them to support state goals through officially endorsed participation. In such polities citizenship education is oriented toward “good and compliant citizens” for state-

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directed political and economic imperatives, leaving little room for active participation of and by citizens. This chapter takes four East Asian cases (Mainland China, Hong Kong, Taiwan, and Japan) to illustrate citizenship education and learning beyond formal schooling under different state-society relations.

Top-Down Ideological Control: China Socialist China is a party-state based on Marxism-Leninism. With a powerful centralized bureaucracy led by the Communist Party of China (CPC), party organizations are installed in everywhere and at every level all over the country and within all major institutions and organizations. China’s society and educational system have been heavily loaded with the party-endorsed values, principles, and policies, and the educational system explicitly serves ideological-political purposes (Tse & Lee, 2003). Under an authoritarian mode of governance, China’s civic education is distinctive by a top-down state-centered concept of citizenship and a socialist understanding of individuals in which national sovereignty, unity, security, and interests override citizens’ individual rights and liberties. Good citizens are defined as patriotic nationals and a mobilized populace supporting a powerful state. These citizenship characteristics are still maintained in contemporary times, despite the dramatic economic reforms and deepened involvement in the global economy (Kennedy et al., 2014). Unity of party leadership manifests in political, organizational, and ideological domains, and the CPC also closely orchestrates and monitors its propaganda and educational work. The party-state conducts what is called “ideological-political work” (sixiang zhengzhi gongzuo) in a pervasive, holistic, and comprehensive manner in order to bring about conformity or loyalty to the nation and the party leadership. With a strident and systematic effort, it is a nation-wide project under the direction of the Department of Propaganda of the Central Committee of the CPC, and followed in full strength by education, propaganda, literature and the arts, and mass media at all levels. This centralized party-state administration makes the ideological-political work omnipresent and forms a powerful and united force of inculcation. It is taught seamlessly from kindergartens to higher education institutes and infused into the formal curriculum like Chinese language, morality/politics, history, art, music, and labor education. Besides the formal lessons, youth and children’s palaces, museums, and sites of revolutionary tradition often serve as vehicles for patriotic education. Commemoration days and festivals are also opportunities for political learning. Extracurricular activities organized by Young Pioneers (shaoxiandui) and Communist Youth League (gongqingtuan) are prevalent. Ideological-political learning is a part of the daily lives of Chinese people over the life course, with street-level propaganda highly visible at almost every corner of the society. Small study groups are organized in government offices, workplaces, schools and colleges, neighborhoods, and the military to engage people in the political study of official doctrines, thoughts of political leaders, and state and party directives. Party intrusion into the society is conspicuous, and political

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campaigns complemented by the work of mass organizations are prominent. Mass movement through popular mobilization is to gain support for policies and to mobilize the masses for implementing policies. Under the current Xi regime acutely aware of the importance of ideological control for ruling legitimacy, formal and informal ideological discourses are directed and delivered to the public through various channels of communication (Zeng, 2016). These include traditional partystate mouthpiece newspapers and more innovative ways that take advantage of communication technology and the Internet, such as the smartphone app Study Xi and Strengthen the Country (Xuexi Qiangguo) that teaches Xi Jinping Thought through interaction with users.

The Role of NGOs: Hong Kong Freedom of association for citizens is essential to an autonomous and pluralistic civil society. The state and civil society are mutually constitutive, and state policies strongly shape the composition and functions of a civil society. Through legal means and policy instruments, the state creates the institutional framework and the space in which civil society takes shape and operates. And civil society organizations occupy a special position in the nonformal education sector. These organizations represent and reproduce their own beliefs and values in their activities. Civil society itself is also a contested arena along cultural and political lines, with an intricate interplay of forces and struggles across different groups and areas. Accordingly, there are disputed notions of citizenship, in terms of both its meaning and in the weight that different groups attached to particular elements or values of citizenship. A case in point is Hong Kong, a hybrid polity since the colonial era of British administration. In Hong Kong, there is a strong presence of civil society in citizenship education. A relatively vibrant civil society, coupled with the aided-school system and a liberalist official policy toward values education, allows a mushrooming of diversified and novel civic education and publicity activities offered by various bodies. Many NGOs are flexible and proactive in meeting social and political needs. At the community level, the Committee on the Promotion of Civic Education established under the government since 1986 has liaised with related government departments and the community in promoting civic education outside schools. Meanwhile, the Hong Kong Government has introduced a number of specific themes for the different funding schemes, most of which were formulated in response to the current political climate. In this way, the government continues to steer the activities of the organizations (Tse & Lau, 2021). Over the years, different government departments and advisory bodies, together with many NGOs, have carried out various activities and projects to promote civic and national education. Highly diversified notions of citizenship are conceived resulting from divergent orientations of various NGOs, which have been found to be either complementing or challenging the establishment. For instance, enthusiastic NGOs like Amnesty International Hong Kong and Hong Kong Committee for UNICEF have been promoting human rights education programs that target the public through

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exhibitions, school talks, education kits, and various publications and publicity materials (Lam, 2014; Tse, 2020). These NGOs provide platforms and opportunities for young people to participate and voice their concerns through different programs and use experiential learning in extracurricular activities such as school talks, workshops, and film screenings. Several merits from their work can be observed. First, with their specific niches and advantages, the NGOs can easily reach their specific target groups and provide specialized services and activities or innovative projects that can meet the unique needs of people. Second, the NGOs connect the wider community and the formal schooling system by bringing together the service-recipients, volunteers, community groups, the media, and private sector sponsors. Third, many of the activities or services are free of charge or very affordable for the participants. Fourth, their advocacy and education work has helped disseminating the idea of human rights in Hong Kong, pushing the government to include human rights concerns in its domestic policies, and filling the gaps in human rights education due to political neglect. Together they can support human rights education and address the deficits of the mainstream school system. As for the limitations, their programs are still marginal and not properly institutionalized. Moreover, these programs usually include small numbers of participants, and the participation is restrictive in terms of breath and depth. Under these restrictions, the activities become piecemeal, and it is difficult to implement long-term plans to produce accumulative effects. Finally, the prospects for pluralistic citizenship education are cast in shadow, particularly with the deterioration of human rights and erosion of civil society due to the central government’s tightened control of Hong Kong’s autonomy since 2020.

The Role of Community Universities: Taiwan As for the role of civil society in citizenship education, a promising development was found in Taiwan, a society undergoing liberalization and democratization since the late 1980s. Community universities (shequdaxue) were initiated in 1998 by a group of education reformers with the twin aims of liberalization of knowledge to the general public and promoting the development of civil society in Taiwan (Chen, 2002; Ho, 2004). People aged 18 or above are eligible to enroll in the courses for academic study, living skills, and community activities. Certificates will be offered upon completion of required credits. To date, more than 80 community universities have been established and run by NGOs. As an experiment combining social reconstruction and education reform with new channels for lifelong social education, these universities design their curricula and learning activities in a humanistic perspective, especially with a “public” focus on connecting people to their local communities and greater citizens’ participation in public affairs and decision-making (Chen, 2021). These universities also become a magnet involving social activists in the areas of community building, environmental conservation, labor, aboriginal, and feminist movements, as well as culture and the arts. Over the past 20-plus years,

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community universities have evolved into a vital social force to foster a vibrant civil society. With the elevation of civic engagement and learning opportunities provided for adults to become effective and capable citizens to promote and practice democracy, community universities advance not only personal knowledge and competency, but also make significant contributions to developing local culture, consolidation of democracy, and social capital accumulation of both the communities and the learners (Chen & Wang, 2009). The success of community universities is not only attributed to the self-driven force at the grassroots level. State policy and support also matter as the government has offered subsidies and counseling to community universities under county and city authorities since 2003. The sustainable development of community universities and the right of the public to lifelong learning is further legally safeguarded with the Community University Development Act promulgated in June 2018 (Ministry of Education, Taiwan, 2019).

The Role of Grassroots Groups: Japan The development of civil society is also a relatively recent phenomenon in Japan. Civil society enabling active participation by free and equal individuals was widely considered necessary in the self-critical reflections of post-war Japanese intellectuals (Carver et al., 2000). But because of the subordination of civil society under developmental state polices in the 1960s and 1970s, it was not until the 1980s and especially the early 1990s that grassroots groups began to persistently play an active role in Japanese politics (Hirata, 2002). In her study on Japanese NGOs, which are nonprofit organizations engaged in international activities while those engaged in domestic ones are called NPOs in the Japanese context, Hirata (2002) points out the prevalence of NGOs-government cooperation and the financial reliance of many NGOs on the state. She questions the capability of these NGOs to act as a counterweight to the state and promote democratic civil society. The close relations with the state can also be observed in NPOs, many of which have social education or nonformal education as their registered activity area and have been funded by local governments since 1998 (Ogawa, 2015). Ogawa (2015) discusses that state authorities tend to mobilize citizens to volunteer in citizens’ public halls, libraries, and museums and encourage NPOs to take an active role in providing communitybased lifelong learning programs in recent decades. He critically sees these as the governing technique of the neoliberal Japanese state to devolve the cost of public administration to civil society while developing social cohesion and solidarity by mobilizing concerned citizens in local communities. Notwithstanding the state’s considerable influences, burgeoning NGOs and NPOs have become integral parts of the Japanese civil society and essential platforms for citizenship education and learning in society. For example, internationally linked NGOs “[contribute] to global citizenship education through participation, knowledge production and space creation” (Chan, 2008, p. 2), while participants are able to experience “relational learning” of civic knowledge generated and consumed in the activities of local NPOs (Ogawa, 2015, p. 80). Since the end of the 1980s, there has been a trend of promoting

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lifelong learning to nurture a “new public” of active citizens, and it was accompanied by new initiatives offered by “citizen’s universities” established by local communities (Sawano, 2012). The four cases above illustrate the variations in the state-civil society institutional configurations and reflect the ways civil society is involved (or not) in different regimes of governance. Our discussion contrasts the state-centered (Mainland China) and civil society-centered (Taiwan) cases with Hong Kong and Japan in between in distinct ways. Relevant factors include legal and policy frameworks, public cultures, historical legacies from previous political regimes, and the imprint of colonialism. They largely set the space and possibility for the citizenship education programs offered by various NGOs. Also at stake is the relationship between the state and the NGOs in terms of funding, regulation, advocacy, and service provision. Civil society is a heterogeneous space occupied by various associations divided in terms of values, interest, aims, and identity. Naturally, there is not a single civil society viewpoint but rather multiple views, which are often profoundly diverse and even incompatible ones. The features of individual organizations also matter, which include their aims and ideas, membership, resources and capacity, autonomy, and structural position within the network linking these NGOs.

Tensions Between Citizenship Education and Lifelong Learning The chapter has explored the terrain of citizenship education and illustrated some developments and differences about citizenship education and learning beyond formal schooling in East Asian contexts. Indeed, lifelong learning has been articulated and incorporated in national and international education reforms and policies in the past decades. This section proceeds to discuss the tensions between citizenship and lifelong learning, highlighting the marginalization of citizenship learning and the direction to restore citizenship purposes in the perspective of lifelong learning. In a review of the lifelong learning discourse emerging from education reform initiatives in Asian countries around the turn to this century, Lee (2007) observed that the promotion of lifelong learning is always situated in the context of economic globalization and justified on the grounds of the need to update the knowledge and skills of the populace and maintain national competitiveness in the global knowledge economy. He argues that: A missing link in many countries’ lifelong learning discourse, however, is its significance for enhancing humanitarian values on an individual level, active citizenship on a societal level, and democracy on a political level. The term “missing link” does not mean that there is no mention of humanitarian values, and the ideals of democracy and citizenship education. However, compared with the stress on economic values and the attention towards programmes oriented towards them, attention towards humanitarian values, the concern for democracy and citizenship is minimal. (p. 374)

The orientation of economic purposes and omission of democratic ones in lifelong learning discourse are not unique to Asia. Biesta (2006) shows a similar

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tendency in the European and international discourses of lifelong learning flourishing in the late twentieth century. For Biesta, lifelong learning has three functions or purposes, the economic one about acquisition of work-related knowledge and skills and development of human capital; the personal one about development of talent and fulfillment of life; and the democratic one about empowerment and emancipation of individuals and construction and improvement of democratic, just, and inclusive society. He argues that recent European and international policies prioritize the economic function over the personal and democratic functions of lifelong learning, constituting a rhetorical shift from the 1972 UNESCO report Learning to Be: The World of Education Today and Tomorrow, which advocated lifelong education in terms of solidarity, democracy, and personal fulfillment. The term “lifelong education” in the report is indeed substituted by the now omnipresent “lifelong learning.” This substitution is not trivial but, as Lee (2007) discusses, “reflects a conceptual departure from the idea of organized educational provision to that of a more individualized pursuit of learning” (p. 371). From the state-citizen perspective, Barros (2012) comments that the concept of education is “a collective entity and a state obligation,” while the concept of learning is “an individual entity and a personal duty” (p. 120). From the self-other perspective, Biesta (2005) discusses that learning connoting an activity to be done alone by oneself is individualistic, while education involving interaction between educator and student is social and relational. Speaking of lifelong learning instead of lifelong education thus turns what is concerned into “an individual activity,” “an individual issue,” and “an individual responsibility” without consideration of the relevance to the state and the relation with others in society (Biesta, 2006, p. 175). This rhetorical shift is associated with the decline of welfare state and the rise of neoliberalism in contemporary state governance (Barros, 2012; Biesta, 2005, 2006). The dominance of economic over democratic purposes, the shrinking responsibility of the state, and the absence of social or relational scope in the lifelong learning discourse bear implications for lifelong citizenship education and learning because citizenship is a political and relational concept. It means that informal and nonformal citizenship education beyond formal schooling needs to overcome the economic orientation and restore the democratic tradition of lifelong learning; to bring the state back in the provision of lifelong learning opportunities and resources and in the deliberation of democratic citizenship; and to stimulate and facilitate democratic, just, and inclusive relations among citizens in and beyond immediate communities. Also, lifelong citizenship education and learning needs to prevent from being reduced to the training of workers for the market, to the ideological apparatus of the state, and to activity done alone by individuals without concern for others. In other words, lifelong citizenship education and learning needs to carve out and operate in a space that is differentiated from – in the sense of related to but not determined or controlled by – the market, the state, and the private. This space is indeed what Cohen and Arato (1992) called “civil society,” to the extent that it is “a sphere of social interaction between economy and state” (p. ix). While heterogeneous civic organizations and associations, as shown in former sections, play an important role in informal and nonformal citizenship education

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by providing various learning opportunities outside schools in East Asian contexts, the existing or increasing influence of the state, as demonstrated in the cases of mainland China, Hong Kong and Japan, calls attention to the relation of lifelong citizenship education and learning with the state and raises the question of how to develop it through interaction with but not submission to the state. Also, while citizenship may be learned in families, which are indeed incorporated in Cohen and Arato’s civil society and mentioned earlier as part of the broadly defined political socialization, what needs to bear in mind is that the purpose, content, and implication of citizenship education and learning is beyond the private and toward the public. Given the publicity of citizenship and the collectivity of education, it is arguably in the public space “protected from the adjacent market and private domains, where strangers encounter each other as equal partners in the common life of the society” (Marquand, 2004, p. 27), that lifelong citizenship education should be oriented, especially when citizenship is no longer merely about legal status but increasingly about taking actions to negotiate and construct democratic, just, and inclusive relations among citizens of diverse backgrounds. How to create and maintain such public space is an imperative question to address, especially in the face of prevailing neoliberalist understandings of citizens as competitors and consumers in the market and education as individual learning.

Conclusion: Prospects and Challenges People learn to be citizens and ideally become learned citizens. This is a lifelong process. Learning citizenship is crucial to recognize one’s multiple identities, and to live out one’s membership by enacting and realizing one’s package of rights and duties. Learning of and learning for citizenship is also part of the project of consolidation and development of full democracy. This chapter has illuminated the relation between citizenship and education and explored the conditions and constraints of lifelong citizenship education, including the contents, forms, and agents. The mode of lifelong citizenship education is institutionally embedded in specific sociopolitical order underlined by the state-civil society relationship. The factor of state (non-)intervention is important here. Governments can organize, coordinate, or mobilize major forces in the wider society to support lifelong learning. In addition to the government and conventional teachers and educators, many actors or agents can also contribute a favorable environment for learning citizenship. The chapter also calls for attention to the positive role of civil society and the pressure on learning democracy derived from “learning economy” and rising credential inflation. After waves of educational (over-) expansion, credential becomes a screening device, particularly under the tide of neoliberal economic globalization. Education for the sake of qualification earning and qualification escalation are common in many places. The consumer-driven lifelong learning policy with an emphasis on personal drive, self-interest and self-reliance, and employment skills will increase popular pressure for credential markets and further create an inflation spiral.

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Lifelong education as citizenship education also means expanding citizens’ access to citizenship knowledge. Governments should provide various learning channels and networks with resources and support to meet the needs of both individual and community development. These channels include public broadcasting institutes, libraries, museums, and various social education or community learning centers. For example, in Hong Kong, Radio Television Hong Kong is a public broadcasting service with radio and television channels. Over the years, it has produced many educational and public affairs programs related to different themes of civic education such as election, the rule of law, equal opportunities, and national affairs. In East Asia, Tuol Sleng Genocide Museum (Phnom Penh, Cambodia), Trisakti Museum or May 12 Tragedy Museum (Jakarta, Indonesia), Liberty Osaka and Hiroshima Peace Memorial Park (both in Japan), The Memorial Hall of the Victims in Nanjing Massacre by Japanese Invaders (Mainland China), June 4th Museum (Hong Kong), Taipei 228 Memorial Museum, and the Green Island and Xindian Human Rights Museums (Taiwan) are famous ones designed to educate visitors on the human rights violations that occurred. Resources aside, access to information in mass media, libraries, and public institutes without political censorship is crucial for the development of political literacy. This is closely related to the broader policies in relation to civil liberties. Exposure to political learning is essential, as opportunities like classroom instruction and discussion, extracurricular activities, and service-learning can empower citizens and enhance their knowledge, political interest, efficacy, and civic commitments. Effective citizenship education also commands a corresponding public pedagogy, such as the thematic and problem-oriented approaches to real-life politics, and an emphasis on participation in decision-making and deliberation in learning and work. Civic educators must seize or create the opportunities and experience for learners, bearing in mind that opportunities are often unequal to citizens after the stage of compulsory education. With the advancement of information and communications technologies and the explosion of information, young people are growing up digitally, and many are digital natives. Economic and political powers are steering and competing for people’s attention. The Internet is full of political information ideologically loaded, no matter true or false. Access to and assessment of information is crucial for opinion formation and decision-making. Social media and online exposure strongly affect people’s political attitudes and activities, sometimes even resulting in the phenomena of political polarization like echo chamber and tribalism. In the so-called posttruth society featuring fake news and nihilism, media and information literacy and digital citizenship become essential to citizenship education (Lee & So, 2014). Media and information literacy entails using media effectively and ethically. It is a repertoire of knowledge, values, and competencies that enable people to assess, analyze, evaluate, appreciate, express, and create messages in various media, modes, and genres. Media and information literacy involves critical awareness of the media impact on individual lives and the whole society. It also emphasizes active inquiry such as assessing and locating data of relevance; critical thinking about the messages received and created; judging the quality and credibility of information from

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different sources; and understanding matters better with alternative and multiple perspectives. People in the twenty-first century are both media producers and consumers. They need to practice media ethics as responsible “prosumers” when engaged in media production and transmission. Media-literate persons should also monitor and influence the media, voicing their opinions about the performance of the media and asking for improvement. There is a need to explore further the impact of digital media on citizens’ daily political life, and on their development as citizens in an increasingly information-intensive and globally connected world (Bennett, 2008). Civil society organizations as institutional sponsors have unique advantages in the informal and nonformal education sectors, although their potential for transformation is contingent on the contextual and organizational constraints and may not be straightforward. There are both favorable and unfavorable contexts in which civil society exists and functions. There is need to know more about the concrete conditions and constraints under which these organizations operate in order to understand better the possibilities and limitations of civil society in citizenship education. In short, fostering citizenship with lifelong education is yet a fully delivered promise. Against the background of a global economy, rapidly changing labor markets, and increased flexibility of employment, many places require citizens of the twenty-first century to continually renew their skills and to make active contribution throughout their lives. The prevailing lifelong learning discourse in many East Asia systems is derived from a neoliberalist economic agenda that intends to develop human resources for fierce international competitions. Some lifelong learning policies and practices are also dominated by conservative political ideologies, with social inclusion and democratic empowerment being minor and marginal. There is an urgent need to reclaim the public nature and emancipation potential of lifelong learning. Given people’s economic and political motivations or orientations toward learning and the impact of qualification seeking on learning, thorny issues remain about which forms of learning and institutional conditions will sustain active and critical citizenship for lifelong engagement in both the state and the civil society.

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Nationalism, Patriotism, and Education for Patriotic Citizens in Mainland China

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conceptual Clarification: Zuqun, Minzu, and Nation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nationalism and Patriotism in the Chinese Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Intellectual Sources of Chinese Nationalism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . From Chinese Nationalism to Chinese Patriotism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Patriotic Education Campaign . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Launching of the Campaign . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Narrative of Chinese Dream . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The 2019 Outline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . State-Led Nationalism/Patriotism in Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The National-Global Tensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Though the meanings and consequences of national identity in China have interested scholars from various fields, Chinese nationalism and Chinese identity remain poorly understood and inadequately studied. The terminological confusion around the idea of “nation” in the Chinese language makes the concept of “Chinese nation” an elusive landscape. Chinese nationalism and Chinese patriotism are used synonymously and interchangeably as multifaceted concepts, which are composed of the pride in Chinese culture and tradition, the sense of humiliation resulting from the struggle against outsiders, and the belief in the unity of China under the leadership of the CPC. In the late 1980s and early 1990s, the three belief crises in Marxism, Socialism, and the CPC propelled China to promote patriotism to unify the nation in multiple ways, including the launching of its patriotic education campaign. Since then, patriotic education has been S. Rao (*) East China Normal University, Shanghai, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_140

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widely advanced in formal, informal, and hidden curricula in educational institutions. Students are expected to become patriotic Chinese, who can appreciate the Chinese nation’s 5000-year civilization, protect Chinese nation against foreign invasion, and voice their commitment to the CPC’s leadership. Faced with the challenges that globalization presents to its legitimacy as the default locus for defining individuals’ identities, China is also dedicated to multiple citizenship education to advance students’ identification of global communities, which accordingly leads to the new tensions between Chinese identity and global identity in educational settings. Keywords

Nationalism · Patriotism · National identity · Patriotic education · Citizenship education

Introduction Since the advent of the Reform and Opening-up policy in 1978, China has experienced a transformative process in all spheres of social life. The national economy has developed rapidly and is now the world’s second largest economy, with an average of nearly 10% gross domestic product (GDP) growth per year, which is the fastest sustained expansion by a major economy in history. Because of the country’s rapid economic growth and unprecedented social development, China’s need for social cohesion and national rejuvenation through promoting a distinctive Chinese identity is viewed as increasingly urgent (Law & Ho, 2011), which is also evident in the Communist Party of China (CPC)‘s call for constructing a harmonious socialist society and disseminating “Core Socialist Values” to accomplish the “Chinese Dream.” Alongside the transformation process in all spheres of social life that China has undergone, Chinese nationalism and Chinese identity have been the subject of growing attention in academic and public circles in the past few decades. Research indicates that some countries have discussed the idea that the rise of Chinese nationalism poses a threat to global development and have therefore adopted a series of restrictions against China. However, this has not significantly interfered with China’s aim of being a strong and prosperous nation in the globalized world. This chapter addresses the meanings of nationalism and patriotism, and how patriotic sentiment is cultivated through education in Mainland China. And in the following, the first section clarifies the terminological confusion around the idea of “nation” in the Chinese language. The second section offers an in-depth insight into Chinese nationalism and Chinese patriotism: It first examines the concepts of nationalism and patriotism in a general sense, arguing that no clear-cut distinction between them necessarily exists. Following this, the rise of Chinese nationalism and its links with Chinese civilization and modern Western nationalism are investigated. It then discusses why Chinese patriotism, though used synonymously with Chinese

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nationalism, is promoted in both official and public discourses. The third section discusses the content of patriotic education and the nature of patriotic sentiment expected to be promoted among students. The fourth section presents an overview of the patriotic education campaign and its implementation. The tensions between Chinese identity and global identity are identified in the fourth section. Finally, there is a conclusion and a call for future studies to be conducted in educational settings.

Conceptual Clarification: Zuqun, Minzu, and Nation As a pioneer scholar in the field, Anderson (1983) argues that education plays an important role in creating and bonding a distinctive nation-state. For a long time, the link between national identity and education systems has widely been discussed. Even though the necessity of national identity education is highly debatable (Yuen & Byram, 2007), the enthusiasm for promoting national identity within school settings can be observed in both Western and Eastern contexts. China is not an exception. In the Chinese context, the value of patriotism has constantly been promoted in both official propaganda and public discussions (He & Guo, 2000). It is widely believed that being a patriotic person benefits oneself and a strong Chinese nation. Although much Western literature has been published on the topic, Chinese identity remains poorly understood and inadequately studied. As discussed by Said (1978), misunderstandings are apt to occur when Western scholars attempt to interpret non-Western cultures. Chinese identity should not be understood based on a modern nation-state framework, which was developed through Western experiences (Bislev & Li, 2014). Instead, it is essential to interpret it based upon China’s own cultural and historical contexts. First, terminological confusion around the idea of “nation” in the Chinese language should be clarified. Although they are treated as distinct concepts in Western literature, ethnic groups and nation are conventionally conceptualized using the same Chinese word, Minzu (≁᯿). In the Chinese context, the meanings of Minzu are complex and cannot be encapsulated in a single term in English or other languages. With the deepening of research, scholars within the field of ethnicity and nation have increasingly realized the confusion that might be caused by using the same word for different meanings. Officially acknowledged as a multi-ethnic country, China is composed of 56 ethnic groups, with the Han group accounting for 92% of the total population. To avoid misleading English speakers into understanding that ethnic minorities, including Tibetans, Uygurs, and Manchus, are political entities with the right to establish independent nation-states, scholars tend to use Zuqun (᯿㗔) to describe internal ethnic diversity within China, while using Minzu for the collective unity of China. China now arrives at its axiomatic Minzu taxonomy: 55 ethnic minorities plus the Han group which together comprise a single super-Minzu, which is Zhonghua Minzu (中华民族, Chinese nation). The language of Zhonghua Minzu does not underestimate any ethnic groups’ culture and custom,

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but to express the sense of nationhood. Accordingly, in the Chinese context, Chinese identity is framed as identifying with Zhonghua Minzu as a whole nation. In addition, research indicates that the concept of “nation” is frequently used interchangeably with “state” and “country” in the Chinese context (Yuen & Byram, 2007). Since distinctions between these three concepts are rarely made in the Chinese language, the meanings of “Chinese nation” could be more complex than simply being a synonym for “nation.” This further enables Chinese identity to take on a multitude of forms and content, which will be discussed in more detail below.

Nationalism and Patriotism in the Chinese Context As specific expressions or two types of national identity, nationalism and patriotism have attracted the interest of scholars from various fields. For a long time, scholars contribute to the definitions of “nationalism” and “patriotism” from various perspectives, reaching a consensus that nationalism results from devaluating outgroups and implies that one’s nation is superior to others, while patriotism is a positive attachment to one’s own nation and is independent of feelings about other nations or outgroup devaluation (Wagner et al., 2012). However, with the deepening of the research, scholars recognize that it is difficult to propose definitions of nationalism and patriotism through such a practical but oversimplified criterion. The distinctions between nationalism and patriotism are more easily made in theory than in practice. Under different circumstances, national sentiment expressed by different individuals might be either critical or uncritical. There is little need to label nationalism and patriotism as unhealthy and healthy national sentiments; the important point is to admit that national identity can manifest in multiple forms and combine both positive and negative attitudes toward one’s own nation and others. The discussion of nationalism and patriotism in the Chinese context, like analysis of nationalism and patriotism in general, has too often been muddled by terminological confusion and lack of clarity.

Intellectual Sources of Chinese Nationalism Modern Chinese nationalism is understood to have both traditional Chinese nationalism and modern Western nationalism as its intellectual sources (Ogden, 2001; Zheng, 2012). It has been explained that “China has for thousands of years remained in uninterrupted isolation. When our people refer to the land, they call it Tianxia [天 下, universe] rather than Guo [国, country]” (Liang, 1935, p. 15). The concept of the modern nation-state does not exist in ancient Chinese thought. Instead, Chinese people historically used Tianxia when referring to their cultural and political communities (Zhao, 2004; Zheng, 2012). Unlike Western systems of international relations, which focus on the role of economic power and military, the concept of Tianxia attaches importance to soft power including culture, morality, and harmony (Wang, 2012). Within the Tianxia system, which is a Sino-centric worldview, China

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does not acknowledge the equal status of other countries. Instead, China regards itself as the only truly civilized entity with indisputable cultural superiority (Wang, 2012). The Sino-centric worldview and cultural hierarchy, however, were challenged by the century of humiliation that began in 1839 with the First Opium War (Gries, 2006). This changed Chinese people’s views of the world and their perceptions of the relationship between China and other countries. For one thing, it suggested that there is no center of the world. For another, it showed that other countries whose people used to be labeled as barbarians are not less developed than China and may be even more technologically advanced. However, the traditional and deep-seated national consciousness did not disappear. Instead, pride in the glory of Chinese civilization constitutes an essential part of modern Chinese nationalism (Bislev & Li, 2014). At the turn of the twentieth century, faced with the decay of the Tianxia system, Chinese scholars were propelled to find alternative approaches to protect China from outside invasions. Liang Qichao, a prominent intellectual at the turn of the twentieth century, is commonly considered as the first scholar to introduce modern Western nationalism to China. Based on Western ideas and personal experience, Liang was convinced that what China lacks most and need most is an organic integration: “Han, Manchus, Mongols, Hui,Miao and Tibetans should unite as a broad nation”(Liang, 1935, p. 76). Therefore, he advocated the sense of belonging to Zhonghua Minzu, which called on the uniting of all ethnic groups in China to confront Western threat. Under Liang’s influences, scholars in the following decades developed the idea of building a unified China. China’s self-identification as a victim has been frequently mentioned by Chinese nationalists, who framed Western countries and Japan as aggressors (Suzuki, 2007). The historical disgrace resulting from the unequal treaties with other countries constitutes an essential part of the fabric of Chinese nationalism. Although Mao Zedong announced to the world that the Chinese people had retaken control with the founding ceremony of the People’s Republic of China (PRC) in 1949, the sense of humiliation that had spanned generations did not disappear among individuals (Wang, 2012). The popular slogan “Luohou jiuyao aidai” (落后就要挨打, backwardness leaves you vulnerable to attack) is deeply rooted in the mindset of the Chinese people. Accompanied by a sense of national humiliation, Chinese nationalism is constituted by anxiety about being invaded again and the desire for acceptance by other countries.

From Chinese Nationalism to Chinese Patriotism It was not until the 1990s that there was a remarkable increase in interest in modern Chinese nationalism resulting from both external and internal crises. The break-up of the Soviet Union and the collapse of Communism in Eastern Europe revealed that nationalism can weaken state power and lead to the splitting of the nation-state (Bislev & Li, 2014). The Tiananmen Square protests in 1989 demonstrated social and political groups’ doubts regarding the legitimacy of the CPC and the bankruptcy

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of official ideology (Zhao, 1998; Zheng, 1999). The CPC realized that nationalism, as a concept derived from Western historical context, could not help multi-ethnic Chinese nation to face the multilevel threats in new circumstances (Bislev & Li, 2014). To fill the ideological vacuum, the CPC was forced to search for the value of patriotism that could ensure individuals’ loyalty and the legitimacy of its regime (Ogden, 2001). Compared with nationalism which may arouse nationalistic fervor among 55 ethnic minorities, patriotism is a much more acceptable notion to leaders as it can help people focus on the challenges they shared. By denouncing any independence movement and by supporting reunification, the patriotism promoted by the Chinese government could be also regarded as the approach of peaceful reunification of China and the reinvigoration of China’s national spirit. Through examination of the origins and development of the official discourse on Chinese nationalism and patriotism, it is easier to understand why two terms are used synonymously and interchangeably in the Chinese context. In essence, Chinese nationalism and patriotism are not two distinguished constructs. However, the concept of Minzu zhuyi (民族主义, nationalism), which is derived from the Western context, might lead to nationalistic fever among ethnic minorities and thus has never been endorsed by the Chinese government (Zhao, 1998). Instead, the concept of Aiguo zhuyi (爱国主义, patriotism), which literally means “love of country,” echoing Viroli’s definition of patriotism (1995, p. 1), which can unite people to focus on shared challenges, is regarded as more acceptable and is accordingly promoted in both official and public discourses. As discussed earlier, distinctions between nation and state are rarely made in the Chinese context. Therefore, the concept of patriotism can be interpreted as showing loyalty to Zhongguo (中国, China) (Bislev & Li, 2014). From this perspective, Chinese patriotism is a state-centric conception of nationalism, which is a “state-led nationalism” (Tilly, 1994, p. 133).

Patriotic Education Campaign In the late 1980s and early 1990s, the belief crisis in Marxism, Socialism, and the CPC propelled China to face the challenge of unifying the nation. Since then, the Chinese government has concentrated on promoting patriotism in multiple ways, including the launching of its patriotic education campaign (Law & Ho, 2011).

Launching of the Campaign In 1991, the campaign was made official by two documents issued by the CPC Central Propaganda Department. These two documents are called Notice about Conducting Education of Patriotism and Revolutionary Tradition by Exploiting Extensively Cultural Relics (CPC Central Committee, 1991) and General Outline on Strengthening Education on Chinese Modern and Contemporary History and National Conditions (Ministry of Education of the PRC, 2001). The campaign reached its climax in 1994 when the CPC Central Committee issued The Outline

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for Conducting Patriotic Education (He & Guo, 2000; Zhao, 1998, 2004). The 1994 document explicitly states that the objective of patriotic education is “to boost the nation’s spirit, enhance its cohesion, foster its self-esteem and sense of pride, consolidate and develop a patriotic united front to the broadest extent, and direct and rally the masses” (CPC Central Committee, 1994). After the outline had been published, the patriotic education campaign was carried out at full scale. Within the Chinese education system, which operates with a top-down management style, most institutions, from primary schools to universities, have their own CPC committees or branches (Wang, 2012), which are tasked with fostering patriotic sentiment among students (Zhao, 1998). Within campuses, the essence of patriotism has been incorporated into curriculum teaching. Courses including Traditional Chinese Culture, History of Chinese Art, and Lectures on Patriotism are available to students (Zhao, 1998). As well, the roles of informal curriculum and hidden curriculum in promoting patriotism are fully acknowledged. Activities including the Flag Raising Ceremony and singing the national anthem are regarded as important routines, which allow students to express their patriotic sentiments (Fairbrother, 2003). To create a favorable atmosphere in which to conduct patriotic education, the government has made use of public media and carried out a series of projects, including the Hundred Books Program, the Hundred Films Program, and the establishment of Bases for Patriotic Education in various cities (He & Guo, 2000). In the early 2000s, patriotic education was reinforced through the Returning to Tradition movement (Law, 2013; Yu, 2013). To mark the 60th anniversary of the founding of the PRC, 2009 witnessed the intensification of patriotic education as schools were urged to carry out a series of patriotic activities on campus. The Confucian tradition, especially its value of social responsibility, was comprehensively promoted as the foundation upon which to rebuild Chinese identity (Lee & Ho, 2005). The national curriculum standards for compulsory education subjects issued in 2011, which further stressed the importance of learning about Chinese culture, traditions, and the achievements under the CPC’s leadership, were considered more Sino-centric than the 2001 version (Law, 2013).

The Narrative of Chinese Dream The strengthening of patriotic education is also reflected in how the CPC continues to promote its ideas and emphasize the ideological function of citizenship education. Since Xi Jinping took office at the 18th National Congress of the CPC in November 2012, the narrative of the “Chinese Dream” has been rolled out across state media platforms and become the CPC’s political ideology: The rejuvenation of the Chinese nation has been the greatest dream of the Chinese people since the beginning of modern times; we call this the ‘Chinese Dream’. The idea in essence is to make the country prosperous and strong, rejuvenate the nation, and see that the people are happy. (Xi, 2013)

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As an important component of accomplishing the “Chinese Dream,” a campaign has been carried out to disseminate “Core Socialist Values,” which are a set of official interpretations of Chinese socialism written in 24 Chinese characters, including the national values of “prosperity,” “democracy,” “civility,” and “harmony”; the social values of “freedom,” “equality,” “justice,” and the “rule of law”; and the individual values of “patriotism,” “dedication,” “integrity,” and “friendship” (Hu, 2012). Conceptualized as subordinate to nation and society, individuals are expected to become patriotic citizens dedicated to the establishment of a prosperous Chinese nation (Gow, 2017). With the issue of Opinions on the Cultivation of and Practice of “Core Socialist Values” on 23 December 2013, the CPC framed national education as a vital forum in which “Core Socialist Values” should be cultivated and practiced (CPC Central Committee, 2013). In addition, the CPC continues to maintain high levels of control over the political nature of citizenship education and corresponding curriculum standards. In September 2017, at the compulsory education level, textbooks for Chinese, history, ideological, and political education (these names vary in different grades) were designed and edited (Wang, 2019). Since then, schools no longer have the freedom to choose from various textbooks but are provided with these standard ones. We need to energetically foster and promote ‘Core Socialist Values’; promptly establish a value system that fully reflects Chinese characteristics, our national identity, and the features of the times. . .If our people cannot uphold the moral values that have been formed and developed on our own soil, and instead indiscriminately and blindly parrot Western moral values, then it will be necessary to genuinely question whether we will lose our independent ethos as a country. (Xi, 2014, pp. 120–121)

Undoubtedly, integrating “Core Socialist Values” into national education serves the function of disseminating the Chinese vision for nation-society-citizen relations and characterizing China’s development under the CPC’s leadership. However, it has to be admitted that “Core Socialist Values” contain narratives of concepts that challenge or are opposed to the usage of the same terms in Western liberal political discourse, for instance, the values of “democracy,” “freedom,” “justice,” and “rule of law” (Gow, 2017). Consequently, ideological conflicts could possibly be created when it comes to determining what kind of citizen is expected to be cultivated through schooling.

The 2019 Outline In November 2019, Outline for the Implementation of Patriotic Education in the New Era (CPC Central Committee, 2019) was published, which not only provides a new overview of the essence, content, and implementation issues of patriotic education, but also clearly states that patriotic education should be carried out throughout national education. Accordingly, patriotic education is widely conducted

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in nearly all education institutions, from primary schools to universities, albeit with distinct objectives, content, and instructional strategies. Patriotic education at primary school level aims to guide students to form an initial understanding of the Chinese nation. For instance, the curriculum standards of Morality and the Rule of Law explicitly states that student should “learn about the scenic spots and major products of their hometowns and feel the changes in their hometowns” and “respect the national flag and national symbol, learn to sing the national anthem and feel proud to be Chinese” (Ministry of Education of the PRC, 2021). In terms of content, certain national symbols and characteristics of the Chinese nation, such as the flag, food, and traditional festivals, which are easy for young children to comprehend, are introduced, with the aim of developing their understanding of their parents, relatives, and hometowns, so as to expand their knowledge of the society around them and gradually foster their patriotic sentiment. Secondary school students are expected to develop the sense of belonging to the Chinese nation, the love for the CPC and socialism, and build national esteem. For instance, the first lesson of Morality and the Rule of Law begins with “Young people have dreams,” which aims at helping students understand and appreciate the meaning of the “Chinese Dream,” grasp the pulse of the times, and link their personal ideals to the dreams of the Chinese nation (Ministry of Education of the PRC, 2016a). Through experiencing a variety of social interactions, secondary school students become increasingly aware of the wider context in which they are set and therefore are introduced to more complex topics, such as the “socialist theoretical system with Chinese characteristics” and the “socialist dream of China” (Ministry of Education of the PRC, 2016b). As university students become more mature in terms of social interaction and practice, the content of patriotic education designed for them is further deepened, with the aim of not only helping them developing rational understanding of the Chinese nation but also motivating them to put their patriotic sentiment into action and contribute to the revival and prosperity of the Chinese nation (Zhao, 2021). Since the release of the Outline, patriotic education has been further carried out through formal, informal, and hidden curricula from primary schools to universities. Not only are there specific areas of curriculum, represented by Morality and the Rule of Law, but also subjects such as Chinese language, history, and geography have incorporated the essence of patriotism into teaching. In addition to formal curriculum, educational institutions also invoke patriotic sentiment among students implicitly through rituals and ceremonies, such as the Flag Raising Ceremony, the Ceremony of Young Pioneer, and the Ceremony of Youth League. Celebrations of traditional Chinese festivals and commemorations of important historical events also have been placed a great emphasis on consolidating the bond between students and the Chinese nation through the creation of a shared memory. It is important to note that the patriotic education campaign is no longer confined on campus. Instead, it has become a collaborative activity to cultivate individuals’ sense of belonging to the Chinese nation, with teachers, parents, and other stakeholders all being significant in instilling a sense of Chinese identity (Zheng, 2016).

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Overall, the objective of the patriotic education is to cultivate the patriotism desired of Chinese people, of which the primary determinant is a person’s wealth of knowledge. Students are expected to develop rich knowledge of the Chinese nation in all senses. The argument that national identity can be manifested in affection, or sometimes be emotionally charged, is applicable to the Chinese context. A strong emotional appeal is evident since showing love and loyalty to the Chinese nation is commonly reported as an essential characteristic that patriotic individuals ought to have. In addition, patriotic Chinese people are understood as those who contribute to the prosperity of the Chinese nation and who defend the Chinese nation when it faces criticism from outsiders. However, it has to be admitted that what is articulated in official curriculum can be dissimilar to what is perceived by teachers and what is enacted in classrooms, which accordingly can impact how learning is experienced and achieved by students. The enacted patriotic education in school settings, and the extent to which it is at odds with official standpoint, remains a gap in the scholarly understanding.

State-Led Nationalism/Patriotism in Education Patriotic education, although considered to be wide-ranging in content, is developed around three core themes. First, the territorial integrity and national unity of China holds a prominent place in education. In particular, the unity of China’s 56 ethnic groups is described as a key aspect of the nation’s social harmony (Law & Ho, 2011). Second, the long history of China and the rich tradition of Chinese culture are also heavily focused on in school education. Third, an emphasis has been attached to how China struggled against Western and Japanese invasions. Specifically, as the patriotic education is carried out under the guidance of the CPC, the party’s leading role in governing China is promoted as a key aspect (Fairbrother, 2003; Zhao, 1998). As Apple (1990) persuasively argues, school curriculum is “inherently ideological and political” (p. vii) and is therefore likely to transmit powerful messages to children about their identities. In the Chinese context, the curriculum standards and textbooks, which define “legitimate knowledge” (Apple & Christian-Smith, 1991, p. 8), explicitly state that cultivating students’ patriotic sentiment toward the Chinese nation is a shared responsibility across different curriculum areas. To understand what kind of patriotic sentiment is expected to foster among students through education, it is vital to examine how the Chinese nation is framed currently by the party-state. In the Chinese context, existing studies argue that Guo (国, country) in the Chinese language is a “package” (He & Guo, 2000, p. 34), as it could be understood as a country, state, nation, and government. The interchangeable use of these words has resulted in the impression that the concept of the Chinese nation is identical to the Chinese State, the Chinese government, and the CPC. This demonstrates that people can live with the ambiguity or all-encompassing nature of the concept, but to a certain degree it fails to settle the disagreement over what exactly the Chinese

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nation refers to. Generally, it can be summarized that the Chinese nation is interpreted in three main aspects. First, in terms of cultural significance, the Chinese nation has a clear and stable center (Ge, 2017). China is commonly recognized as one of the cradles of civilization. In Chinese traditional thought, there was no modern concept of nation-state but dynasty and Tianxia. Due to the special geographical features, Chinese civilization developed in an isolated environment prior to the Opium War. Chinese people believed that they lived in the central of the world and other countries labeled as barbarians should be culturally absorbed and become Chinese by adopting Chinese culture. In other words, Chinese culture and morality were superior to others. Although this traditional arrogance has been challenged by other civilizations and countries, China has constantly been “enclosed within an ancient civilization whose continuity exceeds its fragmentation” (Ge, 2017, p. 21). Accordingly, the Chinese nation as a culturally unified nation not only distinguishes itself from other nations, but also presents its people with a concrete entity of which they can construct a cultural imagination (Bislev & Li, 2014). The pride in the superiority of China’s traditional civilization is central to Chinese identity today. Students are expected to appreciate the 5000-year civilization to make a prosperous and strong Chinese nation (Gries, 2006). Second, in a historical sense, the Chinese nation is conceptualized as a dynamic entity with changing borders. It might refer to different ancient dynasties or to the People’s Republic of China (PRC). Since the geographic areas that different governments have had sovereignty over have shifted, the Chinese nation is perceived as a historical entity without clear-cut borders. This also confirms Ge’s (2018) argument that “While the idea of a limited state was contained within the notion of the empire without borders, this limited state also continued to imagine an empire without borders” (p. 60). The history of the Chinese nation, especially that of 100 years of humiliation that began in 1839 with the First Opium War, is widely discussed in Chinese education. Japan plays an important role as “victimizing others” which enhances China’s self-picture as a victimized nation (Suzuki, 2007). The sense of humiliation is accompanied by the anxiety and desire for acceptance by the international community. Students are not only reminded of national misery, but also inspired to dedicate themselves to a strong Chinese nation to protect against future national humiliation or foreign invasion. Third, in terms of political significance, the Chinese nation is conceptualized as a political authority. Successive dynasties and emperors, the Chinese government, and the CPC are treated as indistinguishable from the Chinese nation. This has largely resulted from the interchangeable use of these terms in the Chinese context and to a certain degree also reflects the political structure in the PRC, where the CPC has been the only ruling party for over 70 years. Apart from 5000-year civilization and 100-year national humiliation, Chinese people’s choice of socialism under the CPC’s leadership is asserted in official discourse, and the CPC made a valiant effort to struggle against both domestic and international opponents (Carlson, 2009). Based on the consensus that China is still backward at the primary stage of socialism, it is arguably vital to develop economy and raise Chinese people’ s living standards with

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the recognition of CPC as the sole power. Thus, the belief in the CPC’s struggle against internal and external opponents to achieve unity and prosperity of Chinese nation is the third pillar of Chinese identity (Carlson, 2009). Students are expected to attribute the achievements of the Chinese nation to the efforts of the CPC and voice their commitment to its leadership. It should be noted that Confucianism, specifically the family-nation value, plays a significant role in fostering patriotic sentiment among students through Chinese education. As a classic piece of Chinese morality, the idiom “Xiushen, qijia, zhiguo, pingtianxia” (修身,齐家,治国,平天下, cultivating oneself, regulating one’s family, as well as governing one’s states, soothing the Tianxia) is deeply ingrained in Chinese people’s thoughts (Liang, 2016). The metaphor of family is widely used in framing the Chinese nation. It is stressed that the Chinese nation is the extension of individuals’ families, and the fates of individuals and the Chinese nation are closely linked. To a certain degree, patriotic sentiment is equated as a kind of parental love. Being patriotic is conceptualized as an undisputed obligation and a moral value for all Chinese people. From this perspective, an unpatriotic Chinese person is not good. In addition, it signifies a strong emotional appeal. Patriotic Chinese people are expected to have strong affection for the Chinese nation. The family-nation value is also reflected in the idea of paternalistic government (Fairbrother, 2013). Under the traditional hierarchy, individuals as subordinates are expected to do the bidding of the government and regard rulers as their parents (Ogden, 2001). Because of the interchangeable use of the terms nation, state, government, and party, students are expected to make contributions and even sacrifice themselves for the collective well-being of the Chinese nation, the Chinese government, and the CPC.

The National-Global Tensions As a multidimensional phenomenon, globalization has permeated every walk of life. National boundaries, as scholars have argued, are eroding as a result of the powerful mixture of international migration, technological advancements, growing economic and cultural interdependence, shifts in individuals’ national allegiances, and the publication of the Universal Declaration of Human Rights (Banks, 2008), all of which has led to the alteration of relations within and among nation-states (Chong, 2015). Although they might not portend the demise of nation-states, these significantly changed the conventional way nation-states functioned before and so too is national identity education. For one thing, the significance of national identity has been questioned (Law, 2010). For another, nation-states no longer enjoy the level of control they used to have over education systems (Keating et al., 2009). Consequently, nation-states are forced to transform their approaches to education, which has traditionally served as a tool for advancing a sense of national identity among individuals to adapt to new demands (Law, 2004). Although national identity education is of great importance in certain respects, students are expected to develop

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knowledge of and affiliations with other types of communities within educational settings. As the world’s second largest economy, China is actively involved in the global community. There is a growing desire to seek a more influential status through equipping its people with global perspectives (Law, 2013). Although the idea of global citizenship was echoed in ancient civilization, for example, in Confucians’ understanding of one world (Yu, 2013), it was not until the early 2000s that the discourse of global citizenship gained room in China’s overall education systems. During the period in which its economic and social systems have undergone a significant transformation, China has been increasingly conscious of the world. Like other nations, China has started to emphasize the global perspectives of students, who used to be expected to merely focus on local and national issues. The Chinese government officially defined the global perspective as including four elements: global awareness (e.g., the globe as one world, environmental protection); global knowledge (e.g., world history, current international issues); global skills (e.g., global values, including empathy, respect for life, justice and peace); and global behavior (e.g., participating in action that promotes world justice) (Law, 2013). Even though global identity is conceptualized as a desirable identity that students ought to form through school education, the importance attached to global identity education is less than that given to patriotic education in Mainland China. A few subjects are assigned the responsibility for cultivating students’ global identity. In practice, the objective of global identity education is conceptualized as preparing students to become globally competitive individuals who are equipped with global knowledge and skills (Law, 2013). The interactions between patriotic education and global identity education are complex. On the one hand, the conduct of global identity education is considered conducive to that of patriotic education. Students’ knowledge of the world and skills to participate in global society are assumed to be beneficial to constructing their awareness of China’s place within the world. Students are expected to dedicate themselves to a stronger and more prosperous Chinese nation by learning from and about other nations. On the other hand, global identity education is conceptualized as posing a threat to patriotic education due to the fair that it might provide students with an alternative identity, which may threaten their patriotic sentiment toward the Chinese nation. As Banks (2004) proposes, “Unity without diversity results in cultural repression and hegemony. Diversity without unity leads to Balkanization and the fracturing of the nation-state” (p. 298). Balancing the relationship between unity and diversity is a continuing challenge for nation-states in an era of globalization. For Mainland China, an important task is to balance the relationship between the demands of national consciousness and a new call for global citizenship. Under Chinese socialist ideologies of education, a good citizen is framed as one who upholds the importance of patriotism and national sovereignty without permitting any interference from outside. However, in the context of globalization, individuals inevitably absorb information about Western cultures and ideologies, human rights, and global responsibilities. Therefore, it is vital to explore how these conflicts are dealt with in

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educational settings. In dealing with the relationship between Chinese identity and global identity, what role does school education play? To reach a fuller understanding of the national-global tensions reflected in the Chinese educational settings, future studies need to be conducted.

Conclusion The last few decades have witnessed a remarkable increase in interest in nationalism and national identity within cultural, social, and political studies. As expressions of nationalism are sometimes sensitive and can cause irrational nationalistic fever, the necessity of national identity education is frequently questioned, even though school education has long been employed to foster national identities explicitly or implicitly in both Western and Eastern countries. National identity can be manifested in multiple forms, with both positive and negative results. Therefore, the kind of national identity being discussed must be understood before determining whether national identity education should be required, permitted, or rejected. In the past few decades, the meanings and consequences of national identity in China have frequently interested scholars from various fields. However, as a result of the multiple meanings of “nation,” terminological confusion exists in the Chinese contexts. In the Chinese language, distinctions between nation and country or state are rarely made, making the concept of nation an elusive one that incorporates the meanings of country, community, state, government, and party. In other words, the Chinese nation, China, the Chinese government, and the CPC are often used interchangeably and rarely differentiated from each other. This leaves considerable space for discussion on what exactly the Chinese nation is, as well as what key elements of the Chinese nation are expected to be identified with. Chinese people are greatly influenced by national glory and trauma. The traditional Sino-centric worldview, which considers China to be the most civilized and culturally advanced country, provides a solid foundation for Chinese people’s national confidence and pride. The century of humiliation makes Chinese people constantly anxious about being invaded and gives them a desire to be accepted by other countries. Since Xi Jinping became the General Secretary of the CPC at the 18th Party Congress in 2012, Core Socialist Values propaganda has not only characterized China’s development under the CPC’s leadership but has called on individuals to rejuvenate the Chinese nation to make it strong and prosperous. Faced with the challenges of globalization to the complexity of individuals’ attachment and identification, China has been trying to promote national consciousness. Advancing a distinctive Chinese identity has been promoted by the patriotic education campaign, which was officially launched in the early 1990s. Patriotic education has been carried out at full scale, demanding that educational institutions foster patriotic sentiment through formal, informal, and hidden curricula. China is also dedicated to multiple citizenship education to advance students’ identifications of global communities. The interest in global citizenship education has intensified since early 2000s, when China started to undergo its systematic economic and social transformation.

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The tensions between Chinese identity and global identity, which have constantly been a key concern of Chinese education, have been exacerbated by the dissemination of “Core Socialist Values.” Conflicts are evident in educational settings in terms of what kind of citizen should be cultivated and what kind of identity should be constructed. To understand how the relationship between Chinese identity and global identity is dealt with in educational settings, further studies should be conducted.

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Constructing Cultural Identity Through Heritage Education: The Case of Central China

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background: The Linkage Between Heritage Education and Cultural Identity . . . . . . . . . . . . . . . . Central China: A Region Where Chinese Civilization Originated . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Heritage Education for Constructing Cultural Identity of Youngsters . . . . . . . . . . . . . . . . . . . . . . . . . Patriotic Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ideology and Moral Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ideological and Political Education (Ke Cheng Si Zheng) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Diligence Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Heritage Education for Cultural and Inter-cultural Citizenship Education . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Heritage education has served as a significant part in most countries’ strategies that teaching youngsters to understand their own cultures from the past, to know how heritage has developed and inherited alongside history, and through which the past is brought to the present. By reviewing the linkage between heritage education and cultural identity, this chapter provides a case study of Central China, the region being regarded as the origin of Chinese civilization. Due to its historical and cultural significance, this chapter aims to explore how heritage resources in this region has helped construct youngster’s identity, cultural and inter-cultural, by means of patriotic education, ideology and moral education, ideological instruction in course, and diligence education. Heritage resources in Central China not merely includes citizenship values, but more significantly the N. Hao (*) School of Education, Zhengzhou University, Zhengzhou, China International and Comparative Citizenship Education Research Centre, Zhengzhou University, Zhengzhou, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_154

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inter-cultural traits generated through mixed effects of cultural heritage, one’s locality construct, and one’s inter-cultural and multicultural perspectives. Since one’s cultural identity is inevitably mixed with the elements of national identity, the role of culture and heritage education should be made more prominent in promoting economic growth and social development. For Central China, how heritage resources have been adopted, selected, and inherited still needs to be further studied by exploring new ideas and approaches based on its local conditions. Keywords

Heritage education · Cultural identity · Cultural heritage · Citizenship education · Central China

Introduction In this age of globalization, there has been an upsurge of civilization reflection worldwide since the 1980s. The tension between the process of technological and communicative globalization and the preservation of national identity was increasingly obvious in a global and polycentric context (Simionescu, 2018); thus enculturation and cultural inheritance with critical enculturation have been regarded as national development strategies for many countries over the years (Zhang, 2022). In April 2017, the CPC Central Committee and the State Council issued the Middleand Long-Term Youth Development Plan (2016–2025), which served as the first national-level plan directed toward young people since the founding of new China in 1949, and the document had paid close attention to several issues of immediate concern of youngsters in nine areas such as theoretical literacy and moral standards, education, culture, social integration and engagement, etc. And accordingly, the eight key projects launched in this plan, including Young Marxists Training Project, Youth Core Socialist Values Study Project, and Youth Choicest Cultural Works Project, illustrated that cultural inheritance had been valued seriously as one of the key concerns of China’s educational policies of youth. As one of the basic functions of culture, identity of a person implies belonging to a particular space, area, or region and more importantly, serves as an important basis of national and social identity. Among various resources selected, heritage resources have been highly regarded in terms of its strong conceptual links with identity, and heritage education has as well been emphasized by many countries around the world due to its social, political, and educational functions. As one of the most important cradles of Chinese civilization, the Central Plains region, and more specifically Henan Province, possesses significant historical and cultural heritages. Tangible and intangible heritage resources in this region that were handed down from thousands of years have constituted a profound historical background in constructing youngsters’ recognition of cultural and inter-cultural identity, which provides a local identity with multicultural perspectives.

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Background: The Linkage Between Heritage Education and Cultural Identity The identity of a person implies belongingness to a particular space, area, or region. Locating a person in a geographic space helps to answer the question “Where are you from” at the beginning of one’s life and gradually developing association and affiliation with one’s culture, ethnicity, nationality, etc. (Simionescu, 2018). Identity is generally regarded as one of the basic elements of culture, and cultural identity mutually resembles a standpoint for the exploration of one’s identification to collective identity. Weaver (2000) defined culture as a system of shared values and beliefs which give us a sense of belonging or identity that can be discussed in terms of ways in which people pertaining to a group, society, or organization behave, communicate and think, and perceive reality based on their perception of identity. Thus, one’s identity is deeply embedded with its cultural context, and cultural identity serves as important basis of national identity and social identity, which had aroused wide discussion among research in social science subjects. Cultural identity among individuals mainly manifests as the recognition of their shared cultural background and cultural ambience or the reception of their cultural differences (Cui, 2004). Kim (2007) reviewed how cultural identity is defined across social sciences disciplines, and based on it he concluded that cultural identity as a ubiquitous concept that contains five different basic themes: (a) an adaptive and evolving entity of an individual; (b) a flexible and negotiable entity as an individual; (c) a discrete social category and an individual choice; (d) a distinct and communal system of communicative practices; and (e) a discrete social category and a non-negotiable group. Cultural heritage were traditionally used as educational resource for the teaching and learning of History and History of Arts, or tourism, along the lines of developing the economy of certain areas with acknowledged heritage potential, or those with a primarily of historical-artistic nature (Delgado-Algarra & Cuenca-López, 2019). On the one hand, heritage is our memory of the past, which exists as a constitutive part of the rhythms that define the evolutionary process of man and the process of becoming humanity (Leroi-Gourhan, 1964). It is within our collective capacity to maintain the memories of the world alive, those past, those that make up the present, and those that are to come, on which a person constructs his future (Grimaldi et al., 2019). Foote (1998) considers memories as selective and partial, being used to fulfill individual, group, or communal requirements of identity at a particular time and space thus people look back to seek patterns, order, and coherence in past events to support changing social, economic, and cultural values. On the other hand, heritage is a cultural product or resources with social and political functions (Lowenthal, 1996), which can be seen as an aggregation of myths, values, and inheritances determined and defined by the needs of societies in the present. Thus, whether memories of the past or as a cultural product, heritage remains to be important resources for constructing cultural identities for contemporary purposes. In view of strong conceptual links with identity, a series of actions with regard to heritage education has been emphasized by many countries around the world due to its social, political, and educational functions. For example, Singapore’s (2019) Heritage

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Education Highlights 2019 has offered a vivid linkage between heritage education, national identity, and citizenship education, as follows: • Heritage education remains ever crucial in the establishment and maintenance of national identity, more so as we celebrate our achievements and look with confidence to the future. • Together with our museums and heritage institutions, we continue to work conscientiously with key education partners and schools in developing relevant and sustainable programs that align closely with the teaching of Humanities, Social Studies, Character and Citizenship Education key twenty-first Century Competences. • Singaporeans who know and understand our history and cherish the importance of leaving legacies toward a shared future. Analogously, the Institute of Cultural Heritage of Spain (Ministry of Culture and Sports) had designed the National Plan for Education and Heritage, which set goals that linked up heritage education with citizenship education and value education like: • Incorporation of heritage education as a priority development line within the framework of the strategic plans of the Ministry of Education, Culture and Sports, and the Autonomous Communities. • Implementation of the educational regulations, in order to favor the curricular insertion of contents related to Cultural Heritage, its preservation, valuation, and public enjoyment. • To encourage the elaboration of educational material focused on transmission of heritage concepts and values. Therefore, in many countries, heritage education has been deployed as a national strategy to teach youngsters to understand their own cultures from the past, to know how their past heritage developed and transformed alongside history, and through which the past is brought to the present to develop cultural identity. And at the current process of globalization, inter-cultural education is as well indispensable for youngsters to possess a significant perspective of how their own culture responds, reacts, and connects to other cultures. Against the background of related studies, this chapter aims to provide a case study of heritage education in Central China and how it helps construct the youngster’s cultural identity that is not only “cultural” but also “inter-cultural” in the new era.

Central China: A Region Where Chinese Civilization Originated The Central Plains Region of China, in the course of Chinese history, has been variously named as Zhong Yuan, Zhong Tu, and Zhong Zhou, all referring to the centeredness of this place in the Chinese map (Lee & Zhou, 2018). As a geographical

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concept in narrower sense, Zhong Yuan refers to the lower reaches of the Yellow River and the south of the North China Plain, which covers mainly the province of Henan, and part of Shanxi and Shandong province. But culturally, Zhong Yuan is arguably one of the core regions that constitute the development of Chinese civilization in history. The Central Plain and the Yellow River had helped the construction of Chinese ancestors’ social cognition, ethnic identity, and state concept, thus forming the earliest Chinese civilizations. Since remote antiquity, prehistoric cultures such like the Peiligang culture, Yangshao culture, and Longshan culture were created and inherited by Chinese ancestors in the Central Plains, which provide clues that this region was where Chinese civilization originated and developed. Until now, Central China is deeply regarded as the representation of Chinese civilization due to its historical and cultural significance and thus become one of the most important regions to preserve when referring to Chinese nation’s cultural roots and cultural heritage. The core area of Zhong Yuan is in Henan Province, the mainstay of the Central Plains, and it has always been referred to as the epitome of China (Yu, 2013). For more than 4000 years in Chinese history, Henan had existed as the nation’s political, cultural, and economic center. Since the Xia Dynasty, more than 20 dynasties had established their capital in Henan, such as the Shang Dynasty, the Western Zhou Dynasty, the Eastern Zhou Dynasty, the Tang Dynasty, the Earlier Song Dynasty, the Jin Dynasty, etc. Kaifeng, the capital of the Earlier Song Dynasty with more than millions of population, had been one of the most prosperous cities around the world, and at the same time, an important goods collecting and distributing center. In terms of agriculture, the earliest planting of millet, wheat, and beans in the five cereals (Wu Gu) had been found in Henan; the history of wheat planting in this region has lasted for 7000 years (Yu, 2013). So far, there has been consensus that Henan is an indispensable perspective to study the Chinese civilization, so as to observe the growth course of Chinese history over five thousand years, analyze the rise and fall of civilization characteristics, and compare the integration and mutual learning of different regional civilizations (Zhang, 2022). However, Henan has left the center stage of Chinese history due to reoccurring large-scale wars and natural calamities after the Song Dynasty, which had severely hindered the process of modernization and economic development of this region. By 1949, when the People’s Republic of China founded, Henan’s gross output value of industry and agriculture accounted only 4.5% of the whole country, and 41% below the average per capita (Yu, 2013). The backward situation of Henan had been gradually changed since 1978, when the Chinese government began to implement the reform and opening up policy. This policy of great significance had given a strong boost to China’s economic development and modernization construction, but large gaps that cannot be ignored among east-central-west regions were gradually expanded, and one of the typical economic backward provinces in Central China was Henan. Significant changes had taken place in the past 20 years attributed to the carrying out of a series of policies. The strategy of “Upsurge of Central China” was formally put forward in 2003, when Li Keqiang, Henan’s secretary of provincial committee of

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the CPC at that time, was interviewed during the National People’s Congress (The Publicity Department of CPC Henan Provincial Committee, 2010). After that, this strategic planning was further elaborated in a series of policy documents, such as Outline of the 12th Five-Year Plan for National Economic and Social Development of the People’s Republic of China (2011–2015), The Development Plan for the Central Plains Economic Zone (2012–2020), The 13th Five-Year Plan for Promoting the Upsurge of Central China (2016–2020), etc. In 2012, the State Council of China officially approved Planning of Central Plains Economic Zone, which demonstrated that the nation’s economic growth focus was shifted to central and western regions after the remarkable success of the Yantze River Delta, Pearl River Delta, and Bohai Sea Rim economic zones; Henan had got its turn to catch up (Lee & Zhou, 2018). For the past 30 years, the regional Gross Domestic Product of Henan had always occupied the leading position among six provinces in Central China (Shanxi, Henan, Hunan, Anhui, Hubei, and Jiangxi) until the first quarter of 2022. Although Henan had experienced an economic slowdown due to repeatedly occurred novel coronavirus pandemic and 7
20 extraordinary rainstorm disaster, its total GDP reached 5.88 trillion yuan, which still served as the main contributor of the Central Plains. Thus, over the years, the Central Plains Region, especially Henan Province, has reshaped its strategic positions in China’s overall development blueprint, which could be further defined as the main undertaker of promoting the “Upsurge of Central China,” the primary constructer of a modern integrated traffic hub, and the significant contributor of the nation’s cultural and inter-cultural confidence (Lee et al., 2019).

Heritage Education for Constructing Cultural Identity of Youngsters Any education activities cannot be separated from their cultural contexts. As one of the most important cradles of Chinese civilization, the Central Plains region possesses significant historical and cultural heritages. Among them, Chinese characters, ancient capitals, traditional agriculture, and ancient science and technology are typical representations of the tangible and intangible cultural heritages which emerged, developed, and inherited in the Central Plains (Lee et al., 2019): • The Chinese character was firstly invented by the legendary figure Cang Jie in Henan; the first complete oracle bone inscriptions were unearthed in Henan; The Classic of Chinese Character, Explaining Graphs and Analyzing Characters (Shuowen-Jiezi) by Xu Shen was also composed in Henan’s Luohe City (Kang, 2013). The standard Chinese font “song style,” which has been widely used until today, was emerged in Henan’s Kaifeng City. • More than 20 dynasties built or moved their capitals to the Central Plains, which made it a region with the largest number of ancient capitals in Chinese history. Millennium ancient capitals such like Luoyang (13 dynasties in total), Kaifeng (8 dynasties), Anyang (7 dynasties), and currently provincial capital city

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Zhengzhou (5 dynasties’ ancient capital) are located in this region (Propaganda Department of the CPC Henan Provincial Committee, 2007). • Various innovations on farming techniques and agricultural system were invented and applied here, and a large number of ancient agricultural tools had been discovered from Peiligang cultural relics that provided tangible evidences of the trace of ancient agriculture cultures. To date, Henan is one of the major agricultural provinces and an important grain production base in China. • The observatory located in Dengfeng City that was designed by Guo Shoujing from the Yuan dynasty was the oldest astronomical observatory which is still extant (Kang, 2013). In the Han dynasty, Zhang Zhongjing completed writing the clinical work Treatise on Febrile and Miscellaneous Diseases (Shang Han Za Bing Lun) in this region, which is the first one to dissertate and apply the theory, prescription, and medicine of the clinical work in China (Kang, 2013). In the field of ceramic technology, the Tang tri-color gazed pottery and the most famous celadon from the Song dynasty was also invented here (Kang, 2013). Over the years, heritage resources in the Central Plains had been deeply integrated into education of every stage in this region. In primary and secondary schools, heritage resources are generally utilized in courses like Morality and the Rule of Law, Ideology and Politics, History, Geography, etc. In higher education institutions, apart from related majors, heritage education is conducted through diverse approaches in liberal education curriculums, such as Theory and Practice of Socialism with Chinese Characteristics in the New Era, Marxism and Methodology in Social Science, Introduction to Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, Outline of Modern Chinese History, etc. However, the approaches and contents of heritage education are not limited to classroom teaching, extra-curricular activities, lectures, cultural tourism, and even handicraft art are also ways of delivery. In terms of its core concerns in the last few years, heritage education in this region has been closely related to patriotic education, ideology and moral education, ideology and political education, and diligence education.

Patriotic Education Patriotic education has been absorbed in national education and cultural confidence education in recent years, and the Central Plains Region possesses abundant heritage resources to support its implementation. So far, 13 national education centers have been established in Henan, such as Huaihai Battle Chen Guanzhuang Martyrs Cemetery in Shangqiu, Red Flag Canal Memorial Hall in Linzhou, Yinxu Museum in Anyang, etc. Heritage resources in these national centers kept true stories of fallen heroes in the arduous struggle history in modern China. The Centre also preserved large number of historical relics that provide an angle to view China’s past, therefore helping in constructing national and cultural identity of youngsters. Another significant discourse in recent public policies is cultural confidence, which had been

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expressed and highlighted on many important occasions by General Secretary Xi Jinping since China’s 18th National Congress of the Communist Party. Cultural confidence henceforth served as crucial element in enhancing the nation’s soft power and realizing national transformation, and General Secretary Xi (2017) further emphasized the value of cultural confidence on the 19th National Congress of the Communist Party that the Chinese nation cannot achieve its transformation without cultural prosperity and confidence. In response to the national strategies, Henan had conducted a series of actions of cultural production and exportation in its provincial development planning “A More Brilliant Central Plains” (Zhong Yuan Geng Chu Cai). In 2016, Henan had set up goals in its development of next 5 years as “Three Highlands”: the scientific and technological innovation highland in the central and western regions; the opening up of inland highland; and the important cultural highland nationwide. Since 2021, the Songshan Laboratory, the Shennong Seed Industry Laboratory, and the Yellow River Laboratory that established successively had exhibited localized technological innovation of Henan, which demonstrated that in Henan’s development approach, cultural production and localized innovation are not only sources of regional cultural confidence but more importantly reflect the most fundamental and internal motivation of Henan to sustain and preserve its heritage resources in “A More Brilliant Central Plains” (Zhong Yuan Geng Chu Cai). In this age when cultural heritage is making sense to a nation’s soft power, the Central Plains’ efforts are simultaneously concerned and supported by the central government. In the report on Youth of China in the new Era recently issued by the State Council Information Office in April 2022, cultural confidence of youngster were additionally extended to the confidence in Chinese values that young Chinese could keenly understand the significance of the Party’s leadership and the merits of the socialist system through comparison with the past and the rest of the world, and through social observation and hands-on practice, so as be more determined to join forces and achieve the rejuvenation of the Chinese nation.

Ideology and Moral Education Morality has continuously been a strong component in the Chinese culture and tradition, and ideology and moral education was strongly emphasized in ancient Chinese societies by pursing the goal of “becoming moral,” which was regarded as the ideal goal of ancient education (Lee, 2015). At present, ideology and moral education are still essential parts in Chinese education system, whether in elementary education or higher education stages, and Central China follows the national curriculum standards and conducted practical activities in its own way. As aforementioned, Morality and the Rule of Law (in primary and junior middle school) and Ideology and Politics (in senior middle school) are now taught generally two classes per week, and the teaching contents mainly refer to social and moral values such as collectivity, civility, diligence, perseverance, aspiration, and enthusiasm for learning, and the current Socialist Core Values, etc. The notion of Chinese Socialist Core Values was proposed during the 18th National Congress of the Communist Party of

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China by General Secretary Xi Jinping, which is defined as Prosperity, Democracy, Civility, Harmony, Freedom, Equality, Justice, Rule of Law, Patriotism, Dedication, Integrity and Friendship. As one of the main targets of ideology and moral education, the Chinese Socialist Values aim to convey to youngsters a sound cognition of the nation’s aspiration for building a better society in achieving socialist modernization. There had been various ways of promoting ideology and moral education in practice, such as: • The Code for Primary and Secondary School Students (Zhong Xiao Xue Sheng Shou Ze) was one of the efforts that Henan’s primary and secondary had made to integrate the Chinese Socialist Values into students’ daily life. Apart from that, the 12 terms of the Chinese Socialist Core Values are visibly posted in glass-fronted billboards, lawn landscapes, bulletin boards, and classroom walls in school campus of different level. • Young Pioneers Tracing Back the Yellow River Culture (Hong Ling Jin Tan Fang Huang He Wen Hua) was a series of activities led by the Zhengzhou Municipal Committee of CPC and a number of elementary schools participated in to study the intangible cultural heritages of the Yellow River Basin, with the aims of leading youngsters to inherit, promote, and develop Yellow River in their study and daily life. • Silk brocade barbola (Si Ling Dui Xiu) is a school-based craft course in the Experimental Primary School of Zhengzhou University, which aims to teach students making handicraft decorative paintings through crafts like embossing, weaving, embroidery, and pile paste, which date back to the Southern and Northern Dynasties originated from more than 1000 years ago. These handicraft decorative paintings (i.e., Twelve Chinese Zodiac Signs, Celadon Porcelain) made by students had been exhibited on the 24th Zhengzhou National Commodity Fair and were judged as a combination of national art and modern technology and integrating with traditional culture and modern humanistic spirit. • The Hometown of Getian Culture: Approaching Historical Celebrities in Ningling is a school-based history course and the name of its textbook in Senior High School of Ningling, which largely focused on the Getian Culture of Ningling and historical celebrities in this district, and emphasized cultural values of perseverance, respecting for others, embracing responsibilities, etc. This was not merely a method to enrich history curriculums, but more significantly a means of citizenship education through exposure to local cultural heritage, which would provide a kind of “experiential learning” for students to imagine that they are living in the past, and how to inherit the past values for today’s world. By strengthening students’ recognition of the cultural identity from Ningling’s heritages, psychological development and personality formation would be achieved at this stage to support their social interactions with the outside world in the future, and heritage itself can be simultaneously preserved in a sustaining mode (Lee et al., 2019).

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Ideological and Political Education (Ke Cheng Si Zheng) The Chinese government had emphasized a lot on the cultivation of youngsters, especially the undergraduate talents in implementing the Double First-Class University Plan. Since 2004, a series of policies have been released to strengthen the ideological and political education in higher education institutions, and Guiding Outline of Ideological and Political Construction of College Curriculum that published in 2020 were regarded as one of the most significant action guide in this regard, which brought in a significant shift from “Ideology and Political Education” (Si Zheng Ke) to “Ideological and political education shall be embodied in all courses” (Ke Cheng Si Zheng). Conceptually, “Ideology and Political Education” is an important connotation in the process of implementing the fundamental task of fostering virtue through education in higher education institutions, which refers to the integration of ideological and political elements into all aspects of curriculum instruction to form a synergistic effect. The author had recently conducted an investigation on the teaching effect of “Ideology and Political Education” in specialized courses in Henan’s higher education institutions, finding that heritage resources in the Central Plains have been increasingly blended in the teaching process of different major’s specialized courses; however, courses in liberal arts majors performed better in this aspect than those in sciences, engineering, and medical specialties. Since the leading role of Marxist philosophy and its integration with China’s realities and traditional Chinese culture had been strengthened in the National Development Plan for Philosophy and Social Sciences during the 14th Five-Year Plan Period (General Office of the CPC Central Committee, 2022), ideological and political education with intrinsic values in higher education institutions would play a crucial part in the constructing of a system of philosophy and social sciences with Chinese characteristics in the following years.

Diligence Education Whether in the past or today, social development, scientific innovations, and civilization growth are always generated by continuous endeavors and long-cherished beliefs. People in the Central Plains had been profoundly inspired by the spirit of hardworking and adventurous exploration. The annual National College Entrance Examination (Gao Kao) is highly regarded by all sectors of society in China, as it served as the dominant means for students being admitted to higher education institutions in China since its resumption in 1977. However, examinees from different provinces are under varying degrees of stress due to the unbalanced level of economic and educational development of different provinces. Apart from its cultural heritage, Henan is well known for the huge number of examinees participating in the National College Entrance Examination. According to statistic data from Ministry of Education of China, the total number of examinees that taken this examination is 10.78 million in 2021, and Henan had provided 790,700 among them; therefore students from Henan are always willing to make more efforts to

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overcome the exam challenges and finally achieve academic success. For a longtime, education in this region had exerted a particular concern on the cultivation of diligence. It is believed that students need to be inspired to increase their personal efforts, although one’s academic success is the result of different and interrelated factors emerging from the students, with the support of the school and parents (Tsegay & Ashraf, 2016). However, the real pressure of Gao Kao is not the only impetus for students to study hard in Henan, there are more cultural traits on this. Lee (1996) pointed out that Chinese learners are not only diligent, but also have high achievement motivations and are always willing to spend most of their free time in the pursuit of study, which is profoundly affected by Confucian conceptions of learning in relation to such beliefs as human perfectibility and educability and emphasis on effort and willpower. In this regard, youngsters in Central China could be the best showcase of diligence education in China.

Heritage Education for Cultural and Inter-cultural Citizenship Education From a holistic perspective, heritage education and citizenship education find various points in common that encourage cultural integration (Delgado-Algarra & Cuenca-López, 2019). Branchesi (2007) pointed out the dual function of cultural education and inter-cultural education in citizenship education in Heritage Education for Europe: Using heritage to build an uncompromising model of identity will open the door to rejection of others, but, if heritage is put in the context of exchange and interacting influences and emphasis is placed on its universal value, it becomes an instrument of mutual understanding. . .. The approach to intercultural education and citizenship education should also be based on the five key values of open-mindedness towards diversity, social cohesion, participation in democracy, equality and fairness and regard for life on earth.

In this sense, heritage education in Central China should be a typical case, as the vitality of Chinese culture that originated from Central China lies in internal and external communications (Shi, 2000). As discussed above, Henan is the cradle of Chinese civilization and a historical stage for exchanges and mutual learning among different civilizations, and the tangible and intangible cultural heritages handed down from thousands of years have existed as profound historical background in forming one’s recognition of cultural and inter-cultural identity. In terms of its geographical location, Henan had continuously been one of the most important transportation hub in history, and this function had been strengthened in contemporary China. Zhengzhou, the provincial capital of Henan, has been the junction of Longhai Line and Beijing-Guangzhou Line, which are two of most important railway lines in China. Over the past few decades, Zhengzhou was known as “a city pulled by train,” and its economic growth had largely stimulated by this advantage. Since China’s high-speed railway began to cover most areas of the

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country, Zhengzhou had sensitively seized the strategic opportunity and started its way of growing into a hub of star-shape high-speed railway. In 2016, the nation’s 13th Five-Year Plan for Promoting the Rise of Central China had explicitly proposed the project of transforming Zhengzhou into one of the National Central Cities and with descriptions of an international integrated transportation hub that combines railway, highway, aviation, and modern communication. Thus, from then on, Zhengzhou started moving toward the goal to be a transportation network hub with nationwide impact that linked up China and the world in the Belt and Road Initiative (Yi Dai Yi Lu). The Zhengzhou-Europe Trains (Zheng Ou Ban Lie) would be a typical case to demonstrate this, which started from Zhengzhou; passed through Kazakhstan, Russia, Belarus, and Poland; and reached in the terminal Hamburg. In February 2022, the 14th Five-Year Development Plan of Modern Integrated Transportation Hub System was jointly issued by the Ministry of Transport, National Railway Administration, Civil Aviation Administration of China, State Post Bureau, and China State Railway Group Co. Ltd., which drew up a list of 20 international integrated transportation hub cities that included Zhengzhou. Additionally, the city of Luoyang, Shangqiu, and Nanyang in Henan as well evolved in the list of 80 national integrated transportation hub cities, which jointly reinforced and upgraded Henan’s transportation strength in the 14th Five-Year Period (2021–2025). In terms of citizenship values, heritage resources adopted in constructing cultural identity of Chinese civilization had been discussed hereinbefore, through which youngsters in this region form its recognition of who I am, where do I come from, and which group I belong to. However, another perspective that cannot be neglected as well was considered as its inter-cultural traits, which generated through a mixed effect of cultural heritage, one’s locality construct, and one’s inter-cultural and multicultural perspective. Along history, the Chinese civilization had assimilated diverse cultural elements into its own system from neighboring tribes in the process of boundary expansion, thus it could be observed as a gradually expanding cultural circle which was initially originated from, or pass through, the Central Plains of China. Typically, two of the Chinese dynasties were ruled by ethnic minorities, i.e., Yuan Dynasty by the Mongolians and Qing Dynasty by the Jurchen Tribe (Nv Zhen Zu), through which the original Chinese culture assimilated these minority cultures in the process of interaction and integration (Shi, 2000). In addition to that, cultural elements from different religious circles, musical instruments from ethnic minorities, and even architectures of a western-style (i.e., the Yungang Grottoes in Datong had been found with obvious western characteristics in part of its column pattern) had all witnessed its integration and promotion of Chinese civilization. Therefore, not just today but also in history, the Chinese culture has continuously been an open system and always act positively in learning and absorbing from other civilizations, which has incorporated cultural dialogues, conflicts, and integration into the most dynamic part of the growth of Chinese civilization, which no doubt has been embodied in its cultural heritage. By absorbing local heritage resources and elements, elementary and secondary schools and higher education institutions in Central China have developed adaptive approaches to produce talents that meet the requirements of globalized and

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internationalized economic activities: possessing a global outlook, owning a multicultural perspective, mastering a foreign language, and being capable of communicating with people from different ethnic groups and cultural background. The intercultural citizenship education in the Central China to some extent could be recognized as a regional response to the Global Competencies highlighted by the OECD in PISA of 2018. Global Competencies in OECD’s report was defined as a multidimensional capacity and more specifically (OECD, 2016): Globally competencies the capacity to examine local, global and intercultural issues, to understand and appreciate the perspectives and world views of others, to engage in open, appropriate and effective interactions with people from different cultural, and to act for collective well-being and sustainable development.

Among the four target dimensions of global competence, the OECD has put the capacity to examine issues and situations of local, global, and cultural significance in the first place of the framework, which is all deeply influenced by one’s cultural identity. The globalization of economic and communication among countries definitely made people all over the world know one and others better; however, this will not jeopardize one’s identity with the country, nationality, and cultural identity. In reverse, globalization has tremendously reinforced people’s identity of their country, nation, and culture, and in order to strengthen their solidarity, many countries and nations have put effort in carrying forward traditional cultures, especially its cultural heritage into the present, so as to lay the foundation of identity from ground up (Fu, 2006). In fact, global competence has been a part of Chinese philosophy, as elaborated by Lee (2012): “The unification or harmony between the heave and man” has been an influence concept across various schools of thoughts in Chinese philosophy. Daoism is particularly known for its naturalistic philosophy, emphasizing that human beings are part of the universe; thus, its philosophical ideal is to teach people how to harmonize or “return” to the universe.”

Conclusion As Williams (1976) pointed out, school has been regarded as an agent of cultural incorporation, initiating the younger generation into selected cultural traditions via curriculum, as curriculum itself is a kind of selectivity that represents the way in which certain meanings and practices are chosen for emphasis and certain other meanings and practices are neglected and excluded. Reviewing the heritage and cultural education since China’s founding in 1949, diverse focuses of cultural and heritage education had found their expressions in school education and curriculums, which illustrated that the struggle for cultural citizenship has been transformed historically due to the arrival of different social movements, technologies, and identities while with a key attempt to preserve a meaningful democratic life (Stevenson, 2016); thus the issue of identity has to be discussed within the domain of historical development. For example, when national education was of great

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significance in early years of the new nation, the national education centers and its abundant red culture resources in Central China were constantly adopted in related curriculums and extra-curricular activities; when China’ reform and opening-up policy was implemented after 1978 and countries around the world started making efforts to gain benefits from globalization, the geographic strength of the Central China in past and today were discussed more often when teaching inter-cultural citizenship in school, for example, the Belt and Road Initiative (Yi Dai Yi Lu) which made Zhengzhou one of the transportation network hub for connecting China and the world; when the Socialist Core Values had pointed out by General Secretary Xi, a variety of value education activities with the aim to integrate Socialist Core Values into school education and student’s daily campus life began to take place in this region, and heritage resources in Central China could act naturally as a significant source in forming youngster’s cultural confidence of the Chinese nation. In addition, the culture of a nation possesses its mission to acclimatize to the political framework of the country, then people’s cultural identity is inevitably mixed with the elements of national identity, as human itself is a historical existence and any nations or groups cannot exist without a specific national political life. With the commonality of cultural belonging, different ethnic groups or other forms of groups can identify with each other, so that ethnic groups and the overall state-form of the community fit together. Due to all this, many countries around the world have attached great importance to the education of national identity of the younger generation, through approaches of compulsory education, heritage education, culture dissemination, museums, language, and other related elements, so that the cultural factors of group identity and national identity overlap as much as possible (Han, 2010). Likewise, Woods (2016) pointed out that the role of culture should be made more prominent, and cultural nationalism showed its great significance in constructing a sense of shared subjectivity and providing the symbolic contents. In this sense, heritage education in school hence demonstrates its functions in political socialization and enculturation. Based on this, heritage resources in the Central Plains that possesses deep connotations like patriotism, cultural confidence, and diligence could provide a solid and profound foundation for educational institutions of all levels to teach cultural and inter-cultural citizenship and help construct the cultural identity of youngsters. At present, the construction of cultural identity remains to be a complex process due to the challenges faced by globalization (Delgado-Algarra, 2015); how heritage resources adopted, selected, and inherited in school education still need to be further developed by exploring new ideas and approaches based on the local conditions. For Central China, well-known heritage resources have developed into the symbols and brands of this region; however, there are more to be done in terms of integrating heritage resources into school education and utilizing cultural heritage as a thrust of economic growth and social sustainable development in this region. Due to its cultural significance in terms of being the origins of Chinese civilization, Central China would always be the center of attention in understanding the nature and features of Chinese civilization and through which its cultural identity and national identity are constructed. And because of its attraction to many people

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coming to visit the historical heritage sites, Central China will also become a venue for intercultural exchange that will benefit students in this region to develop intercultural identity and global perspectives as well. Acknowledgment This study was supported by National Social Science Foundation of China (Grant No. CFA210247) and Social Science Planning Project of Henan, China (Grant No. 2022XWH099).

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Education and Identity in Hong Kong: The “Moral and National Education” Subject Storm

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Contents Introduction: Identity and Politics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Contentious MNE Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Claims of the Seven Major Groups: What Was Opposed and Why? . . . . . . . . . . . . . . . . . . . . . . . . . . Students As “Here and Now” Citizens Asking to Participate and Change Society . . . . . . . . Parents As Desperate Guardians of Their Children . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teaching Professionals and the Defense of Professional Autonomy . . . . . . . . . . . . . . . . . . . . . . . Social Workers As Advocates of Social Justice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Neglected Voice of Ethnic Minorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Christians As Believers in a Higher Order and People of the Heavenly Kingdom . . . . . . . . Supporters of Democratic Movements in China and Critical Patriotism . . . . . . . . . . . . . . . . . . . Complexity of Civic Identity: Common Ground and Specific Concerns . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Hong Kong has undergone a difficult nation-building project in the post-colonial era after an unusual path of decolonization. And this project has been further complicated by the political framework of “one country, two systems,” by which the capitalist special administrative region would continue to enjoy its autonomy under a socialist China for 50 years after 1997. Hong Kong people’s national identity remains a topic of ambivalence and dispute in spite of the handover as official efforts of enhancing nationalistic education often provoked skepticism and resistance. A number of studies have demonstrated the ideological bearings of the re-education project. Against the political storm surrounding a schoolsubject proposal made by the Hong Kong Government between 2010 and 2012, T. K.-c. Tse (*) Department of Educational Administration and Policy, The Chinese University of Hong Kong, Hong Kong SAR, People’s Republic of China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_147

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this chapter investigates the claims made by several groups of opponents in the city-wide campaign by elucidating their multiple and hyphenated identities and related values, as reflected in their campaign statements defending civic education and opposing national education. Interpretations of identity and patriotism are shown to be highly complex, differing even between opposition groups out of their particular roles. The opponents’ discourses reveal their overlapping and specific concerns with human rights, social justice, participation, autonomy, professionalism, pluralism, multiculturalism, children’s welfare, liberal education, and critical thinking. Their claims also provide a broader and nuanced account of citizenship and civic education. These pluralistic identities and values can be complementary when combating the official discourse. The findings can enrich our understanding of the specific nature, elements, and origins of the civic identity of Hong Kong people. Keywords

National identity · Hong Kong · Patriotism · Citizenship · Civic education

Introduction: Identity and Politics As identity is based on relationships within and between communities, it is often situated in multiple contexts. One’s identity is fashioned by defining oneself either individually or collectively in relation to others, and is thus underpinned by perceptions of commonality, difference, and distinctiveness. Identity is relational, interactional, and processual within specific local conditions, and becomes salient during collective negotiation, confrontation, and political conflict. A single citizen may possess multiple identities at the local, national, regional, and global levels (Heater, 2004). Citizenship is multifaceted, and may entail compatibility or tension between geographical levels. Even more complexly, citizenship has both objective and subjective components (Huddy, 2003; Leung & Ngai, 2011). Objective legal membership may not naturally correspond to an internalized, subjective sense of membership, which involves shared meanings, values or worldviews, commitment to a collective entity, and feelings conferred by group affiliation, such as belonging, loyalty or superiority. Identity is never a fixed entity; it is always temporarily assembled. Identity formation is a fluid, ever-changing process, linked with the power dynamics of how and by whom particular identities or categories are chosen and articulated. Also crucial are the meanings and values associated with these identities. Contextual factors can affect the salience and strategic expression of identity and the valence of associated values. Individuals today commonly hold multiple identities, often with conflicting demands; role conflict can be resolved by compartmentalizing the demands associated with different identities, allowing multiple affiliations to dignifiedly coexist. In some cases, however, dominant forms of identity such as national or religious identity take hegemonic precedence over other identity

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configurations, leading to repression and resistance (Bamberg et al., 2011; Jenkins, 2008; Preston, 1997; Reicher & Hopkins, 2001; Vignoles et al., 2011). In addition to the pressure caused by contesting identities, tension can arise from competing interpretations of a particular identity. Identities emerge from and through action and discourse. And identities are often sources of and resources for collective action such as social movements (Spears, 2011). In Hong Kong, as discussed in this chapter, the anti-national education movement and the controversy surrounding the government’s school-subject proposal reveal wide and deep divisions in national identity. A simple distinction can be made between ethno-cultural and political nationalism. There is no lack of the former in Hong Kong, but the Chinese government has been concerned that the latter is insufficient since the handover of sovereignty in 1997. The national education saga has captured much academic discussion, heightening the rise of a distinctive local civic identity against China’s imposition of patriotism (Morris & Vickers, 2015; Veg, 2017). These studies help elucidate the identity politics and wider implications of the anti-national education movement. However, Hong Kong’s people (and even the opposition groups) are not a monolithic entity; and the complexity of identity and values is also subject to further disaggregation and explication, so that we could better understand the nature and causes of the resistance. Therefore, this chapter investigates further the particular content of identity and values relating to citizenship, the nation, and education. With reference to public statements made in newspapers, publications, and official documents and on organizational websites, this chapter examines in-depth the discourses articulated by seven major groups involved in the campaign.

Background Due to the unique sociopolitical characteristics of Hong Kong, the identity of the Hong Kong people is highly distinctive and complex. Issues of patriotism, national identity, and national education have divided the Hong Kong population since 1997. First, Hong Kong remains predominantly a Chinese society in which Chinese culture and values figure prominently, although its legal and political systems have been powerfully shaped by the British colonial legacy. The love felt by the Hong Kong people for their homeland is directed toward China’s culture, history, and people rather than its state and institutions. Their nationalism is mainly ethno-cultural, and does not entail strong or unconditional support for the Communist state or the ruling party (Chan & Chan, 2014; Wong, 1996; Wong & Shum, 2002). Second, given Hong Kong’s cosmopolitan nature and long history of international economic and cultural exchange, most Hong Kong people espouse certain universal core values and global ethical principles, such as economic and civil freedom, human rights, the rule of law, diversity, democracy, and good governance. In some areas, the majority of the local population disagrees with the approaches taken by the mainland government, particularly its handling of issues of human

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rights and freedom, and conflict between the values of the Hong Kong people and the Chinese government has surfaced repeatedly over the years. The most significant event was a demonstration held by a million people supporting the student movement at Tiananmen Square in 1989. Many people continue to condemn the Communist’s crackdown on 4 June, and have attended annual candlelight vigils in memory of the incident since 1990. The anti-article 23 legislation movement in 2003 was another case in point. The conflicted identities and values also reprised the 2003–2004 discussion of patriotism and core values (South China Morning Post, 2004a, 29 May; 2004b, 7 June). Last but not least, there is still an ideological and material gulf between Hong Kong and mainland China. A sense of local identity began to take root in Hong Kong in the 1970s, and despite its reunification with China, Hong Kong has retained its basic institutions and way of life under the unique policy of “one country, two systems.” Since the handover of sovereignty to China in 1997, more and more people in Hong Kong have assumed a hybrid or eclectic dual identity as either Hong Kong Chinese or Chinese Hong Kongers. This is due mainly to the merger with mainland China, whose rapid economic growth has increased exchange between Hong Kong and the mainland, and the Hong Kong Special Administrative Region (HKSAR) government has made considerable effort to promote national education (Jones, 2014; Kaeding, 2011; Ma & Fung, 2007; Wong & Wan, 2004). Despite Hong Kong’s increasing interaction with the mainland, salient differences remain between the Hong Kong and mainland Chinese way of life and social and political values (Chan & Chan, 2014). Although the national identity of the Hong Kong people has increased between 1997 and 2008 (Hong Kong University Public Opinion Program, 2008; Lau et al., 2007), the central government still considered Hong Kongers’ national identification to be inadequate. Strenuous efforts have been made to strengthen national identity and patriotism in Hong Kong. This reflects the political anxiety of some Chinese officials about the nostalgia of the Hong Kong people for the territory’s colonial past, and their sense of superiority to mainland residents. Therefore, the HKSAR government increased its emphasis on national education by developing corresponding policies and channeling resources inside and outside schools, with the slogan “love the nation, love Hong Kong” (Task Group on National Education, Commission on Strategic Development, Central Policy Unit, 2008a, b). It essentially promoted cultural nationalism, focusing on China’s cultural heritage and history and largely ignoring Chinese politics. The government also sought to foster a sense of national identity in Hong Kong by emphasizing the personal benefits occasioned by the handover, thereby promoting a utilitarian or market-based form of national identity (Vickers & Kan, 2003). However, the state’s intervention in education caused polarization and resistance, as some considered the imposition of an official version of national identity to threaten the core values and worldviews of the Hong Kong people. Education fostering a sense of national identity in the name of national education became a site of conflict between two camps with drastically different political and ideological positions (Lee, 1999). We turn now to the battle over the

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government’s proposal to introduce a new school subject called “Moral and National Education” (MNE).

Contentious MNE Policy As part of a national-education program designed to strengthen national identity and patriotism, Chief Executive Donald Tsang proposed in his policy address in 2010 to introduce MNE as an independent compulsory subject to primary- and secondaryschool curriculums in Hong Kong from 2012 onward. In curriculum guidelines published in 2011, a major emphasis was placed on the national over the social and global in accounts of learning objectives and examples of learning content. Textual analysis of the curriculum guidelines reveals the predominance of an ethnic conception of citizenship, with very limited attention to civic elements (Man, 2013, pp. 85, 90). The proposed curriculum was ethnicity-based and designed to educate citizens of China rather than of Hong Kong or the global community. And to this end, “positive values and attitudes” were defined as a sense of belonging, emotional attachment, and moral commitment to the Chinese nation. In a nutshell, the Hong Kong government regarded citizenship as ethnocentric and involuntarily acquired by birth; citizens were considered to be morally committed members of the Chinese nation rather than independent individuals based on the legal principle of equality. The government also encouraged the public to prioritize the interests of the Chinese nation when considering international issues. The proposed MNE scheme caused heated debate in Hong Kong. In the following months, public concerns about brainwashing were further intensified by a number of incidents (Ngai et al., 2014). In July 2012, 23 groups comprising students, parents, teachers, social workers, ethnic minorities, Christians, supporters of Chinese democracy, and various rights-based NGOs came together to form a coalition named the Civil Alliance against National Education (CAANE). The CAANE launched a citywide movement to oppose the official MNE initiative, organizing numerous massscale protests and rallies in the following 3 months. In a statement urging people to demonstrate in the street on 29 July, 2012, the CAANE (2012) condemned MNE as a “brainwashing curriculum” instilling narrow patriotism in students. Genuine national education, CAANE argued, should respect democracy and independent thinking and allow students to make their own decisions on the extent of their sense of belonging to China. Calling on the government to scrap its MNE program and renovate Hong Kong’s existing civic-education curriculum, the CAANE recommended that civic education be based on universal values such as human rights, democracy, and freedom, encouraging students to develop their criticalthinking and analytical skills and social consciousness. Having addressed the concerns common to all members of the CAANE, the following sections further depict the stances of the seven major groups involved in the coalition. Discussing the government’s proposed education intervention helped these groups to re-examine and reflect on their own identities. Since these CAANE member groups represented the particular concerns and values of different sectors of

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the community, we can gain a better understanding of the meanings and values associated with these identities by examining the claims made by the above groups in response to the MNE proposal.

Claims of the Seven Major Groups: What Was Opposed and Why? Students As “Here and Now” Citizens Asking to Participate and Change Society Shortly after the release of the new curriculum guide, an activist group named Scholarism (Xueminsichao; originally known as the Alliance against Moral and National Education), founded in May 2011 by some secondary-school students, demanded its withdrawal. The term “xuemin,” which combines the meanings of “student” and “citizen,” was coined to convey a new understanding of a particular dual identity. These young people were no longer society’s leaders in potentia but “here and now” citizens with concrete power to influence the government’s policies. Believing that “change begins with a step,” they became more and more actively involved in affairs that concerned the community. Scholarism (2011), in a paper submitted for consultation on moral and national education, criticized the government for limiting its consultation on the MNE proposal to certain teachers and principals; but students, the largest collective stakeholder, were not among those consulted. Claiming their stakes in the society, they argued that student-citizens should also be involved in the process of policy consultation, and Scholarism was formed to express students’ opinions on the new school subject and its influence on students. The group argued that moral teaching and national education were already part of Hong Kong’s primary- and secondaryschool curriculums. The representatives of Scholarism used the May Fourth movement in 1919 as an example of the pursuit of democracy and freedom of thought that did not entail brainwashed, blind patriotism, and they believed that the purpose of MNE was to brainwash students, instilling in young teenagers’ obedience to the regime. For the sake of future generations, Hong Kong’s students did not want to become “slaves of brainwashing education.” In addition, given students’ existing workload and associated health concerns, they would not have the time and energy to deal with the increase in pressure caused by MNE. Citing the health of students and teachers and the importance of independent and critical thinking among students, Scholarism rejected rote-learning that required students to absorb hard data, comparing such strategies to “duck feeding.” The Hong Kong Federation of Students (HKFS), the largest student organization in Hong Kong, was formed in 1958 by student unions at several local higher education institutions to promote students’ participation in social affairs. The HKFS has been a key player in various local social movements over the decades. Its members questioned the desirability of implementing national education given the inseparability of the state and government in mainland China. The proposal to strengthen national education in Hong Kong was viewed as a troubling attempt to

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rationalize the rule of the incumbent Communist regime and safeguard its stability. Without a proper democracy, HKFS members argued, teaching students to be patriotic could easily slip into the blind inculcation of patriotism, sacrificing rational and critical thinking and weakening the civic consciousness of the next generation. The HKFS disputed the implementation of national education given that the regime and the nation were inseparable. The MNE plan was suspected to weaken the next generation’s social consciousness and sense of citizenship, as aptly illustrated in the following quotation (HKFS, 2011): What the next generation needs is consciousness of care and participation in societal affairs, rather than to become blindly patriotic “well-behaved nationals” who lack the courage to point out mistakes made by the government. Citizenship is a form of social membership built on the principles of complete equality and freedom, [sic] and it is vital to cultivate students’ civic awareness, which is related to active concern about the society. This requires an open and democratic system for the citizens to experience. To encourage citizens to participate in the development of local society, other than engaging in passive behavior such as voting in elections, they should be allowed to participate in public affairs that affect their daily lives; and the government needs to empower individuals to take part in public-policy making. [sic] To cultivate Chinese citizens who are concerned about the country and involved in national development, we need civic education that cultivates civic rights and responsibilities. Rather than praising the greatness and achievements of the Chinese Communist regime, the content of the curriculum should feature local controversial issues as well as China’s political problems (such as the difference between a country, a nation and a regime) and social issues (such as poverty and threats to human rights). This will enable students to learn about the problems currently faced by China and voice their concerns about these problems, fostering a sense of social responsibility. (Original in Chinese, my translation)

In light of the above concerns, the HKFS urged the government to immediately terminate the national-education reforms and redirect its efforts toward strengthening civic education to foster a generation made up of active citizens committed to social development. The government was also urged to extend its consultation system to ensure that citizens had the opportunity to participate in decision making. To demonstrate their social responsibility and support for pending student strikes in primary and secondary schools, the HKFS and other student unions took the lead by going on strike on 11 September, 2012. The demonstration was attended by 8000 college students. In a joint statement made by local tertiary institutions calling for a boycott on classes, the HKFS (2012) also stated that “[t]he real aims of education are to cultivate virtues and values and to help us think independently and tell right from wrong.”

Parents As Desperate Guardians of Their Children While students played a pioneering role in denouncing the national-education plan, taken to exemplify the parable of “the Emperor’s new clothes,” their parents became prominent leaders of the social movement. As their children’s guardians, concerned parents stepped out of the private realm and engaged publically in defending their

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children against the problematic policy and fighting for a voice on behalf of their children. The biased content of the government-funded China Model teaching handbook caused particular resentment among many parents, who swiftly set up the Parents’ Concern Group on National Education (PCGNE). The PCGNE (2012a) accused the HKSAR government of diluting the concept of civic education by subsuming it within the MNE framework. The group also criticized the government’s efforts to cultivate national identification based on a narrow understanding of Chinese ethnicity and race and emotional manipulation. It recognized the difference between the nation and the party, and argued that the two must be clearly differentiated, as loving one’s country was not equivalent to loving the CPC. Students should also be taught about their roles as citizens at multi-levels. On 23 July, 2012, the PCGNE (2012b) made the following statement: We would definitely not allow others to mess up our children’s education. [sic] We have no objection to our children acquiring in-depth knowledge about China. However, their knowledge about China must go beyond the narrowly construed nationalism and they should receive ‘civic education’ that is in line with international standards. This should include students being taught about their roles as civilians at the local, national and international levels. Students should also be educated about the universal values of justice, peace, diversity, forbearance, human rights and democracy. [sic] We are of the view that the primary purpose of education is to help students build up their ability to think critically and perceive matters from different angles; acquire knowledge in a fair and objective manner as to the political, economic, historical and social conditions of their nation; and at the same time, understand and respect multi-ethnic culture. [sic] We bring our children to the world. We are responsible for teaching them to tell right from wrong. We will resist all lies and sophistries.

Teaching Professionals and the Defense of Professional Autonomy The Hong Kong Professional Teachers’ Union (HKPTU), the biggest local teachers’ union and a vital player in Hong Kong’s pro-democratic camp, also objected to the MNE proposal on the grounds of the content of the consultation document and the process of consultation (HKPTU, 2011). The Union attributed these failings to the government’s lack of respect for education professionals, regarding the hasty preparation of MNE an official attempt to intervene in education and limit the autonomy of education professionals. The HKPTU opposed this top-down imposition of official national education as contrary to the principles of education (HKPTU, 2012a, b). The HKPTU president Wai-Wah Fung (2011) questioned the agenda underlying the MNE scheme, the name of the new subject and the government’s failure to consult professionals or a proper review of the existing framework. He considered the swift implementation of the policy to reflect the government’s disrespect for and willingness to interfere with educational professionalism. The HKPTU was concerned that under the pretext of fostering students’ national identity, MNE would minimize the role of civic education, which stresses universal values and the ability to think critically and from multiple perspectives.

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Even more worryingly, professional autonomy would be gradually weakened by the enactment of the new curriculum, especially given its official evaluation framework and censorship of textbooks. For instance, the MNE lesson plans excerpted in the consultation document contained ample materials on the achievements of the motherland, but lacked negative content and completely evaded sensitive issues, reflecting the government’s biased position and political mission. Due to their heavy workload, Hong Kong teachers inevitably rely on textbooks approved by the Education Bureau and criteria set by the government for student assessment, and the proposed national-education plan was expected to further jeopardize teacher autonomy. The HKPTU argued that the biased official version of national education would erode civic education and its emphasis on universal values, multiple perspectives, and critical thinking, which would greatly impair student well-being and also be harmful to the quality of future national citizens. According to the HKPTU (2011), students needed “national-history education, national education and civic education founded on humanist concerns, historical truth and a world vision.” This statement continued as follows: Students are required to have a comprehensive understanding of [China’s] development, along with the qualities required of world citizens. True patriots love their country not because it is strong or economically prosperous, or for practical reasons; they are able to recognise failings in national approaches while sincerely supporting their country’s progress. [sic] What kinds of future generations do we expect national education to foster? Will the members of the next generation be unscrupulous, hypocritical, cunning and worshipping power, or will they be individuals with a historical perspective, universal values and the ability to think independently and distinguish right from wrong, and sincerely patriotic? (My translation)

According to Fung (2011), the HKPTU viewed “true patriots” as individuals with a thorough understanding of their nation, including its weaknesses. Agreeing on the need to nurture students’ national consciousness and ensure their thorough understanding of national developments, the union advocated a curriculum that provided a full account of Chinese history and encouraged critical thinking rather than brainwashing or indoctrination. The HKPTU also stressed that students should be equipped with a sense of global citizenship to enrich their education. Fung (2012, 28 July) also called on teachers to uphold their professionalism by refusing to teach biased materials. James Hon, another core member of the HKPTU, who later undertook a 171-h hunger strike outside the government headquarters, cited the 1990 Code for the Education Profession in Hong Kong. To justify his position, Hon (2012) argued that education professionals should defend their professional autonomy by resisting “brainwashing” elements of the proposed curriculum, namely, biased views and blindly patriotic sentiments. In accordance with the specific articles of the code, teachers should “encourage students to think independently and to form their own rational judgements based on knowledge”; “as far as possible adopt an objective viewpoint in discussing controversial matters with students”; and “foster among students a sense of democracy and educate them to

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respect others.” In a leaflet opposing national education, the HKPTU appealed to teachers’ integrity, arguing for the need to empower the next generation to distinguish right from wrong and think freely. The HKPTU also distributed a “conscience charter” signed by teachers to indicate their resistance to political indoctrination.

Social Workers As Advocates of Social Justice For many years, social workers providing youth services in Hong Kong have cooperated with schools to provide civic education. Social Workers against Brainwashing Education (SWBE) was a conglomerate of social-work students, social workers with various positions and social-work organizations. They cared for the welfare of their clients and came together to defend justice as the core value of social work and stress the mission of advocating social change for equality and justice, as indicted by the following public statement (Cheng, 2012a): As responsible youth workers, we believe that the content of activities should include not only China’s economic achievements but national problems that require solutions. For instance, no responsibility has been taken for the 4 June massacre; rights-defending activists have been unjustly sentenced, unlawfully detained or forced to disappear – not to mention a death last year claimed by the authorities to be a suicide; and the truth about the Wenzhou railway accident has been buried. These issues provide important materials for civic education, enabling students to reflect on universal values such as democracy, freedom, justice human rights and others, in line with social workers’ injunction against telling lies to the power. However, we are worried that once schools have fully implemented MNE, censorship will be tolerated in the disguise of harmony and being the partners of education sector, social-welfare workers will have no choice but to compromise their pursuit of justice to continue cooperating with the education sector. [sic] We are not supposed to brainwash students in this way! We want to defend the right of the next generation to fully understand their country, and to safeguard the core value of social work: to advocate social justice! (My translation)

With a concern with the well-being of the children and young people and fight for justice in education (Cheng, 2012b), SWBE was displeased with the Education Bureau’s failure to fully consult students and parents on the implementation of the MNE curriculum guidelines. The measure was criticized for neglecting children’s basic rights to be informed, to speak, and to participate, thereby violating Article 12 of the Convention on the Rights of the Child, which gives any “child who is capable of forming his or her own views the right to express those views freely in all matters affecting the child.”

The Neglected Voice of Ethnic Minorities There are several rights-based NGOs in the CAANE, such as Hong Kong Unison, an NGO serving Hong Kong’s ethnic-minority residents. It criticized the MNE proposal for its failure to accommodate the plural backgrounds and identities of

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ethnic-minority students in Hong Kong. Although ethnic-minority students accounted for 5% of the whole student population in Hong Kong in 2012, the government made no attempt to consult ethnic-minority parents before announcing the new MNE policy, de facto depriving their rights in participation in policy formulation. All of the members of the curriculum committee were Chinese, and ethnic minorities were further excluded by the initial publication of the consultation document in Chinese only (South China Moring Post, 2012a, 30 July; 2012b, 23 August). Furthermore, requiring non-Chinese local children to take MNE would forcibly impose on them a Chinese identity and Chinese cultural values, further marginalizing ethnic minorities and increasing the risk of racism, given the overemphasis in the syllabus on Chinese identity fashioned by geographical proximity, blood ties, and a common sense of belonging. Hong Kong Unison (2011, 2012) was concerned by the curriculum guidelines’ lack of ethnic sensitivity and respect for ethnic cultures. Based on the assumption that all students in Hong Kong are Chinese nationals or at least have a Chinese identity, the government has overlooked the status of Hong Kong as a multicultural and multi-ethnic international metropolis. Hong Kong Unison favored a differentiated curriculum to accommodate students with different backgrounds and reduce the risk of racism. It urged the government to formulate a curriculum and methods of assessment that meet the particular needs of ethnic-minority students, based on the spirit of inclusion and mutual respect. Unison supported a comprehensive and sophisticated civic-education program capable of fostering mature civic character, which should include essential elements such as moral education, national education, human rights and equality, democracy and freedom, society, and the rule of law. The group argued that a civic curriculum promoting multiculturalism should be taught in schools instead of the proposed mainland-focused national education program.

Christians As Believers in a Higher Order and People of the Heavenly Kingdom Hong Kong has a large and vibrant Christian community (including Protestants and Roman Catholics). Christian churches are major partners of the Hong Kong government in providing social and educational services, and represent some of the largest educational sponsoring bodies, which run their own schools with public funding. Of the CAANE’s member organizations, six are Christian NGOs that have addressed local social issues for years, such as Christians for Hong Kong Society and the Catholic Hong Kong Justice and Peace Commission. Upholding Christian principles and beliefs and interpreting social matters in light of Christian theological teachings and traditions, these Christian groups have affirmed a faith-based understanding of citizenship. In their critical reflection on and evaluation of national identity or patriotism, they have also advanced the idea of a citizenry capable of criticizing state authorities and raising objections in the secular public realm in pursuit of social justice and the common good. Arguing that “in the world created by God, we are

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each other’s neighbours, not restricted by barriers of countries and nations,” and that “all living beings are equal before the Lord,” these Christian groups opposed the inculcation of patriotic feelings in students, which they considered tantamount to brainwashing. Christians for Hong Kong Society and others (2012) further argued that genuine education is about critical thinking, free creation and a pursuit of goodness, definitely not about teaching students to blindly identify with a state or a party; furthermore, education should not be reduced to a means of or tool for political indoctrination. Therefore, in modern democratic systems, a basic orientation is to strengthen civil society, so the principles and spirit of teaching must be citizen-centred rather than party- or state-centred. Education should cultivate talent for the benefit of society, not fashion obedient subjects of the state, because a nation is made up of and exists for its citizens. Only civic education characterised by a broad perspective and the teaching of universal values such as democracy, freedom, justice, human rights, the rule of law, equality, fraternity and pluralism can equip students to become not only citizens of a particular country but citizens of the world. Such citizens are willing and able to contribute on both a national and a global level because they care not only for their compatriots but for all people worldwide. (My translation)

These organizations demanded that existing civic-education policies and programs be reviewed and greater emphasis placed on human rights and universal values to ensure that Hong Kong’s civic-education curriculum was free of political indoctrination and encouraged students to develop their independent and critical thinking and community consciousness. The organizations also urged schools run by churches to ensure that civic-education courses would be constructed in line with Christian values in the future.

Supporters of Democratic Movements in China and Critical Patriotism The Youth Group of the Hong Kong Alliance in Support of Patriotic Democratic Movements in China (HKASPDMC) and the New School for Democracy (founded in 2011 and chaired by Wang Dan, an exiled student leader of the 1989 Tiananmen pro-democracy protest) were two CAANE member organizations concerned with democracy in China and critical of the Communist regime. Established in May 1989 during the students’ demonstration in Beijing and comprising more than 200 base-level members from labor, councillor offices, religious, student, women, and other interest groups, the HKASPDMC was the largest coalition in Hong Kong to support democratic movements in China. For years it demanded the release of all dissidents in China; the rehabilitation of the 1989 pro-democracy movement; acceptance of accountability for the massacre; an end to the dictatorial rule of the CPC; and the construction of a democratic China. The HKASPDMC held annual memorials for the Tiananmen Square protests. Its members were also concerned about the Chinese democratic movement and the threat faced by human-rights activists in mainland China, such as human-rights abuses

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committed by the CPC. The Alliance did not identify with the Communist totalitarian regime, and regarded the CPC’s construction of national identity as flawed, arguing that the education system imposed by the HKSAR government had degenerated as the Party’s united-front machine since 1997 (HKASPDMC, 2011). The youth group of the HKASPDMC argued that the CPC had hijacked Chinese state authority, and that its abuses of power had confounded the distinction between right and wrong and damaged personal values and dignity. The official MNE curriculum guidelines repeatedly appealed to the next generation’s sense of pride in their country, but omitted all mention of suffering and distress endured by Chinese citizens. They encouraged displays of pride such as flag-raising events, renditions of the national anthem, and celebration of the sporting victories of Chinese teams, which the youth group dismissed as mere performance; instead, a concern for one’s nation and people was regarded as a more noble and genuine form of patriotism. The youth group questioned the ability of an unmerciful government to teach the next generation to become good citizens. It also pointed out that instituting national pride as a learning objective imposes nationalist values on students, distorting their values and brainwashing them. Hong Kong Alliance Youth Group (2011) also stated clearly that “patriotism is a natural emotion, very much as people love their families – and there is no need for a government, especially one that does not reflect the will of the people, to “teach” it.”

Complexity of Civic Identity: Common Ground and Specific Concerns To further the above analysis, with different elements or different degree of emphasis, three prominent themes of the claims surrounding the MNE oppositionists are summarized: (1) multiple and hyphenated identities; (2) critical patriotism and universal values; and (3) the properties of education and civic education. First, the multiple and hyphenated identities shown by the major CAANE member groups are student-citizens, caring parents, professionals (teachers and social workers), ethnic minorities, Christian citizens, and critical patriots. These roles and identities include political, familial, occupational, religious, and ethnic ones. We can clearly observe that the configurations of identity across these groups are more complicated than the simple dual identity (Hong Konger-Chinese) described in previous literature (Ng & Lai, 2011; Veg, 2017). For instance, in his case studies including the 2012 anti-National Education protest, Veg argued that the new localist discourse in Hong Kong is mainly based on a Hong Kong-centered civic identity, and there is a growing disconnect between an ethnocultural mode and a civic mode of identification (Veg, 2017, p. 338). The claim is generally insightful and reasonable. But Veg’s major focus was on the voice of Scholarism, leaving aside other equally important partners in the CAANE. Veg’s two-dimensional analysis – framework of identification (local versus pan-Chinese) and mode of identification (ethno-cultural versus civic) – is also a bit narrow to capture other identities and content exhibited by the different opposition groups. There are indeed multiple

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sources of civic identification like professionalism and Christianity, requiring finer distinctions and elaborations. Interesting enough, parental care and ethnic concern also push for a civic notion of identity with elements of multiculturalism and cosmopolitanism. There are common and specific concerns across these groups. To fully understand these complicated identities, more sophisticated insights are needed into representations of individuals or collectives, which take the form of “citizen plus. . ..” Plural identities may also be considered in terms of complementarity, rather than conflict, in this incident. In addition, these identities are variously associated with civic values such as participation, autonomy, freedom, independent and critical thought, human rights, professionalism, pluralism, multiculturalism, and children’s welfare, depending on the features of the players in the opposition camp. And many values are linked with those of the Western world that Hong Kong people have acquired for years. These are important elements to bear in mind so that we can fully account for the complicated content and sources of civic identification. In the same vein, the objects and modes of identification should also be broadened in light of the findings. Second, and closely related to the issue of multiple and hyphenated identities, national identity, if not totally dismissed, is only one of plural forms of identity. Patriotism is determined by the nature of and basis for identification. Patriotism may be blind or constructive (Ng & Lai, 2011). Opponents of the MNE program have interpreted national identity and patriotism in ways that differ considerably from the official line of the Beijing government. Common to them was a distrust in the partystate and narrow patriotism. Hong Kong citizens may love China’s people, culture, or homeland, but the requirement that they love the country’s Communist regime has proven controversial. All of the above groups argued that patriotism is secondary to universal values such as human rights, democracy, freedom, and justice, which are central to the Hong Kong way of life (Chan & Chan, 2014). The love for China described by members of these groups was neither absolute nor uncritical, nor was it based on belief in the supremacy of the Chinese nation-state. They articulated a normative and critical perspective on the political order, including government officials and policies. Support for the state was not unconditional, as state performance was assessed with reference to higher-order universal values or transcendental criteria. The groups also promulgated multiple citizenship, global citizenship, and multiculturalism in their appeal to universal values. These global ethical principles or cosmopolitanism (secular or religious) help to qualify patriotism. A national citizen or true patriot is also a world citizen with liberal values and qualities, such as respect for universal human rights and awareness of the need for independent thought to establish truth, and in this case, a balanced and comprehensive understanding of China’s weaknesses and strengths. Third, the discourses analyzed above addressed the principles of education and civic education, and appropriate ways of fostering love for China were often a central concern. Identity is about being and becoming, which entail both actual and ideal dimensions. And education is definitely a key to becoming and a desired state. In addition to the universal values listed above, the groups strongly affirmed the centrality to education of the following virtues: honesty and conscience, independent

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and critical thought, objectivity and openness, consideration of multiple perspectives, humanist concerns, and social responsibility. Most Hong Kong people still favor civic-education programs that strengthen critical thinking and teach liberal civic values, and feel skeptical about education emphasizing unilateral identification with the Chinese state (Leung, 2007; Mathews et al., 2008; Wong, 1996; Wong & Shum, 2002). When negotiating or contesting issues of patriotism and national education, various groups in CAANE sought to defend children’s rights and welfare and rescue liberal or civic education from brainwashing, conformity, and thought control. They argued that students should gain a full understanding of Chinese history without avoiding sensitive political issues. Teachers were urged to safeguard their autonomy by resisting the state’s interventions in education and disrespect for professionalism.

Conclusion The opponents’ discourses reveal their plural identities and overlapping and specific concerns with civic values, which are complementary when combating the official discourse. These claims also provide a broader and nuanced account of citizenship and civic education. The findings can enrich our understanding of the specific nature, elements, and origins of the civic identity of Hong Kong people. Identity formation is closely related to collective action. In turn, collective action can create, sustain, and transform collective identity (Spears, 2011). The anti-MNE campaign helped its participants to clarify and reaffirm their identities and values, thereby reinforcing the distinctiveness of Hong Kong identity in subsequent years. Twenty-plus years after the handover, Hong Kong people still identify less strongly with the Chinese state represented by the Beijing government, and continue to resist national education because the values prevalent in mainland China differ from those generally accepted in Hong Kong. The situation will not be improved by increasing the dosage of national education and tightening of political control like passing the National Anthem Ordinance and the national security law in Hong Kong in 2020. Tension and conflict between China and Hong Kong will not be resolved unless the Beijing government changes its stance on governing Hong Kong and national education. After all, only the implementation of favorable government policies on the mainland and in Hong Kong will win the hearts and minds of the Hong Kong people.

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Identity Grafting for Marginal Citizens: A Case Study of the Second-Generation Migrant Workers in Beijing

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Contents The Growth of International Migration and Intercultural Identities . . . . . . . . . . . . . . . . . . . . . . . . . . . . Intercultural Identities and Marginal Citizenship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Marginal Citizenship and Identity Grafting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Growing Phenomenon of “Floating People” in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Second Generation of Migrant Workers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . “Grafting”: A Tool of Constructing New Identity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repressive Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Born-Again Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Integrative Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Situational Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Selection of the Research Location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Selection of the Research Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Data Collection and Data Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Narratives of Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Imitation as Identity Repression . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Recombined Experiences to Form Integrated Identity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Indignation and Developing Born-Again Citizens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Identity Integration Efforts and Seeking Opportunities for Developing Situational Identities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion: Implications for Identity Grafting for Marginal Citizens . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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J. Qi (*) School of Education, Zhengzhou University, Zhengzhou, China W. O. Lee Singapore Institute for Adult Learning, Singapore University of Social Sciences, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_145

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Abstract

The first two decades of the twenty-first century witnessed growing academic enthusiasm over rural migrant families and their children in China. Unlike those who moved to the cities alone in the early stage of migration, nowadays, more and more migrants tend to bring their families and children on the move. Recent research unveils the tendency of these migrant families to settle in a destination city permanently. On the one hand, living with their parents contributes to the general well-being of these migrant children, but on the other hand, once they are settled in the city, the challenging courses of navigating host and origin contexts and negotiating rural and urban identities befall them. However, how these children construct their identity against the urban backdrop remains largely a myth. This study, based on 6 months of fieldwork at a vocational secondary school in Beijing, is a memoir of 12 migrant girls constructing a new pro-urban identity in the city. Keywords

Identity grafting · Mainland China · Marginal citizenship · Migration · Rural culture · Urban culture Abbreviations

GCIM GMDAC IEA IOM KTV OECD PISA UN

Global Commission on International Migration Global Migration Data Analysis Centre International Association for the Evaluation of Educational Achievement International Organization for Migration Karaoke Television Organization for Economic Co-operation and Development Programme for International Student Assessment United Nations

The Growth of International Migration and Intercultural Identities The Global Commission on International Migration’s (GCIM) 2005 report points out that migrants are now to be found in every part of the globe; some of them are moving within their region and others travelling from one part of the world to another. Around 60% of the recorded migrants are located in the world’s most prosperous countries and the other 40% in developing regions (GCIM, 2005). The massive rural to urban migration in China, though not international migration in nature, is with a similar direction of movement from the less developed regions to the prosperous urban.

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Intercultural Identities and Marginal Citizenship Lee (2002, pp. 39–40), in his meta-analysis of over 20 qualitative country reports submitted to the IEA Second Civic Studies, found overwhelming concerns over identity issues among individual citizens, especially for those East European countries that have gone through significant political changes, e.g., breaking away from the former Soviet Union. Specifically, he found a high frequency of occurrence of the terms like “self” and “identity” in these country reports. In respect to the domain of national identity, he identified a cluster of terms about self-definition of citizenship, for example, “self” (297), “self-definition” (351), “self-respect” (534), “selfdetermination,” “self-realization” (518, 527), “self-perception” (210), and “collective and individual identity” (143). Further analyzing the growing discussion on global citizenship worldwide, OECD’s PISA 2018 study argues a need to develop global competence that is characterized by many attributes of global citizenship, especially with intercultural awareness, abilities to work with people from diverse backgrounds, and appreciates pluralism with the attitude of inclusiveness (Lee, 2016). Merryfield and Duty concede four skills necessary for active global citizenship. They include (1) skills in perspective consciousness to understand the points of view of people different from themselves; (2) intercultural competence to participate effectively in today’s multicultural societies; (3) critical thinking skills, especially the ability to evaluate conflicting information; and (4) habits of mind compatible with civic responsibilities in a global age, such as to approach judgments and decisions with openmindedness, anticipation of complexity, resistance to stereotyping, and developing the habit of asking – is this the common good (Merryfield & Duty, 2008). Alred et al. (2003) make a distinction between “intercultural experience” and “being intercultural.” The former refers to the experience of otherness in a range of ways that will help to create a potential for questioning the taken-for-granted assumptions in one’s own self and environment. The latter, however, goes beyond experience. It refers to the capacity to reflect on the relationships among groups and the experience of those relationships. It is not only the experience of otherness but also the ability to analyze the experience and act upon the insights into the self and others, which the analysis brings. Bredella (2003, pp. 237–238) offers a succinct elaboration on what it means to be intercultural. First, being intercultural means to reconstruct the others’ frame of reference and see things through the eyes in order to overcome our ethnocentric tendency to impose our categories and values on their behavior. Second, it means to enhance our self-awareness as cultural beings. Third, being intercultural is a process of disquieting tension in the intercultural experience. On the one hand, we must recognize the other culture in its difference. We cannot be contented in relativism but must mediate between different frames of reference in order to create a better one.

Marginal Citizenship and Identity Grafting Analyzing the Chinese migrants in overseas countries, Lee (2009) found that the Chinese identity of the migrants is transient, as they seem to be ready as most other people reconcile themselves and to lose themselves even to the host countries.

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Spakowski’s (2019) study on the Chinese diaspora found that the Chinese diaspora are facing with confusion and contradiction with their motherland, and they are suffering from a torn between identities, living in the transient, transnational, and transcultural world of globalization. While’s Lee’s observations on the Chinese diasporas are rather pessimistic, other authors found that despite being torn between identities, many of them will proactively find meanings in interacting with the new environments by means of “identity grafting.” Employing the works of Richards (1997) and Lee (2017), Almuntairi et al. (2017) argue that identity grafting is a tool of the migrants to construct their eco-diasporic identity. In sum, Richards (1997) uses the concept “grafting” to refer to a process or an action that takes place physically which requires considerable effort from both sides of the boundary. Richards further argues that the process of grafting is rather traumatic and painful as it involves cutting through boundaries of nature and culture that are at play. Lee (2017) cites the example of Chinese women who undergo plastic surgery in order to have more European look, but they retain a strong sense of Chineseness, without losing their cultural identities. Almuntairi et al. (2017) combines the works of Richards and D. Lee, employing D. Lee’s staged theory of identity grafting, involving “repression, integration, born-again, and/or situationalism” to illustrate how identity shaping may work for an immigrant to reidentify oneself. The literature on migrants that have impact on citizenship identities generally classifies migrants as marginal citizens, or citizens on the margin, as they generally do not enjoy the rights and benefits of full citizens in a nation-state (Lister, 1998; Vacchiano, 2018). In terms of the migrants’ citizenry, their status has been described as “civic marginalization,” referring to their temporary status that would strip of their entitlement of full citizenship status in a nation-state. Even if they end up permanently staying there, they are still “permanent migrants,” i.e., permanent temporarians (Owen, 2013). Most of the literature on marginal citizenship refers to cross-border migrants, which are by definition foreigners to where they end up staying. For the case of migrant workers in China, their migration is intranational, rather than international. However, there is a household registration system (hukou) in the country that defines an individual’s entitlement to rights and benefits in where he/she is born or naturalized. For Chinese migrant workers, even though they are travelling within the country, once they leave their home and cross the provincial border, the other provinces do not have the obligation to provide the rights and benefits that they should have enjoyed in their place of origin.

The Growing Phenomenon of “Floating People” in China Migrant workers have been the engine of China’s spectacular economic growth over the last three decades. Statistics from China Statistical Year Book 2018 shows that by the end of 2017, the total Chinese population has reached 1390.08 million, among which 244 million are rural migrants who live in places other than where their hukou is registered (Mao et al., 2018). According to the most recent statistics, there are an estimated 288 million rural migrant workers in China in 2018 (China Labor Bulletin).

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With many of the older generation migrant workers born in the 1960s or 1970s approaching their retirement, the younger generation is beginning to take over. This growth signals the coming of a new era and requires a better understanding toward these young people. Unlike the old generation who was genuinely attached to the land where they grew up and would go back to the countryside when getting old, the new generation is “saturated by urban culture, crave to live the urban lifestyle, and more eager to become urban” (Liu et al., 2018, p. 234). Being less attached to the land, they have a weak propensity to go back to their unfamiliar rural hometown. Recent research reveals that parents with migrant children are more likely to settle in a destination city permanently than those without (Wang & Zhang, 2019). But the long existing hukou system has caused a lot of problems for migrants and their families to settle down in the urban area. Under the hukou system, rural migrants are denied permanent settlement in the cities due to their “agricultural” hukou status, which they inherit from birth (Zhang, 2010, p. 18). Classified as peasants in the city, rural migrant workers are denied equal access to social welfare, such as state subsidized medical care and education and social benefits in the city that are guaranteed for people with urban hukou, even if they have migrated to the city and worked there for a number of years (ibid.). For the children of migrant workers, they have been deprived of their lawful right to compulsory education for quite a long period of time and are still not allowed to attending the university entrance examination in the host city. A large number of previous researches address issues related to migrant children to highlight the challenges that often afflict them after they move to the city. They face many issues. One of the most important issue is the matter of identity. Trapped between the city and the countryside, they have to negotiate their new identities in a largely urban environment and on the basis of a largely rural heritage. This makes it more difficult for them to solve some fundamental puzzle that life presents, such as answering the question of who they are, finding their inner peace by feeling secured and having a sense of belongingness, etc. Many previous studies have demonstrated noticeable concerns for issues affecting migrant children facing identity crises and acute inequality in the host cities. For instance, some suggest they were perceived as aliens in a strange land, being caught between two contradictory worlds and suffering from the difficulties associated with their ascribed rural identity (see Wei et al., 2014; Sun, 2009; Mei, 2006; Chen, 2013). It is common that young migrants are often portrayed in these studies as feeling helpless, pessimistic, confused, and lost. Sometimes they feel angry and repellent, and other times insecure and deprived (see Wang, 2010; Wu & Ning, 2007; Zhou et al., 2011). Unlike most previous research which have emphasized the negative impact of life’s hurdles faced by migrant children and their families (see Ge & Sun, 2013; Cong & Huang, 2012; Wang & Zhang, 2012), this research probes into those numerous difficulties and challenges from a positive angle. Disjuncture is recognized by this research as the primary motivation encouraging the migrant students to learn to be urban. Two major types of disjuncture confronting them have been recognized, namely, families’ financial plight as well as complex social relationship. Identity grafting is also used by this research as a theoretical lens to examine the process and outcome of this journey of reconstructing the self.

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In addition, many previous researches focus on the schooling and socialization experiences of younger migrant children attending primary or junior high schools in the city. But little is known about their experiences between their schooling and the labor market. To fill in this knowledge gap, this study follows those migrant teenagers aged 15 or above, and the fieldwork is carried out at a vocational high school in Beijing. Senior high school education is not deemed as an obligation of the local governments, especially for the migrant children. For these migrant students, vocational school is almost the only senior schooling they can aspire for. And their study naturally ends up in jobs, rather than pursuing higher education.

The Second Generation of Migrant Workers This research will define new generation and second generation migrant workers, respectively, as: The new generation of migrant workers in China refers to the population that is of rural household registration, born between the 1980s and the 1990s, involved in different industries in towns or cities away from their rural hometown. The second generation of migrant workers in China refers to the population that is of rural household registration, born between the 1980s and the 1990s, involved in different industries in towns or cities away from their rural hometown, and born in migrant families or brought up in cities by migrant families.

With many of the older generation migrant workers (born in the 1960s or 1970s) approaching their retirement, the younger generation is beginning to take over the role of breadwinner. In 2009, there were 145 million rural migrants in China, accounting for about 11% of the total population. Among them, an estimated 85–100 million were born after 1980 (Hu, 2012). This growth signals the coming of a new era and requires a better understanding toward these young people.

“Grafting”: A Tool of Constructing New Identity The term “grafting” is originally a horticultural expression. Plant “grafting” refers to the process of cutting and joining together plants of different varieties or species so that they would grow as a single plant. Grafting has been practiced since ancient times. Those plants that could be successfully grafted together are known as “compatible grafts,” otherwise “incompatible grafts” (Melnyk & Meyerowitz, 2015). “It is unknown where or how grafting was first discovered, but it is likely that natural grafting, the process by which two plants touch and fuse limbs or roots, influenced people’s thinking” (ibid., p. 183). The application of the theory of grafting extends beyond horticulture but into the social sciences. Almuntairi et al. (2017) use it to study the three selected novels of Randa Abdel-Fattah and address how identity grafting is operated by interacting with ideology, culture, and nature. D. Lee (2017) examines how postcolonial Singapore, as a “swing state” caught between two hegemonic

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political systems, has achieved accelerated development through the strategic identification of economic targets and engineering for a “total business environment” with the swift alternation of its social contours through identity grafting. When applied to social sciences, the theory of grafting has opened up new possibilities, especially relating to the grafting of identities. According to D. Lee (2017, p. 6), “identity grafting is the process of reconciling normative disjuncture via the grafting of symbolic power.” Borrowed from Pierre Bourdieu, the concept of symbolic power refers to “the degree of autonomy vested upon a collective that occupy elite positions within a social hierarchy” (ibid.). “Although normative disjuncture is typically complex, identity-grafting measures pare down the complexity, so as to engineer for accelerated adaptations. An efficient means to doing so is to identify the key dialectical influences that steer change” (ibid.). D. Lee’s theory of identity grafting is adopted here to frame and interpret data from our fieldwork on migrant children in China. We have chosen to adopt this theory for its diverse typologies of identity experiences that are grafted on individuals as they encounter tensions brought about by losing their citizenship identity because of internal migration. The types of identity grafting can be represented by the processes of (a) repressive, (b), born-again, (c) integrative, and (d) situational.

Repressive Type Repression may emerge when individuals have to repress their own identity to fulfill expectations that have been imposed on them. This is particularly manifested in the second generation migrants trying to behave and dress themselves as if they are city dwellers. They do not want to be identified as coming from backward rural areas.

Born-Again Type Born-again identities are characterized by the rejection of new identities because of feelings of being rejected by the new host context. It is manifested in our interviewed migrants sometimes turning to a point no longer deliberately hiding their rural identity but more about fighting for a future of their own according to their abilities.

Integrative Type Identity integration is an approach to introduce new practices and retain traditional ones at the same time, and new and old strategies come to the forefront as one’s identity without overlapping. In our case, this is manifested in our interviewed migrants adopting the rural and urban identities contingently. At the time they need to seek help, such as asking for their teachers to refer them to job, they present their rural identity of helplessness. However, when they want to mingle with their urban peers, they behave as if they are city dwellers.

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Situational Type Situational identities are characterized by hybrid practices which are adaptive to the context – one pursues the development of new synergies between traditional and new practices, which are presented in one’s identity in diverse ways according to varied situations. Although this may be aspired by our interviewees, situational identities have yet to develop among them. Nevertheless, there seems to be promising potential for situational identities to emerge if the interviewees were to succeed in reaching out to the teachers and successfully enculturate into the Beijing society when, as they aspired, they become teachers themselves in the future. This chapter adopts and extends D. Lee’s framework to align with the immediate experiences of the migrant girls and then draws these experiences back to the original theoretical constructs to develop abstract insights. We first examine how identity repression underlies the migrant girls’ imitation of the lifestyles of Beijing urbanites, but at a level that hovers around superficial consumption cultures. The focus then moves on to how integrated identities form as the girls recombine their experiences in rural and urban lives. The section on born-again Chineseness illustrates the frustration that develops when the girls become aware of the different standards applied on Chinese identity. With rising intranational migration, nuances have arisen on the theorization of born-again Chineseness as the definition of Chineseness tightens. The last section explores how the girls work hard in developing situationalistic identities by reaching out to local Beijingers (teachers), situated within the constraints of their limited socioeconomic and educational resources.

Research Methodology Our study began with the following research questions: • How do migrant students in Beijing reconcile the differences between rural and urban cultures from their interactions with Beijingers in their daily lives? • How can their indigenous identity be transformed into a new urban identity by these interactions, and how can these transformations be conceptualized in terms of the theory of identity grafting?

Selection of the Research Location To answer the questions of how migrant students navigate rural and urban cultures, how they interact with other parties involved in their daily lives against the urban background, and how they graft their new identity, the fieldwork was carried out at a vocational secondary school in Beijing. This study draws on the fieldwork conducted at a vocational secondary school in Beijing. This school has been taking in migrant students actively in recent years to make up for the loss of local students. There are over 100 vocational schools in

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Beijing, offering both/either junior high and/or senior high vocational education. They are generally of lower status as compared to the senior high grammar schools that would prepare students for taking the national college entrance exams. But among these vocational schools, there are still a few exceptionally popular ones, being seen as comparable to the senior high schools in terms of campus size, the school’s convenient locations, provision of programs that could help students get jobs more easily, and thus holding quite a reverent reputation. The vocational school we have chosen to do fieldwork is one of those prestigious vocational schools. The school presents itself as an attraction to the students. The white teaching buildings have a fresh look, and the standard rubber playground is brand new. It is also equipped with an indoor stadium where the school’s basketball and aerobic teams train. There is a dormitory building and a canteen on the west side of the campus. With all these facilities, this vocational high school seems to look even better than many local public high schools. Neighboring the school are expensive residential high-rises and two shopping malls each with a large supermarket. There are numerous restaurants and cafés, salons, spas, a KTV, and a movie theater. Other recreational facilities, including a swimming pool and a gym, are also within walking distance. During our fieldwork, our informants shared that one of their favorite activities was to stroll at the big supermarket after dinner, either to buy some daily necessities or simply to go on a walk with friends. Once in a while, with a bit of extra money saved from other areas, they treat themselves a nice meal. Here, lunch or dinner costs about 30–40 yuan. On special occasions, like someone’s birthday or after a major exam, they would spoil themselves by going to a restaurant, the movie theater, the roller-skating rink, or the KTV until dawn. To explore the city outside of the campus area, public transportation, such as bus and metro, is readily available.

Selection of the Research Participants All of the students who volunteered to participate in the study were selected to participate. A survey and private talks based on the survey’s results were arranged to select the participants, so as to make sure all the participants meet the research requirements: first, they are the second generation migrant workers; second, they are from ordinary migrant families. By ordinary migrant families, it means that their parents are often, as observed by Ling (2015, p. 112), “self-employed in the informal economy, and work as construction contractors, pedicab drivers, garbage collectors, street peddlers and small businessmen.” In the end, a total of 16 students – 12 migrants from poor migrant families, 2 local Beijing students, and 2 migrant students from better-of migrant families – were selected to participate in this research, 8 of these students studied in their second year, 6 in their first, and 2 in their third. They came from a diverse range of academic majors including English Secretary, Japanese Secretary, and Business Administration. The research participants come from a variety of rural localities, including Henan, Inner Mongolia, Jilin, Hunan, etc. The time they spent in Beijing varies, some being born or raised here,

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others just coming recently to attend this vocational school. In addition, apart from two students, the informants were mostly females. The original plan was to recruit both male and female students in order to keep the gender balance. However, since females were not allowed to enter the male dormitory which thus significantly reduced the chance for the research to observe and communicate with the male students, it was more practical and efficient to focus on the female students for enlightening findings.

Data Collection and Data Analysis Data collection lasted for 6 months, from December 2011 to January 2012 and later from March 2012 to June 2012. Data collection methods such as document analysis, participant observation, and in-depth interviews were adopted to understand students’ studies and their lives. Lasting from 30 to 80 min, interviews in this study were tape-recorded with the consent of the respondents. Pseudonyms were used to protect the privacy of the informants, and their interview records kept confidential. In general, students were very helpful, and most of them treated the researcher and her study seriously. Without feeling anxious for the consequences of the interview, they were quite open toward the questions, including sensitive ones on their relationship with their teachers and friends. Interview plans were designed beforehand and constantly redeveloped according to the findings revealed by the fieldwork. Preliminary analyses of the transcriptions were carried out right after the interviews. Memoranda were employed to catch emerging themes, with categories developed and relationships between them noted. These accounts and memos are formally logged and viewed as part of the interpretative process. During this process, the two features of qualitative data, namely, the language and the substantive content of peoples’ accounts, have been emphasized with due consideration. With regard to the former, the actual words of the interviewees have been selected properly to portray how a phenomenon was perceived by them. As to the latter, the contents of their accounts were carefully reviewed in terms of both descriptive coverage and assigned meaning so that the fineness of detail in different perspectives or descriptions could be understood. In addition to interviews, fieldwork notes were taken. They recorded the details which were not included in the tape recording. Identification of factors from their living environment, which were revealed to have great impact on their views and reactions, was made on every note, based on which, and by comparing the transcripts, recurrent themes and emerging concepts were identified and developed. The initial conceptual framework was then applied to the raw data, which were indexed accordingly. After that, data were sorted and ordered in a way so that material with similar content or properties were located together. This is to allow the researcher to focus on each subject in turn, so that the details and distinctions can be untangled. Then, in the final stage of data management, the original data was summarized and synthesized.

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The Narratives of Findings The sense-making of our findings, which will form the basis of our narratives and the later analytic discussion, will be focused on the themes of disjuncture, learning, and identity grafting. We specifically examine how the interviewed migrant girls navigate their migration destination and its origin cultures and construct a new pro-urban identity against the urban context while occasionally swinging back to their original rural identity for comparison.

Imitation as Identity Repression Central to our discussion on grafting, a new identity is the ability to learn. We draw attention to the case of the lifestyle changes of the interviewed migrant students in transition from rural to urban. We will first analyze how the modern urban landscape’s grandeur has sparked migrant youngster’s desire for the sophisticated pleasures offered only by a metropolitan city. Then, we will explore the interviewed migrant students’ newly developed consumption pattern, as beneath which is a changed identity. Through our fieldwork observation, there are two main sources of cultivation for the urban-prone identity embedded in their surroundings. First is the physical condition of the school. Second are the school’s surroundings. All these facilities embedded in and out of the school provide the interviewed migrant girls with an ideal platform to explore the pleasures a big city can offer. In addition, they were able to mingle with urban residents, and in this way, they learned the urban way of living. From their imitations of the locals, they gradually get rid of the rural attire and dress more like their city-dwelling counterparts. This is basically in accord with other findings in the literature. For example, Chen (2014) finds that the new generation migrants in Shanghai care about how they look and spend a considerable deal of their income on clothing. Han (2013) observes that the post-1990s generation migrant workers in suburban Beijing pay great attention to their appearance and closely follow the latest fashion trends. Despite their financial plights, they also put cellphones and laptops as a high priority on their shopping lists. It is common for them to spend their hard-earned money on a Sony or Samsung cellphone. Some even set their eyes on iPhone, which is a symbol of a prestige and status in urban settings. Buying a laptop is another big challenge since it is so expensive. Still, their determination to buy one is inflexible. Take Min, for example. She makes buying a computer her primary goal and is happy that her saving is close to complete: This summer holiday I will work part time. If I get paid 100 per day, and I don’t take rest, I can earn 3,000 yuan. At least I can save 2,000 yuan for tuition. With the remaining 1,000, together with another 3,000 I saved, I can buy a computer. . . My biggest wish is to buy a computer. . .That is my goal. (Min)

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All of these—a laptop, a new dress, a cellphone, a movie and a lavish meal in their favorite Sichuan hotpot restaurant are the niceties offered by the city. They faced struggles between one’s financial capacity and accessibility to all sorts of goods, services, enjoyments and pleasures. These semi-luxuries together have aroused and fostered among them an acute sensitivity towards the issue of “money” as one of the most important urban themes. Here, it is suffice to say that it is through temptations that the numerous urban elements forcefully shape their awareness and experience. Their changed consumption pattern is just one of the most prominent examples in this regard. These urban elements transform their mindsets and lifestyles and lead to the formation of a new identity.

Recombined Experiences to Form Integrated Identity Some migrant students were born in Beijing. Some were brought up here since they were very young. Some joined their parents only recently to receive a high school education. Despite their different backgrounds, they all show a relatively strong desire to stay in Beijing after graduation. Behind their favor for the city is a pro-urban value system undergoing development. This section, starting with the story of Min, sets to analyze why their urban experience weakens their connection with the countryside. Min was brought to Beijing when she was 1 or 2 years old. The winter of 2012 was the first time she finally went back to her rural hometown of Henan for the Chinese New Year. For someone who had no memories of her hometown, this trip was expected to be a new and exciting experience. After all, few things are better than a long-awaited family reunion. Min was longing to see her old grandma whom she had only talked with on the phone. After seeing both the city and the countryside, Min can finally compare the urban and the rural worlds with firsthand information. She is obviously troubled by the superiorities of the city and the drawbacks of the countryside. First and foremost, the striking visual disparities between rural and urban landscapes and infrastructures are hard to overlook. Trades in towering skyscrapers and new buildings as compared to the old traditional village living is a stark transition. In addition to seeing the macroeconomic and infrastructural disparities, Min was also sensitive over the micro details. She noticed that social and cultural differences exist among rural and urban residents. She talked about how differently people look in Beijing and in her hometown without hiding her preference for urban attire. She also gave preference to better manners of urban residents: There is a huge difference between my hometown and Beijing. There are buses, cars and all kinds of shops everywhere in the city. There are a lot of different foods to eat. . . My hometown is different. Buses are countable. You have to walk a long time to get to the nearest bus station, and it takes quite a while for the bus to come. (Min) And people dress themselves in different styles. . . People from my hometown don’t care about what they wear. They will wear anything still wearable. When they have meals, they can at the same time visit a number of neighbors, chatting over their meals. I witnessed myself how far they can chat over one bowl of rice. (Min)

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But this kind of aspirations for city life is not restricted to those who were brought up in rural areas. Many students from second /third-tier cities also have a strong admiration for the glamor of Beijing. The countless high-rises and upward flyovers are in sharp contrast to the low-lying, open, and much less developed rural landscape back in their hometowns. Take Yuan’s opinions, for instance: Apparently, Beijing has many more tall buildings. Roads in our town are mostly dirty roads. Only in recent years, more cement roads are being built. Beijing is entirely different. There are high-rises everywhere. The environment is better. It’s very clean. But my hometown is dirty even though there are more trees. (Yuan)

Likewise, the busy, exciting, affluent, and densely populated metropolitan area makes all their senses vibrate. Moreover, Yuan also noticed the differences between urban and rural people and vaguely touched upon the fundamental factor leading to these differences. She added that: People look different, too. It’s not that people are physically different, but you know there are differences between those who are educated and those who are not. (Yuan)

What differentiates rural and urban people are their experiences. Decided by social, cultural, and economic factors, it is undeniable that an urban status associated with a better educational background is much more highly regarded in Chinese society today. Migrant youngsters rarely hide their preference for the “more advanced” urban style. The interviewed migrant girls’ preference for the city, its values and lifestyle, acquired through comparing firsthand experiences, signals both the big city’s subversion of rural innocence and the estrangement between them and their rural roots. In contrast to the older generation, they have greater expectations and bigger dreams, and they see evidence that such lives are possible through their exploration of the city. Although going back to the rural origins is unrealistic, and despite the backwardness of their rural hometown, they still have their relatives living there; and their rural roots are sometimes not removable from their psyche. This occurs as the periodic struggles between identities, as mentioned above, but now, on the basis of their rural roots, they are more ready to adopt an urban identity and dream for the city life. Schooling is a dynamic process that combined formal procedures and curriculum as well as informal and nondeliberated living experiences. With the abovementioned cases, it is obvious that the rural identity is constantly being transformed by their daily experiences in school and in their ongoing interaction with the urban reality.

Indignation and Developing Born-Again Citizens Struggling between study and part-time jobs, the interviewed migrant students willingly pursue their dream for a new life in the big city. Still, there are pause moments, especially when their emotions are stirred up when being treated poorly by

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the locals. In this section, we discuss how the interviewed migrant students position themselves in Beijing facing the tension between “local” and “alien” and “urban” and “rural” perspectives. When it comes to their descriptions of the treatments they received in the city, the expressions they use, such as “Beijingers” versus “outsiders” and “I” versus “thou,” clearly separate them from the locals. And this happens to those who have a stronger rural identity, but coming to Beijing at an older age: Native Beijingers are very proud of themselves. . . Most of us who come from other places have been remarked by them like: “you are an outsider. . .” or “if not for we give you a place to live. . .” They say those sorts of things. (Yuan) Some Beijingers are not friendly with people from other places. Everyone thinks so, and I’m no exception. I find that, for instance, bus conductors are not willing to answer the questions asked by outsiders. Sometimes, their attitude is simply terrible. It makes me so angry. (Ning)

The hostility felt by them in their daily lives reminds them of their alienated migrant status. The more they suspect that they have been looked down upon by the locals, the more fiercely they deny the attractions of a local identity: Nothing changes the fact that I am a Northeasterner. I don’t think it worth feeling proud to be a local Beijinger. (Ying) Both outsiders and Beijingers are human beings! It’s nothing to brag about! Okay? For all those years I’ve lived, I have never thought about changing to a Beijing hukou. . . Beijingers depend on their families, their parents, and their land! I don’t think it’s bad to be an outsider. I am from Henan, and I’m proud of that. (Yuan)

Many previous researches care deeply about their emotional status such as the sense of belonging and security. However, for some of our interviewed migrant students, it is merely too indulgent for them to be subsumed in sentiments like these. Take Yuan, Min, and Ying, for instance. Concepts such as the sense of security and belonging sound foreign to them: Sense of security. . .? Never cared about that. (Yuan) Security and warmth. . .? I’m not sure if I feel any. It seems to me that these ideas have never come across my mind. (Min) I am in fact someone who is extremely insecure and I’m in desperate need for a sense of security. I don’t think Beijing makes me feel safe enough. (Ying)

It shows that all these girls choose to be mentally strong in upholding their rural identity. Our cases show that it is seemingly not a must for them to deny their rural roots or their alien background. They can be a complex mixture of complex “rural stock” and “urban scion.” Like what the grafting theory proposes, when their “rural stock” and “urban scion” are interacting with each other to stimulate growth, a composite new “being” is created. The city will be home to them, no matter how others or even how they themselves perceive it. Their urban journey begins de facto when they are drawn to the urban world, are attracted by the urban lifestyle, and

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abide by the urban rules. It is fair to say that, to a great extent, they are hybrid of both the city and the countryside.

Identity Integration Efforts and Seeking Opportunities for Developing Situational Identities Observations from a local student bring a fresh perspective on their positions in the city. According to Wen, our interviewed native Beijing girl, there are at least two reasons why she finds it hard to make friends with her migrant classmates: first is the communication barrier; second is their different interest: It is not that I don’t want to be their friend. It is simply a bit difficult for us to communicate. . . They think we are swearing at them, when we actually are joking with them. . . Maybe because we come from different places, we like different things. . . Since what they like and what they know are completely different, we have no common topic. (Wen)

Wen’s remarks serve as a reminder that the process of learning to be urban is also a process of enculturation. It is simply not enough for the interviewed migrant students to learn about how the locals operate and to try to work within that; part of developing an urban-prone identity is leaving behind certain parts of their past in order to be fully assimilated to the urban context. But this process of enculturation takes time. Coming from a Northeast Chinese city, Ning joked about being seen by others as a peasant: Actually, my family is comparatively richer than others back in my hometown. . . My family has our own business, in other people’s eyes, my family is doing quite well, and we are seen by them as urbanites. But now, I’m in Beijing. Beijing is so big and there are so many people. I become so ordinary. There are many students coming from rich families. And since I come from another place, I think I am seen by them as a peasant. (Ning)

There was no resentment in Ning’s expression. In addition, she seemed to be amused by how quickly her image shifted. Likewise, Min cares little about her rural root. For her, what truly matters is the ability to get established in this city: It doesn’t matter if you are rural or urban, as long as you are in Beijing, you have to fight for a future on your own and try your best. (Min)

The efforts of the girls at integrating Beijing and their original rural identities has good potential for the eventual emergence of situational identity grafting that leads to the reconstruction of the self. It is not only about putting their “rural stock” and “urban scion” together but rather about embedding both of their rural and urban backgrounds to reconstruct a new self. It thus involves a good deal of personal autonomy and skills. Due to their families’ financial plights and the lack of fulfillment in the education system, many interviewed migrant students search for purpose elsewhere and find

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working on campus for their teachers more challenging, fulfilling, rewarding, and, most importantly, useful. It is learned that almost all the migrant students interviewed are student cadres one way or another. Despite their varied positions in this hierarchy, they all consider working on campus constructive to their future employment. On the one hand, fully aware of their absolute academic disadvantages, interviewed migrant students pin their hopes on more work experiences and practical skills. Much like in the world of real government officials, to obtain a good position in this students’ hierarchy requires political jockeying and social maneuvering. Believing that strong social skills are the key to success, they generally show a great eagerness to learn how to “deal with people” in order to achieve what they want: Here in this school, I have nothing to say about my study. Mine cannot be compared with that of public school students’. But in terms of socializing, I think I must be much better than them. (Yuan) From working I learned those skills. For example, I learned how to communicate with others in order to meet my own purposes. Also, as to dealing with others, I learned how to mobilize others to help me with something I can’t do by myself. (Xing)

On the other hand, working on campus and building a good teacher-student relationship are ways for them to invest in social capital. Fieldwork observation and students’ talks reveal that as far as they are concerned in today’s society, merely having good personal qualities and education credentials is not enough to secure good employments. Equally important, if not more so, is strong social contact. Being favored by their teachers, especially by those who are involved in job allocation, increases their chance to be recommended to better companies. They have learned from the legendary tales of former distinguished alumni who have so been recruited by the best companies cooperating with their school that if they work well for their teachers now, they will be rewarded in the future: I want to keep good relationships with my teachers at school, so that when allocating internship opportunities, they can arrange me a suitable one. (Wang) Above all, I hope to have deeper communication with my teachers. Later, when it is time for job recommendation, they can arrange me a suitable job based on how I have been working and behaving. (Yuan)

Furthermore, they also want to benefit from their teachers’ social networks. Teachers are probably the highest in the urban social hierarchy they can reach. Rarely do migrant students have any social connections which are more “influential” than the one between them and their teachers. For migrant students, their teachers are more like a rare “handle” they can have for moving into the urban social network. Coming from migrant families that often lack any sort of social capital, they cannot rely on their families to secure a job for them outside their migrant circle. In the hope of looking for the so-called golden rice bowl – jobs which provide decent income,

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comprehensive social welfare, and advanced social status – they have to rely on fantastic contacts. As to the strategies to achieve such good teacher-student relationships, it is almost likely that there is a roadmap in their mind guiding their endeavors. As told by the interviewed migrant student cadres, the first step to win their teachers’ favor is to get their attention. Since every student hopes to be noticed and fall into the good graces of their teachers, teachers’ attention and blessings become a very limited resource. This gives rise to tough competition among the students. In order to stand out from the crowd, those ambitious teenagers who lay their eyes on long-term benefits not only need to work hard but also apply some strategic social maneuvers: First of all, you need to do your jobs dutifully. But that’s the most basic and far from enough. You have to be able to raise constructive or very creative points. For instance, when you run for a position in the student union, if you bring about a very useful suggestion and it is adopted by teachers, they will think that you are clever. In future, if there are new problems, they will ask you for ideas. That’s the first step of success. After that, if you work hard, teachers will know that you are also a diligent and careful student. Hence since you are both clever and diligent, you become a good student in their eyes. Then, you stand out above the rest. (Ning)

Without much help from their families, it is natural for them to place their hope in teachers. Good teacher-student relationships are a kind of purposive investment built on careful calculations and tactical moves. However, it is not sure how much sincerity is embedded in this relationship or how many students will truly benefit from their connections in the future. The strategies of seeking help from teachers demonstrate how their situational identity works – our interviewed migrants make use of their rural identity to present their helplessness, in order to obtain empathy from their teachers. However, their ultimate goal is still to survive in the city, especially when they manage to get a job and live in the city, as the other city dwellers.

Discussion The literature on identity grafting for migrants generally describes the citizenry deficiencies that the migrants experience, like citizens on the margins, with such characterization as irregular and temporary residency, not having ties to the society and social membership, and, to the extreme, homelessness. Our study focuses on understanding how the migrants struggle with their citizenship identities, from the moment they found their identity was lost to the moment they grafted their identity, via refining and redefining processes, such as repressing their own identity, rebirth of a new identity, recombining and integrating their former and their new identities, and reconstructing these identities into a complex one that can be applied to various situations. What is more telling is that such phenomenon does not only apply to the first generation migrants; such impacts are carried on to the migrants’ second generation as well. Mendel (2011) has conducted a study on homeless people as

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citizens on the margin. From her in-depth interviews, she has found many negative dispositions among her informants, such as a strong division between “I” and “thou” and at the same time a clear feeling of exclusion: “this isn’t my business nor my world.” However, she also found that the homeless migrants were not at all negative and passive. Despite their powerlessness and homelessness, they rationalize “Our World,” i.e., their rational existence, and they do insist to work, even though their work may be regarded as of no value by the dominant society. Stefan Czarnowski (2006, pp. 95–96) puts forward the concept of social margin, referring to those “people below all the social classes, without a clear social status. From the position of production of material or intellectual goods, they are unnecessary, so they are considered by themselves unable to find a place in the world.” Social margin also exists, but this group is also generated by the society – “a defined group of interest, dominating at the given moment and place, a group usually involved in maintaining the established economic/political system—as a group which is needed by it and conditions its undisturbed existence in the established order.” Mendel (2011) also found that the homeless people interviewed by her, despite all the deficiencies and limitations, see themselves through the eyes of the “Legal World.” It is easy to notice that they already have an idea of what a good citizen is and that they very much want to “qualify” to be that kind of citizen. She argues from her findings that these people provide a good source of citizenship identity in two significant ways. First is the design of all forms of human coexistence. Her homeless subjects managed to redefine their existence into a rationalized legal world. She thus proposes the concept of “heterotopia,” that is, the acceptance of diverse utopia for diverse groups, as the beginning of citizenship education. Second is the advocacy of the space of “our-ness,” rather than dichotomizing your world and our world. The lessons we can learn from our case study is that the interviewed migrant students have all managed to work their way out and also defined their own existence via identity grafting. When looking at the macro-picture of migrant population, it seems they are disadvantaged in all sense: being permanently transient, being denied of social membership, and even feeling of being powerless and even homeless. However, when we look at the individuals, each individual is defining and redefining himself/herself in the process of identity grafting. Jarvis (2009, p. 6) suggests that the process of acquiring a new identity is essentially a learning experience. He argues that “a person is an individual capable of doing, thinking, and sensing in a wide variety of ways.” He believes that “the person is not fully formed at birth” but “is learned in the process of human living” (ibid.). There is above all a need to clarify what comprises learning. To Jarvis, learning is all about “being” and “becoming” (ibid., p. 25), and he emphasizes greatly the functions of the mind, the social environment, and the social relationships of the learners in their learning practice. The learning outcome is thus a new self (ibid., p. 135): Our identity is neither an empirical nor a scientific phenomenon—it is not intrinsic to our body but is constructed as a result of our being and acting and from our learning.

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The most exciting implication of Jarvis’ argument is that “a person has an active role to play in this reinvention, as this person is capable, or at least partially capable,” of deciding where to live, what to do, and with whom to socialize. The other important argument is that the “self” is essentially an open, ongoing, and never fully constructed concept: a person’s identity, throughout their life, is never complete. Whenever a person’s social situation changes, a new learning process starts and this leads to the development of a new self (ibid., p. 25). Paradoxical as it is for a lost identity to reconstruct identity after migration, this is in accord with the Chinese philosophy that a loss may turn out to be a gain. Failing to capture this subtle fluidity of converting something bad into something good, most sociological studies on migrants often overemphasize the difficulties confronting migrants and typologize victims of the dominant social system (see Mendel, 2011; Czarnowski, 2006). Young migrants, in fact, might embrace a much brighter picture. Migration is a very personal experience, and as such its essence can only be grasped by migrants – not assumed subjectively as bystanders.

Conclusion: Implications for Identity Grafting for Marginal Citizens To conclude, this chapter addresses the urbanization journey of the second generation migrant workers attending a vocational high school in Beijing. Migrant children are easily marginalized in the urban context as they are still being regarded as aliens. Their place of origin is also an important factor for them to determine their sense of identity and for them to frame their position in the social arena. If they are going to stay for long in the cities and to have a life there, it is necessary for them to develop a new identity or to transform their original identity so that they could integrate with the local and to make believe that there are positions for them in the places where they are now dwelling. The values of this research lie in the following aspects: First and foremost, unlike most previous studies focusing on younger migrant children receiving compulsory education in cities, this study follows an older age cohort, so as to fill in the knowledge gap in regard of these migrant teenagers’ experience between compulsory education and labor market. Second, borrowing ideas from Jarvis and D. Lee’s studies, it argues that reconstructing a new identity is a learning process, with imitation, subversion, hybridization, and recombination as the concrete four steps. As mobility is becoming easier and more common and frequent with economic growth and social restructuring, how to locate oneself in the urban context has become a common experience of youngsters coming from rural backgrounds. To pick up new social roles and an urban identity is a difficult, frustrating, fluctuating, and slow process, and social resistance and obstacles, such as discrimination, are always unavoidable. Education therefore plays a very essential role in empowering the transformation capability of this marginal group of students as the schooling environment in this case study is less threatening and more conducive for students to learn from trial and

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errors. For the second generation migrants, education is the vehicle and process for them to develop the new identity and to make rooms for the rural identity to be taken on a new kind of intercultural identity and a combination of rural-urban cultures and identity. This seems to be very crucial for new identity building and to play down the negative implications of the marginal citizenship that come along with their rural background. Third, by adopting identity grafting as the theoretical lens, this chapter examines and unveils how the interviewed migrant youngsters navigate the rural and urban contexts, negotiating their new pro-urban identity. Fourth, unlike most previous studies that understand disjuncture by and large negatively, this study recognizes disjuncture as the time to learn. In the case of the migrant students studied in this research, it is the two types of disjuncture mentioned above that have forcefully pushed them to adapt and change in fit in the urban world. Last but most important, rather than seeing their identity issue from the traditional dichotomy discourse and confining these interviewed children to victims in the city, this research not only recognizes the complexity of their identity by giving credit to its hybridizing nature but also values highly the individual autonomy embedded in their search for a new self. For long, we have been influenced by the dichotomy discourse and separate rural migrant from the urban mainstream by their hukou status. This research does not at all mean to cover up the negative impacts and the unfair nature of the hukou system. Rather, it aims to draw attention to the longings and efforts at the individual level and to amplify their impacts on subverting the man-made social, economic, and political dichotomy from the very bottom of society. Acknowledgments This chapter is an outcome of the “Globalization and Education Policy Program” sponsored by the Philosophy and Social Science Innovation Support Plan of Henan Province (2019-CXTD-09).

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . An Analytical Framework for School-Based GCE in Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Three Initial Lenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Multiplying Frames of Reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Interpretive: Empathetic Entrepreneurs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Narrative: Humanitarian Protagonists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Critical: Postcolonial Activists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion and Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Persistent Colonial Metanarratives in GCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teaching Toward Decolonial Approaches to GCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Global citizenship education (GCE) is an educational paradigm that is both ubiquitous and contested. Education reform efforts have reflected curricular and cultural perspectives of dominant national identities and competitiveness in the global market. In various Asian societies, legacies of colonial rule, depoliticized approaches to civic education, and persistent social inequalities further complicate the nature of schooling, teaching, and how students build an understanding of their roles as members of the global community. This chapter provides key findings from literature and case studies to identify classroom practices that support more critical, democratic, and cosmopolitan forms of GCE in Asian societies. In particular, it points to the ways educators in some Asian contexts T. Alviar-Martin Kennesaw State University, Kennesaw, GA, USA e-mail: [email protected] M. Baildon (*) United Arab Emirates University, Al Ain, United Arab Emirates e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_144

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are able to enact issues-based civic education to address challenges that confront Asian societies, such as the hegemony of neoliberal and nationalistic forms of education and the plight of marginalized communities (e.g., indigenous communities, LGBTQ youth, and migrant workers in the global economy). In a previous analysis, the chapter authors drew on Asian frames of reference and principles of inter-referencing to identify interpretivist, narrative, and critical influences on GCE policies, perceptions, and practices. This chapter builds on the previous analysis by proposing an analytical framework for classroom enactments of GCE based on the notion of deimperialization and a decolonial approach to civic education focused on perspective, purpose, and power. In doing so, the authors seek to shift points of reference and illuminate grounded, often overlooked perspectives, and suggest more transformative conceptions of curriculum and classroom practice for GCE in Asian societies. Keywords

Colonialism · Global citizenship education · Imperialism · Indigenous perspectives · International schools

Introduction Since the turn of the millennium, scholars have increasingly examined how to prepare young people for their roles as citizens of their nations in an interconnected global community. Generally, this scholarly work points to the persistence of nationalist and neoliberal discourses shaping educational policy, curriculum, and classroom practice; and that educational priorities remain committed to enhancing economic growth and competitiveness, strengthening national identity formation, and inoculating societies against perceived global uncertainties and risks (e.g., Alviar-Martin & Baildon, 2016; Gaudelli, 2016; Stein, 2021). Further, dominant Western, colonialist, and imperialist perspectives have shaped notions of “the global” and the creation of knowledge in the social sciences and education (Alatas, 2003; Willinsky, 1998). The dominance of these perspectives and purposes has led to calls for critiques of Eurocentrism, colonialism, and imperialism that consider “Asia” as subject matter and devalue Asian societies as sites of meaning-making and praxis (Chen, 2010; Said, 1978). In the field of GCE scholarship, Kennedy (2004) observed the need for civic education studies that can contest and provide alternative perspectives to scholarship that has traditionally viewed Asia through binary East–West frameworks, or “the relevance or not of the Western imagination to non-Western countries” (11). While there has been ongoing interest in Asian-centric perspectives of civic education, there is a dearth of studies that have taken up this call to feature or examine more critical conceptions and practices of GCE in Asian societies. Andreotti and de Souza (2012) further argue that perspectives, purposes, and power relations that tend to constitute GCE conceptions and practices must be explicitly critiqued using postcolonial perspectives. They contend that postcolonial

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studies can provide analyses of power relations and knowledge in the conceptualizations and practices of GCE that often “unintentionally reproduce ethno-centric, ahistorical, depoliticized, paternalistic, salvationist and triumphalist approaches that tend to deficit theorize, pathologize or trivialize difference” (1). Pashby (2012) notes that it is necessary to develop working definitions of imperialism and colonialism that might guide these analyses. Drawing on Said (1994) and Willinsky (1998), among others, she highlights relationships between imperialism and colonialism as practices, theories, and attitudes of a dominating power (such as Western nations) ruling territories that are possessed and lived on by others. Pashby argues that, “Both concepts involve overt, direct measures as well as less obvious discursive modes of power that work at the level of ‘imagination’ to govern powerfully both on a level of physical and social institutions and on an epistemological level by enforcing a particular worldview” (12). For these scholars, any sort of GCE that seeks to promote global social justice will require a strong understanding of imperialism and colonialism to critique and transform hegemonic global forces. Sabzalian (2019) extends calls for postcolonial critiques and understandings by arguing for an explicitly anticolonial form of citizenship education in which conceptualizations and practices of GCE are “placed within the context of ongoing colonization and Indigenous peoples’ struggles to protect their lands, lifeways, nations, and sovereignty” (313). The present chapter responds to these calls by considering studies drawn from classroom sites in Asia to explore their critical potential as forms of transformative practices and struggles against imperialism and colonialism. Whereas research from Asian societies has focused on the conceptions of GCE primarily through analyses of national-level contexts, discourses, policies, and curriculum, this chapter focuses on school-level implementation and classroom enactment in different Asian jurisdictions. Drawing on recent case studies, the chapter highlights three lenses of GCE – interpretivist, narrative, and critical lenses – that characterize the ways schools and teachers have responded to dominant nationalistic, Western-centric, and neoliberal discourses. However, there is a need to challenge colonial-imperial structures more explicitly, identity formations, ways of thinking, and educational practices in Asian contexts. Since the fifteenth century, Asian societies have been sites of colonization and imperialism that led not only to economic exploitation and forms of political rule over the colonized, but to the imposition of ideologies, knowledge constructions, and imperial cultural imaginaries (Chen, 2010; Santos, 2007). For Taiwanese scholar, Kuan-Hsing Chen (2010), deimperializing and decolonizing efforts can work together to dismantle the social, economic, political, and ideological constructions left by legacies of imperialism and colonialism and help to reconstruct Asian social and thought systems through “Asia as method,” inter-referencing, and a critical syncretism. Chen highlights the relationships between colonialism and imperialism, by noting how (M)any colonies have won independence only to become sub colonies, falling prey to their former colonizers. . .because of their economic, cultural, and political dependency on the new imperial (former colonial) power. The stratified hierarchical construction of neocolonial imperialism is the present phase of global capitalism. (Chen, 2010, p. 18)

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Deimperialization and decolonization necessitate “the colonizing or imperializing population to examine. . . consequences of imperialist history that has formed its own subjectivity” (Chen, 2010, p. 4). To support such efforts, this chapter turns to decolonial approaches advocated by scholars in education (e.g., Andreotti & de Souza, 2012; Tuck & Yang, 2012; Zhang et al., 2015). Along with anticolonialism (Sabzalian, 2019), decolonization is distinguished from postcolonialism by efforts to shift away from Western, colonialist, and imperialist epistemic views (whereby postcolonialism might be construed as a form of Western theory) toward more Asian-centric, local, Indigenous, and active forms of resistance to imperialism and colonialism. The chapter is organized to first review studies of recent work focused on GCE curriculum and enactment in Asian societies (Alviar-Martin & Baildon, 2021). It then forwards a decolonial categorical framework to civic education focused on purpose, perspective, and power (Andreotti & de Souza, 2012; Sabzalian, 2019). Employing grounded theory, the chapter reviews case studies of school-level GCE to test the salience of the emergent categorizations as an analytical framework for classroom enactments of GCE. Through these analyses, the chapter aims to identify key principles to move forward GCE practice in Asia. The chapter features insights for enacting GCE through transformative and justice-oriented ways, such as allowing for counternarration and the inclusion of marginalized perspectives to challenge dominant state and neoliberal discourses, a greater focus on Indigenous and decolonial education approaches, and a critical syncretism and hybridity that propose new possibilities for future classroom practice (Chen, 2010).

An Analytical Framework for School-Based GCE in Asia Examining several case studies across Asia (China, Hong Kong, Taiwan, Japan, South Korea, the Philippines, Singapore, and Islamic education in Asia), in a previous study, the chapter authors found evidence of three overlapping perspectives – interpretive, narrative, and critical – that shaped how GCE was conceptualized, justified, and enacted (Alviar-Martin & Baildon, 2021). Referred to as lenses, these perspectives illuminate teachers’ varied approaches to GCE enactment, with the recognition that these lenses often intersect as part of teachers’ instruction.

Three Initial Lenses The interpretive lens in GCE calls attention to the ways education is fundamentally about collective meaning-making around public issues that affect individuals and communities at multiple (e.g., local, national, regional, and global) scales. For example, the interpretive perspective was evident in Liang’s (2021) study of how ideologies of Confucianism, liberalism, nationalism, and cosmopolitanism were interpreted, reinterpreted, and hybridized to inform GCE and conceptions of human rights education (HRE) in China. Her study demonstrated the tenacity of

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nation-centric discourses, especially in how GCE and HRE conceptions underwent revisions in response to sets of tensions between individual and community rights, ethics and politics, cultural traditions, and universal ideas, such as the United Nations Declaration of Human Rights. A similar study examined discourses of Muslim cosmopolitanism to highlight tafsir, the hermeneutic traditions of Islam. Hassim (2021) argued that hermeneutical interpretations of texts (religious or secular) generate spaces of meaning-making dialogue in GCE. Although there is a tendency to emphasize the varied – and, at times, conflicting – interpretations of cosmopolitanism in Islamic texts, tafsir allows for such interpretations to coexist. A narrative lens is fundamental to how human beings navigate the world and how they view themselves, others, and the world. The narrative stance was evident in Singaporean teachers’ use of literature to invite students to foster a narrative imagination (Nussbaum, 1997), explore different perspectives, and develop “cosmopolitan empathy” (Choo, 2021, p. 166). In Choo’s study, teachers used literature to help their students understand migrant workers’ living and working conditions in Singapore, and how the issues they faced were linked to broader global issues of labor flows, precarity, and exploitation. Hung’s (2021) study featured one Taiwanese teacher’s efforts to question dominant historical narratives that ignored the perspectives of common folk, women, and Indigenous groups. Instead, the teacher incorporated primary sources and literature to give voice to “small histories” (136), such as letters written by Taiwanese citizens who had witnessed the “228” incident that marked the start of Taiwan’s White Terror era. The cases from Singapore and Taiwan illustrate how narrative perspectives can begin to challenge official stories and forms of power. Teachers and students in these studies began to question colonial legacies and dominant nationalistic and neoliberal influences. The critical lens calls for a shift in historical modes of knowledge production and meaning-making while recognizing the heterogeneity of identities and aspirations (Andreotti & de Souza, 2012). Transformation in the critical sense rejects existing structures that frame definitions of success, identity, and belonging. As Chen (2010) contends, such discursive alterations in the context of Asian societies would draw on local or cultural traditions, values, and practices that extend “beyond the boundaries and divisive positions historically constructed by colonial power relations” (99). For example, Tang, Cheng, and Ho’s (2021) survey study described the civic perspectives of Hong Kong youths who had attended secondary school after Hong Kong’s reversion to China in 1997. Although global citizenship has faced criticism as an abstraction, the authors underlined how Hong Kong youth regarded global citizenship and democracy as unifying touchstones of affinity, a “mental territory” that enabled them to resist nationalist claims on their identity and explore alternative affiliations based on human rights, justice, and democratic freedoms. Leviste’s (2021) case study of a secondary school working with the Lumad, an Indigenous people in the Philippines, highlighted how critical and subversive forms of GCE are necessary to understand and address deeply rooted inequalities. The study demonstrated the value of Indigenous and non-Western epistemologies and importance of collective action (praxis) to address injustice, inequality, and human rights issues. Teachers in the study selected materials to critique the concept of land ownership and

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drastic socioeconomic inequities in the Philippines. Students participated in political demonstrations to protest unjust policies and move toward more transformative and emancipatory forms of education through their direct engagement with people in the struggle for justice.

Multiplying Frames of Reference The interpretive, narrative, and critical lenses observed in case studies of GCE in Asia offer opportunities to multiply frames of reference (Chen, 2010) and enable a reimagining of local curriculum to encourage different classroom enactments of GCE. Much research on civic education in Asia has attended to intentions in national policy and curriculum documents. The present investigation shifts the analysis to characterize the implementation of curriculum as seen through school-level documents, educators’ perceptions, and teaching practice. The chapter features selected studies of GCE and civic education published in the last 5 years (2016–2021) to develop an analytical framework. The chapter authors’ previous analysis of GCE encompassed seven Asian jurisdictions and included studies of policy and curricular documents, textbooks, classroom teaching, and a national professional development model to promote GCE. Adhering to grounded theory, this chapter extends previous inquiries by determining ways that interpretive, narrative, and critical lenses were evident in the reviewed studies. Drawing on Sabzalian’s (2019) framework for anticolonial curriculum, this chapter focuses on three overlapping categories within the thematic lenses: perspectives, purpose, and power. While purpose was not a part of Sabzalian’s framework of six orientations – place, presence, perspectives, political sovereignty, power, and partnerships – we have collapsed her call for place-based education that recognizes all education as taking place on Indigenous lands, greater recognition of the presence of Indigenous peoples, and the focus on political rights and responsibilities, as a fundamental reorientation of the purposes of civic education. The guiding questions of the analysis and characteristics for each category appear below, whereas Table 1 summarizes the categorical characteristics within each thematic lens and corresponding case studies.

Perspective – In What Ways Do School-Level Curriculum and Practice Reflect Different Worldviews? The perspective dimension focuses on ways the curriculum provides students with a long-range trajectory of their locality’s history, people, and identities. Perspective encourages openness to various philosophies, traditions, and approaches to knowledge construction that shape meanings of the “global” and how history has been experienced differently when viewed from various cultural, national, gender, or socioeconomic lenses. Similar to Hanvey’s concept of “perspective consciousness” (1976), this dimension is mindful of how individuals construct knowledge and values based on unique experiences and discursive contexts, and builds on the assumption that we have much to learn from interacting with people whose worldviews may differ from our own (Appiah, 2006).

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Table 1 Sample cases and characteristics of GCE thematic lenses Characteristics Perspectives Power Cases Interpretive lens: empathetic entrepreneurs China Multiple perspectives: Tend to reinforce documents stories, viewpoints, patriarchal, neoliberal, (Liang, 2021) ideas, and opinions of and nation-centric Muslim different groups ideologies cosmopolitanism Mostly Western point Interrogate minimally (Hassim, 2021) of view that overlooks how certain groups are Two Singapore historical role of marginalized by global case studies conquest and enduring influences on the (Chung et al., effects of colonialism economy, culture, and 2017; Baildon & in society language Bott, 2020) Highlight how local people, communities, cultures, and economies benefit from nation’s participation in global exchanges Narrative lens: humanitarian protagonists Singapore Study how history has Interrogate own literature class prioritized dominant positionality within (Choo, 2021) group’s perspectives structures of power Taiwan history Highlight stories of Work within existing class (Hung, marginalized and loci of power to 2021) overlooked groups as include marginalized Hong Kong an additional source of groups Bayview School knowledge (Baildon et al., Interrogate students’ 2018) personal histories Hong Kong Considers otherness as Oxfam program external and separate (Chong, 2017) from homogenous self Critical lens: postcolonial activists Emphasizes counterWorks to diminish Philippines Lumad (Leviste, narration and inclusion influence of 2021) of marginal patriarchal, neoliberal, HK Youth Study perspectives; colonial, and nation(Tang et al., indigenous knowledge centric ideologies 2021) Accepts heterogeneity Critical praxis to upend India AAP of perspectives, power structures School knowledge, and (Dhuru & aspirations Thapliyal, 2021) Considers otherness as Singapore TGI constitutive of School (Baildon heterogenous self et al., 2018)

Purpose Expand awareness of others’ values, cultures, ways of living, and worldviews Strengthen empathy and intercultural competence Emphasize interrelationship between local and distant communities, as well as positive forms of globalization and hybridization

Deepen students’ identity and selfawareness Build ethical connection between self and people in distant communities Seek to involve historically marginalized groups in common struggle for alternative futures

Build solidarity with others through uncoercive relationships Seek plurality of ways that individuals and groups define transformation and alternative futures

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Power – In What Ways Do School-Level Global curriculum and Practice Attend to Differentials of Power in and Across Societies? Power in today’s interconnected global community stems from complex networks formed in large part through legacies of colonialism and resultant dominance of certain ideologies such as neoliberalism, nationalism, persistent of patriarchal traditions, and heteronormative worldviews. Economic and other forces of globalization have reinforced these unequal structures of power. This category attends to the ways teachers and students develop a systems view of the world and how policies, stories, discourses, and social practices create hierarchies based on categories of gender, income, ethnicity, religion, etc. Purpose – What Are the Aims of School-Level Curriculum and Practice of Global Civic Education? What Are the Justifications for These Aims? This dimension examines the underlying rationale and motives in preparing students for their roles as citizens in their nations and the global community. Scholars have noted different aims for GCE, such as approaches that encourage competitiveness in the global economy, strengthen intercultural competence, build an ethical awareness and solidarity with people in distant societies, and/or seek transformative change by dismantling colonial legacies of inequality and injustice. Purpose determines the ways that such aims are communicated and enacted in the school curriculum. The selection criteria of school-level documents, educators’ perceptions, and/or teaching practice yielded six additional cases that focused on GCE: three from Singapore, two from Hong Kong, and one from India. When combined with studies from the initial analysis, the review featured a total of four cases that mirrored the interpretive lens, four cases that reflected the narrative lens, and four that captured the critical lens.

Interpretive: Empathetic Entrepreneurs Analyses of curricular documents from China and Muslim hermeneutic traditions embodied the interpretive lens of GCE. Just as Liang (2021) emphasized the merging of Confucian, cosmopolitan, and nation-centric discourses in Chinese curriculum and policy, and Hassim (2021) highlighted the potential of hermeneutic traditions to identify commonalities across Islamic schools of thought, the interpretive lens underlines the need to broaden students’ awareness, develop skills of intercultural competence, and foster a sense of empathy. Notably, the interpretive approach remains largely silent on the structures of power that determine the extent to which groups can participate in democratic deliberation and political decision-making (Gibson, 2020). Students may learn about the values and worldviews of distant communities, but have few opportunities to critique Western-centric narratives that are portrayed in curricular materials, such as cultural legacies of European colonization and more recent neoliberal trends (Pashby & da Costa, 2021). Given these characteristics across categories of perspectives, purpose, and power, interpretive

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classroom-based practices of GCE prepared students to be “empathetic entrepreneurs,” which is captured in two themes: “building entrepreneurial mindsets” and “empathetic action.” Two cases from Singapore exemplified the interpretive practice of GCE.

Building Entrepreneurial Mindsets The first case, Entrepreneurial Institute (Chung et al., 2017), is considered a pioneer of the Singapore government’s Future Schools Initiative that promotes innovative curriculum design responsive to the changing demands of the twenty-first century. A team of teachers designed a holistic curriculum framework that encompassed critical and creative thinking and caring. An “entrepreneurial mindset” – described as having the courage to take calculated risks, being open to learning from failures, imagining the world from multiple perspectives, and helping produce insights to achieve breakthroughs – unified these modes of thinking. Although the global curriculum aimed to cultivate open-mindedness and innovation among students, the school’s ultimate purpose was couched in ways that did not challenge current structures of power or achieve justice-oriented transformative ends. Rather, the curriculum aimed to prepare students to “lead Singapore’s. . .next generation of high-tech growth.” The school’s partnership with corporate entities headquartered in Northern economies (e.g., Rolls-Royce, GlaxoSmith Kline, and 3 M), its emphasis on STEM subjects, and affiliation with high-performing schools in the USA reveal a predisposition for Western-centric knowledge. The school’s reluctance to shift loci of power is best captured by the teachers’ description of students as wellqualified “technopreneurs” and policymakers who will “join the pipeline” of Singapore’s leadership (Chung et al., 2017, p. 397). Empathetic Action The interpretive purpose of broadening students’ perspectives – while not necessarily challenging existing structures of power – was likewise apparent in the Lakeview School case study (Baildon & Bott, 2020), where three teachers designed and implemented a course centered on student-centered learning, classroom discussion, and inquiry into global issues. Students investigated the plight of migrant laborers in Singapore. The school principal described the global curriculum as a moral enterprise, a means of strengthening core values and social harmony, while emphasizing the need for students to take personal responsibility for their actions. The teachers concurred with the school principal’s ethical rationalization of GCE. Rather than critical inquiry into the political, economic, or structural conditions of migrant labor as a global issue, teachers emphasized the need to cultivate empathy, culminating in the school’s hosting of a day-long carnival to bring joy to the workers. The focus on empathy and a relatively safe voluntaristic approach to action was consistent with other studies of classrooms in Asia (e.g., Kennedy & Fairbrother, 2004; Lee, 2006). Furthermore, the interpretive cases align with a UNESCO (2013) study of 12 Asian societies (Bhutan, Brunei, China [Shanghai], Hong Kong, Indonesia, Japan, Republic of Korea, Malaysia, the Philippines, Singapore, Thailand, and Mongolia) that found formal education initiatives in the region interpreted GCE as a

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moral rather than political endeavor. Despite increased trends of encouraging students to engage in the study of societal/global issues, like teachers in the Entrepreneurial Institute and Lakeview School, these pedagogies were meant to strengthen students’ identities as ethical citizens of their nations and enhance skill sets for competition in the global economy.

Narrative: Humanitarian Protagonists In contrast to the interpretive lens, the narrative lens aims to present a story of the world that recognizes how certain groups have become dominant actors, while others have been marginalized within postcolonial structures that reify Eurocentric cultural orientations, nation-centric Western political traditions, and/or free-market economic models. Through selection of content that seeks to give voice to unheard perspectives, and through teaching strategies that encourage students to reflect on their identities, relationships, and positionalities within an interconnected human community, the narrative lens seeks for marginalized groups to gain recognition within existing structures of power (Pashby, 2012). The previous analysis featured two examples that embodied narrative teaching approaches: the case of one literature teacher’s instruction to give voice to overlooked stories of migrant workers in Singapore (Choo, 2021) and Hung’s (2021) study of a teacher’s efforts to examine Taiwanese history beyond rigid and binary approaches centered on Chinese identity. In this present review, two cases from Hong Kong captured the narrative approach to GCE practice.

Fostering Humanitarian Identities Founded as a Christian missionary school, Bayview Academy adheres to an American-style curriculum and caters to children of expatriate families and local elites (Baildon et al., 2018). Given their students’ cultural diversity and privileged social status, teachers designed a humanities course incorporating international service components. Bayview teachers envisioned GCE to foster students’ identities as members of an interconnected human community and instill a sense of responsibility toward marginalized and impoverished groups. This rationalization entailed GCE curricula and pedagogy that sparked spiritual awareness based on the school’s Christian roots combined with the principle of shehui zeren (social responsibility) emphasized in Chinese culture (Sim & Chow, 2019). Students learned about an ecological view of the world as evident in the creation stories of Maori and Australian Aboriginal cultures. Through a literary unit on Lord of the Flies, simulation activities, service projects to build a school in the Philippines, and living for 1 week in a Chinese orphanage to care for an infant, students learned to ponder relationships between human beings and develop a duty of care for the vulnerable and the voiceless. A case study of junior secondary school teachers’ instruction about poverty in Hong Kong evidenced a similar humanitarian view (Chong, 2017). Collaborating with the NGO, Oxfam Hong Kong, the teachers sought to foster students’ empathy for people who experienced poverty such as the homeless, elderly residents in public housing, and low-income families living in subdivided flats or illegal rooftop

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dwellings. Initially, the teachers noted that students discussed poverty as a local issue and viewed poverty as the government’s responsibility. To address these concerns, students researched experiences of poverty in other countries to identify common issues confronting poor families, women, and elderly populations. The transnational comparisons resulted in students developing a deeper understanding of connections between global trends and local issues of poverty in Hong Kong, while cultivating “a sense of empathy” and “willingness to take action to help the less privileged” (Chong, 2017, p. 304). Similar to Bayview teachers, the Oxfam curricular emphasis of caring for others emerged as a facet of “communal and individual wholeness” where one’s life story could not be actualized unless inserted within the broader narrative of a shared human existence (Baildon et al., 2018, p. 44).

Prescribed Protagonism The two cases of narrative GCE featured in the initial analysis (Choo, 2021; Hung, 2021) sought to empower marginalized communities (e.g., migrant workers in Singapore and Taiwanese identities based on overlooked experiences). Notably, these teachers’ pedagogies tended to confine students’ roles as protagonists of change within existing parameters of power and homogenous “prescribed idea (s) of the future” (Andreotti & de Souza, 2012, p. 2). This characteristic was likewise evident in the two Hong Kong case studies. Bayview teachers expressed a desire that – through service activities and reflection on their privileged positions in society – students would be able to act against entrenched inequalities. One teacher, Ed, noted that the humanities course was a deliberate response to an “unsustainable industrial model” that was the legacy of Western-dominated colonialism and economic development (Baildon et al., 2018, p. 49). Yet, he underlined that the course promoted social responsibility rather than social justice to challenge systems of oppression. Ed further acknowledged the irony of their GCE practice when set against Bayview’s mission to equip students with credentials to compete in a global economy. As another teacher admitted, he felt as though his teaching skills were sold “to the highest bidder. . .in order to build up the elite . . .” (49). Similarly, the Oxfam-affiliated program was aimed at deepening students’ empathy and connection to distant communities. Although students developed a greater sense of responsibility for others, the program overlooked students’ political capacities to interrupt entrenched power structures, or move beyond binary constructions of “oppressors and oppressed, saviors and beneficiaries. . .” (Andreotti & de Souza, 2012, p. 2). In all, these narrative practices underline the potential of GCE to serve as foundations for students to consider global issues through justice-oriented and liberatory frameworks. However, teachers’ efforts are often limited by neoliberal policies and humanistic curricula that are unlikely to disrupt colonial and depoliticized narratives.

Critical: Postcolonial Activists The previous analysis yielded few cases of the critical lens being enacted in schools in ways that directly challenged existing power relations, political and economic

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structures, or historical legacies of colonialism and injustice. However, like the study of students in the Philippines working with Indigenous peoples (Leviste, 2021), analysis yielded a case focused on GCE with the Adivasi communities (Indigenous, original inhabitants, or ethnic minorities) of the Indian subcontinent, and a study of global issues instruction at an international school in Singapore. The critical approach to GCE practice, which was termed, “postcolonial activists,” is captured in two themes: praxis-based globalism and political activism.

Praxis-Based Globalism The case study from India focuses on the Avehi-Abacus Project (AAP) started in 1989 by Shanta Gandhi, a freedom fighter and educator, for children of a village near the Narmada River. The AAP features teacher training and curricular materials built around students’ questions about themselves and their surroundings. It draws on conceptions of GCE put forward by Indian educators, such as Mahatma Gandhi and Rabindranath Tagore, and social movements led by Dalits (lowest caste in India’s caste system), farmers, Indigenous, and poor rural communities. The study’s authors (Dhuru & Thapliyal, 2021) noted that AAP embodied critical GCE by grounding critique in participants’ everyday realities, in contrast to dominant GCE approaches that emphasized “universalist notions of open-mindedness” while lacking interrogation into prejudices and “engagement with specificity or particularity” (Dhuru & Thapliyal, 2021, p. 413). Students examined “silenced histories” and analyzed structural inequalities experienced by “Dalits, Adivasis, women and the poor. . .using case studies and statistics about education levels, income, property ownership, and occupational status” (414). A similar praxis-based globalism was apparent in The Global Institute (TGI) in Singapore. While offering a curriculum within a highly competitive and elite international school environment, TGI’s explicit mission is “to foster peace and sustainability by providing a transformational educational experience that empowers students to become agents of change” (Baildon et al., 2018, p. 37). The study featured teachers who enacted a global issues course where students designed inquiry projects to focus on and critically interrogate local sociopolitical issues. Students were required to consider marginal perspectives and advocate or act to improve social conditions. Using global frameworks such as human rights, sustainability standards, and globalization and the economy, students investigated gender equality, LGBTQ rights, environmental issues, and poverty in the local context. Political Activism Beyond linking global principles through situated praxis, the cases of AAP and TGI showcased participants’ consideration of global issues through studies of policy and action on behalf of marginalized groups. Political activism paved the way for students’ understanding of colonial, patriarchal, and neoliberal legacies, and, in some cases, challenged these dominant influences. The AAP is based on principles of Manthan (translated as churning or agitation) teacher training, that supports learning to engage with complex social issues related to caste, class, gender, nationalism, and the environment, and Sangathi, emphasizing

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harmony, togetherness, and balance. Through a series of modules, students examine how various forms of inequality became enmeshed in India’s history through policies, political rhetoric, and colonial rule. For example, teachers provide counternarratives about Adivasi communities that highlight their histories of injustice, oppression, violence, dispossession, and “displacement from traditional lands by Hindu feudal lords in medieval India, British colonisers. . .the post-Independence state and multinational corporations” (Dhuru & Thapliyal, 2021, p. 412). The program acknowledges different forms of conflict (between people, between humans, and other living beings), and unlearning “fragmented ways of thinking” in order to reconcile “cognitive, relational, and affective points of fracture which sustain knowledge-power hierarchies in relation to schooling, society, and the natural environment” (408). The AAP modules do not romanticize actions in response to issues. Rather, they draw on real-life examples to show various forms of resistance and social transformation. This includes both unpopular and celebrated figures, and people from privileged or marginal groups who have supported collective struggles to alleviate the oppressed. The teachers at TGI – like the Bayview School – encouraged students to engage with public issues and to advocate for improved social conditions. However, TGI teachers acknowledged that the study of global issues was both social and political in nature; it required students’ raising social awareness and exploring efforts to influence government policies. For example, student groups were observed working on issues such as sustainable seafood, LGBTQ rights, and starting a petition to stop a cross-island rail line that could adversely impact a nature reserve. Students are encouraged to work on local and global issues with nongovernmental organizations (NGOs) to network and build relationships with local communities, and consider a range of possible actions. These politically conscious strategies were highly consistent with school-level missions to prepare students as agents of change. Notably, although the cases of AAP and TGI converged in categories of perspectives, power, and purpose, the analyses unearthed several distinctions when considering the schools’ clientele and location within educational and socioeconomic contexts. These and other limitations are discussed in the following section.

Discussion and Conclusion Pashby et al. (2020), in a meta-review of GCE typologies, discuss the challenge of moving beyond modern, colonial metanarratives and imaginaries that naturalize Western standpoints and colonial-capitalist social relations. In particular, most discourses and approaches to GCE “are ultimately rooted within the same shared modern ontology (way of being) where existence is defined by knowledge, humans are separated from nature, and a single form of (Cartesian, teleological, logocentric, allochronic) rationality prevails” (159). They argue for different ontological and epistemological standpoints that emphasize “non-anthropocentric, non-teleological, non-dialectical, non-universal, non-cartesian, ‘Other’ narrative frames” while

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acknowledging the tenacity of neoliberal, liberal, nationalist, and colonialist discourses, practices, and modes of socialization (157). One way forward is to more firmly ground GCE in decolonial purposes, perspectives, and analyses of power relations (Tuck & Yang, 2012). This final section considers the analyses’ implications to the broader discourses and contexts that influence GCE enactment and revisits the analytical framing of reviewed case studies. The chapter concludes by discussing limitations of school-based efforts toward critical GCE and by proposing teacher enactment to lay the basis for decolonial approaches in learning about the world.

Persistent Colonial Metanarratives in GCE The reviewed case studies from Asia show the salience of Pashby et al.’s (2020) framework underscoring the interfaces between neoliberal-liberal, liberal-critical, and neoliberal-critical discourses. While the interpretive, narrative, and critical lenses apparent in Asian case studies of GCE reveal efforts to provide critical interpretive perspectives and counternarration, and interrogate systemic injustices and promote social justice, they also remain bound up in neoliberal or nationalist imperatives and colonialist frameworks of intelligibility. For example, case studies conducted by Baildon and Bott (2020) and Choo (2021) in Singapore and Hung’s (2021) Taiwan case study point to more interpretive and dialectical educational approaches that included the study of the voices of marginalized populations yet did not fully interrogate privileged perspectives and global power relations, or situate GCE within a more radical, transformational, or antioppressive project (Shultz, 2007; Stein, 2015). Similarly, the humanitarian, ethical, and protagonist approaches to GCE that we found in our review do little to challenge the modern, colonial metanarrative and imaginary deeply embedded in most approaches to GCE. The four critical cases – characterized by praxis-based globalism and political activism – reveal the potential for more explicit and deeper interrogations of existing power relations, political and economic structures, or historical legacies of colonialism and injustice, and efforts to build solidarity and engage in politically oriented praxis (e.g., with marginalized communities, NGOs, local activists, etc.). Nonetheless, some of the cases reflected postcolonial – rather than decolonial – stances when considering institutional missions and teachers’ enactment alongside the school’s broader socioeconomic contexts (Tuck & Yang, 2012). The case of TGI, an elite international school in Singapore, is a case in point. Although embodying characteristics of GCE for postcolonial activism, the broader context in which TGI operates may limit students’ capacities to develop critical reflexivity or hyper-reflexivity (Stein, 2021) necessary to challenge and dismantle the dominant paradigms perpetuated by elites. Tuck and Yang (2012) refer to such tendencies as “settler moves to innocence”: strategies that attempt to relieve the settler elite of “feelings of guilt or responsibility without giving up land or power or privilege; without having to change much at all” (10). TGI further resembles advocacy approaches to GCE as related to transnational activism (Oxley & Morris, 2013). This includes “capitalist, institutional, cosmopolitan universalism

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and localised, grass-roots post-colonial relativism” (311), thus representing “a liberalneoliberal-critical interface” that continues to perpetuate the “civilizing mission” of global elites (Pashby et al., 2020, p. 154). This review revealed tremendous diversity, hybridity, and interfacings of different types of GCE that emanate from multiple orientations – neoliberal, nationalist, cosmopolitan, critical, and liberal, to name a few. This is consistent with some of the typologies that have mapped the scholarly terrain of GCE (e.g., Gaudelli, 2009; Oxley & Morris, 2013; Pashby et al., 2020; Stein, 2015). The key problem that surfaces from these studies is how GCE scholars and educators can challenge, confront, and change the discourses, structures, and destructive forces of colonialism. Two case studies of critical GCE enactment may hold promise as models of a transformative GCE that move beyond colonialist frames: students in the Philippines working with Indigenous peoples to enact a critical and subversive form of GCE (Leviste, 2021), and the case of GCE focused on working with Adivasi communities (Dhuru & Thapliyal, 2021). These cases illustrate the possibilities for GCE to not only engage in disruptive forms of counternarration (Gibson, 2020), but for teachers and students to begin to develop a radical copresence with marginalized people (Santos, 2007; Stein, 2015) in nondualistic ways. Such engagements may offer curricular and pedagogical openings to understand the complexities of constructions of self and other, or oppressors and oppressed, for example, and to develop “uncoercive relationships of solidary that do not require homogeneity or a prescribed idea of the future” (Andreotti & de Souza, 2012, p. 2).

Teaching Toward Decolonial Approaches to GCE The cases of school and teachers’ enactment build on current understandings of GCE as a project that is geared toward dismantling entrenched legacies of colonialism and Western imperialism. In this chapter, Sabzalian’s (2019) anticolonial approach to civic education provided the basis for an analytical tool to consider how GCE practices may begin to socialize students into an understanding of the world that considers indigenous people’s struggles. Sabzalian’s framework consisted of place, presence, political nationhood, perspectives, power, and partnerships to complement and challenge existing civic education theory and practice. Although the present analysis focused on three categories (perspectives, purpose, and power), similar analytical tools can help develop decolonial GCE pedagogies by attending to the nature of knowledge and knowledge construction, analyzing power relations and global structures of power, and revisiting the purpose of schooling and living in an interdependent world (Andreotti & de Souza, 2012). The cases from this review revealed the fundamental role of expanding teachers’ and students’ perspectives to recognize the experiences of those whose lives, outlook, and worldviews may be absent in prevailing discourses and narratives. Importantly, moving from interpretive to more critical forms of GCE necessitates participants’ awareness of their preconceptions and positionalities with regard to “others” and others’ perspectives. Without confronting their biases and prejudices,

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teachers and students may reiterate transactional, colonial, and deficit approaches to learning about the world. For example, instead of students learning about Indigenous perspectives as objects of study (e.g., to challenge colonial logics), it is an opportunity to learn with and from Indigenous peoples and marginalized groups, and to support struggles for greater recognition, justice, and more sustainable ways of being and living. It provides an opportunity “to pay less attention to agendas set by those in power, and more time following the lead of people who know the most about human and ecological survival” (Norgaard, 2019, p. 440). The Philippines and India cases highlight what this might look like in practice. Santos (2007) calls for “epistemological resistance” and a “subaltern cosmopolitanism” consisting of networks, initiatives, and movements that break with Western, colonialist, and neoliberal ways of thinking by aligning with the “non-imperial Global South” and drawing on an “ecology of knowledges” (Santos, 2007, pp. 10–11). These ideas align with Chen’s call for critical syncretism and interreferencing. In Asian societies, the narratives, traditions, and practices of Indigenous, marginalized, and oppressed peoples are vital sources of knowledge and social practice, often grounded in resistance and forms of solidarity that create potential for new ways of thinking and being. Beyond learning from the perspectives, stories, and wisdom of often-overlooked people, narrative and critical approaches to GCE differ from interpretive approaches in that teachers and students build an understanding of how power is created, and how the worldviews, values, and knowledge of dominant groups become normalized. Gibson (2020) refers to power literacy – “the awareness of who does and does not have power; how power is acquired and transmitted” – as a necessary tool to critiquing normalized discourses and creating counternarratives that give voice to the oppressed. Power literacy requires examination of policies that favor majority cultural and linguistic groups, influential corporate entities, and elites’ interests. Torres (2017) characterizes “globalization from above” as a form of globalization that perpetuates the influence of transnational corporations. Guided by neoliberal ideologies, it calls for an opening of borders, creating multiple regional markets, accelerating economic and financial exchanges, and promoting governing systems other than nation-states (27). Cultivating power literacy necessitates an awareness of how “globalization from above” is rooted in the eras of colonization and empire, and laid the basis for the normalization of Eurocentric cultural worldviews (Willinsky, 1998), unfettered capitalist systems that have broadened economic disparities, and patriarchal traditions. Power literacy concurrently entails examining how power is gained and transmitted in local communities, because these determine the extent to which voices are heard or unheard, especially within the context of democratic deliberations. The narrative cases from Singapore and Taiwan capture the ways that teachers built awareness of the silenced perspectives in their communities (e.g., how historical texts, curricula, and media overlooked the stories of transnational workers and common Taiwanese people). Further, the critical cases showed how teachers and students used community organizing in an attempt to alter power relations at the local level. Gibson (2020) underlines that civic pedagogies often miseducate students into believing that problems can be solved “through consensual dialogue”

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without acknowledging that the privileged classes “rarely offer anything of value” to the less powerful (442). By knowing the historical roots of power and how these have ignored the perspectives of marginalized groups, and by building solidarity (across nations and within communities), less powerful people may seek transformation through their collective voice. Finally, the critical cases in this study stress the importance of revisiting the purposes of civic education in an increasingly interdependent and unequal global community. In contrast to interpretive and narrative cases, the critical cases enabled students to envision their futures by rejecting existing structures and mentalities that frame definitions of success, identity, and belonging. Such efforts require critical classroom pedagogies, but also initiative at the school level to question the sustainability of educational models that reproduce neoliberal and nationalist perspectives and power relations that contribute to the problems faced by citizens across societies. Especially when considering young citizens who must confront social pressures and threats of exclusion due to the marginalization of their identities and aspirations, there is a need for educational leaders to broaden schools’ visions of what it means to equip students to live a life of purpose and hope (Biesta, 2022). Drawing on decolonial and critical frameworks provides opportunities for schooling to attend to issues of justice more fully at local and global levels, engage in critical forms of reflexivity to examine complicity in systems of injustice and harm, and consider other possibilities, imaginaries, and narratives that are more just, sustainable, and democratic (Andreotti, 2006; Pashby et al., 2020). Interpretive, narrative, and critical lenses focused on perspective, purpose, and power relations can only promote global social justice by prioritizing the critique and transformation of the hegemonic global forces of neoliberalism, nationalism, and their legacies of imperialism and colonialism (Andreotti & de Souza, 2012; Pashby, 2012; Sabzalian, 2019). This involves engaging students in more justice-oriented, sustainable, and empowering perspectives, purposes, and social relations that already exist (e.g., through counternarration) and engaging in forms of public deliberation and civic action that envision and enact alternative futures. The analytical framework outlined in this chapter is intended to support necessary shifts in points of reference toward decolonial and anticolonial perspectives, purposes, and power and illuminates how grounded, often-overlooked perspectives may create spaces for global educators to imagine and enact more transformative forms of curriculum and classroom practice for GCE.

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Global Citizenship in Japanese Higher Education: Toward an Ethical Pedagogical Framework for Humanity Empowerment, Critical Moral Consciousness, Autonomy, and Carefulness

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Emiliano Bosio

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Internationalization of the Curriculum, Global Citizenship, and Global Citizenship Education in Japan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Internationalization of the Curriculum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Global Citizenship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Global Citizenship Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theoretical Framework for the Study: Ethical Global Citizenship Education . . . . . . . . . . . . . . . . . Empowering Humanity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Critical Moral Consciousness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Autonomy and Carefulness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theme 1: GCE Must Foster Creative Students Who Comprehend, Analyze, and Solve Local and Global Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theme 2: GCE Must Extend Students’ Learning Experience Beyond the Classroom . . . . . . . . Theme 3: GCE Must Help Students Recognize the Interconnectedness of Human Lives . . . . Proposing an Ethical Pedagogical Framework for GCE Based on Humanity Empowerment, Critical Moral Consciousness, Autonomy, and Carefulness in Japan . . . . . . . . . . . . . . . . . . . . . . . . . . Concluding Reflections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Global citizenship education (GCE) is one of the strategic areas of UNESCO’s Education Sector. It calls for the education of values and knowledge that help learners to become informed and responsible global citizens and it is increasingly recognized as a pivotal field in Japan. Yet, the perceptions of individual GCE educators in Japan have been relatively under-investigated. It is not fully clear how Japanese educators understand GCE and what values and knowledge they intend to foster in their graduates. To fill in the gap, this chapter examines how 15 Japanese university educators perceive the role of GCE in higher education. E. Bosio (*) Toyo University, Tokyo, Japan e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_143

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Data were collected by means of questionnaires and responsive interviews, then analyzed with the use of grounded theory and the constant comparative method. Three notions of GCE emerged from the data. The Japanese educators expressed the opinion that GCE must (1) foster students who comprehend, analyze, and potentially solve local and global issues; (2) GCE must extend students’ learning experience beyond the classroom; and (3) GCE must help students recognize the interconnectedness of human lives. Based on the findings, the chapter concludes by proposing an ethical pedagogical framework of GCE informed by the knowledge and values of humanity empowerment, critical moral consciousness, autonomy and carefulness to teach GCE in Japanese universities. With development, the framework has potential for application in future research and evaluation of the complex teaching and learning processes involved in GCE in Japan. Keywords

Global citizenship education · Japan · UNESCO · Critical moral consciousness · Humanity empowerment · Autonomy and carefulness

Introduction The influence of globalization has expanded the range of citizenship education outside historic national confines, demanding that educators across the world introduce fresh ways of equipping learners for functioning in the super-complexity of modern societies. Because of this, over the last 10 years interest has grown in Global Citizenship Education (GCE) as a way of offering learners support to develop the ways in which they understand a multiplicity of issues, globally, nationally, and locally. There has been considerable discussion of the ways in which GCE should develop in academia, with a range of theoretical positions being adopted from critical (Bosio, 2021a; Giroux & Bosio, 2021; Torres & Bosio, 2020a, b; Bosio & Torres, 2019; McLaren & Bosio, 2022) to humanistic (Veugelers & Bosio, 2021; Guajardo, 2021); from ethical (Bosio & Schattle, 2021a, b) to value-creating (Bosio, 2021b; Sharma, 2020); from transformative (Bamber et al., 2017) to decolonial and pluralistic (Bosio & Waghid, 2022). The UNESCO (2015, p. 15) definition of GCE is frequently employed: GCE relates to the development of “the knowledge, skills, values and attitudes that learners need to be able to contribute to a more inclusive, just and peaceful world.” Recently several countries began internationalizing their curricula and implementing notions of global citizenship and GCE at university level, aiming at the production of students with better critical global orientation [See Bosio (2021d) for Japan; Tarozzi and Inguaggiato (2018), for Italy/Austria/Ireland/Czech Republic; Moon and Koo (2011), for South Korea; Rapoport (2010), for the United States;]. Such initiatives appear in different ways and can be implemented using formal national policy (Bamber et al., 2016), localized initiatives (Gaudelli, 2016), or simply at the initiative of just one teacher (Goren & Yemini, 2017). Consequently,

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a number of higher education institutions (HEIs) in Japan (e.g., Waseda University, International Christian University, University of Tokyo, and Sophia University) have begun to incorporate terms such as global citizenship, global citizen, and global education into their mission statements and/or particular programs or modules. However, although Japanese universities are promoting themselves as being at the forefront of the encouragement of global citizenship, comparatively little has been written about the ways in which Japanese educators regard GCE and incorporate it into their curricula and classroom practice. In order to address this lack of coverage, this chapter examined the ways in which 15 educators at Japanese universities regard the part that GCE should play within higher education (HE). The data was gathered using questionnaires and responsive interviews, with analysis being undertaken employing grounded theory and a constant comparative methodology. The findings illustrated three concepts of GCE. The Japanese educators expressed the opinion that GCE must (1) foster students who comprehend, analyze, and potentially solve local and global issues; (2) GCE must extend students’ learning experience beyond the classroom; and (3) GCE must help students recognize the interconnectedness of human lives. On the basis of these outcomes, at the conclusion of the chapter a proposed ethical pedagogical framework for GCE teaching in universities in Japan is suggested, based on the values and knowledge of autonomy and carefulness, critical moral consciousness, and humanity empowerment. With development, this framework could potentially be employed in future investigations to evaluate the complexities of teaching and learning initiatives using GCE in Japan.

Internationalization of the Curriculum, Global Citizenship, and Global Citizenship Education in Japan Internationalization of the Curriculum The discussion around global citizenship in Japan is progressively providing educators with a critical space for changes in the HE curriculum relevant to new global contexts with more sustainable approaches to and definitions of internationalization of the curriculum being formulated (Bosio, 2021d). De Wit et al., (2015, p. 281) propose: “The intentional process of integrating an international, intercultural or global dimension into the purpose, functions, and delivery of post-secondary education, in order to enhance the quality of education and research for all students and staff, and to make a meaningful contribution to society.” This definition of internationalization of the curriculum differs from past definitions in that it recognizes that internationalization should not only be an enhancer of quality and incorporate an international/entrepreneurial dimension into HE functions; it must also integrate a meaningful contribution to society. It furthermore implies that this must be an intentional process rather than something that it is taken for granted will evolve organically, and that all educators and students must be included, not just the small cohort that is mobile. In this view, De Wit and Leask

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(2018, p. 223) suggest that within the globalized environment it is not enough to focus on internationalization of the curriculum in terms of profit nor to approach it in terms of “doing international things” (e.g., student exchange programs, recruiting international students, English language teaching). Bosio (2021d) proposes that linking internationalization approaches with concepts of producing graduates who will have a meaningful impact on society means that educators must re-think the standard approach to internationalization of the curriculum and move toward an approach more focused on critical knowledge and values (e.g., equality, social justice, social responsibility) and less focused on making students job-ready (e.g., success, competitiveness, economic efficiency). When educators teach graduates critical knowledge and values these will have a comprehension of the way in which there are currently global struggles for quality of life, space, and resources and the ways in which the local and global are related, and they will have a commitment to finding new ways in which humans can develop and enhance their well-being; this will include debates related to ecology and the environment (Lupinacci, 2017). These curricular initiatives are critical and ethical in their nature and linked to concepts of sustainable education and the creation of a global citizenry.

Global Citizenship The notion of global citizenship extends the boundaries of citizenship beyond the nation-state and toward a cosmopolitan values-based philosophy based on universal human rights, implying distinct responsibilities. Global citizenship in Japan is increasingly recognized as a central part of the movement to internationalize the university curriculum. Yet, Bosio and Torres (2019) have argued that global citizenship can be distinguished from internationalization of the curriculum because of its combination of global perspectives specifically linked to citizenship. Bosio and Torres (2019) suggest that global citizenship, as a concept, although it is frequently cited as part of curriculum internationalization, generally directs educators toward broadening the aims of their teaching with the intention to “promote values related to universality (e.g., common and collective identity, interest, participation, duty), while respecting values related to singularity (e.g., individual rights, self-improvement)” (UNESCO, 2014, p. 18). According to Clifford and Montgomery (2017), global citizenship expands internationalization of the curriculum into the grounds of critical knowledge and values, and personal obligation toward making our societies more sustainable. Clifford and Haigh (2018) take it further and suggest that global citizenship is both the way and apex goal of curriculum internationalization. Although it has been increasingly argued that graduates should be educated as “global citizens” (Leask, 2015), there is still considerable disagreement about the concepts of global citizen and global citizenship, particularly as there is no “world state” of which people can be citizens; furthermore, global citizenship is still perceived in many quarters as being an offshoot of Western colonialist values (Pashby, 2011).

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Also, global citizenship as interpreted by educators is often related to the concept of developing employees for the future; for instance, “global human resources” rather than “critical global citizens” (Bosio, 2021d, p. 4) although other scholars (see Bosio & Waghid, 2022; McLaren & Bosio, 2022; Bosio & Olssen, 2022) conceptualize it as an ethical vision of citizens who feel morally responsible to their fellow human beings and who are aware of the ways in which the lives of every person on earth are intertwined. Leask (2015) suggests that the term “responsible global citizens” is a possible way of addressing the intricate, debated, and dynamic forms of values involved in global citizenship and ensuring that many voices have an input into which values are regarded as important within the curriculum. However, Guimaraes-Iosif (2011, p. 83) prefers the term fostering the “emancipated global citizen,” one who can “think critically, take a stance and mobilize collectively to fight poverty and social injustice domestically and abroad.”

Global Citizenship Education Whether based on fostering knowledge and values related to employability, responsibility, or emancipation, such forms of global citizenship pedagogy are frequently referred to as global citizenship education (or GCE). The problem is that depending on what theoretical orientations educators prioritize through their GCE this would influence the type of global citizens they foster. For example, if an academic’s approach to GCE is underpinned by a set of values associated with the concept of neoliberalism – an idea that refers to the ethos of market fundamentalism, he or she would privilege a particular way of conceptualizing GCE, most certainly based on the valorization of the market and aimed at fostering the “global worker” (rather than the global citizen) (Hammond & Keating, 2018). On the other hand, if an academic’s approach to GCE is underpinned by a set of values associated with the concept of critical and ethical pedagogy, conceptualizations of a GCE would be entirely different, most certainly based on the valorization of social justice and aimed at fostering the critical global citizen. In this view, GCE can be defined as a multi-vocal symbol. The anthropologist Victor Turner clarifies that multi-vocal symbols are capable of being construed in multiple ways by diverse actors and, in some cases, can become the site of conflict as different interest groups compete to have their own interpretations accepted as the dominant one (Turner, 1975). Accordingly, reviewing the GCE literature demonstrates that there are problems in establishing consensus and understanding regarding the nature of GCE. Tarc (2011) remarks that if we remove any single word from “global/citizenship/education” we significantly change its meaning. Shultz (2011) concedes that the wide variety of meanings attributed to the term could militate against its meaning but contends that the multiplicity of discourse could in fact encourage the emergence of meaningful scholarship. Davies (2006) also remarks that GCE-related concepts have undergone too much fragmentation for general acceptance and embeddedness. This chapter reduces the fragmented arguments to one central paradigm: the ethical GCE

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informed by the values of humanity empowerment, critical moral consciousness, autonomy and carefulness.

Theoretical Framework for the Study: Ethical Global Citizenship Education Theoretically, this chapter is situated within an ethical GCE within Freire’s (2004, 2018) conception of critical pedagogy. Freire proposes that education should be politically “conscientized” by constantly being reconstructed and engaging, something not all educators offer. Thus, from the ethical GCE position, the role of the educator exceeds mere knowledge transmission. Educators are uniquely placed to be researching that which they are teaching, being at the forefront of what is known on an issue, and living in that space of uncertainty that science occupies. Bosio (2021c) highlighted that educators can produce students whose moral compass is based upon their own experiences and ability to confront the challenges they encounter both locally and globally. Within this context, ethical GCE plays a role in shaping learners’ sense of a common humanity and their understanding of the bonds that draw communities together. Therefore, this chapter suggests that the idea of “welcoming difference” sits at the core of ethical GCE and that there is a need for students to develop a cultural understanding of cosmopolitanism within the context of the wider world. From this perspective, one aspect of ethical GCE involves human development. Such development may be viewed through a variety of lenses, e.g., sociological, evolutionary, psychological, and cultural (Veugelers, 2011), from a number of philosophical perspectives (Noddings, 2018); and even from the spiritual perspective of values-creation including the elements of wisdom, courage, and compassion (Guajardo, 2021). In terms of the ethical viewpoint, the individual should experience an education that assists them in understanding the world’s complexities (epistemology), their identity in that world (ontology) and the capacity to flourish (praxis). In such an environment, educators will facilitate students in becoming global citizens within awareness of both their own humanity and wider global perspectives. This means that ethical GCE involves aspects of empowering humanity, critical moral consciousness, autonomy, and carefulness.

Empowering Humanity Empowerment of humanity is frequently employed as a synonym of collective emancipation as they both involve fighting inequality. Nevertheless, there are nuances: collective emancipation emphasizes the need to flatten the power relationships existing between groups. Empowering humanity moves outside the political arena with its embrace of every aspect of human behavior. There are three strands to empowering humanity: the personal aspect of human beings to attempt to live dignified lives as they create and sustain control for themselves; the interpersonal

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element, acknowledging that humans generally have a desire to live in harmony with others in a responsible manner (this goes both ways as people want to assist others and receive assistance themselves); and the socio-political aspects of citizenship whereby a more humane society is constructed that features justice, diversity and equality (Veugelers & Bosio, 2021). This means that a number of social structures within which we live require changing. There are inherent complexities in the political element of empowering humanity. Once people become more engaged and active in terms of being politically and socially relevant, a dichotomy appears between being socially aware and being autonomous. In principle, ethical GCE demands both.

Critical Moral Consciousness Ethical GCE’s critical moral consciousness aspect involves cultivating a form of moral consciousness that is not constrained by any boundaries, whether religious, geographic, ethnic or national, and this has become an essential element of progressive education. Developing on this standpoint, this chapter suggests that the requirement to develop moral solidarity with a united global community must be an element of the purpose of education, particularly GCE. Educators who agree with this concept should progress not only to raise awareness of “global problems,” for example hunger, poverty, and climate change, but additionally to promote the moral principles that would allow for the development of global communities. Ethical GCE’s critical moral consciousness aspect must thus allow students to be aware of alternative viewpoints, to view universal humanity as the foundation of community, and to develop a moral imperative to act for the common good. In such an aspect, ethical GCE is intended to foster moral ideals, to create individuals who regard and interact with the world in a particular manner, seeing it as a global community without borders in which all members nurture each other and the planet because environmental sustainability is no longer optional; it has become an imperative. Such new sustainable communities would embody the ideals of “ethical global citizens” within a cosmopolitan age, where ethical GCE pedagogy encourages learners not just to consciously think globally and act locally but also to take action that will assist in the creation of such “ethical communities.”

Autonomy and Carefulness Ethical GCE also encompasses ways of thinking and acting with a basis in the connection of humanity with autonomy and carefulness. Autonomy does not imply that global citizens separate themselves from society, it means that educators should assist global citizens to relate to others in the “spirit of carefulness”: carefulness for the student, for the world, and, for each other. Carefulness throughout this study is intended as practicing the “ethics of care” which implies a robust obligation to care for one’s personal life and both close and distant fellow humans or “distant others” as Noddings

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(2002) suggests in her book Starting From Home. Therefore, carefulness embraces a care-full pedagogical praxis. This is established by educators-commitment to embracing the whole global citizen. An ethical GCE ingrained in autonomy and carefulness provides the foundation allowing global citizens, in theory, to become more emancipated human beings (i.e., having a moral code that allows one to live in harmony with others, and to help others to live the same sort of life). Nonetheless, autonomy and the development of carefulness will not naturally develop for the global citizen. It has to spring from the ways they interact with others as part of an ethical social framework. Greater autonomy and humanity has a significant relationship with politics, culture, and society. Developing autonomy and carefulness does not happen naturally, it has to progress interactively through the associations of individuals politically and socially encouraged by educators promoting an ethical GCE. This aspect requires educators to offer support for students who understand that the development of autonomy and carefulness is part and parcel of developing socially, culturally and politically. Just as autonomy is not disconnected from humanity, carefulness may not be separated from political, social and cultural struggles for a more ethical world. Ethical GCE should offer empowerment to humanity, with educators encouraging learners to take up a full engagement with their society to assist it in improving its sustainability. This chapter comprises an element of a broader study of global citizenship in the Japanese universities, the intention of which was to undertake an investigation of GCE from the viewpoint of educators. Qualitative research was employed to investigate the opinions of 15 educators regarding GCE in Japan. The sample of educators in HE from five leading universities located in Tokyo which was, in many respects, a more or less convenient one, were purposely selected on the basis that they had had considerable experience of teaching principles of GCE in their university programs. Purposeful sampling involves selecting research areas and participants that can provide the most useful ways of comprehending the central questions of why, how, what, and who (Creswell, 2013). Although the author of this chapter acknowledges that there are other universities in Japan that may offer GCE programs, the five universities selected offer a broad range covering the majority of existing global citizenship programs and contextualize the inquiry. The primary criterion for selecting the five universities was that each Japanese teaching staff running programs focused on GCE. All participation was voluntary. Eight Japanese participants were males and seven females, all of whom had taught in HE for 7 years or more; every participant had a doctorate. To guarantee confidentiality, all participants were allocated a code number (e.g., JP1 indicates a participant from Japan) (see Table 1). Data for the study was collected in two phases. For the first phase, respondents were asked to answer a 12-item questionnaire sent to them by email. The intention of the questionnaire was to make respondents aware of the topic and to gather their opinion on GCE and other background information. Questions included: What are your primary expectations for your GCE program? What are the primary GCE themes involved in your program? Can you give a detailed description of your GCE program and an outline of why you think it is important?

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Table 1 Educators examined at the five universities in Japan

1. 2. 3.

Gender Male Male Male

Age 41 33 45

Teaching Experiences 9 years 8 years 7 years

4.

Male

48

11 years

5.

Female

31

8 years

6. 7. 8. 9.

Female Male Male Male

43 41 42 47

9 years 8 years 11 years 9 years

10.

Male

39

8 years

11.

Female

37

7 years

12. 13.

Female Female

43 42

11 years 8 years

14. 15.

Female Female

39 38

11 years 9 years

Title Professor Professor Associate Professor Professor Associate Professor Professor Professor Professor Associate Professor Professor Associate Professor Professor Associate Professor Professor Associate Professor

Department Humanities Sociology Global studies Global studies Global studies Sociology Humanities Humanities Philosophy

University type Private Public Public Private Private Private Private Private Private

Political Science Humanities

Private

Humanities Humanities

Private Private

Humanities Humanities

Public Private

Private

For the second research phase, educators were requested to engage in a responsive interview (Rubin & Rubin, 2005). Responsive interviews comprise a holistic conversation between participants and the researcher. This allowed the researcher to gain a deeper understanding of respondent experiences through detailed and extensive follow-ups on comments made by interviewees. Some of the questions asked were: What are the knowledge and values you are aiming at developing in your GCE teaching and why? Are there particular types of knowledge and/or values that you choose to focus closely on, and why? Why is there a necessity for GCE? Who are the intended beneficiaries of GCE, and why have they been chosen? On average, the interviews lasted around 45 min. English was the language used for both questionnaires and interviews. Initially, respondents were asked to choose between either Japanese or English, but all of them chose to respond in English as they felt that the researcher would be able to understand their responses immediately rather than having to go through a “time-consuming” process of translation. All of the respondents have undertaken teaching and have published in English, and they have all spent considerable time in anglophone countries, either undertaking academic research or completing doctorates or Masters degrees. This meant that their English language capabilities did not present any problems.

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For data analysis, a grounded theory methodology was employed (Glaser & Strauss, 1967). Grounded theory offers an essential means of analyzing data and constructing theories from qualitative research. This methodology allowed the researcher to detail the perspective of respondents regarding GCE and at the same time introduce an element of interpretation, which represents the basis of the way content was analyzed. The way in which educators perceive GCE was identified with each segment of perception been connected into preliminary/overlapping themes employing the constant comparison method (CCM) which “combines systematic data collection, coding, and analysis with theoretical sampling in order to generate theory that is integrated, close to the data, and expressed in a form clear enough for further testing” (Conrad et al., 1993, p. 280). The four phases of CCM was followed: “(1) comparing incidents applicable to each category, (2) integrating categories and their properties, (3) delimiting the theory, and (4) writing the theory” (Glaser, 1965, p. 439). These processes helped the researcher to find relevant passages/information. The researcher organized these within categories and themes (Merriam & Grenier, 2019). The findings below are presented within themes that were coded from the data. To support and explain each theme, the researcher employed direct quotes from educators.

Theme 1: GCE Must Foster Creative Students Who Comprehend, Analyze, and Solve Local and Global Issues According to the Japanese educators interviewed for this study, GCE aims to nurture students who comprehend global issues and aspire to create value by addressing these issues. The educators revealed that they approach GCE in a way that helps students to develop the values and knowledge they need to identify, understand, assess, and potentially remedy problems in the rapidly changing era of globalization. Educator JP1 described how his intentions are “to assist students to empower themselves to evolve into world citizens.” This involves encouraging students to think and behave in a way that is aligned with an ethical philosophy. Also, through mandating that students must study overseas for at least one full academic year, Educator JP1 seeks to give the course an international perspective that fundamentally serves to develop the students’ cross-cultural thinking. This approach is aligned with the principles of ethical humanism on which the course is founded, and aims to foster learners “who act as change-makers and to develop their inner potential” (Educator JP1). Educator JP2 compared his students to seeds. He described how they need the appropriate conditions in which to grow and flourish. By engaging in a global citizenship learning program that is designed according to the needs of the students, learners develop the knowledge and understanding required to identify and engage with global issues. Aligned with Reysen and Katzarska-Miller’s (2013) description of GCE, Educator JP2 described how in his GCE course the learning experiences are designed to help students acquire an understanding of global issues and enhance their cross-cultural skills and, through so doing, inspire them to take positive action.

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According to Educator JP2, students need to be educated as “both specialists and generalists” if they are to be in a position to assume responsibility in both the local and global contexts.

Theme 2: GCE Must Extend Students’ Learning Experience Beyond the Classroom Educator JP3 suggested that the structure of his global citizenship course places a strong emphasis on helping the students to extend their learning experiences beyond the confines of the classroom. By gaining experiences overseas and within local society, students can witness global differences and issues from a first-hand perspective. The structure and curricula that underpin the global citizenship course are focused on helping students develop global citizenship that has an ethical focus. This is achieved, according to Educators JP3/JP4, through five core areas outlined below: 1. Development of scholarly knowledge spanning social sciences and humanities. Educator JP3 suggested that developing a cross-disciplinary approach to GCE is “an excellent way to transform a siloed attitude to education.” By adopting an interdisciplinary perspective, various fields of study, including economics, business, history, culture, international relations and politics, are combined in a single offering that provides students with a solid scholarly foundation. Students can subsequently opt to specialize in one specific area. In addition to enhancing their academic knowledge, students also develop analysis and synthesis skills through which they can acquire a more in-depth understanding of the complexity of the issues and problems that are at play. 2. Development of strong English proficiency and language communication skills. Educator JP3 pointed out that the development of strong English proficiency and language communication has a fundamental role in his GCE program due to its status as a global language and lingua franca. Students are therefore provided with a wide range of opportunities to enhance their English language and communication skills from the outset of the program. During the first semester, the students attend intensive English language modules and cultural awareness courses that are designed to provide them with the skills they need to function overseas. During the second semester, the students gain experience of studying abroad. This stage of the course spans a full academic year and provides an ideal mechanism through which Japanese students can develop their ability to communicate in the English language and enhance their academic literacy. The study abroad experience is expected to significantly improve the students’ English language skills. For example, a student who commences the study abroad experience with a TOEFL iBT score of around 50 will be expected to increase this to 80 by the beginning of the third year of study. 3. Development of a cross-cultural global awareness that is underpinned by the desire to achieve peace and prosperity. This was a theme introduced by

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Educator JP4 who co-teaches the GCE course with Educator JP3. He advised that students need to be provided with the skills they need to operate effectively in a global environment. One such tool is that of cross-cultural understanding. Students in the GCE course are actively encouraged to work on the development of cross-cultural understanding from the outset of their GCE studies as a means of preparing for overseas study. To enhance their cross-cultural awareness, students are also required to study a second foreign language following their return from study abroad. Furthermore, the students complete fieldwork abroad that spans a minimum of two weeks. For example, students may travel to Malaysia to conduct an in-depth analytical study of an issue within an Asian country. The students also attend a global workshop course run by a senior faculty member, through which they are encouraged to reflect on global problems and the mechanisms by which these can be overcome by strong ‘global leadership’. As a result of these experiences, students benefit from a range of learning outcomes including: the development of global perspectives; an awareness of the role of leadership in resolving global issues; and the importance of being able to critically evaluate global developments from a leadership perspective. 4. Development of a university setting as a normative environment for fostering global citizenship global citizenship. Educators JP3 and JP4 also outlined the way that the demands of general education incorporate courses where students are taught about the foundational principles of the University in relation to the development of global citizenship and promoting prosperity and peace. Their experience of the development of global awareness is reflective of the ideas of Blake et al. (2015) where the University environment, as a matter of course, is nurturing of students who identify as global citizens. This perspective is consistent with the experiences reported by Educators JP8, JP9 and JP10 in their courses. For example, Educator JP 8 suggested: “the socio-cultural environment of our university is a significant part of students’ elaboration of his/her perception of global citizenship.” Educator JP9 added that in his opinion “physical and non/physical educational settings (e.g., faculty members, administrators, home/ international students, programs, modules, curricula and even wall displays) can promote (or vice versa discourage) a globally oriented outlook.” Lastly, Educator JP10 indicated that “supporting students with developing a sense of belonging to the global community towards global and local awareness, peace and prosperity” differs based on what he defined as “the stimulus of university instruction.” Educator JP10 believes that “it all depends on how educators frame the notion of global citizenship for students. This influences students’ degree of identification with concepts such as global citizenship, peace and prosperity.” Collectively, these findings highlight that the university environment plays a significant role to encourage students’ global awareness and sense of global citizen identification. 5. Developing problem-solving skills through a creative mindset and dialogue. According to Educators JP3 and JP4 students of their course benefit from an interdisciplinary education that focuses on goal-setting and problem-solving, and cooperating with other students. The goal is to develop students’ creative mindset. To achieve this, over a two-year duration, the students collaborate in

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intimate seminar groups within which they are encouraged to formulate research questions and develop creative projects that have the propensity to address global issues. The outcome is a capstone project that captures what students have learned during their undergraduate studies. A similar approach involving small seminar groups aimed at developing students’ ability to solve problems through a creative mindset has been reported by Educators JP10, JP11 and JP12. This approach must involve according to Educator JP10 a “pedagogical practice aimed at promoting reflexive and creative dialogues among students on the topic of global citizenship, identity development, social and political engagement, and world philosophy. This helps students find creative ways to solve problems.” The he added, “such dialogues must reinforce students’ intellectual enquiry, possibility thinking, creativity, engagement with key local and global issues.” Analogously, Educator JP11 suggested: “when it comes to developing students’ problem solving, dialogue is essential. It all starts from a type of dialogue oriented to respect the Other. This is a type of dialogue oriented towards respect, joy and hope.” Relatedly, Educator JP12 hinted that “an honest exchange of ideas among the students must involve attentive listening and a mutually beneficial exchange of ideas. In this way, students may develop problem-solving skills.” Lastly, educators JP13, JP14 and JP 15 felt that while dialogue itself is an important element in enhancing students’ problem-solving skills, it becomes a more effective pedagogical strategy if complemented by other approaches. For example, Educator JP13 advised that “along with dialogue, nurturing critical literacy encourages the capacity of students to perceive the complexities in all situations and thus increases problem-solving skills” while Educator JP 14 referred to “teaching problem-solving by encouraging students adopt multiple perspectives.” Educator JP 15 contended that “for students to develop problem-solving skills it is necessary that they engaged in respectful dialogues but also critically reflect on issue related to race, class, gender, religion, local community, multiple nations, sexuality, and ethnicity.” What Educators JP13, JP14, and JP 15 seem to imply, simply put, is that when educators encourage learners engage in a reflexive dialogue accompanied by critical thinking, they may acquire the ability to solve problems more effectively.

Theme 3: GCE Must Help Students Recognize the Interconnectedness of Human Lives Educators JP5 and JP6 stressed how the focus that their GCE course places importance on developing the wisdom of its students enables them to better comprehend the way in which lives are unified. This emphasis is grounded in the belief that evolving into a global citizen involves developing the wisdom that all forms of life are interconnected. According to this line of thinking, Educator JP5 asserted that cosmopolitanism can be interpreted as a pedagogical form of wisdom: “there are

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multiple layers of interdependent relationships in the new globalized world, thus necessitating GCE to foster students’ more cosmopolitan, wise and universal perspectives.” In this context, the notion of the interconnectedness of life is aligned with the dependent origination that is described in Buddhist teachings. Educator JP5 described how the notion of “dependent origination,” if infused into an ethical GCE, might help learners to understand that nothing can exist in isolation. This idea, as Educator JP5 suggested, “embraces the spirit of being an interconnected global citizen on the basis that it highlights that one cannot live in complete isolation from the other.” Adding to this concept, Educator JP6 stressed the importance of “educators providing learning experiences through which students can acknowledge worldviews that take humanity as the reference point.” According to Educator JP6, educators play a fundamental role in supporting students to challenge any egocentric perspective that reflect humanity’s anthropocentrism. For instance, Educator JP6 explained that she often feels an ethical and social responsibility to foster students who both recognize and challenge anthropocentric views. From this perspective, she believes that GCE must support students to develop perspectives more aligned with sustainability and social justice; for example, that of an ecotistical worldview that places a more significant emphasis on the wider ecological community. Furthermore, Educator JP6 advised that GCE must foster individuals who possess wisdom and recognize the importance of global citizens working together as part of a wider ecological community. In line with this standpoint, Educator JP6 described how GCE aims to nurture “wise and ecotistical” global citizens. This aligns with Sternberg’s (2009, pp. 20–21) view that “Wisdom is not just about maximizing one’s own or someone else’s self-interest, but about balancing various self-interests (intrapersonal) with the interests of others (interpersonal) and of other aspects of the context in which one lives (extra-personal), such as one’s city or country or environment.” In this view, Educators JP5 and JP6 highlighted how being knowledgeable is frequently equated with academic understanding; however, being wise exceeds academic comprehension alone. It spans ideas such as being compassionate, caring about others, engaging positively with the community, and making positive decisions. Educators JP5 and JP6 were also of the opinion that the best place to start fostering wisdom through GCE is within a supportive learning environment. They argued that educators have a significant impact on students within their capacity as role models. To fully develop students’ potential, a GCE must put in place a clear and well-articulated value-system – the system of values, norms, or goals existing in a university curriculum. This value-system will influence how the students act. It informs the relationships they develop, both within the university and in society at large. In closing, Educator JP7 added that “the value-system of a GCE must be ingrained in fostering learners’ wisdom so that they can recognise the interconnectedness of human lives, develop compassion and courage.” Wisdom, courage, and compassion are interconnected, according to the participants.

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Proposing an Ethical Pedagogical Framework for GCE Based on Humanity Empowerment, Critical Moral Consciousness, Autonomy, and Carefulness in Japan The purpose of this study was to explore how 15 Japanese educators understand the role of GCE in HE. The Japanese educators expressed the opinion that GCE must (1) foster students who comprehend, analyze, and potentially solve local and global issues; (2) GCE must extend students’ learning experience beyond the classroom; and (3) GCE must help students recognize the interconnectedness of human lives. These shared themes imply that the GCE pedagogy of these Japanese educators is aimed at empowering students in the development of ethical knowledge and values. Hence, there is a potential for synthesizing the themes that have emerged from the Japanese educators and the ethical GCE position the author has put forward in this chapter (see section “Theoretical Framework for the Study: Ethical Global Citizenship Education”) in order to propose an ethical pedagogical framework for GCE centered on humanity empowerment, critical moral consciousness, autonomy, and carefulness (Fig. 1). An ethical pedagogical framework for GCE sees educators empowering students’ humanity by encouraging them to shift from individualistic perspectives to more closely examine the full complexity of efforts to transform social injustices (e.g., discrimination, racism). For example, the participants did describe GCE as a tool to foster global citizens “who act as change-makers and to develop their inner potential” (Educator JP1). Participants believe that GCE plays a fundamental role in supporting students to challenge any egocentric perspective that reflects humanity’s anthropocentrism. This idea, as Educator JP6 suggested, “embraces the spirit of being an interconnected global citizen on the basis that it highlights that one cannot live in complete isolation from the other.” Thus, an ethical pedagogical framework for GCE empowers learners’ humanity by offering them a flexible introduction to a breadth of alternative viewpoints encompassing all areas, from an ethical focus to a Fig. 1 Ethical pedagogical framework for Global Citizenship Education

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critical one. In this type of GCE pedagogy, both educators and students are welcoming to new knowledge, new mode of existence paradigms, and new relationships – on both the social and pedagogical level – and to different future visions that do not adhere to straightforward narratives of economic development but still are engaged with its narrative. Both educators and students acknowledge that they are connected to the rest of humanity and the planet, and are responsible for caring for them. Such approaches reflect the critical moral consciousness paradigms of Freire (2004, 2018) who proposes that education demands a political “conscientization” (or consciousness), constantly reconstructing and engaging in a way that educators have not always encouraged. An ethical GCE pedagogy also has a social justice orientation as it offers students a jumping off point to reject the paradigms of HE that are justified by economics and instrumentalism. With GCE constructed from a point of view of critical moral consciousness, no student is ignorant of, or accepting of, social injustice. Students are given support to identify and transform the division paradigms of North/South, indigenous/non-indigenous and white/black/brown that represent paternalism, ethnocentrism, depoliticization and hegemony. Additionally, an ethical GCE pedagogy involves educators offering students the opportunity to engage in critical dialogues with classes representing learning communities in which sustainable discussion will take place. This discussion involves the opportunity to wisely reflect on global issues, and educators empower students to believe in their capacity to effect social change. This is exhibited, for instance, by Educators JP5 and JP6 who highlighted how being knowledgeable is frequently equated with academic understanding; however, being wise exceeds academic comprehension alone. It spans ideas such as being compassionate, caring about others, and engaging proactively with the community, including the wider ecological community as pointed out by Educator JP5. Additionally, ethical GCE teaching encourages students to think more widely about global citizenship as a concept that has relevance to everyday lives, locally and globally, so that they develop a belief in shared values combining relativism and universalism. Students are shown ways in which they can adopt “intellectual humility” (e.g., an ability to acknowledge one’s mistakes, gaps in knowledge, and limitations but also openness to new ideas, contradictory information, and advice). Students who do achieve intellectual humility are better placed for the development of carefulness and autonomy in ways that give them an understanding of “otherness,” as required to become more aware of the part played by leadership in the resolution of global issues such as gender inequality, migration, deforestation, and climate change. From this point of view, and as the author detailed in his theoretical framework, the pedagogy of ethical GCE supports students in developing ways of thinking and acting centered on connections to humanity displaying carefulness and autonomy. This helps global citizens to achieve a greater appreciation of the concept of sharing carefulness toward others. This refers to the importance of individual contexts and suggests that the individual can take responsibility for their philosophy and personal life. In this way humanity creates a framework on which to build ethical global citizens who can become more likely to achieve their potential through discussion and reflection which will allow them to acquire the resources they need to live worthwhile lives on

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the basis of the concept of carefulness, i.e., living harmoniously with others in a way that is centered on moral codes, and helping others to live “contributive” lives toward killing-free and peaceful societies (Bosio, 2017).

Concluding Reflections If there is considerable potential in the ways in which Japanese educators are starting to develop ethical pedagogical approaches for teaching GCE which accord with previous research into this area (e.g., Bosio, 2019, 2020; Bosio & Schattle, 2021a; Sund & Pashby, 2018), this chapter suggests that the application of ethical dimensions to GCE will be complex for a minimum of two reasons: firstly it needs to support students to identify power structures that have complex histories (Giroux & Bosio, 2021), and secondly it must encourage students to engage with critical modes of inquiry (Pashby & Andreotti, 2016). In order to engage with such issues this chapter has made a contribution to the increasing body of research regarding GCE in Japan. This chapter may have an influence on the ways in which educators deliver in the classroom and more general approaches to GCE in Japan and internationally. Thus the chapter should be seen as providing a helpful foundation for future research in looking at the ways in which the teaching and learning of GCE may be improved both in Japan and worldwide. Nevertheless, this chapter did not attempt to generalize the findings within the broader context or develop statistical generalizations of the populations of interest. Instead, the chapter scrutinized a variety of opinions of Japanese educators regarding GCE to improve comprehension of the complexity of GCE by applying thematic analysis. This chapter’s contribution to knowledge could also have a meaningful impact on the conceptualization and practices of the internationalization of the HE curriculum beyond GCE, particularly in relation to discussion around the purposes of HE, the responses of HE to globalization and what we mean by values and knowledge in HE, specifically Japan.

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Moral and Values Development for Early Childhood Education in Singapore

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Pinhui Sandra Wu and Charlene Tan

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Moral and Values Development Through Student Well-Being . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Moral and Values Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Student Well-Being . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Moral/Values Development and Student Well-Being . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . National Frameworks for Early Childhood Education in Singapore . . . . . . . . . . . . . . . . . . . . . . . . . . . Character and Citizenship Education in Singapore . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Linking CCE to Early Childhood Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Core Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Social-Emotional Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Civic Literacy, Global Awareness, and Cross-Cultural Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Implications for Early Childhood Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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This chapter discusses moral and values development for early childhood education (ECE) in Singapore and delineates its international implications. Keeping in mind that early childhood spans from birth to eight, this chapter examines three national frameworks adopted in Singapore: Early Years Development Framework from birth to 3 years of age, Nurturing Early Learners Framework for 4- to 6-yearold children, and the refreshed Character and Citizenship Education (CCE) launched in 2021 for lower primary school children of seven and 8 years of age. This chapter critically discusses how the Ministry of Education in Singapore P. S. Wu (*) Nanyang Technological University, Singapore, Singapore e-mail: [email protected] C. Tan The University of Hong Kong, Pok Fu Lam, Hong Kong SAR, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_148

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promotes moral and values development as part of student well-being through the abovementioned frameworks. This chapter has elucidated an example of a moral and values educational program that is geared toward the all-embracing development of students. It explained how moral and values education as exemplified in CCE can be relevant to young children and applied in ECE programs to cultivate desired values from young. It provides suggestions on how various aspects of CCE can be adapted to the pre-school curriculum and offers recommendations on possible pedagogies to implement in the pre-school settings. Keywords

Character and Citizenship Education · Early childhood education · COVID-19 pandemic · Singapore · Social and emotional learning · Well-being

Introduction Among the changes that have impacted the modern world, the most disruptive one is arguably the COVID-19 pandemic. The pandemic has been aptly described as “a colossal ‘supernova’ interrupting human existence in every conceivable way” (Harris, 2020, p. 2). This global health emergency has adversely affected the schooling of more than 1.6 billion students worldwide. The pandemic has engendered a drastic reduction or absence of learning time, which is the time spent on learning for many students in the world. School closures and social distancing have made holistic education – teaching and learning that meet the physical, mental, emotional, social, and spiritual needs of each child – extremely challenging. Yet an all-embracing form of education that goes beyond academic achievement is an indispensable desired outcome of education. Schooling is not just about the cognitive development but also other developmental needs such as food, shelter, and financial support, especially for students from low-income families (Nicolaa et al., 2020; Toquero, 2020). As asserted by Colao et al. (2020), a school “provides a structured setting in which children can learn and develop social competencies, such as self-confidence, friendship, empathy, participation, respect, gratitude, compassion, and responsibility. Social and emotional learning is important for young people to become conscious members of a solidarity-based community” (p. 370). This chapter focuses on moral and values development for early childhood education in Singapore, extrapolating the major implications for early childhood education. Since early childhood spans from birth to eight, this chapter examines the national frameworks, Early Years Development Framework (EYDF) from birth to 3 years of age, Nurturing Early Learners (NEL) Framework for 4- to 6-year-old children, and the refreshed Character and Citizenship Education launched in 2021 (CCE2021) for lower primary school children aged seven and eight. This chapter critically analyses how the MOE in Singapore promotes moral and values

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development for every child as part of student well-being through the abovementioned frameworks and curriculum. The first part of the chapter introduces the concept of moral and values development and its relationship with student wellbeing. This is followed by an exposition of two national frameworks for early children education and their relevance to moral and values education. The third segment turns the attention to the revamped Character and Citizenship Education for primary school in Singapore that foregrounds the moral and values development of every child. The last section highlights the key implications for moral and values education from the example of Singapore.

Moral and Values Development Through Student Well-Being Moral and Values Development Moral and values development is primarily concerned with nurturing in students a set of beliefs and values about right and wrong, good and bad, justice and injustice, fairness and unfairness, and other ethical principles (Tan & Wong, 2010). Values are the principles and fundamental convictions that serve as general guides to human behavior (Halstead & Taylor, 2000). They enable one to make judgements and decisions on what is important, influence and motivate the actions of the individual, and act as a standard for judging and justifying actions made (Schwartz, 1994; Halstead & Taylor, 1996). Values are acquired through socialization based on dominant group values and the unique learning experiences of individuals (Schwartz, 1994). Research indicates that children develop an understanding of moral sensibility and values early in their lives through social interactions and relationships that support and influence their moral development (Halstead & Taylor, 2000). Moral development in early childhood has been widely debated and recent research suggests that infants have an innate moral core and the ability to know what is right and wrong (Wynn & Bloom, 2014). Key theorists Piaget (1932) and Kohlberg (1969) agree that young children can show signs of beginning morality in terms of justice and fairness at the age of two (Killen, 1991). Children in early to mid-childhood are characterized as premoral because they evaluate moral actions on grounds of authority, rewards, and punishment (Killen, 1991). Pre-school children are able to demonstrate moral orientations such as moral reasoning and judgement; however, they do need to possess the maturational preparedness to develop their sense of morality (Killen, 1991; Lamb, 1991). Effective moral and values education programs should thus include the furtherance of a set of beliefs and values as well as the intentions, attitudes, dispositions, behaviors, and personal reflections pertaining to moral character (Halstead, 2010). At the same time, efforts should be taken to help students internalize and demonstrate virtues in students.

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Student Well-Being Whichever approach a school adopts for its moral and values education program, the school needs to ensure that the program is geared toward enhancing the well-being of every child. The University of Cambridge Local Examinations Syndicate (UCLES) (2018) defines well-being as “a state of overall mental and physical health, strength, resilience and fitness to function well at work and personally” (p. 75). It is important to note that well-being is not simply a state or an outcome, but also denotes processes and competencies. This point is noted by the Organization for Economic Cooperation and Development (OECD, 2017) in its conceptualization of well-being as “the psychological, cognitive, social and physical functioning and capabilities that students need to live a happy and fulfilling life” (OECD, 2017, p 61). It is instructive to elaborate on the notion of well-being. In reviewing the extant literature on well-being, Huppert (2017) identifies two broad categories: the hedonic view and eudemonic view. The hedonic view relates well-being to positive emotions such as happiness, with a well-known example being Seligman’s (2011) PERMA model that stands for Positive emotion, Engagement, Relationships, Meaning, and Achievement. The eudemonic view, instead of attending to emotions, underlines positive functioning. Such a view plays up “optimal psychological functioning and experience” (Ryan & Deci, 2001, p. 142). The spotlight here, as noted by Ng (2020), is on the “successful performance of physical, cognitive, and social-emotional functions, which results in productive activities, fulfilling social relationships, transcendence of problems, and a sense of satisfaction associated with fulfilling one’s potential” (p. 2). The two views are not mutually exclusive and can in fact be combined. A case in point is provided by the Australia Catholic University and Erebus International (2008, p. 20) which formulate well-being as “the combination of feeling good and functioning effectively,” including “the experience of negative emotions and managing them successfully” (p. 20). An integrated approach to well-being underscores the fact that both feeling good and functioning well are crucial for students. On the one hand, just feeling happy may not be beneficial for children in the long run. Ryan and Deci (2001) caution that pleasure-producing desires may lead to outcomes that are detrimental to that person. To put it simply, “subjective happiness cannot be equated with well-being” (Ryan & Deci, 2001, p. 146). On the other hand, an eudemonic conception of well-being without the presence of happy emotions is insufficient for children who need the experience of positive emotions in their growing years.

Moral/Values Development and Student Well-Being An effective moral and values education curriculum for children should integrate the hedonic and eudemonic views of well-being. Moral/values development and wellbeing are closely related as the former contributes to an individual’s social and emotional wellness. The nurturance of character strengths in children such as

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temperance, perseverance, judgment, self-regulation, and love of learning has a direct impact on one’s studies and academic performance (Weber & Ruch, 2012). Furthermore, individuals who enjoy a high level of well-being tend to be healthier, more creative and productive, more successful in learning, and enjoy stronger bonds with others (Huppert, 2017; OECD, 2017). The close connection between wellbeing and moral/values development accounts for the popularity of Social and Emotional Learning (SEL) in schools. There are generally five components in SEL (The Australia Catholic University and Erebus International, 2008, p. 27): • Self-awareness: Accurately assessing one’s own feelings, interests, values, and strengths; understanding one’s own thinking and learning processes; and maintaining a well-grounded sense of self-confidence • Self-management: Regulating emotions to handle stress, control impulses, and persevere in overcoming obstacles; setting and monitoring progress toward personal and academic goals; and expressing emotions appropriately • Social awareness: Being able to take the perspective of others and empathize with them; recognizing and appreciating individual and group similarities and differences; and recognizing and using family, school, and community resources • Relationship skills: Establishing and maintaining healthy and rewarding relationships based on cooperation; resisting inappropriate social pressure; preventing, managing, and resolving interpersonal conflict; and seeking help when needed • Responsible decision-making: Making decisions based on consideration of ethical standards, safety concerns, appropriate social norms, respect for others, and likely consequences of actions; applying decision-making skills to academic and social situations; and contributing to the well-being of one’s school and community Having briefly discussed moral and values education and its relationship with student well-being, the next section turns to two national frameworks for early children education in Singapore and the values that are embedded in the frameworks.

National Frameworks for Early Childhood Education in Singapore In Singapore’s early childhood education (ECE) sector, there are two national curriculum frameworks that serve as guidelines for ECE: (1) the Early Years Development Framework (EYDF), which is a national framework from birth to 3 years, and (2) the Nurturing Early Learners (NEL): A Curriculum Framework for Kindergartens for 4- to 6-year-old children. In both the frameworks there are desired attributes, dispositions, values, knowledge, and skills described for children from birth to 3 and 4 to 6 years, respectively. A content analysis of the two frameworks reveals the government’s aspirations for their young (Wu, 2021a) (see Fig. 1). From birth to three, the emphasis is for infants and toddlers to be secure, confident, autonomous, and emotionally connected to the people in their lives to support their holistic development. As they grow, these attributes are built on for them to develop their values, character, relationships, and skills in various

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Fig. 1 Content analysis of EYDF and NEL framework. (Adapted from Wu (2021a))

developmental domains for their overall well-being, development, and growth. Table 1 below maps the key stage outcomes of pre-school education to the developmental domains and skills that six-year-old children should ideally achieve at the end of their pre-school education (MOE, 2012). At the end of pre-school education, children are aspired to have achieved these outcomes to support their transition to primary school. As evident in the table, the overall aim is to support the holistic development of young children starting from infancy to the completion of kindergarten two. It is helpful to give some background information on early childhood sector in Singapore. In a market-driven diverse landscape in Singapore, there are diverse operators with different curriculum models and programs that serve young children from birth to 6 years of age through various pre-school curricula. Examples are the Montessori approach, Reggio Emilia model, Steiner approach, Multiple intelligences approach, play-based learning, inquiry-based learning, emergent curriculum, and the thematic approach (Wu, 2017). Due to the diversity of ECE programs, the quality of curriculum tends to vary across centers (Ang, 2012). While there is mention of values and character development in the NEL framework, there are no explicit curriculum guidelines for values education at the pre-school level (MSF, 2011; MOE, 2012; Wu, 2021). In addition, because the frameworks are not

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Table 1 Key stage outcomes of pre-school education mapped to development domains and skills Key stage outcomes of pre-school education The child should: Know what is right and what is wrong Be willing to share and take turns with others Be able to relate to others Be curious and able to explore Be able to listen and speak with understanding Be comfortable and happy with themselves Have developed physical coordination, healthy habits, and participate in and enjoy a variety of arts experiences Love their families, friends, teachers, and school

Development domains and skills Values and character development Social skills Positive learning attitude and disposition Language and communication skills Positive self-image and social-emotional development Positive motor skills development, self-care and personal hygiene, and an appreciation and engagement with the arts Positive familial and social relationships

mandatory, centers have the autonomy to adapt the frameworks to their curriculum and programs at their own discretion (Wu, 2017). Consequently, the enactment of moral and values development through the different programs is varied, which implies that the content and enactment of moral and values education are determined by pre-schools that play a key role in delivering quality education for young children (Wu, 2021). Early childhood is a time where children begin to cultivate values of the society from home and school (Robles de Melendez & Ostertag, 1997). As the state recognizes parents as the first educators of young children (MSF, 2011; MOE, 2012), the onus of moral and values education therefore lies primarily in the hands of parents and their choice of center that their children are enrolled in (Wu. 2021). Since parents hold the responsibility and authority to decide on the values they wish to inculcate in their children, the selection of center would also impact on their children’s moral and values education (Wu, 2021). For example, parents who subscribe to a particular religion may choose a religious center for their child and expect the center to teach religious values in the curriculum (Wu, 2021). Conversely, parents who choose a secular center would find out what and how values are taught to their children based on their personal beliefs and parenting philosophy (Wu, 2021). As most centers in Singapore are secular in nature, the lack of national curriculum guidelines that explicate moral and values education implies that centers would enact it differently (Wu, 2021). In addition, children tend to spend long hours at their centers as their parents need to work. Typically, working parents would send their children to the centers in the morning and pick them up in the evening after work. Therefore, early childhood educators and children’s peers have a significant impact on children’s moral development as they spend most of their day at the center. Centers, principals, and teachers thus play a pivotal role in the moral and values education of young children. Centers should include moral values in their curriculum

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and teachers should also be equipped with the requisite knowledge and skills to effectively implement moral and values education in the classroom. Upon the completion of ECE, children enter primary school at the age of seven, as it is compulsory education mandated by the government (Wu, 2017). With reference to the hedonic and eudemonic views of well-being, it is significant that both views are present in the EYDF and NEL frameworks. Both frameworks acknowledge that children learn through play as it is intrinsic and enjoyable to them in the context of the relationships that they are surrounded with, such as their teachers and friends. The EYDF posits the role of the educarer as one who facilitates play, exploration, and learning through an intentional program in a nurturing environment which aligns with the NEL framework’s emphasis on children learning through play that is engaging, enjoyable, and thoughtfully planned by their teachers for them to learn about themselves and the world around them (MSF, 2011, MOE, 2012). The hedonic view in the EYDF is more pronounced as the emphasis on children feeling secure, confident, emotionally connected, and having a sense of autonomy all contributes to their holistic development from birth to three (Wu, 2021a). Having established these in the first 3 years of a child’s life, a combination of the hedonic and eudemonic views is evident in the NEL framework as children progresses and grows between 4 and 6 years of age. In the NEL framework, children are encouraged to develop character through good values; social skills; positive learning attitude and dispositions; language and communication skills; positive self-image and social-emotional development; self-care; positive familial and social relationships; and desirable attributes such as perseverance, reflectiveness, a sense of appreciation, inventiveness, sense of wonder, curiosity, and engagement, all of which contribute to children’s well-being in feeling good and functioning well (Wu, 2021a). The foundation of cultivating these attributes, values, knowledge, skills, and dispositions begins in the early years and continues to build on one another and contributes toward the development of the five components of SEL (self-awareness, self-management, social awareness, relationship skills, and responsible decision-making).

Character and Citizenship Education in Singapore The foregoing discussed the two national frameworks for childhood education: Early Years Development Framework (EYDF) and Nurturing Early Learners (NEL) Framework. This section shifts our focus to the third avenue for children to develop their moral values, dispositions, and behavior: Character and Citizenship Education (CCE). CCE has been implemented in all government schools in the country since 2014. The overarching goal of CCE is to “inculcate values and build competencies in our students to develop them to be good individuals and useful citizens” (MOE, 2012a, p. 1; 2012b, p. 1). As denoted by its name, CCE revolves around character education and citizenship education. Character education focuses on the core values – the building blocks of one’s traits and behavior – to be cultivated in all students (MOE, 2012a).

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Citizenship education, on the other hand, pivots on stressing the practice of social cohesion for all Singaporeans (Tan, 2013; Tan & Ng, 2021). According to MOE, all students should “take pride in our national identity, have a sense of belonging to Singapore and be committed to nation-building” and “value Singapore’s socio-cultural diversity, and promote social cohesion and harmony” (MOE, 2012b, p. 5). A good citizen, it follows, is one who excels in civic literacy, global awareness, and crosscultural skills (MOE, 2012a, p. 1). In primary schools, CCE is taught to all students in their mother tongue language. The mother tongue language is ascribed to the child’s ethnicity, for example, Chinese, Malay, and Indian students learn CCE through the Chinese, Malay, and Tamil language respectively. Increasingly, there are students from migrant backgrounds whose mother tongue language is neither of the three official mother tongue languages and hence these students learn CCE primarily through English. The CCE syllabus comes from the MOE which is a centralized system that provides the syllabi that all schools teach. CCE has been recently refreshed and known as CCE2021, with a greater emphasis on the teaching of moral values through cultural stories, songs, idioms, and proverbs that are unique to each mother tongue language (MOE, 2020). It is pertinent that CCE incorporates both the hedonic and eudemonic views of well-being by stressing the importance of feeling good and functioning healthily. First, the hedonic aspect, as noted earlier, emphasizes positive emotions, meaningful engagement, building strong relationships, finding personal meaning, and working toward achievement. An eudemonic conception of well-being, on the other hand, underscores the attainment of one’s daimon or true nature. These qualities are underlined under the civic literacy, global awareness, and cross-cultural skills in CCE (see Table 1). Through an integrated approach, students experience CCE beyond classroom lessons and activities; there are also student development experiences and schoolbased initiatives that are meaningful, relevant, and applicable to them (MOE, 2020). In a caring and enabling school environment, students thrive in positive teacherstudent relationships and peer support relationships and are empowered to have their voices heard and take ownership of their own learning (MOE, 2020). When one develops these qualities in this context, they would be able to participate meaningfully and purposefully in life as they would lead an active community life, possess global awareness, sociocultural sensitivity, and awareness that contribute to their sense of national and cultural identity, all of which form their individual identities, help inform the choices they make in life, and affect the quality of relationships that they have. CCE also advances student well-being by foregrounding civic literacy, global awareness, and cross-cultural skills (see Table 2). Six core values are identified by MOE as follows (see Table 3) (MOE, 2012a, p. 6): CCE makes explicit references to the social and emotional competencies that all students should acquire. These competencies are the skills, knowledge, and dispositions that enable students to manage self and relationships effectively as well as

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Table 2 Civic literacy, global awareness, and cross-cultural skills in CCE Component of the civic literacy, global awareness, and cross-cultural skills Active community life

National and cultural identity

Global awareness

Sociocultural sensitivity and awareness

Description of expected outcomes Demonstrates a sense of responsibility toward the community Is civic minded Supports and contributes through community and nation-building activities Possesses a sense of responsibility to the nation Has a shared commitment to the ideals of the nation and its culture Copes with change due to cultural interactions abroad Recognizes, analyzes, and evaluates global trends and their interconnections with local communities Empathizes with others through understanding, acceptance, and respect Engages in appropriate behavior with other sociocultural groups in both local and international contexts, in a way which would enhance social cohesion

Source: MOE (2012a) Table 3 Core values in CCE Core value Respect Responsibility

Resilience Integrity Care Harmony

Description of expected outcomes Demonstrates respect when one believes in his/her own self-worth and the intrinsic worth of all people Recognizes that one has a duty to himself/herself, his/her family, community, nation, and the world, and fulfills his/her responsibilities with love and commitment Has emotional strength and perseveres in the face of challenges Manifests courage, optimism, adaptability, and resourcefulness Upholds ethical principles and has the moral courage to stand up for what is right Acts with kindness and compassion Contributes to the betterment of the community and the world Seeks inner happiness and promotes social cohesion Appreciates the unity and diversity of a multicultural society

Source: MOE (2012a)

make responsible decisions (MOE, 2012a, p. 1). Table 4 shows the five components (MOE 2012a, p. 3). In CCE2021, there is a greater emphasis on social-emotional well-being through a student-centric and coherent curriculum that cultivates these values and socialemotional competencies in students (MOE, 2020). In a total curriculum, schools use a school-wide approach to provide students with an educational experience that promotes their well-being through topics such as national education, sexuality

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Table 4 Social and emotional competencies in CCE Social and emotional competency Self-awareness

Self-management Social awareness Relationship management Responsible decisionmaking

Description of expected outcomes Understands his/her own emotions, strengths, inclinations, and weaknesses and is able to develop positive self-concept and selfworth Manages his/her own emotions, exercise self-discipline, and display strong goal-setting and organizational skills Accurately discerns different perspectives, recognizes and appreciates diversity, and demonstrates empathy and respect for others Establishes and maintains healthy relationships through effective communication and is able to work with others to resolve conflicts Identifies and analyzes the implications and consequences of decisions made based on sound moral considerations

Source: MOE (2012a)

education, mental health, education and career guidance, cyber wellness, and family education to prepare them for life (MOE, 2020). One of the goals of CCE is to develop students’ resilience and social-emotional well-being so that they will “have a balanced sense of self, form healthy relationships, be resilient when faced with challenges, find meaning in life, and have a sense of gratitude and appreciation” (MOE, 2020, p. 8). When students possess these social-emotional competencies, they would be able to examine and understand their thoughts and emotions, develop a sense of responsibility and concern for others, and act for the good of self, others, and the society, which in turn allows them to live out their values and grow their character (MOE, 2020). This demonstrates the three intents of CCE for students to develop self-awareness and self-management skills to achieve personal effectiveness and well-being; develop social awareness and manage relationships for personal and social well-being; and make responsible decisions and act on them (MOE, 2020, p.28). These are in line with the hedonic and eudemonic views of moral and values education in supporting children’s SEL, moral and values development. To achieve these, building the foundation of children in their development of desirable values, character formation, and social-emotional competencies will need to begin in early childhood.

Linking CCE to Early Childhood Education Although there are no explicit curriculum guidelines for values education in early childhood education (ECE), moral and values development is embedded in the key stage outcomes of pre-school education. There are values that children should cultivate upon the completion of pre-school education, which are to know what is right and wrong, be willing to share and take turns, and love their families, friends, teachers, and school (MOE, 2012). The lack of curriculum guidelines in ECE makes the application of CCE relevant and a useful guide that can be adapted to the ECE

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context to provide a developmentally appropriate CCE curriculum for young children. In view of the gap in values education between ECE and primary school education, the next section discusses the adaptation of the abovementioned aspects of CCE to ECE and provides suggestions on how core values, social-emotional competencies, and civic literacy, global awareness, and cross-cultural skills can be taught in a pre-school curriculum in the early childhood context using a progressive approach. The progressive approach is largely influenced by Dewey in that morality and values are shaped by the sociohistorical needs of the society that can change over time, as such values are a sociocultural construct (Goodman, 2000). In this approach, values education is taught through adult role modeling, positive reinforcement, and encouraging children to be and do good while disapproving and disallowing wrongful actions (Goodman, 2000).

Core Values Since values are a sociocultural construct, there is a need to articulate what these core values mean in the early childhood context through meaningful and developmentally appropriate ways. Centers can cultivate values such as respect, responsibility, care, and harmony in ways that young children can understand. Values such as resilience and integrity may be conceptually abstract for young children to understand and enact, and thus teaching these values would require maturational preparedness in young children. For example, children can learn respect as early as when they are infants as they learn respect when they are cared for respectfully. This is emphasized in the EYDF where educarers are encouraged to have respectful, reciprocal, and responsive relationships and interactions with infants and toddlers (MSF, 2011). Adults need to role model what respect looks like to children for them to learn how to be respectful. As children grow, they also learn respect through simple daily practices such as greeting one another, learning how to use phrases such as “please” and “thank you,” and listening to others when they are speaking and not interrupting. In these ways, children begin to cultivate an understanding of what respect means and looks like. Young children can also begin to learn how to be responsible by taking care of themselves, their own belongings. For example, through developing self-help skills such as being able to feed and dress themselves, knowing where to put their bags and water bottles, and bring them home for the day are all ways which children learn to be responsible. Children can learn to care for one another through their peer relationships in the center such as sharing toys and taking turns which are also prosocial skills that young children can acquire and apply in caring for others. In the multicultural, multiracial context of Singapore, harmony is important for social cohesion and unity. As such, children can learn about different ethnic groups, cultures, and religions through an inclusive center culture. This could include celebrating festivals for the different ethnic groups and religions to expose young children to unique cultures and events such as Chinese New Year, Vesak Day, Hari

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Raya Haji, Deepavali, and Christmas. Teachers can explain the significance of these festivals through cultural stories and organize activities where children can taste and wear the foods and costumes that people of different ethnicities eat and wear. Through these learning experiences, children can also learn to appreciate multiculturalism and respecting other races, cultures, and religions (Wu et al., 2020). This is also emphasized in the NEL framework where children are taught to respect for diversity (MOE, 2012). Respect for diversity is important to the pluralistic nature of Singapore to maintain peace, social cohesion, and harmony.

Social-Emotional Competencies The development of social-emotional competencies is closely linked to children’s social-emotional development. Teachers can show facial expressions and provide them with the words to express their feelings such as happy, angry, frustrated, sad, to help children develop their sense of self awareness, and give them the language to express themselves. When children are able to identify the emotions that they are feeling and express themselves constructively, they develop their sense of self. Through positive reinforcement, children can learn self-regulation which leads to self-management as they grow older. Through various cultural activities, as mentioned above, children also cultivate social awareness as they learn to appreciate diversity and respect differences. The early relationships that children form with the adults in their lives have a significant impact on their growth and development as they thrive on interactions that are respectful, responsive, and reciprocal with nurturing adults (Wu et al., 2020; MSF, 2011). The NEL framework promotes positive social-emotional development through effective communication, interactions, and relationships between young children (MOE, 2012). When children experience positive relationships in their lives with their parents, family, teachers, and friends, they learn the importance of healthy relationships and, over time, how to manage relationships. When they encounter conflicts with their friends, they should be given time, space, and opportunities to resolve conflict on their own before adult intervention, and that builds on their ability to manage relationships effectively. Lastly, because children follow rules based on a rewards and punishment system at this stage, they can learn to be responsible decision-makers in their words, actions, and behaviors through the rules and boundaries set in school and at home.

Civic Literacy, Global Awareness, and Cross-Cultural Skills With reference to the accent on developing social cohesion in CCE, young children can learn how to lead an active community through activities that support their participation in their community and neighborhood. For example, parents and teachers can teach children that littering is unhygienic and creates a dirty living environment for the people in the neighborhood. As such, they learn civic

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consciousness by being responsible and civic minded when they do not litter and help to pick up litter. They can also learn to contribute to their community by helping those in need. For example, in neighborhoods where there are low-income or unprivileged families in the community that they live in, the center can organize donation drives for food staples that young children can help to distribute to the needy. In creating global awareness in young children, the current COVID-19 pandemic is a good way of teaching them how everyone is interconnected and how something that happens in another country can come to affect them and their lives through globalization and travel. In a multicultural, multiracial society like Singapore, children can cultivate their sociocultural sensitivities and awareness of other ethnic groups and cultures through learning experiences such as visiting different parts of Singapore that has cultural heritage such as Chinatown, Little India, and the Malay Village of Geylang Serai. From these learning journeys, teachers can teach young children about the history of migrants, their lives in Singapore, and various aspects of their cultures and practices. All of these contribute toward developing their knowledge of their country, community, society, and people, which also form part of their national and cultural identities. The suggestions for these aspects of CCE can be intentionally integrated in a center’s program according to the ages and stages of children for holistic development. In addition, the three big ideas of identity, relationships, and choices form the conceptual core of CCE (MOE, 2020) can also be adapted to ECE as children first learn about themselves and as they begin to develop their self-concept and sense of self, they too will learn about others, such as their family, community, society, and global society. Secondly, children thrive when they experience positive relationships and interact with the people in their lives, and it is in the social context which they live in that they can grow, develop, and flourish. As they interact and build relationships with others, they also learn how to live in a community and coexist with others. Lastly, due to the stage of moral development of young children, the choices they make would be based on rules in a system of rewards and punishment, as such, at a young age, they need to know the difference between right and wrong to make good choices.

Implications for Early Childhood Education Two major implications for moral and values education from the illustrative case study of CCE in Singapore are highlighted here. First, a key implication from the example of CCE in Singapore is the utmost importance of fostering the well-being of all children. Researchers have noted that the communitarian underpinnings for moral and values education has led to the adoption of the civic republican model of citizenship rather than the liberal individualist model of citizenship in Singapore and other Asian societies (Gopinathan & Sharpe, 2004; Tan & Tan, 2014). Chua posits that many political leaders in East and Southeast Asia rely on communitarianism for the purpose of rationalizing general political governance and specific

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administrative policies. Rested on a communitarian ideology, a “good citizen” is perceived to be one who supports the community by adhering to a set of publicly shared values. A critique of communitarianism is that it has inadvertently contributed to passive, responsible, and rule-following citizenship which downplays one’s rights, entitlements, and status. A related point is that moral and values education in Asia has traditionally underlined the values and behavior on the established social and value system for the sake of maintenance (Lo & Man, 1996). The concern with such an approach is that the students’ reasoning, deliberation, decision-making, and conflictresolution abilities are not sufficiently developed. While the transmission approach is effective in early childhood due to the stages of moral development that children are at, as they grow, they should also develop higher-level moral reasoning and critical thinking skills. This explains why the CCE2021 syllabus is pitched at the moral and social-emotional developmental stages of the students where values and social-emotional competencies are clearly articulated in the curriculum frame and syllabus. This also indicates a gap in moral and values education between pre-school and primary education as currently, there is a lack of clarity and articulation of the values that the government seek to inculcate in pre-school children. In the case of Singapore, the MOE has revamped the moral and values educational program to shift away from a predominantly civic republican model to one that is more student-centered. The experience of Singapore shows the need to design and enact a moral and values education program that helps all students feel good and function optimally through a whole-school approach. CCE adopts a “whole-school approach” that strives to integrate character and citizenship values into all the school subjects and cocurricular activities. This means that all teachers, not just those teaching values during the formal curriculum time, are expected to impart values during their lessons, whether it is science, literature, or music (Lim, 2011). In particular, the Singapore case study demonstrates the primacy of helping all children in the early childhood period to experience positive emotions and perform well in life. As seen from the above suggestions, there are aspects of CCE that can be adapted to ECE to include values education in pre-school programs for children’s holistic development. As values are context specific, there is a need for policymakers to articulate what their societal values are and how these desirable values are cultivated in their young. The enculturation process depends on the political, sociocultural, and historical settings of the country. In addition, the moral and values education of children would need to be designed and implemented in developmentally appropriate ways that align with the moral development stages of the children. As such, the government could provide a framework, developmentally appropriate guidelines, and teaching and learning resources on values education that align with the CCE curriculum frame and syllabus or include values education as one of the learning areas in the existing national frameworks, EYDF and NEL framework for the early years. It is imperative that there is alignment, coherence, and continuity in values education from pre-school to primary levels. Since pre-school education foregrounds primary schooling and lay the important foundations for children’s later trajectory, the values that children learn and cultivate in the early years will therefore

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continue to be built on in primary school. The provision of such framework and resources will thus enable centers to adopt and adapt values education according to the curriculum model of their center settings. The second implication from the example of Singapore concerns the appropriate pedagogy for moral and values education of children. Two teaching strategies are recommended here. First, the teaching approach for CCE known as the 5Ps is appropriate for early childhood educators. The 5Ps are Purpose, Pupil, exPerience, Professional development, and Partnerships (Tan, 2013; MOE, n.d.). “Purpose” refers to schools having a clear purpose to align and integrate the various programs, including academic, cocurricular, student guidance, staff development, and national education into a coherent whole. “Pupil” reminds schools to study the pupils’ profile, understand their needs, challenges, and expectations so as to work toward a positive teacher-pupil relationship. “ExPerience” stresses the need for students to experience character-building across the curriculum, and not only learn values in a dry, standalone subject or a series of activities. “Professional Development” focuses on the role and training of teachers to impart the right values, social and emotional competencies, and dispositions of citizenship in the pupils. Finally, “Partnership” underscores the need for home-school-community partnership to reinforce the values taught to students, both at home and in school. Corresponding to a whole-school and student-centered approach to values education is the adoption of student-centered strategies. These include experiential learning, service learning, storytelling, teachable moments, cooperative learning, group discussions, journals/learning logs, and perspective taking (MOE, n.d., p. 17). These pedagogical practices can be adapted to the ECE context where centers have in place a coherent curriculum for values education and teachers design and plan lessons, activities, and learning experiences according to the developmental ages and stages of children. The second recommended pedagogy is drawn from Ashford and DeRue’s (2012) mindful engagement where educators create learning opportunities for children to go through their experiences reflectively and purposefully. Through a mindful engagement process, “individuals can approach, engage in, and reflect on their lived experiences in ways that promote learning and increase the developmental punch of any experience” (Ashford & DeRue, 2012, p. 147). Integral to mindful engagement is self-acceptance where one builds one’s confidence from the inside out (within oneself) rather than outside in (from others) (Ehrlich, 2017). Accompanying self-acceptance is self-compassion in children, which refers to the intention to be kind to oneself through ways such as the following (Ehrlich, 2017, p. 240): • • • • • • •

Paying mindful attention to yourself Protecting and taking care of yourself Impeccability (doing your best by yourself) Being curious and inquiring into yourself (seeking self-awareness) Not second-guessing or criticizing yourself Forgiving yourself and supporting experimentation Valuing, appreciating, and loving yourself

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• Being positive and encouraging with yourself • Being gentle and patient versus pushing yourself • Trusting yourself and taking yourself seriously (not denying your reactions, feelings, values, or dreams) Mindful engagement encourages children to spend time reflecting on their emotions and sharing them in a safe environment (Shady & Larson, 2010). Children can articulate their thoughts and emotions through diverse ways such as writing or drawing without the fear of being chastised. They can also be encouraged to develop empathy and gratitude by doing acts of kindness to one another and other people (Pipe & Bortz, 2009). Such a secure and caring environment can be cultivated in ECE settings to support children’s development of self through mindfulness. When children feel safe, they can articulate their feelings, have the courage to explore, and even push boundaries to learn about themselves as they grow. While these recommendations demonstrate how policy can translate into practice, it is noted that for effective implementation to take place, the provision of a pre-school values education framework, guidelines, teaching, and learning resources, there needs to be subscription from the ground. Without buy-in from parents and the sector, the policy would not be successful. An integral part of the buy-in needed from parents is for them to shift away from an exam-oriented mindset to one that promotes holistic development in their children. Research has shown that parents in Singapore tend to emphasize academic achievements (Matthews et al., 2017). This phenomenon is known as the “schoolification” of pre-school education, perpetuated by the international comparison of children’s performance and achievement (Wu & Tan, 2020). For early childhood education to inculcate moral and values in the learners, parents and other educational stakeholders need to change their aspirations for the children, beyond a narrow focus on test scores. With reference to our earlier discussions on well-being, parents and other educational partners need to foster both the hedonic and eudemonic views in the children. This means helping and empowering the young learners to experience positive emotions such as happiness based on healthy relationships (hedonic view), as well as positive functioning in society and living purposeful lives (eudemonic view). As such, engagement with the ground, parent education, teacher training, and professional development would be needed as part of the rollout of values education for pre-school children. In the process of implementation, it is foreseen that time, funding, training, accountability measures, and program evaluation would also be needed to ensure effective values education can take place across centers in the ECE landscape and parents can support the moral, social-emotional development of their children.

Conclusion The COVID-19 pandemic has caused worldwide disruption to many lives, with students being especially hard hit by school closures. But a silver lining is that the pandemic has reminded school leaders that education is fundamentally a moral

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endeavor to serve the best interests of the students. Reimers and Schleicher (2020) described the pandemic as “the quintessential adaptive challenge, creating opportunities for rapid learning and continuous improvement” (p. 7, also see Colao et al., 2020). In the midst of educational challenges, educators are exploring novel and alternative ways of teaching and caring for their students. Integral to educational reform is moral and values education. Rather than being obsessed with high-stakes examination and teaching to the test, educators need to create and sustain a culture of student well-being. Practical strategies to express empathetic concern to students include remembering their names, spending time with them outside the classroom such as during breaks, building close relationships with them, and partnering with parents and other educational stakeholders (Alford, 2017; Chalwell, 2018). This chapter has elucidated an example of a moral and values educational program that is geared toward the all-embracing development of students. This chapter has explained how moral and values education as exemplified in CCE in Singapore can be relevant to young children and applied in ECE programs to cultivate desired values from young. It provides suggestions on how various aspects of CCE can be adapted to the pre-school curriculum and offers recommendations on possible pedagogies to implement in the pre-school settings. Schools need to enact a wellplanned moral and values education that foregrounds the well-being of all children. Such a program enhances positive education, teaching the whole student and championing an all-inclusive learning environment for all.

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Section III Lifelong Learning and Twenty-First-Century Competences Rene´e Tan

Lifelong learning in the Asia-Pacific is often seen to be playing “catch-up” to countries from the Global North, perceived to have had a clear head start in this field, and hence, taking the lead in demonstrating what may be done in the areas of lifelong, life-deep, and life-wide learning. This could perhaps though, be an issue of a lack of knowledge of the full sweep of lifelong learning initiatives and efforts being made in countries in the Asia-Pacific, most considered to be part of the Global South, and thus, lagging in sophistication, scale, and know-how in their development efforts. Put simply, it could in fact be a case of non-publicity and therefore, non-understanding, leading many to think that lifelong learning efforts in the AsiaPacific would be blunt and unrefined efforts which stem from adopting wholesale, the programs and initiatives of role-model countries. The importance of this section is thus evident: this is a focused and nuanced look into the lifelong learning systems, issues, and endeavors of a few countries in East and Southeast Asia. Its significance cannot be overstated, as in some instances, such a glimpse has been, to date, quite a rarity. The section thus aims to bring to light and feature the large range of lifelong learning achievements in the Asia-Pacific thus far, as the countries represented here showcase key moves and concerns within their lifelong learning journeys. Opening the section is a trio of chapters touching on issues of learner agency, attainment of multifaceted mastery and creativity within lifelong learning. These explorations signal the complexities involved in opening up spaces for the consideration of the individual within lifelong learning ecosystems and large-scale program provision. Helen Bound in “Pawn or Agent in the Lifelong Learning Agenda” launches the section with a robust discussion of where the learner is placed and how the learner is regarded within the lifelong learning agenda, so that the learner’s agency, or lack thereof, determines if one is simply a pawn, taking on learning as “dictated” by nation, industry, or employer, or whether the learner is a full-fledged agent, able to plot out one’s own journey and fulfil learning goals and aspirations as one prefers. The systemic affordances and narrative thrust thus implies the need for those sculpting lifelong learning systems to consider both perspectives, even as

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agency propels or limits the learner’s ability to truly take on self-directed learning. The section then moves on to probe the construct of multifaceted mastery, delving into the study of complex skills and expertise attainment by an individual, observed when Poon King Wang, Thijs Willems, and W. Liu in “The Future of Expertise: From Stepwise Domain Upskilling to Multifaceted Mastery” discuss a fresh take on expertise development which moves beyond the realm of a simple progressive journey through the rungs of recognized skill levels, from novice to expert, to eventually attain a full slate of competence. Instead, mastery is multidimensional, and hence, the means of such acquisition also stems from a combination of learning, practice, experience, and more. This fresh take on an accepted means of understanding mastery development is innovative and places the individual front and center of the acquisition and development process. Following this, Josephine Fleming and Robyn Gibson present an innovative means to probe the presence of creativity within research in lifelong learning, to work out, by extension, if creativity features prominently enough in lifelong learning research, challenging us to reimagine a state of lifelong learning research that could go well beyond what we are currently familiar with, to consider aspects of individual nuance and variation. The section then shifts its focus to a series of country case studies to inform, update, and importantly, shine a spotlight on, in some cases, hitherto unfamiliar segments of lifelong learning activity within particular countries. Importantly, the constant need to respond to a relentless pace of change, within diverse country constructs and concerns, is a common and unifying concern over the next chapters. Zenaida Reyes and Minda Valencia in “Filipino Women’s Lifelong Learning and Twenty-First-Century Competences” bring to light the often unseen attempts to focus on a critical segment of the population who stand to benefit largely from the investments made in their quest for lifelong learning. The references made to the fulfilment of the United Nations’ Strategic Development Goals (SDG), and in this case, SDG4, which focuses on Quality Education, outline the fact that countries such as the Philippines are aligning themselves with the global ambition to fulfil the SDGs as completely as possible, while paying attention to the most pressing needs within their country. This is also the case in Brunei, where Adeline Goh in “Reimagining and Revitalizing Lifelong Learning in Brunei for a Digital Age” examines the systematic approach undertaken to update lifelong learning programs in Brunei to ensure that they keep pace with global changes which would impact the workforce and the economy, while holding fast to the human development aims embedded within the lifelong learning purview of Brunei. Also exploring the richness of lifelong learning across space and time is Kim Young-Sek in “The Current and Future State in Lifelong Education in the Republic of Korea,” who lays out a comprehensive map, not often revealed to date, of the Republic of Korea’s lifelong learning rollout and adaptive efforts to keep in line with changing demographics and lifestyles. What is particularly persuasive is the rare glance into the incentive methods to persuade people to take on lifelong learning, especially in the vocational tracks, to run alongside economic needs. Another unique glimpse afforded in this section is that of Japanese Small and Medium Enterprise (SME) practices in Matthias Pilz and Shinji Sakano’s chapter on “Recruitment and

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Training in Japanese SMEs: A Case Study Concerning Lifelong Learning in the Manufacturing Industry at the Tokyo Metropolitan Area.” Distinctive cultural practices within Japanese SMEs and the impact of such practices on training and lifelong learning opportunities afforded to workers are observed for our better understanding of learning practices within Japanese industry. The concerns outlined here are of a changing world amidst efforts to hold on to cultural power lines and ingrained norms. This is also the case in Azirah Hashim’s exploration of multilingualism and multiliteracies in “Literacy and Lifelong Learning in the Twenty-First Century: Development of Multilingualism and Multiliteracies in ASEAN,” as the phenomenon of lifelong learning amidst the rich and diverse landscape of different languages is scanned and discussed, allowing consideration of the possibility for localized features and language use in lifelong learning. Even in the midst of modernization and the largely full-scale adoption of English as a working language, countries within ASEAN are also trying to hold on to the richness of native language amidst the unceasing call to learn to better fit into changing landscapes. It is hoped, as you read through the chapters in this section, that a fuller, more embracing understanding of the development of lifelong learning and twenty-firstcentury competences is realized, as countries in the region strive to put in place a myriad of affordances and opportunities to further such growth and development, even as the world looks to leverage on learning as one of its primary tools to keep up with unending change.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Human Capital Framing of Lifelong Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lifelong Learning as Social Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . From Skills to Capabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Capability and Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Designing Intentional Learning for Lifelong Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Implications for Institutions, Employers, and Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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National policy agendas for lifelong learning place responsibility for learning as a lifelong endeavor at the feet of individual learners. ‘Failure’ in the labor market – unemployment, underemployment, not achieving progression, or successful switching of careers – is seen as an outcome of an individual’s decisions about education and training. That is, it is individual actions and decisions that are perceived as being entirely in the control of the individual, as it is for individuals to invest in their development to increase their capacity. Those who do not meet this expected undertaking are labeled variously as having ‘gaps’ in their skills and knowledge, and/or as non-learners, as a problem that either needs addressing or is of the individual’s making. Lifelong learning is positioned as a state of mind. This is a very human capital perspective commonly used by government and enterprises alike. Individuals are simultaneously pawns expected to exercise particular kinds of agency, assumed to be operating on a level playing field. Despite even the best of government provision of funding and places, it is no surprise that not all opportunities are equal. H. Bound (*) Institute for Lifelong Learning, Singapore, University of Social Sciences, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_41

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Genuine opportunities are denied to many depending on their circumstances and biographies. Race, class, gender, income, access to childcare, cost of transport, options offered by accessible institutions, being part of a supportive workplace, the nature and design of the work individuals are engaged in: these and more mediate chances to participate actively and meaningfully in lifelong learning. Debates about the realities of lifelong learning addressing inclusion and equity issues are not new. So how to conceive of lifelong learning beyond, for example, government support for places in educational institutions, and who the players are that have a role in contributing to genuine opportunities for lifelong learning? Learning conceived of as social practices brings a focus to individuals’ potential, their genuine opportunities through their biographies, and the contexts in which they live and work. These perspectives position lifelong learning very differently, with different foci, intent, and creation of possibilities for individuals, collectives, and a nation. This conceptual chapter aims to address what a different conception and positioning of lifelong learning ‘looks like,’ and what it might mean for different players. Keywords

Lifelong learning · Policy · Learning as social practice · Capabilities · Designing Learning

Introduction National policy agendas for lifelong learning place responsibility for learning as a lifelong endeavor at the feet of individual learners. ‘Failure’ in the labor market – unemployment, underemployment, not achieving progression or successful switching of careers – is seen as an outcome of an individual’s decisions about education and training. That is, it is individual actions and decisions that are perceived as being in the control of the individual, just as individuals are expected to invest in their development and increase their capacity. Those who do not meet this expected undertaking are labeled as having ‘gaps’ in their skills and knowledge, and/or as non-learners, and/or as a problem that either needs addressing or is of the individual’s making. It is not surprising then that discourses around lifelong learning position it as a state of mind. These human capital understandings of lifelong learning are commonly used by government and enterprises alike. Individuals are simultaneously pawns expected to exercise particular kinds of agency, and are perceived as operating on a level playing field. Despite even the best of government provision of funding and places, it is not surprising that not all opportunities are equal. Genuine opportunities are denied to many depending on their circumstances and biographies. Race, class, gender, income, access to childcare, cost of transport, options offered by accessible institutions, being part of a supportive workplace, the nature and design of the work individuals are engaged in: these and more mediate chances to participate actively and meaningfully in lifelong learning. Debates about

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the realities of lifelong learning addressing inclusion and equity issues are not new. So how to conceive of lifelong learning beyond, for example, government support for places in educational institutions, and who the players are that have a role in contributing to genuine opportunities for lifelong learning? This conceptual chapter aims to consider what it means when we move away from a predominantly human capital lens to understand and enact lifelong learning through a lens of learning as social practice. The social practice lens is a relational perspective that brings a focus to individuals’ potential, their genuine (Sen, 1985) opportunities through individual biographies, and the contexts in which people live and work. This positions lifelong learning very differently, with different foci, intent, and creation of possibilities for individuals, collectives, and a nation to address an inclusive agenda. As such, this chapter commences by briefly delving into the problematics and limitations of lifelong learning conceived of and enacted as human capital. This is followed by a conceptualization of lifelong learning as social practice that goes beyond the role of government and its provision (or not) and funding of lifelong infrastructure and opportunities. Understanding lifelong learning as social practice is to consider the messiness of relations between human and non-human players, in different contexts. The examples provided are drawn from a number of different studies, including many conducted by the Institute for Adult Learning, Singapore. The chapter concludes with reference to ecosystems to support lifelong learning. The aim of the chapter is to focus on intentional learning that has been provided through educational institutions or through employers using competency-based training approaches (and a critique of such provision). Informal learning is not addressed here.

Human Capital Framing of Lifelong Learning Human capital approaches have a long history but in more recent decades has been driven by neoliberal agendas which conceive that the economy covers all of society. Under this agenda, the task of government is to build competition to invest in market systems and improve efficiency (Olssen, 2006). In this context, human capital frames the role of lifelong learning as being the responsibility of the individual; it is their responsibility to take up educational provision, principally for economic purposes. The end goal is increased productivity and in some nations, such as Singapore, a claim to improve social mobility. As a means of productivity and efficiency, human capital accumulation brings a focus to the skills and employability of the individual (Commission for European Communities, 2000). What this means for individuals, explains Olssen (2006), in his critique of the human capital approach, is that “each person is now an autonomous entrepreneur responsible ontologically for their own selves and their own progress and position. Individuals have full responsibility over their investment decisions and must aim to produce a surplus value” (p. 219). The human capital perspective is supported by numerous econometric studies that demonstrate a strong positive

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relationship between education and national economic growth in the long term. Additionally, there are microeconomic studies showing improved outcomes for individuals, resulting from investment in human capital formation. The assumption is that human capital investment will increase productivity and lead to higher wages (Rees, 2011, p. 260). Such logic is based on investment in skills development as human capital. Problematic to the premise that skills and employability are core to individuals’ progress is that returns on skills cannot simply be understood in terms of productivity (Rees, 2011). Built into the skills agenda is the promise, and thereby learners’ expectation, that learning leads to improved access to work, promotion, or better jobs. The global increase of the growth in non-permanent work, debates about ‘good’ or quality work, and international research (Lee & Morris, 2016; Facer, 2011; Mirchandani et al., 2008; Livingstone et al., 2008) point to such promises as being little more than myth. Human capital accumulation typically constructs skills narrowly, using an instrumental conceptualization (Wheelahan, 2009; Jarvis, 2011; Livingstone et al., 2008). Skills, for example, are identified as technical and soft/generic/core/graduate skills. Rees (2011) suggests that human capital regulates access to occupations through its conception of skills in ways that detach skills from their technical content, and separate skills from context. Couple this with the growing hollowing out of the middle (Brown et al., 2011) and human capital claims begin to seem empty. Relations between ‘skills,’ employability, productivity, and economic return for individuals are much more complex than is assumed in human capital approaches. Different levels (from unskilled to semi-skilled to specialized skills) are linked to perceptions of production priorities, cultural notions of useful work, and global markets of supply and demand, serving a narrow economic agenda of lifelong learning (Fenwick, 2008). Like others, Desjardins (2018) suggests that the ‘political economy of skills’ emphasizes the demand side. Desjardins (2018), Mirchandani et al. (2008), and Harteis (2019) observe that what is overlooked is the structure of labor markets and the nature of the skills actually required to perform different types of jobs. Desjardins suggests that what is needed instead is to promote work and organizational practices in ways that optimize skill use and skill gain, using a more encompassing understanding of ‘skills.’ This potentially recognizes employers as actors who are “culturally embedded” (Seddon, 2018), encompassing a wider view of lifelong learning beyond that of acquisition and accumulation of skills. The ‘war on talent’ (see Brown et al., 2018) approach, typically used by human resource managers, “invest[s] in skills training for a select few” and “underinvests in skills development for the majority” (Mirchandani et al., 2008, p. 167), promotes elitism, and further divides society, limiting the development of cultures of lifelong learning. Another basic assumption of human capital formation is that individuals will perceive that the benefits outweigh the costs incurred (e.g., transport, childcare, time,

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effort, potential impact on health, cost of courses, etc.) by participating in skills development. Identity, class and the experiences of the individual and their contexts are absent in conceptions of human capital formation. However, “people’s choices are shaped by their expectations and norms – deriving from their experiences in their families, communities and previous educational institutions” (Rees, 2011, p. 261). Framing of lifelong learning for largely economic purposes has many built in assumptions and limitations, despite the econometric studies that provide empirical evidence that ‘it works.’ The limitations of econometric studies, however, are that they do not account for the lived reality of individuals, firms, and societies, nor do they account for the complex and emergent nature of social, economic, political, and environmental relations. An alternative account of lifelong learning is long overdue.

Lifelong Learning as Social Practice Lifelong learning from a social practice perspective emphasizes the social context of individuals using and continuously developing capabilities, identity, being, and becoming in relation to individual biographies. But more than this, it emphasizes contexts, spaces, environments, temporality, and relations between humans and material and non-material artifacts, locating learning in the social relations of lived experiences in and across contexts (Bound et al., 2019a). What this means can be conveyed through a story from Webb and Warren’s (2009) study of learning careers, specifically through Jenny’s story, captured through interviews conducted at different stages of her engagement with formal learning. Jenny’s story was part of a much larger study, and is summarized here: Caring was a key aspect of Jenny’s narrative. When leaving school, she wanted to work with children, but was encouraged by her parents to go into the family occupation of catering. From catering she became a stay at home mum, caring for four children. This period was followed by one of caring for her dying aunt. Her aunt reinforced Jenny’s narrative of being a carer, saying that she had a natural aptitude for caring, as she cared for her aunt’s dignity as much as for her body, and was prepared to do things that others found repulsive. Once her children were older, Jenny took up caring jobs working with the elderly in community care settings run by private sector companies. This seemed a natural progression from caring for her aunt. However, her ethical stance on caring found her disagreeing with the way people were treated in these settings and she was not happy with the level of training provided, strongly feeling that people were not treated with dignity and compassion (Webb & Warren, 2009). Jenny knew things were wrong but did not have the relevant knowledge to question them. She subsequently left and enrolled in formal learning to gain some qualifications in order to be taken seriously. The further education in which she enrolled was a part-time course that fitted with her childcare commitments and her perception that she did not have the capacity and capital to engage with the requirements of a full-time course. Jenny viewed the course as life-changing; it raised her confidence in her academic abilities and she looked forward to continuing her studies. She also took on a counselling course. These formal courses provided a space for Jenny to reflect on the kind of caring work she wanted to do. She imagined a future of working with children with difficulties or working in

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a children’s home at a managerial level. However, the most likely employment available to her with her qualification, was working as a classroom assistant. This was identified by the course tutor as the normal employment route from the caring course, rather than progression to higher learning. Jenny understood from previous experience that the care labor market was made up of mainly low skills jobs and would not necessarily lead her to the managerial challenge she wanted and imagined herself as being able to fulfil. She knew she would have to further her studies to realise her ambition. She considered studying to be a social worker, but on reflection determined that she had left it too late – she did not want to go to university for three years’ full time, get into debt and be in her late 40s to start a new career. These financial implications placed limits on Jenny’s ambition, along with the implications of starting a new career from the bottom of the ladder in her late 40s. Instead ‘she lowers her horizon’ (ibid., p. 58) and eventually finds work at a children’s home that provides excellent opportunities for further training, and in this way seeks to achieve her ambition to work towards a managerial role.

As always, there are many ways of interpreting Jenny’s story. A human capital interpretation might say that she is responsible for developing her skills and knowledge, and furthermore the education and training to do this were available and accessible. The value of the education opportunities can be found in her statement that the formal courses were ‘life-changing’ for her. Her selection of a course that offered limited possibilities in helping her with her chosen trajectory, and opting not to undertake a degree, might be seen as missed opportunities. Such an interpretation takes Jenny’s very human experiences, biography, circumstances, and motives for learning out of the picture. A social practice interpretation privileges Jenny’s circumstances and the role they played in her choices. First, following her parents’ wishes, she entered an industry that did not represent her core interest, and we can assume from the story that this work did little to advance her potential. Becoming a mother and caring for her elderly aunt reinforced her interest in and passion for caring. She had very clear ambitions to work toward a managerial role in the field of caring, preferably with children. However, the labor market accessible to her at that point in time offered only low-paid work in aged care, which she engaged in. Jenny clearly had strong agency, and when her ethical stance was affronted she acted, by leaving this work and enrolling in a course near to her home that fitted with her other responsibilities. It would seem that the advertising of the course was not upfront about employment or further study outcomes. Subsequently, her post-studies options were limited, but she persevered. She found an alternative to further study, to work toward her ambition of a managerial role in caring for children; she gained employment in a company in this field that offered good training and development pathways, a company that appeared to be committed to lifelong learning. Despite repeated obstacles, Jenny perseveres with her ambition. A social practice interpretation of Jenny’s story emphasizes the social context and multiple spaces of learning and relations between herself, educational providers/institutions, non-material artifacts such as caring for her aunt, the limited opportunities through the formal course, her biography, and her identity.

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Jenny’s story highlights the role of labor markets in people’s trajectories and possibilities, the costs to be weighed up in selecting particular courses, the role of institutions in marketing such courses, and the need for a strong sense of agency. Another story, from a Singaporean study of 97 non-permanent workers and their learning and identity, points similarly to relations between individual biographies (Bound et al., 2019a), labor markets, the structure and design of courses, identity, and industry norms. Ashley, who had a diploma in hospitality, was involved in Chinese drama while in school. An inspiring trip to the Sydney Opera House motivated him to try out a career in technical theater: “I went to Sydney Opera House. I looked at the theatre. I liked the theatre and I feel that hey, I would love to work in a theatre.” Ashley successfully enrolled in the one-year Technical Theatre Training Programme (TTTP) hosted at the Esplanade (a major venue in Singapore), which provides a one-year broad-based training program for beginning freelancers. The program gave him a good grounding of skills in lighting, sound, and production, but his experience was not accompanied by an induction into networks beyond Esplanade, crucial to a beginning freelancer (Sadik et al., 2014). Despite being identified as promising, Ashley found that following his completion of the program, he was getting fewer and fewer calls for work from Esplanade. He comments that “I started out with passion, but slowly the passion became money and money became a job. . .my passion kind of died. . . I definitely feel I didn’t know the difficulty. . .of being a freelancer” (p. 18). He opted for a permanent job in the shipping industry after two years of trying and finding that being freelance was too unstable in terms of gaining work. Ashley’s experience of the Continuing Education and Training (CET) TTTP course is not unusual. Programmes in Singapore often provide good technical ‘skills’ but industry personnel report that these courses are limited in developing capabilities related to creativity, learning to learn, and the necessary ways of being, in this instance as a freelancer (Bound et al., 2015). As the program was limited to one venue, Ashley was not exposed to networks in the industry. This, coupled with his preference and disposition not to engage in industry norms such as having a drink with colleagues, meant he was not inducted into the work norms and ethics of the industry; he was not immersed into the industry networks and ways of connecting, vital to gaining ongoing work. In the case of those entering the industry with a passion for the arts, it is not unusual to hear reports that school-based and continuing education and training courses tend not to build capabilities and ways of being that are required, or expose participants early and often to the norms of a sector and its work (ibid.; Bound et al., 2019a, b). Consequently, those entering the sector via non-network routes are structurally at a disadvantage, as the “ease of movement” is low (Sadik et al., 2014). These stories capture the complexities and relations between individuals, the non-material, educational provision, labor markets, identity, biographies, and relations between them. They also suggest that there are particular understandings of ‘skills’ and of learning being enacted.

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From Skills to Capabilities Ashley’s story is indicative of outcomes for learners when skills are narrowly conceived of as technical, and design of courses is not built around learning that holistically develops professional or vocational expertise. Skills broken into tasks deny access to essential capabilities (Wheelahan, 2009). Another example comes from one of six ethnographic case studies undertaken in Singapore to address the question: How can assessment design and practices be shaped and/or enhanced to meet changing policy directions and workforce development needs (Bound et al., 2016)? In the case of a one-day training event for cooks in a chain restaurant held in the company’s central R&D kitchen, the aim was to enable cooks to deliver the desired quality and consistent standards of newly launched (or modified) menu items, in a timely manner. The cooks are expected to achieve similar aesthetic and taste standards as Development Chefs. The training goals and learning outcomes are conceived with fundamental business concerns in mind, such meeting customers’ needs, business costs, and resource constraints. In a typical competency-based approach the assessment criteria for evaluating the standard of work were as follows: • • • • •

Ability to demonstrate food preparation before actual cooking; Ability to follow steps and processes in the recipe; Ability to plate/present dish according to recipe standards; Ability to complete dish under the required time, Dish meets taste test of the assessor (Chia et al., 2016).

What is taught and assessed are individual tasks and atomized knowledge (Chia et al., 2016). The taste criterion is perhaps the one that comes closest to reflecting the complexity and the craft of cooking: it is more challenging to teach, highlighting different modes of knowing and learning. It cannot be boiled down to categories of skill. Knowledge of taste is not easily codified, and its learning cannot be easily distinguishable from the learner and that which is learned (ibid.). Embodied learning – the significance of the body as socially constituted and malleable – is helpful in thinking differently about learning and the notion of tacit knowledge. Because taste is embodied and requires learners to be able to discern for themselves, assessment should also aim to help learners foster a better understanding of their own capabilities and standards (of taste) (ibid.), enabling these learners to ‘draw on whatever they need to continue learning effectively beyond the end of the course and be able to make judgements about their own learning outcomes’ (Boud & Soler, 2016, p. 2). However, a field note from this study of observations identifies that none of this took place, because the Development Chefs teaching the course were focused on tasks: The initial tasting of Chef Timothy’s food didn’t introduce descriptions or key taste ‘tones’ to communicate the desired flavours of the dish. This makes it difficult for the trainees to share the desired taste with their kitchen staff back in their outlet. It also means that the chef and operations manager are unsure whether the trainees are acknowledging, experiencing, or tasting the things that they think make the dish good – What is the desired outcome, and how can you know that the trainees are on the same page? The marketing department shared that talking is not something that kitchen staff are comfortable with, but are there other ways to

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facilitate this judgement making, e.g. knowing what makes taste ‘good’? For example, giving dishes a score [and discussing why that score], self and peer assessing and providing justification. (Field notes, 6-Oct-2015, in Chia et al., 2016, p. 16)

Developing informed judgment of taste requires developing the language of taste, and having experiences of different tastes that create opportunities to use the language of taste. Boud and Soler (2016) note that for learners to develop informed judgment they need opportunities to: (1) identify oneself as an active learner; (2) identify one’s own level of knowledge; (3) practice testing and judging; (4) develop these capabilities over time; and (5) embody reflexivity and commitment. These authors call this process sustainable assessment. It demands that learners make conscious comparisons between self-assessments and assessments by teachers, peers, and other stakeholders, and that responsibility for the assessment process must gradually shift from the educator to students, because, after graduation, people themselves need to drive their own learning. By limiting these cooks to step-by-step task-based learning, the cooks are denied opportunities for enhancing their own craft, their ability to develop deeper ways of knowing in staff they are responsible for in their own kitchens, and their identity as cooks. Yet, these outcomes are a business imperative. Furthermore, the opportunity to develop learning to learn capabilities that are an essential aspect of an individual’s lifelong learning possibilities is also denied. How, then, to conceive of workforce development, and the design of learning beyond that of task-based skills, in ways that will enhance lifelong learning? The term ‘skills’ needs to be redefined and broadened. However, sometimes it is easier to use different terminology to differentiate different understandings. The term ‘capabilities’ is one such possible alternative. But whatever the language used, the core idea is to use understandings and approaches that are holistic and future-oriented, such that learners have an opportunity to develop lifelong learning abilities and perceive opportunities for learning, and learning designers, institutions, and employers are able to put this into practice. The concept of capabilities includes the resources individuals have access to, such as values, social engagement, intellect, and performance, which contribute to providing opportunities for functioning (Sen, 1993), to act differently and create new sets of relations in our environments. Capabilities encompass the genuine opportunities to agentically exercise these values, intellect, and engagement. Considerations of class, gender, race, individual biographies, and the individual’s social circumstances are resources to access genuine opportunities, or not. As Winch (2010, in Hinchliffe, 2013) argues, occupations are more than task-related skills and techniques: occupations includes broader-based abilities relating to the planning, communicating and coordination of work, the deployment of systematic knowledge (both technical and theoretical if need be) and finally a series of normative dispositions including ‘ the ability to take responsibility for one’s work, to develop personal characteristics of commitment to moral values, and to take responsibility for the consequences of the practice of one’s occupation in a wider social and political context’ (Hinchliffe, 2013, p. 62).

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Skills in the conventional sense do not encompass this broader, more holistic understanding of what is required to work in particular occupations. Capabilities, on the other hand, can readily encompass the abilities outlined by Winch. Rather than the starting point being narrowly defined skills, it is in, through, and for occupational practices that capabilities are built. However, even the concept of occupational practices can be problematic, as there is a sense of such practices being stable. Industry 4.0, shifting relations of production, the evolution of artificial intelligence, changing global markets, pandemics, and issues of sustainability mean that occupations and vocational practices are rapidly evolving, shifting, and being reconfigured. These changes impact not only the economic sphere related to work, but social, political, and environmental relations in societies, as well as relations between individuals, communities, and human and non-human artifacts. Such change highlights the need for lifelong learning capabilities that are supported and developed in all spheres of life and throughout life. What the capability approach is, and its implications for lifelong learning, is considered next.

Capability and Learning The capability approach is a theoretical framework for considering well-being, development, and justice. Its basis is that freedom to achieve well-being “is a matter of what people are able to do and to be, and thus the kind of life they are effectively able to lead” (author’s emphasis). Amartya Sen’s seminal work on the capability approach arose from his interest in the problems of the poorest members of society. He considered capabilities as freedoms conceived as real opportunities (Sen, 1985). That is, opportunities do not just exist formally, or structurally, but are genuinely available to the individual. Structurally, and in terms of provision, opportunities may exist, but may not be so accessible for different groups and individuals, as in the case of Jenny’s, Ashley’s, and the cooks’ stories. To consider what this means for learning requires moving beyond behaviorist and cognitive understandings of learning, and even beyond constructivist understandings of learning (Bound & Lin, 2013; Bound & Yap, 2021). The limitations of these understandings of learning arising from a skills agenda are reported by Cruikshank (2008). He cites the views on the skills agenda of two adult educators in a study conducted in Britain: “The skills agenda has very little to do with the ability to think and to develop oneself.” Another adult educator commented that “training people to adapt to the so-called New Economy ‘encourages the mechanistic, I’m just a meaningless cog in a big wheel’ approach to life” (Cruikshank, 2008, p. 53). A different approach is to expand the range of possibilities and action for individuals and groups, as a process of change (Fenwick, 2008). This resonates with the idea that learning is a process contributing to an increased capability to act differently in the environment (Owen, 2017), leading to a new set of relations in different contexts (Bound et al., 2019a, b). This picks up Sen’s idea of learning to be as part of capability. Beyond learning as a process, and one of change for individuals,

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groups, and their interaction within their circumstances, these conceptions of learning bring to the fore the idea of being and becoming, that is, identity. Identity is created through interactions between individual resources, broader social and economic conditions, interactions and relationships in various contexts, and cognitive and psychological strategies (Ecclestone, 2009). To put this another way, when we talk about learning as a natural part of the human condition in response to circumstances, we are saying that “a person does not simply find external conditions to which he [sic] must adapt his [sic] activity, but, rather, these very social conditions bear within them, the motives and goals of his [sic] activity, its means and modes (Leont’ev, 1978, p. 10)” (in Sawchuk, 2008, p. 80). As we act in different circumstances we encounter dilemmas, contradictions, that which gives us a sense of unease, or requires what we do not yet know, generating a need for learning throughout life. Learning is more than the individual having and holding knowledge and skills (the acquisition metaphor (Sfard, 1998)); it is a process embedded in and prompted by circumstances that results in change in our capability, in how we interact in our world and evolve our identities. Identities “are important basis from which people create new activities, new worlds, and new ways of being” (Holland et al., 1998, p. 5); identity mediates agency. Thus, in developing people, whatever the context, it is necessary to do ‘identity work.’ In other words, the inner world of the individual is always dynamically and dialectically engaged with external representations mediated in and through semiotic systems [cultural tools]. In this view, identity is regarded as a dialectical process between self and social roles and positions, developed and maintained through relevant social interactions. This view privileges the micro interactional moments as sites of identity construction, and reconciles the many and sometimes contradictory identity positions circulating at different timescales (Lim, 2017, p. 1).

Creating opportunities for lifelong learning and access to lifelong education places the onus on the institutional providers and educators, employers, labor market regulations, and so on, in different settings, to ensure there are opportunities for participants to “create new activities, new worlds, and new ways of being.” (Holland et al., 1998, p. 5). When individuals or collectives exercise agency they are exerting influence, making choices, and taking stances (Eteläpelto, et al., 2013), as Jenny did, for example, in leaving the labor market of elder care work that is given a low value, because her ethics of care was not being met. Agency is a process of learning to connect all aspects of professional practice in a responsible and reasoned manner, enabling the development of a sense of ownership, and to negotiate one’s position within a profession, vocation, organization, or other context. What we become is about identity; identity is bound up with the dynamics of the contexts in which individuals participate (Bound et al., 2022). As Du Gay (1996) notes, “any identity is basically relational to its conditions of existence, any change in the latter is bound to affect the former” (p. 184).

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The capability approach encompasses recognizing the individual in their circumstances, the reality of opportunities, and their potential contribution to differing trajectories. The notion of capabilities provides an integrated approach and understanding, incorporating a person’s resources, and their agency, not as separate, but as embedded in the circumstances of the individual, because these also mediate the individual’s trajectory or possible trajectories. How learning is understood when applying a capability approach, as opposed to a task-based competency approach, shifts from a focus on steps (procedural knowledge) and atomized knowledge to deep ways of knowing, of continuously developing a growing sense of self and agency, enabling individuals and collectives to change relations in their environments. What, then, are the implications of this for the design of learning for lifelong learning?

Designing Intentional Learning for Lifelong Learning Designing learning for approved courses and workshops involves a process not only of knowing one’s epistemological stance, but of knowing institutional norms and requirements, and knowing learners’ existing knowledge and experience, contexts, and hopes. Learning and assessment that is authentic, and thus holistic, with built in feedback from multiple sources, opportunities for learners to make judgments, and learning that is future-oriented (these terms are expounded later) is core to lifelong learning. Lifelong learning is grown when learners’ voices are valued, when they use inquiry, multiple sources, and perspectives to co-construct knowledge. This applies for individuals and the organizations and/or communities they participate in and belong to. For example, in an Institute for Adult Learning, Singapore, (IAL) study of five ethnographic cases of learners’ sense-making in blended learning (in Singapore CET, Blended Learning refers to any combination of classroom, workplace, and online) (Bi et al., 2020), a course for human resource and finance personnel for a large organization deliberately brought these two different groups together, as there had been limited communication between them. The course design met a need for collective, organizational, and individual change, enabling participants to change relations within their work contexts. This was achieved through design that was holistic, and authentic, involved judgment and feedback, and, importantly, where learners’ voices were valued (indicative of a dialogic approach, rather than knowledge acquisition). Design of learning that was authentic was evident in a number of ways, including the assessment where learners had to solve an issue at their own workplace, involving sharing, discussion, feedback, and elements of judgment among learners. Authenticity was also evident, in bringing in experienced practitioners as guest speakers, who contributed to bringing a future-oriented aspect to the course, as evidenced in Wilkie’s sharing.

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During the course, we had quite a lot of speakers from [name of] division, they came to share on different things, like the chief HRO shared on how the landscape is changing, and then as a HR practitioner, how our roles are changing. Traditionally, people look at HR as more of an administrative, support function, but going forward, the trend . . . is, they are looking at HR as a change agent, as a business partner. . ., as a strategic partner at the same time. So there are a lot of roles that HR is expected to play, to take on in the future, which was actually quite nicely shared with us and help us in a sense to prepare for that thinking. Then, with the new different technologies like automation and all these, so what is the role that HR is supposed to play? Then, if you are talking about all these technologies that organisations are pushing out, the fourth industrial revolution, how can HR bring value to this wave of change? So we must be at the frontier of it, that means to do so, we must be the ones who are able to embrace this change, and probably pilot some of these changes at our own offices before we can ask the rest of the organisations to adopt this change. (Wilkie, Learner from HR course, in Bi et al., 2020, pp. 35–36)

Future-orientedness was evident in learners being required to address a real workplace issue, and in the use of a dialogic approach where learners’ voices were valued and heard through the sharing of different perspectives and experiences, with learners building on each other’s sharing to deepen understanding. This process is valuable in developing learners’ language, specific to a discipline and way of thinking such as Human Resources or Finance. Such language contributes to learners being able to address complex, unknown future challenges, as the language provides constructs and felt experiences to put into action. Additionally, learners were expected to take initiative, and to actively contribute. All of these design elements contributed to developing learners to be Human Resource/Finance personnel, working across professional boundaries, providing them with learning ‘tools’ which could be applied beyond the course. Bound and Chia (2020) provide a succinct explanation of these principles of learning design, in the form of the Six Principles of Learning Design. All six principles are interconnected with each other, as illustrated in Fig. 1. To illustrate the not yet mentioned principle of alignment, we can use the example of the cooks’ menu change experience. Here there was misalignment; learning activities related to taste were not aligned to the intended outcome. I argue that the six principles of learning design, in combination with using a dialogic approach to learning design (Bound & Tan, 2020; Bound et al., 2019) where learners work with authentic problems, are exposed to multiple perspectives, engage in inquiry, and co-construct knowledge, are necessary for building lifelong learning capability. Such design and facilitation principles have implications for educational institutions and training providers. There is a necessary relation between these principles and the context of the learners, be this workplace or community, that demands relations between educational institutions/training providers and employers/communities and labor markets. The individual learners’ circumstances mediate the outcomes from participation in intentional, accredited learning opportunities. Narrow concepts of learning as a set of tasks, as in the case of the cooks, mean that cooks and employer miss valuable opportunities.

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Fig. 1 The 6 principles of learning design. (Bound et al., 2019a)

Implications for Institutions, Employers, and Government Conceiving lifelong learning through a social practice lens has profound implications for employers, educational institutions, government, and indeed whole learning ecosystems, which may also include professional organizations, unions, employer organizations, licensing organizations, learners, and their communities.

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Those in full-time work spend much of their time at work. This alone places a responsibility on employers and their design and conceptualization of learning and development for lifelong learning, as in the case of the cooks. However, the role of employers and their design and conceptualization of learning and development is intimately entwined with their ethos, organizational structure, the approaches to technology, and expectations of their workforce: Do they use a buy model of ‘skills’ to bring in talent, or do they see potential in their employees and build capability internally? In an ethnographic study of learning and innovation in six small and medium enterprises conducted between 2017 and 2019, one enterprise – a 3D printing SME company – highlights the possibilities when the focus is on flexibility and openness. In this company, staff worked across functional and organizational boundaries to explore, collaborate, and develop new ideas and business solutions. The flexibility and openness afforded by the organizational structure and the immense potential of this emergent technology have shaped workers’ capacity to innovate and learn (Chia et al., 2019), as illustrated in the following case: Debbie (pseudonym) a product engineer of the SME company thrives on working with her clients who are medical practitioners, to explore and exploit the prowess of 3D printing technology. Together, they have developed 3D models of anatomical features of the human body such as tumours based on readings of computed tomography (CT) and/or magnetic resonance imaging (MRI) scan reports. Debbie was able to improve, develop and adapt or ‘to learn what is not yet there’, which requires the ability to radically question and shift contexts. This ability unfolds through ‘inter-professional activities’ (Edwards, 2011) which occur during interactions at the boundaries of professional practice (Bound et al., 2018). Interprofessional and cross-boundary exchanges will become more prevalent with digital technologies, and can be facilitated as sites and practices of learning that enable alignment (of purposes), building of common knowledge and understanding, etc. to enhance engagement and individual capacity to work agentically with each other. (Summarized from Chia et al., 2019).

The design of the work is collaborative, and involves working across professional boundaries, both within and external to the organization; open communication is a must, as is being able to work across different sites. Workers such as Debbie develop high levels of agency, and her exposure to different practices and disciplines consistently contributes to her capacity to grow and develop. This benefits her, those she works with and alongside, and the company. This company has taken a stance where they seek to grow and develop capabilities. Employers are being challenged to rethink their business models in the context of changing work and business demands, technological developments, and a need for innovation, both in response to and to be ahead of change. Increasingly, working environments are becoming more fluid, and expertise is distributed across the workforce, professions, organizations, and the work. Rethinking and reimagining business models to involve building capability within the company, to move beyond a narrow skills approach to a more holistic conceptualization, and to design work such that workers have opportunities to grow and develop is to contribute to lifelong learning.

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Conclusion This chapter has provided a critique of the pervasive human capital approach to lifelong learning, and offered an alternative approach, namely, social practices. Human capital approaches rely on cognitive and behaviorist approaches to learning, categorizing skills and knowledge on the basis of tasks, and positioning individuals as “responsible learners” investing in self as human capital (Avis, 2000). Lifelong learning conceived through a social practice lens brings to light the complexities of relations between individuals and their circumstances, biography, and identity. The social practice lens is highly compatible with notions of capability, rather than traditionally narrow concepts of skills. A social practices approach pays attention to complexity, emergence, and the messiness of lived realities. Appreciating relations between material and non-material, between human and non-human actors, enables us to reimagine lifelong learning such that responsibility is not that of the individual alone. Rather, it is a collective responsibility beyond provision of formal, intentional learning opportunities by government. Opportunities for learning are not provided by government alone. They are the province of employers, communities, and their organizations, individuals, professional bodies, unions, employer bodies, educational providers and relations between them, relevant labor markets, and their forms and means of capital. All of these actors constitute different ecosystems that evolve and fade for diverse purposes and intentions. But even this complexity is not enough. There is a need to shift the discourses of learning from individual cognitive, behaviorist approaches that favor acquisition of learning (Sfard, 1998), where the learner holds received knowledge as their own, to more participative and transformational approaches to learning. It is individuals within ecosystems that build knowledge, and relations within ecosystems. Such knowledge is always mediated by the norms and other affordances within the ecosystem, necessitating critical inquiry. Ecosystems and the players within them, as listed, will be multiple and overlapping, emergent and fading, constantly predicting and responding to emerging needs. As learning technologies evolve, so too will the nature of relations within and between ecosystems constantly change. The focus shifts from worker as economic unit, and lifelong learning as being necessary for productivity, to a focus on the sustainability, well-being, and potential of societies and individuals. The economic is but one aspect of lifelong learning. Educational institutions, providers, and government have active roles to play in this reimagining of lifelong learning.

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The Future of Expertise: From Stepwise Domain Upskilling to Multifaceted Mastery

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King Wang Poon, Thijs Willems, and William Shu Yuan Liu

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Empirical Illustrations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Distribution of Expertise Between People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Distribution of Expertise Between People and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter discusses how our understanding of twenty-first-century skills and competencies has changed amidst ongoing waves of digitalization in the modern workplace. Specifically, it takes a deeper look at what it means to be an expert in a digital age and the implications this has on (workplace) learning and training. Extant literature on the development of expertise and skills tends to take a linear approach: becoming a skillful practitioner is a matter of gradual and progressive development along the different phases from novice to master. This chapter, on the contrary, argues that this linear model is not adequate to capture the complexities of what it means to be an expert in a digital era. Because digital transformation occurs at an increasingly faster pace, there is not one interpretation of what constitutes expertise in a given timeframe and profession. In other words, expertise has increasingly become distributed amongst professionals in different fields and different generations, as well as between professionals and technologies. This chapter focuses on this distribution of expertise and proposes a reconceptualization of the term that goes beyond expertise as stepwise domain upskilling to include a more holistic understanding of expertise as multifaceted K. W. Poon (*) · T. Willems · W. S. Y. Liu Lee Kuan Yew Centre for Innovative Cities, Singapore University of Technology and Design, Singapore, Singapore e-mail: [email protected]; [email protected]; [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_42

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mastery. This reconceptualization captures how expertise is becoming distributed in ever more complex ways across people and technologies. It also opens up ways to reconsider learning and development as not occurring via a neatly organized line of progressing from novice to expert but as a lifelong process affected by several feedback loops. The above are substantiated mainly by empirical work conducted within Singapore’s manufacturing sector. Keywords

Digitalization · Expertise · Mastery · Technical work

Introduction Work is currently on the cusp of rapid transformations all over the world, leading many to suggest the transformation is akin to an industrial revolution (e.g., Brynjolfsson & McAfee, 2014; Ford, 2016; Schwab, 2016, 2018; Susskind, 2020). This so-called Fourth Industrial Revolution (4IR) is characterized by the proliferation of cyber-physical systems, i.e., the increased blending of physical, digital, and biological worlds. For instance, many countries developed contact tracing devices or health passports during the COVID-19 pandemic, creating such a cyber-physical space where algorithmic management (e.g., Artificial Intelligence, Data Analytics), physical tools (e.g., check-in devices or software, tracking equipment), and biological systems (e.g., one’s health, one’s whereabouts) all become digitally mediated (Liu, 2021). These transformations have profound impact on society, not least because it immediately impinges on the ways people work and educate (Germain & Grenier, 2021). The increased digitalization of workplaces, made possible by 4IR technologies, requires a workforce with skills and competencies to effectively design, engineer, collaborate with, interpret, and troubleshoot on and with digital technology. If work and what constitutes work is being disrupted, the skills and competencies to perform this well in this new world of work must be thought of in equally dynamic terms (Raghunath, 2021). This also poses a puzzle: How can human expertise ever stay ahead when it is neither transforming nor accelerating as fast as technology and workplace disruptions? How can human expertise ever catch-up with the demands of 4IR when it risks rapidly falling behind the revolution? Critical to these questions are developing twenty-first-century competencies, such as learning and innovation skills, digital literacy, and life and career skills (Trilling & Fadel, 2009). Also important is lifelong learning. That is, learning is not something confined to youth or to the provision of educational programs, but it has become a necessity for twenty-first-century people to be intrinsically motivated to continue learning throughout one’s life and as major life and work transitions occur (e.g., Billett, 2010). While developing twenty-firstcentury competencies and lifelong learning can culminate in a new kind of expertise that is necessary for the changing world of work, it shall be argued here that it is of equal importance to better understand and define what exactly constitutes this expertise.

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In fact, the majority of academic literature and the majority of policies based on this literature employed a narrow view of what expertise is (Gegenfurtner, 2013). While discourses on the future of work and the future of education – as briefly highlighted above – are discussed in transformative terms, conceptualizations of expertise remain remarkably stable. This point shall be addressed by showing how expertise is by and large discussed in linear terms, as a matter of individuals gradually developing their skills in progressing from novice to master. Dall’Alba and Sandberg (2006) have characterized this body of work as “stage models of development,” and an underlying assumption within these models is that what constitutes expertise in a given domain can be identified and circumscribed. While valuable in understanding how individuals progressively become better in their domain – through formal education and through formal and informal workplace learning – it does not sufficiently account for the fluid and dynamic nature of the current workplace. How this distribution occurs is shown in this chapter by drawing on empirical material of a study on technical work in Singapore while concurrently interpreting their implications by reading the data alongside current scholarly work on expertise for the modern workplace. The aim of this chapter, then, is to conceptually explore and empirically illustrate how expertise can be understood when it is not fully known what this expertise entails because of the continuously changing landscape of work in, especially, technical professions. This is done so by, first, briefly describing how stage models of development usually operate and define expertise, after which recent literature that has highlighted limitations of this approach is drawn on. An empirical, ethnographic study that we conducted on technical professionals in Singapore is drawn on to argue that expertise in and for the twenty-first century is best characterized by its distributed nature. It is shown how the distribution of expertise in contemporary work can be understood along three dimensions, with expertise being distributed among people, among people and technology, and across different geographical sites.

Background Literature Expertise, and what it entails, is one of the most enduring questions within the academic disciplines of learning and education, as well as in organization and management studies (Sandberg et al., 2017). What it means to do something skillfully and how to develop competencies within an organized workforce has for a long time taken center stage as a way to think about economic, as well as societal progression. This has especially been so in times of socio-technical disruption. Perhaps one of the most (in)famous examples is the case of the Luddites in early nineteenth century England, with textile workers opposing (sometimes violently) the new, automated textile-creating equipment that threatened their jobs and livelihoods. The main premise here was that new technology would change work that once required skilled labor to the extent that this labor could be replaced by machines or

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less skilled workers. This narrative or some variant of it has been repeated at multiple historical “turns” in the changing workforce landscape. While the project of Scientific Management focused on the reorganization of workers’ tasks and rearrangement of their skills in minute detail, e.g., with Taylor’s (1911) time and motion studies, a corollary argument was that such a focus on business efficiency had dehumanizing effects and led to the deskilling of work (e.g., Braverman, 1974). Fast forward to the 2020s, and we find ourselves amidst a very different, albeit equally disruptive and transformative period of change. Coined as the Fourth Industrial Revolution(4IR), there is an increasingly complex and intimate integration of physical and digital (cyber-physical) systems and technologies (Schwab, 2016). Discussions about the increasing use, application, and efficiency of digital technologies and the speed of digital disruption in all spheres of life have proliferated in not only academia, but also in the domain of public policy and even, everyday conversations. Notably, this discussion has also been prominent in conversations about education. What skills does a workforce in an increasingly digitalizing workplace require and how can we best educate ourselves toward this projected future? And how does one go about “upgrading,” “reskilling,” or “upskilling” the workforce appropriately? These questions are addressed frequently in policies on education and workplace learning, HR development, as well as in the academic literature. This is so because what constitutes expertise is a constantly changing phenomenon as workplaces are adapting to new business circumstances or socio-technical developments. By and large, however, the ways in which these questions are addressed is by assuming that what expertise is or should be can be defined, so that a specific trajectory path leading to that expertise can be developed accordingly. In Singapore, for instance, much training and education as well as workforce development policies follow so-called Skills Frameworks, which are templates that are created for 34 different sectors and that spell out, in quite some detail, what existing and emerging skills in sectors are and how users can find “career pathways” to progressively reach certain goals. The aim of these policies is to promote lifelong learning and the mastery of a well-circumscribed set of skills. This has some resemblance also with competency maps that are often used by HR departments in organizations to establish career development paths. While useful in terms of identifying standards in competence and by providing the different routes that can lead to it, it does not sufficiently account for workplace disruptions because it assumes a fairly stable and uniform idea of the work expected. This prevailing view of expertise has been framed as an “entity-based” perspective on professional competence or expertise (Sandberg & Pinnington, 2009). Within skill development efforts then, the knowledge that is required is seen as a discrete entity that human actors (other discrete entities) can then either “lack” or “possess” (e.g., Hadjimichael & Tsoukas, 2019). Education is often seen along similar lines, where a teacher or educator has certain skills or knowledge and their role or task is to successfully transfer these to students. This view is problematic because it tends to treat work and learning as decontextualized from its situational accomplishment, which then may lead to simplistic claims of technology “impacting,” “automating,”

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or “replacing” work practice and, vice versa, leading to individuals needing to “upskill” or “reskill.” These models are popular, however, because they allow work- and training-related phenomena to be seen as cause and effect so that work processes can be optimized (see, for instance, Barley & Beane, 2020, p. 77) or educational paths can be identified. In the academic literature, the entity-based perspective on expertise is also prevalent, though, as will be argued, it has recently been critiqued as well. The earlier theories of expertise tend to treat expertise as a feature within a professional domain, often by drawing on examples of outstanding performance as a means to measure one’s absolute expertise (Chi, 2006). Berliner (1994) and Ericsson and Smith (1991), for example, used outstanding or exemplary performance as a way of measuring expertise. Ericsson and Smith (1991) studied the difference between people who consistently perform well and people who do not as an explanation for expertise, while Berliner’s (1994) study went further to propose that people’s expertise can be distinguished as several discrete stages based on differences between people of varying performances. Another example of entity-based expertise models is Hoffman’s (1992), where knowledge elicitation methods are put forward as a way to understand expertise. There was an implicit assumption in his book that expertise equals the accumulation of knowledge: the more knowledge you have about a subject matter, the better an expert you are in that subject. Expertise, in these conceptualizations, is primarily seen as being decontextualized from the larger social domain and it is reduced to the property of an individual, e.g., as a matter of being talented or spending years on one’s skills to become better. There are a few problems with the above perspectives on expertise. For one, they tend to focus on domain expertise: to be a good doctor, you have to be good at medicine. This is arguably not enough as virtually no professions operate in isolation. In reality, one’s profession is embedded in a system of factors, such as people from other domains, and the dynamic involvement of technology (Anteby & Holm, 2021; Gegenfurtner, 2013; Sergeeva et al., 2020; Willems & Hafermalz, 2021). Furthermore, the notions of expertise discussed above are also linear in the sense that one progresses their expertise by going up a ladder of domain expertise, a single path in the pursuit of expertise, which is again, a problematic notion. For these reasons, entity-based models have been critiqued and challenged by later theories (e.g., Anteby & Holm, 2021; Nicolini et al., 2017). In response, several scholars have argued that social dimensions of how people develop expertise should be put center stage (e.g., Brown & Duguid, 2001; Edwards, 2010; Lave & Wenger, 1991). These are referred to as the relational perspective of expertise. The main critique of these scholars is that the knowledge required for experts to perform their work (e.g., playing chess; performing a coronary bypass surgery; repairing a photocopier, etc.) cannot be seen as abstracted and separate from the practice via which this is done (Brown & Duguid, 1991; Orr, 1996). That is to say, expertise is not a quality that somebody possesses but has to be performed in practice and is situated within the larger social context of that practice. This includes more than scientific or abstract knowledge, as this knowledge may be tacit, embodied, and even distributed between different human and non-human actors.

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Yet, even within these relational theories of expertise that go beyond an entitybased perspective and are more sensitive to social context, traces of stage models of development are still present. The main assumption here is that the development of mastery follows a range of steps or phases. One can gradually progress along these steps through time and experience, and develop skills or a profession from novice to master. The work of Lave and Wenger (1991; Wenger, 1999), for instance, has been one of the relational perspectives that is seminal in showing how learning is a social rather than intellectual process. Their work marked a tremendous update to learning theories. Yet, the workplaces they studied are not representative of the average, modern workplace. Their conceptualization of a workplace is centered around communities of practice created in a particular space (Wenger, 1999). The word “communities” implies that work, and learning, is inherently social in nature, and exists in interactions between people belonging in that space. As individuals progress in their careers, they develop their domain knowledge and skills by learning and executing existing work practices through co-participation (Billett, 2001). This is seen most clearly in Lave and Wenger’s (1991) idea of learning as “legitimate peripheral participation.” One can gradually move from the periphery of a community to its core through participation and by learning the implicit rules, values, and norms of a profession. A key assumption here is that one can gradually progress to the core of a community through extended exposure to a profession. Currently, however, workplaces are far less stable than those described by scholars such as Lave and Wenger, making some wonder whether the idea of a stable and well demarcated “community” that one can gradually progress in is still applicable (Pyrko et al., 2019). Likewise, the work of Hubert and Stuart Dreyfus on skill acquisition has been equally seminal (1986, 2005), this time by situating learning as a phenomenological inquiry. Yet, also in their account, an assumption of steps or stages is noticed. While this may be relevant in examining expertise as a phenomenological endeavor for explaining how individuals come to master a certain practice, it may be less applicable in examining expertise in a landscape where the boundaries of that practice continuously change and even shift (Dall’Alba & Sandberg, 2006). Moreover, the unintended consequences of thinking of expertise as a succession of steps to be taken is problematic because it implicitly assumes that masters only excel rather than fall short (e.g., through overconfidence or functional fixedness, cf. Chi, 2006) or that, once the level of mastery is reached, learning ceases to be a central concern (Yanow, 2015). This is counterintuitive when compared to current discourse on digital transformation where everyone, from every age and rank, will need to learn or re-learn their practice. Thus, the prevailing theories put forward a specific understanding of developing expertise as stepwise upskilling within one’s domain. Various alternatives have been proposed that put social interaction center stage or that challenge the assumption that a clearly demarcated pathway for how expertise can be developed can be spelled out. This chapter thus builds on this body of work by specifically investigating these issues in the context of the digitalization of work, a process that has been accelerated and intensified during the COVID-19 pandemic, and which will define how the future of work will evolve in the coming decades. Digitalization and the introduction of digital technologies promise to make many processes in society more efficient and

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“intelligent.” It could be useful to explicitly take the dimension of digital transformation into account when considering skill development because 4IR technologies differ in how they impinge on work. These technologies are often seen as “intelligent” and capable of making decisions or performing actions that used to belong to humans, thereby directly impinging on the issue of what expertise is. Moreover, it is within 4IR that an unprecedented acceleration of technology adoption and diffusion is seen (Bailey et al., 2019). This goes beyond the introduction of a new tool that experts need to come to terms with, and it potentially changes the larger infrastructure on which work, organizations, and education is built. To this end, a qualitative study on the work of technical professionals (primarily technicians and engineers in manufacturing) was conducted in Singapore. The aim of the study was to understand the expertise required for these professionals to thrive in a modern workplace, whilst examining what implications this has on (workplace) learning and education and what this means for twenty-first-century skills and competencies. The research approach was purposely open-ended and exploratory in nature to understand how, from the technical professionals’ point of view, people experience and make sense of the changing nature of their work, the role and meaning of expertise herein, and the challenges this poses for learning and workforce development. Based on 65 interviews, 250 hours of workplace observations, and 9 focus groups, the empirical data provide a strong indication to argue for the idea that expertise is not an individual’s personal endeavor anymore but that it is distributed in a wide web of social and technological interactions. This will be detailed in the next section.

Empirical Illustrations In this section we illustrate how expertise can be considered as a distributed phenomenon. The findings of the research on technical professionals in Singapore indicate two major types of interactions via which expertise is distributed: people–people interactions and people–technology interactions. With this, it does not mean that there is a system or network of actors in place with each individually “possessing” a piece of expertise. Moving beyond the idea of expertise as gradually progressing in one’s domain, the study proposes to term this more distributed nature of expertise as “mastery,” that is, mastering the situated accomplishment of a practice through the interactions between people, between people and technology, and across multiple spaces at the same time. The details are provided below to show how this distribution can be understood and what implications this entails for our thinking on learning and education.

The Distribution of Expertise Between People As explained above, stage models of development often regard expertise development as being gradual and linear. This does not fully capture the dynamics of the modern workplace. Of course, deep and fundamental domain knowledge remains

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essential when talking about expertise, but the research findings suggest that digitalization has changed what this entails. For instance, many respondents argued that the time one has spent in a certain profession is not necessarily the best indicator of expertise since what the profession exactly constitutes is not a given anymore. Rather than understanding expertise as a matter of years of experience, respondents suggested that the type of experience is a more appropriate indicator. This especially includes experiences where one encounters novel situations which required the handling of work in different and non-routine ways (Hatano & Inagaki, 1984), which is quite different from the acquisition of skills in a largely stable environment where one specifically needs to become proficient in performing routine tasks skillfully. One respondent explained this as follows: It doesn’t mean that [once] you’ve been in the company for very long that you’ll develop mastery or expertise. Actually, expertise or mastery would be a mindset where you continuously try to understand the product day in and day out. If I give you somebody who’s been there for 20 years, who has been doing the same thing 24/7 without asking why or what is the importance of that process then I wouldn’t say they have developed mastery. But somebody who has just joined the company and has the mindset of wanting to know...Then I would say, you are on the path towards developing mastery.

In addition, the above implies that for many tasks, expertise cannot simply be found in individual professionals anymore. On the contrary, mastery means being able to actively locate, draw on, and connect with the skills and knowledge of others. Specifically, it was seen that this requires individuals to be able to traverse different disciplines and different generations of workers.

Interdisciplinary Expertise What I realise is that very few people understand the whole piece because when you’re an engineer... you have a lot of depth of knowledge on and for certain roles. You need to see how those different pieces fit together and that’s not common, that’s quite rare... So I only understood that after some time and that gives you some confidence that you don’t have to worry too much if you don’t see everything at once because chances are not everybody does.

Professions do not exist in a vacuum, they are interconnected with other professions and job roles. As a result, one’s domain is only part of the full picture of one’s work. To be a master of what one does, one needs to understand interconnections between tasks and skills and how to maneuver these. This is referred to as interdisciplinary expertise. This idea of interdisciplinary mastery is something that previous studies on expertise within a specific domain insufficiently took into account. A study on sports performance, for example, suggests that early multidisciplinary practice rather than early specialization produces more exceptional performance in the long term (Güllich et al., 2021). Similarly, for technical professionals there are many sub-processes that experts from different domains handle. One thus needs a wellrounded understanding of the different processes involved in his work, meaning they would need to have a decent grasp of other disciplines that they work with. Below is a quote from an experienced professional that captures this idea well:

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So a master in a field like mine, chemical treatment, not only understands a particular part of the process, but understands the intricacies between all of them. There are a lot of factors involved in a process. I need to understand these very well, so I know what is involved when I need to solve a problem... And [I must] keep myself updated with the newest technology that we have... So mastery is knowing the process very well, knowing your products very well, and your technologies very well.

On top of that, with digital transformation taking place, processes are becoming increasingly automated and data play a more prevalent role than ever before. Being able to analyze data and fully understand data science and its range of possibilities, specifically, have emerged as important skills. Engineers now need to be able to integrate both engineering and data science in their work. This alludes to the point about adaptability. Some of the subjects raised the point that instead of specializing in a specific area, having a team of individuals who all know a little bit of everything helps the company become more adaptable, and allows for individual members to be more independent and not have to rely on others when it comes to unfamiliar territory. This is a particularly relevant idea as digitalization becomes more advanced, since work is only going to become more dynamic, and the ability to adapt to change will be a required trait for someone to be an interdisciplinary expert. One problem that needs to be addressed in pursuing interdisciplinary expertise is overcoming potential misunderstanding. As has been documented before, different disciplines usually employ their own language and may have an entirely different understanding of the product of their work (e.g., Bechky, 2003). Many of the informants brought this up by emphasizing how crucial communication skills are. Communicating to others not in one’s field is part and parcel of modern technical work. Not only does one need to understand what they do in their domain, one also needs to be able to help others that they work with understand this effectively. In this case, technical professionals increasingly had to work with data scientists within their work process, leading to specific issues: In the wider team, I think maybe about 4-5 [engineers] would be inclined in the data science aspect of it. That gives you a real representation of how many engineers are actually more inclined to data science. Very few, very few. Because to be honest, when you talk to data scientists and they get very technical, they talk about things like python and coding and all that. So we engineers will totally switch off. Like it’s not my field, I will switch off. For me, because of my PhD background, I appreciate coding, and what it can do for us. But it’s difficult to motivate my team. It’s not their field. So how are we going to make people more interested in data science?

The issue described in this quote is not so much one of professionals having to be proficient in multiple domains at once, but about having to be proficient in locating and navigating the relationships between different domains. This implies having to establish common ground on which different perspectives on a similar issue can be discussed. Expertise appears to be constituted in these interactions. Some of the ways identified in the study through which companies tried to facilitate these interactions include establishing an open working culture that stimulates conversation, and organizing events specifically aimed at sharing interdisciplinary

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knowledge, such as orientation programs or designing interdisciplinary projects where different domain professionals had to work toward a common goal.

Multi-Generational Expertise Besides being distributed across disciplines, expertise is also increasingly distributed between workers of different generations. This is especially so in a digital age where the question of what constitutes knowledge may change rapidly with different worker profiles having different technological affinities. Besides the more wellrecognized view of expertise related to exposure and practice in one’s discipline (often built up over the years), there is also an emerging form of expertise that centers on technology knowledge and use which may be quite different from exposure and practice. In order to fully master one’s work, one therefore needs to learn how to recognize and navigate the potential differences between these different generations, as well as know how to learn from them. Generations do not just represent differences in age; they also imply differences in cultures and ways of life. In particular, it has been shown that one of the key markers of different generations is their affinity to different technology (McMullin et al., 2007). The study of McMullin et al. (2007) found that part of people’s self-identity is shaped by the technology they grew up with, and it explains why some members of older generations may resist new technology and the tech-filtered lenses through which people view other generations. This is particularly prominent in technical professions that are constantly going through technological changes and which have workforce demographics consisting of a wide range of age groups. Technical professions, like many others, are bound to involve people of different generations and different degrees of technology use. Multi-generational expertise is an important part of what it means to be good at one’s work. How this expertise is distributed between people of different generations is something not acknowledged in great detail by existing models on expertise. One of the first obstacles in embracing multi-generational expertise is bias. This manifests both ways. Some participants felt that their younger counterparts do not understand the fundamentals behind the digital tools they are using and thus cannot troubleshoot effectively when there is an error: They don’t know where these tools come from. In case anything goes wrong with the tool, they actually don’t know how to do a lot of the troubleshooting. But for us, because we know how the tool was being made, the geometry that affects the machining, we have the opportunity or luxury. . . to understand that.

Some younger participants, on the other hand, felt their older colleagues use their longer experience as a claim on expertise, and as a reason to resist adopting technology: When I talk about data science to some colleagues, they just brush it off and say that it’s rubbish. The hardcore technical engineers would say its rubbish. They tend to be the ones that are very experienced, that like to look at hardware, solely because you can’t teach old

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dogs new tricks. So, people that are very technical, that are very old school, will struggle to embrace data analytics, data science.

Each generation possesses their own skills and expertise that are valuable and essential to develop mastery for a digital workplace. Therefore, people and organizations must tap on the expertise of individuals belonging to different generations. Indeed, there is so much that the older and younger generation of workers can mutually learn from each other, if they do not allow inter-generational biases and generational gaps to hinder the development of such expertise. Just like with interdisciplinary bias, a conducive working culture is needed to overcome generational biases. Some of the companies observed established a culture where it is the ideas that count, not seniority or acclaimed expertise. People are also encouraged to consult others for help regardless of rank. This type of culture enables better progress and collaboration. Everyone involved learns more effectively from one another: We try not to have any superiority, or superficial feelings of feeling that this guy is above me in terms of position. You could be the youngest member here, as long as you can prove your idea works, it doesn’t matter what the most experienced person says. That is the reason why things can be so fluid, you can be very young, but if your ideas work they work. Even the seniors there, they will never consider themselves experienced. For them, there will always be someone who knows something that they don’t know. So, we can practically learn from each other. We actually don’t see each other as superior towards each other.

In other words, mastery in the modern workplace involves a humble approach to claims of expertise and requires individuals to also embrace not knowing and to learn from each other throughout one’s career. Notably, such a more distributed understanding of expertise also requires another form of learning that addresses this appropriately. Learning, traditionally, is presumed to refer to seniors teaching and juniors learning. The underlying assumption with such unidirectional types of mentorship is the “possessive” view of skills and knowledge: someone possesses a skill that she can then pass over to someone who lacks that skill (Dall’Alba, 2009). This misrepresents the dynamic, complex, and multi-layered process of learning in the age of digitalization. It is the interactions between generations that create flows of valuable knowledge and skills that everyone can learn from. Seniors are familiar with the traditional embodied understanding of the processes at work, while the juniors share a tech-forward mindset that can complement those processes, and vice versa. Together, this can create a cascade of new insights and ideas: Let’s give a very simple example within the Oil&Gas industry. Suddenly you feel a low flow alarm from an unexpected valve closing, or pump failing, or leakage. The older generation, they will know there are 2 kinds of skills necessary: recognition skills to select the right information and form a mental model, and connective skills to forecast what will happen next and assess whether you have time to implement something. Younger people, they have some images in terms of how these can be implemented, how these things can be enabled

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using industry 4.0 initiative. So you put them together. Whether it’s reverse mentoring or reverse coaching versus traditional mastery in terms of mentorship, it works.

In sum, while digitalization has placed disproportionate emphasis on certain technical skills and attributes, it is imperative to remember how expertise is also constituted in social interactions. These interactions now span a wide web of diverse actors, crossing disciplines and generations when working in digital environments. Thus, it is crucial to be open-minded and to be aware of the limitations of one’s knowledge and expertise so that individuals continue to remain curious and motivated in learning from each other.

The Distribution of Expertise Between People and Technology The second indication of expertise development which this study presented to us is that expertise has become distributed between people and technology, and mastery thus comprises interactions between the two. This insight goes beyond the observation that, with digitalization, people need digital skills for the twenty-first-century workplace. The focus on the need for digital skills stems from the assumption that people and technology possess a different “piece of the puzzle” of expertise and that people thus need the right skills to “unlock” the expertise within technology, e.g., by means of knowing how to operate it. Instead, this study proposes that expertise is not possessed by any of the two actors but is constituted exactly in their interactions. Work and technology are intimately related processes that define each other in how they interact. A focus on these interactions allows for more fine-grained analyses regarding how expertise changes, for example because technology does not merely introduce a new tool but may change the role configurations of a profession (Barley, 2020; Fernandes et al., 2021), the tacit knowledge important for tasks (Hadjmichael & Tsoukas, 2019), and people’s embodied understanding of a specific practice (Sergeeva et al., 2020). Willems and Hafermalz (2021), for instance, studied how systems of algorithmic trading impact the work of traders. However, as becomes clear in their analysis, the ways in which this impact can be explained cannot be reduced to any of the individual actors. They offer, instead, a reconfiguration perspective (cf. Suchman, 2007) on digital transformation that shows how technology and human workers become increasingly dependent on each other: expertise is defined within this dependency and interaction. While work may thus indeed be at the cusp of being transformed in unprecedented ways, the outcome of this transformation cannot and is not known and neither is it likely that digital skills alone are the solution to all. Technology impacts existing skills and job roles but these in turn also impact how technology is implemented and used. Expertise in the modern workplace is thus an intimate blend and amalgamation of a whole range of qualitatively different forms of knowledge, and this process happens for a large part under the surface of technology introduction (Pachidi et al., 2021).

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Digital technology has the tendency to make concrete work practices and associated expertise less visible. That is to say, some parts of the work processes may become optimized or automated and, hence, less practiced. A key challenge for learners in the twenty-first century then is to work with this such that these aspects can still be developed and become part of one’s expertise.

Understanding the Interplay Between Technology and Competencies To achieve technological expertise, one has to understand, experience, and use technology in a way that serves them. Technology does not by default make work more efficient or easier, and using more advanced technology at work does not immediately make one an expert in their work either. In fact, technology may potentially obscure the essence of what expertise is: So, one of the things we learn in the safety module in university is that, when they are designing this kind of automation system or stuff like alarms, alerts, they should be designed in such a way that it’s effective. So, when something goes wrong, it will sound an alarm immediately whilst also not being activated too frequently because the operator will be desensitised to it...So, while we implement automation, design is very important, so that it doesn’t become counterproductive.

One thing mentioned by subjects is that some companies or clients want to adopt the latest technology simply because it is the latest, without fully understanding how that new technology is used or may be beneficial to the work processes. Another common issue pointed out by some subjects is how people approach technology with a rote learning attitude. These people then act as button-pressing machines that would blindly follow what the software says, without any substantial understanding of the actual processes behind it. Both of these are examples of diminished expertise of basic, though crucial core processes and practices, despite both involving the use of technology. In fact, one could argue that this sort of expertise is challenged and diminished exactly because of digitalization and how technology is implemented. In the study’s fieldwork with technical professionals, it was observed how new technology became more and more embedded and integrated within existing processes, thereby making more and more of what an expert needs to do or a worker needs to learn seem redundant, even as this is not necessarily the case. This is especially a potential dilemma for technical professions within critical safety operations. While technology may allow for the streamlining of processes or the automating of certain critical steps or tasks, this does not mean that the human operator can be taken out of the loop entirely. On the contrary, with diminished human involvement it becomes more, not less, crucial, that people remain knowledgeable of the process in case technology fails. This poses a challenge for education and workforce development, because how do people practice such critical tasks if they do not have to practice them in their dayto-day work and only in exceptional cases of troubleshooting which, for some large technical processes, may create situations where operators need to do specific tasks only once every few years.

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It might be useful to think about this dilemma also in terms of interactions. Rather than technology taking over tasks, it may be better to think about digitalization as a matter of how technology and human skills become co-implicated. In other words, with digitalization, situations should be created through which technical professionals develop a “feel for the ground,” and now, we elaborate on the importance of embodied knowledge of professionals (despite increased virtualization of work) and the importance of physical place (despite increased remote working).

The Importance of “Feeling the Ground” Though technology progressively moves the physical into the digital, the physical processes would still need to be done if there is a physical product or service involved. A phrase many of the participants mentioned, to signify that one has to physically be involved with the processes to fully understand what one is doing, is to “get your hands dirty.” Notice how the metaphor, sometimes meant literally, involves a sensorial aspect. Below are some of the many field observations that shares the same theme: The lecturer says: “Today is for you to go out there and get a feel of the plant”. What he means with this ‘feel’ is perhaps best understood as a mix of getting to know the plant and also developing an actual, intuitional and bodily feel for it. When we were discussing with one of the instructors at a practical session, the instructor mentioned that ‘It is in the field where deviations will be noticed, and not in the control room. These must be seen. Or heard, or smelt.’ The move from field to panel is a process that can take up to 10 years. A technician first needs to understand the field really well before he can go work in the control room.

The bodily interactions on the ground with the machinery have to be learned to achieve mastery. Digitalization, however, has led to an increasing emphasis on the digital aspect, especially with regard to automation. So, for instance, many technical professionals such as engineers can now control and manage whole worksites from the comfort of their office, using mobile applications or the technology provided in control rooms. However, before one can do the above well, they must also be proficient in the physical process, such as screwing bolts, fitting cables, walking the ground, being familiar with the sights and sounds and smells of a production process. Experts need to be able to develop these tactile feelings in order to make decisions from a distance. Learning, in this sense, becomes synonymous with working, and knowledge is not transferred between minds but it is shared between people engaging in a practice (Nicolini et al., 2016). This importance of physical place and embodied knowledge should not be underestimated and may actually become more crucial when more is becoming digitalized: I spend a lot of time in meetings nowadays. I try to also spend time walking the field. For example, before this meeting I actually went to a plant and walked up an almost 6 storey-high structure, looked at some equipment before I came back, before I rushed back to this meeting.... Very, very important is really to feel the ground, to go and see, go and see the physical stuff, go and see the physical activities, what is happening there.

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Digitalization allows for standardization but may, in the process, reduce some of the more sensible elements of it. It was highlighted that digital instruments appear very similar to one another, while manually operated instruments are much more observable in their distinctions. One would have to learn to differentiate accurately and associate the right digital representations with the corresponding physical operations to be able to perform their tasks without error. Feeling the ground, and how to develop these competencies when “the ground” may have become less accessible, will remain to be fundamental aspects of expertise in the contemporary workplace of technical professionals.

Conclusions This chapter argued for a reconceptualization of the term “expertise” and how it is commonly used in both academy, education, and workforce development policies. Expertise, traditionally understood as the linear upgrading of one’s skills where individuals progress through different stages of professional proficiency (cf. Dall’Alba & Sandberg, 2006), is based on a rather stable notion of work and what certain professions entail. While useful for explaining how individuals within a given profession develop their skills, it is less useful for understanding the current landscape of work that is characterized by technological disruption and an increased fluidity in the boundaries between professions and levels of expertise. This was illustrated in drawing on a study conducted on technical professionals in Singapore. This research suggests that expertise is not so much a well-defined body of knowledge or set of skills, but can be better explained via its distributed nature. The chapter highlighted two main dimensions of this distribution, showing that expertise can be located in the interactions between people of different disciplines and generations, and in interactions between people and the technologies they work with. It should be noted that while existing literature tends to exclusively use the term expertise and not mastery, or it treats the two terms interchangeably (Yanow, 2015), this chapter suggests that it would be fruitful to start with an analytical distinction between both terms. Existing theories are centered around domain expertise, and learning from this perspective then entails the stepwise upskilling within this domain. The conceptualization proposed here, on the contrary, seeks to build on this by looking at how expertise changes in today’s context where professions are becoming increasingly more fluid. Boundaries between domains are overlapping and, as studies have suggested, a multi-disciplinary background rather than early specialization helps with later career performance in that regard (Güllich et al., 2021). In the 4IR, technology disruption adds another dimension to expertise as digitalization becomes intertwined with the way one does their work. It might thus be fruitful to consider mastery as an all-encompassing term that goes beyond the stepwise domain upskilling as found within existing models of expertise. Instead, we could look at expertise more holistically and as being made up of all the different and distributed interactions that now constitute many professions. This

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chapter provides grounds for future research to consider this notion, and possibly look into whether mastery, in addition to expertise, might be a meaningful measure in investigating what it means to be good at one’s job. Rather than being a stable and well-defined body of knowledge, mastery entails the different ways in which people enact their everyday work. As a working definition, mastery is thus not something that people “have” but something that people “do” (Carr, 2010), and this puts interactions into sharp focus, such as the enactment of expertise between people (Anteby & Holm, 2021), the intricate relations, and dependencies between humans and technologies (Barley & Beane, 2020), and how it is increasingly distributed between different social, technical, and geographical settings (e.g., Nicolini et al., 2017). While existing approaches have been useful for understanding how people become experts, as well as for designing policies that address this (e.g., workforce upskilling efforts), they miss out other aspects that are key to the contemporary workplace, such as the involvement of technology, digital disruption, and the fact that in this more dynamic environment, people–people and people–technology interactions become crucial. Poon et al’s (2021) research that was discussed here does not refute existing models, but builds on them to provide a fuller picture that is more relevant in today’s context. The main aim of the chapter was to explore how expertise, through the eyes of technical professionals, is explained and experienced. More research from more scholars will be crucial to develop the theories and concepts further, and this chapter can be a starting point. We hope future research will find this useful to identify research areas in how future expertise can be understood in different contexts, cultural, national, or professional settings, across individual dimensions and as a holistic system. The re-conceptualization of expertise proposed here offers a systemic understanding of the intersections of people–people and people–tech interactions that constitute mastery. Some that were covered in this chapter include interdisciplinary and intergenerational mastery in addition to domain-specific skills, and mastery in terms of “feeling the ground” and ensuring that technology enables and improves mastery rather than making it seem less visible and crucial. There are many more of such intersections to be uncovered. This understanding of mastery being multifaceted offers an alternative to current upskilling models that primarily focus on the expertise within a well-defined domain. This broadening of what mastery means offers far-reaching opportunities in public policy, corporate strategy, and individual resilience during technological disruption. At the individual level, it could help people better understand the spectrum of multi-faceted skills they will need to keep pace with technological change. They will see that this spectrum must include domain-specific upskilling, but must also go beyond it, building a broader base of skills that will in turn extend their resilience. At the corporate level, companies can better design an optimal mix of initiatives. For example, they can see where formal skills training will work best, and where more emphasis needs to be given to informal workplace learning that facilitates specific people–people interactions. They can also identify where a more open

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culture between employees of different disciplines and generations must be built. In addition, they will be more sophisticated in their assessments of technology investments to work in tandem with and strengthen their workforce. That is, rather than merely looking for new technologies and the skills this requires, it can help them think about the potential consequences of this and whether they can anticipate some of the unintended consequences of technology introduction on the level of mastery. At the policy level, public funding can consider establishing a range of initiatives that span nurturing expertise and mastery for individual dimensions as well as across them. Companies and individuals can thus draw on the right combination of initiatives according to their needs, which must necessarily be diverse and different in a modern economy. Funding and incentives for education can also correspondingly be more targeted. The extent of initiatives, funding, and incentives can even include what hard and soft skills we wish to start building early in pre-employment education, so that there is sustained emphasis from pre-employment training through to continuing education and workplace learning, thus forming a central core for lifelong learning.

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The Multiple Meanings of Creativity in Lifelong Learning Research

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theories of Creativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Creativity Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Creativity and Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Creativity and Lifelong Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exploring Creativity Through the Writings of Four Journals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Definitions of Creativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Empowerment and Autonomy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Implications: Understanding the Process of Creativity in Different Educational Contexts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cultural Construction of Creativity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Creativity is a concept increasingly associated with innovation, resilience, and adaptability. No longer confined to “soft” skill areas like the arts, creativity is a term linked to success in fields both hard and soft that run on constant change to technology and practice. But what precisely is creativity or is this very question anathema to the concept itself? This chapter explores the way creativity is conceptualized in adult lifelong learning and continuing education over the period 2010–2020. It draws on articles published in four major academic journals from the field: the Journal of Continuing Higher Education, the International Journal of Lifelong Education, the International Journal of Continuing Education and Lifelong Learning (IJCEL) and the International Review of Education (UNESCO). Textual analysis is conducted using the NVivo qualitive data analysis program. The J. Fleming (*) · R. Gibson University of Sydney, Sydney, NSW, Australia e-mail: Josephine.fl[email protected]; [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_37

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chapter takes a comparative approach in order to explore key themes that are highlighted in each journal and to detect differences in the way creativity is perceived. We are particularly sensitive to the diversity of definitions and whether a relationship exists between this range and the type of programs, such as award and non-award programs and programs in different subject areas. Exploratory in nature, our analysis intends to understand in what contexts the concept of creativity is substantiated and useful and in what contexts it veers towards empty rhetoric. If creativity is an important habit of mind, as we argue it is, then this is a step towards understanding the conditions under which creativity has been successfully articulated in recent research and theory on lifelong learning. Keywords

Lifelong learning · Creativity · Continuing education · Lifelong education

Introduction Once regarded as a trait belonging to a select few and associated with high levels of intelligence, creativity is now widely regarded as an intrinsic quality that can be cultivated in individuals and collectively in groups. A large body of research has evolved that focuses on the role of creativity in diverse educational settings. Perhaps the area that has placed most emphasis on defining creativity in these settings has been that of the creative arts. More recently, creativity has been explored as a dimension for understanding the affordances of emerging digital technologies and abilities considered vital to living with the significant change these technologies bring – resilience, flexibility, adaptability, and innovation. Certain areas of lifelong learning have developed rapidly as a result of these continual cycles of change. Regular professional learning, for example, is often necessary if not mandatory to update skills and refresh knowledge in many fields of practice. Given the likely value of capabilities such as resilience and adaptability to support this ongoing professional development along with the need for lifelong learning more generally to engage with change, it was with great interest that the authors of this chapter, both actively researching, teaching, and writing in the field of creative arts education, explored how the concept of creativity is defined and positioned in lifelong learning. In the limited space of a chapter in this Handbook, it was decided the best place to start was with a review of research published over the last decade, 2010–2020 in four major journals contributing to the field: the Journal of Continuing Higher Education, the International Journal of Lifelong Education, the International Review of Education and the International Journal of Continuing Education and Lifelong Learning (the latter published to 2016). The results demonstrate a surprising lack of precision and consistency in the way the term “creativity” is used, while giving much to think about in the connections that are made with social, political, professional, and cultural values. Creativity is variously associated with democracy, entrepreneurialism, personal growth, autonomy, and empowerment. The exploration indicates, however, that there is scope to further analyze

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and theorize the relationship of creativity to lifelong learning – what it means, how it manifests, and how it can support the diverse cultural and educational settings of lifelong learning practice and research. There are also ideas introduced that could offer valuable insights to other fields of creativity research such as creative arts education. The chapter begins with a brief overview of major theoretical strands to creativity research that have influenced developments in education over the last three decades. The next section draws on a body of work that seeks to define and refine concepts of creativity to offer insight into how this may be applied to practice. It also examines some relevant themes in the burgeoning field of lifelong learning. From here the chapter details key themes that emerge in exploring how creativity is elucidated (or not) by the authors and how this intersects with theoretical concerns in the broader field of creativity research. The possible explanation for why most relevant articles were drawn from one journal, the International Journal of Lifelong Education, is considered along with why there is so little attention to creativity in two of the four journals.

Theories of Creativity Current scholarship has sought to disentangle creativity from the domains of the individual genius driven by passion, inspiration, and imagination and the elite field of fine or the “high” arts. As Mihalyi Csiskzentmihalyi (2006) proposes, creativity is “no longer a luxury for the few but . . . a necessity for all” (p. xviii). Although acknowledged as a crucial twenty-first century learning skill (NEA, 2013) and one of the so-called 4Cs (critical thinking, communication, collaboration, and creativity) creativity has been discussed since Antiquity. However, it has only been recently that creativity research has emerged as a recognized area of study within psychology. Beginning in the 1950s and 1960s, the personality psychologists including J.P. Guilford, Morris Stein, E. Paul Torrance and others studied the personality traits of highly creative individuals in highly valued areas such as the sciences and the fine arts. In the 1980s and 1990s, cognitive psychologists led by Mihalyi Csikszentmihalyi shifted their attention to the mental processes required for creativity to flourish asking the question: How do creative works come into being? In more recent times, researchers have focused on explaining creativity through a sociocultural approach. Contemporary Western models of creativity emphasize that true creativity requires both novelty and appropriateness (Hennessey & Amabile, 2010). To these elements, possible additions include high quality, surprise, authenticity, and the creation of an artefact (Plucker et al., 2004). Kieran Egan (1997) proposes creativity as a fifth “stage of life” beyond Somatic, Mythic, Romantic, and Philosophical. An Ironic phase where a spirit of curiosity, playfulness, and experience is required in order to solve emerging social, economic, and civic problems. According to Sawyer (2013), a sociocultural definition of creativity requires that “a socially viable product” (p. 8) is produced before an act or individual is considered “creative.” This sociocultural definition is in many ways similar to the definitions of

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innovation in organizations. In many businesses, creativity is seen as the ideas or products generated by individuals, while innovation refers to their successful implementation within the organization (Amabile, 1988). Solutions to very complex problems or significant works of genius are termed “big C” (eminent) creativity. All creations that are judged novel, appropriate, useful, or valuable satisfy the individual or “little c” (everyday) creativity definition. This two-level definition of creativity was widely accepted by scholars in the field and was initially coined by personality psychologist Morris Stein in 1987. Many contemporary scholars have identified a shift or a “creative turn” (Harris, 2014) in our understanding of creativity from conceiving creativity as “an outcome of individual processes of intuitive, subjective ideation . . . to one that is economically valuable, team- or community-based, observable and learnable” (McWilliam, 2009, p. 282; Ministry of Information and the Arts, 2000). McWilliam and Dawson (2008) refer to the concepts as “first generation” (individualistic) and “second generation” (social, pluralistic) understandings. The latter is widely recognized as a valuable aspect in social and economic enterprise. Singapore’s Renaissance City Plan (RCP) (2000) emphasized the role of the arts and culture in its future economic growth. It mapped out a vision and plan for the promotion of arts and culture in Singapore with two objectives: first, to establish Singapore as a global arts city conducive to creative, knowledge-based industries and talent; and second, to strengthen national identity and belonging among Singaporeans by nurturing an appreciation of shared heritage (p4). Kong Kong et al. (2006) later argued that creative economy discourses used by academics and policy makers, and leveraged in the RCP document, were largely developed in Europe and North America and adapted to Asian contexts. On analysis of key themes in creative economy references in policy documents of Singapore, Taiwan, Hong Kong, China, Japan, and South Korea (categories used by Kong et al.), the authors found that the dominant discourses are interpreted differently in each of the countries. In Singapore, the authors argued that “references to Euro-American experts legitimized creative economy strategies rather than informing them in heavily conceptualized ways” (p.191), that is, the reference to key ideas was used to add authority to the policy, which in reality was quite separate and distinct from the ways creative economy is conceptualized in Europe and North America.

Creativity Research One of the foundations of early creativity research is the 4-part division of this body of research conducted by Mel Rhodes (1961) and referred to as the four P framework. Rhodes synthesized existing literature into four primary categories: Product, Person, Process, and Press (environment). More recently, Glaveanu (2013) proposed a Five A framework including Actor, Audience, Action, Artifact, and Affordances; in an attempt to recognize the intersections between elements of creativity. Both these theories explore the underlying structure of how creativity is operationalized. The Four Cs theory is an expansion of the Big C and little c categories adding mini-c

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(inherent in the learning process) and Pro-c (professional expertise) (Kaufman & Beghetto, 2009). Both are consistent with Beghetto’s (2016) theory of Creative Learning, which maintains that creativity and learning can be interdependent. Other theories propose how creativity can manifest across domains. The most established of these being Gardner’s (1999) concept of Multiple Intelligences. Although not specifically focused on creativity, Gardner does suggest intelligences that could be considered as potential domains of creativity including visual-spatial, bodily kinesthetic, and musical. The Amusement Park Theoretical (APT) model presents a more generalist perspective on creativity (Baer & Kaufman, 2005). This model uses the metaphor of selecting an amusement park to determine the creative strategies individuals use to refine their creative expressions. Within this model, there are a number of dichotomies including aesthetic vs function and art vs science.

Creativity and Education If creativity is a key learning outcome of our times, then it is necessarily the core business of education (McWilliam, 2009). Teachers contribute to the development of the creative dispositions and capabilities of twenty-first century learners, yet the expectation is that “this learning will be life-long and life-wide” (McWilliam, 2009, p. 281). Much of the creativity in education research conducted in the last few decades has been situated in the Creative Arts and in particular, in music and art. This is probably not too surprising as even within the Arts, there is an apparent hierarchy with music and art at the top and dance at the bottom. That said, creativity researchers have traditionally been closely aligned with arts education researchers, both recognizing creativity as an essential attribute for the painter, dancer, poet, or playwright. In the twenty-first century, research has focused on specific cognitive skills that may be enhanced through arts engagement and transferred to other areas of learning. Harvard’s Project Zero’s cognitive and arts research projects are perhaps the most often cited in support of understanding and enhancing learning, thinking, and creativity in the Arts. The most extensive critique of research in support of transfer is still the meta-analysis by Lois Hetland and Ellen Winner in 2004. Their extensive review of cognitive transfer from the instruction in various art forms to non-arts learning revealed three areas of arts learning with positive effects: classroom drama and verbal skills; music listening and spatial reasoning; and learning to play music and spatial reasoning (Hetland & Winner, 2004). Creativity, however, is not limited to the Creative Arts , but is valued in a wide variety of disciplines including medicine, engineering, science, architecture, and computing. There is now little doubt that emerging digital technologies are becoming invaluable in generating creative thinking (McWilliam, 2009). Digital tools provide the mechanisms to cross disciplinary boundaries and solve authentic twenty-first century problems. All educated young people are now viewed as potential future “creatives” (Florida, 2002), since highly imaginative and creative

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thinkers are considered vital to a highly demanding global economy. Productivity in the twenty-first century requires “a deep vein of creativity that is constantly renewing itself” (National Center for Education and Economy [NCEE], 2007, p. 10). This feeds into the concept of the knowledge society that is prominent in lifelong learning research.

Creativity and Lifelong Learning Within the field of lifelong learning, the concept of creativity, while often perceived as a positive attribute, is perhaps under theorized. That said many themes that have emerged as major developments in the area of creativity research have also been explored in the context of lifelong learning. Indeed, as will be apparent in the sample of articles discussed in the next section of this chapter, many of these themes remain prominent. Understanding entrepreneurialism has a long history within lifelong learning research and while the precise nature of entrepreneurialism is contested (Audretsch, 2002), creativity is often associated with playing an enabling role (Mars & RiosAguilar, 2010). Burton Clark’s seminal work on the creation of successful entrepreneurial universities (1998) paid attention to the expanded developmental periphery of institutions as a place of opportunity. Shane and Venkataraman (2000) developed a framework for exploring opportunity via three dimensions: source, process, and individual entrepreneur. While creativity is frequently linked to the process of entrepreneurialism and identifying opportunities (Ward, 2004), few studies have addressed the nature and processes of creativity itself (Chiles et al., 2007; Mars & Rios-Aguilar, 2010). Creativity in lifelong learning has also been explored through the dimensions of innovation and novelty. Morris (2020) defined creativity as “the process of generating novel solutions to defined problems in specified contexts that have value” (p. 169). However, many studies that explore the joint concepts of creativity and innovation do not provide an explicit definition of these concepts. A survey of member institutions of the University Professional and Continuing Education Association (based in North America) (Sandeen & Hutchinson, 2010) assessed that “the current state of education [is] designed to enhance creativity and innovation knowledge and skills” (p. 84). Despite questions that investigated the importance of creativity to the work of the educators and institutions, the published findings and the survey questions did not theorize or define what was meant by creativity. This is one example of many where terms were left to the readers’ and in this case also to the respondents’ perceptions of the concept. In some writings, creativity is defined in contrast to its constraints. Peter Jarvis (2009) establishes creativity as being conditional on inhibiting social structures being “lowered” and weakened “social norms of behavior” (p. 5). Landmark policy documents (for example Bindé, 2005) make references to the necessity of creativity as we transform into “knowledge societies”: “Culture itself is no longer built with blueprints

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of permanence and repeat production, but those of creativity and renewal” (p. 58). The emphasis is on creativity as a positive condition rather than an explained concept. Whereas creativity is regarded as important to the policy, curriculum, and practice of lifelong learning, there is sparse literature that theorizes on the processes and practices of creativity in this context. This absence is here regarded as an opportunity to understand how creativity has been explored over the last decade based on the theory and research findings published in four major journals in the field of lifelong learning.

Exploring Creativity Through the Writings of Four Journals The aim of this section is to explore how creativity is defined, theorized, thought about and/or observed in the context of lifelong learning. The authors wanted to understand how major theories of creativity were interpreted and whether there was crossover with the themes from their prior research in arts education (Gibson, 2020; Fleming et al., 2016). Lifelong learning is a field that in many ways interfaces with cutting edge knowledge and technology, particularly through professional development education and is, often by necessity, engaging with the changing trends and interests of adult learners in both award and non-award continuing education. Being innovative and flexible are concepts often integral to theories of creativity. It was speculated that the links would be well established in shaping the research agenda. Exploratory research was arguably an appropriate way forward after an initial review of the literature revealed little thematic focus or consensus on creativity within lifelong learning. To probe deeper, it was decided to review articles written over the last 10 years in four key journals from the field: the Journal of Continuing Higher Education, the International Journal of Lifelong Education, the International Journal of Continuing Education and Lifelong Learning and the International Review of Education (UNESCO). The aim was not to critique prior research in the style of a meta-analysis, but rather to identify patterns, ideas, theories, and connections made by expert scholars, many of whom also have extensive experience as lifelong learning educators. The purpose is to explore themes that are associated with creativity in lifelong learning and to encourage research in this area. Guided by prior research, the parameters for the initial article search included related keywords: creative, creativity, imagination, original, innovation and innovative. This search returned over 450 articles from the four journals. The articles were imported into NVivo, the abstracts were reviewed, and then extensive contextualized keyword querying was undertaken. It became apparent that while these keywords are often theorized as dimensions to creativity in some fields of research, in this instance associating creativity with these keywords was too reliant on interpretation. That is the authors of the articles were not necessarily intending these links. It was therefore decided to sample only articles by authors who specifically used the word, creativity. This narrowed the sample to 177 articles. Further reading and querying led to establishing three categories: primary theme, engagement with the theme, and not relevant to the theme (see Table 1 for the criteria of each category). As not being relevant to the current study, 108 articles were

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Table 1 Categorizing articles in relation to Creativity The theme Creativity is: Key theme (A) Limited engagement (B) Not relevant

Criteria Creativity is a theme that has bearing on the findings and/or theorizing in the article Creativity is included in arguments, discussion and/or literature review but is not identified as a primary theme Creativity is incidental to the research: Referred to only in the literature review or references; Not identified as a theoretical or research theme About school education A book review

Table 2 Breakdown of articles via journal

Creativity International Journal of Lifelong Education International Review of Education The Journal of Continuing Higher Education International Journal of Continuing Education and Lifelong Learning Total

Group A: Key theme 7

Group B: Limited engagement 44

Not relevant 61

Total 112

2 0

11 3

31 14

44 18

1

1

1

3

10

59

108

177

rejected. This narrowed the sample to 10 articles where creativity was considered a key theme (Group A) and 59 articles where creativity was a concept that was engaged with by the author/s but was not a primary one (Group B). The 69 articles that formed the final sample were studied to detect shared themes and patterns. In addition, the focus of the separate journals was compared (see Table 2). The purpose was to be sensitive to themes that emerged inductively rather than constrain and interpret the content through the lens of existing theory. This would open the analysis to potential new insights into creativity, drawing on the perspectives of active lifelong learning researchers. The next section of this chapter will outline how creativity was defined, theorized, and thought about and/or observed in the context of lifelong learning. This will then be discussed in the context of theorizing around creativity from the broader field of creativity research.

Definitions of Creativity While creativity was identified as a key theme in the Group A articles, definitions varied, did not always reference prior theorizing or research and were not always explicit about how the concept was being applied.

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Two studies that focused on the creative arts for older learners (Creely & Southcott, 2020; Sabeti, 2015) questioned some of the assumptions around associating creativity with innovation and forward thinking. Sabeti challenges prior narratives that have informed theories, policy, and practice that assumed links between older learners and reminiscence, particularly in relation to the creative arts. Her in-depth review of prior research on the positive links between creativity and wellbeing in older adults is useful in highlighting the fault lines of some of these assumptions. In her own research, Sabeti found that creativity “is a release from the burden of self, not a re-inscription of it in the cause of posterity” (p. 221) as she observed the intense absorption that the act of creativity brings. Other articles defined creativity through the lens of innovation and novelty, that is creativity in terms of what it produces (Morris, 2020; Jarvis, 2009; Dovey & Muller, 2011; Penalva, 2020). Dovey and Muller are concerned with the generative processes of creative ideas in their interviews with South African creative arts practitioners. They define creativity by its outcomes – the generation of new ideas that have the potential to transform and be beneficial to its stakeholders and thus identify creativity as enabling innovation. A concern is to find ways in lifelong learning contexts to be able to facilitate these processes. While Morris (2020) is also concerned with novelty and utility, defining creativity in the context of adult learning as “a process of generating novel solutions to defined problems in specified contexts that have value” (p. 169) and Penalva (2020) connects creativity to “what might be.” Creativity is also viewed as a transformative pedagogical strategy (Duckworth & Tett, 2019; Thorsesen, 2017) and this is often associated with equity issues, disrupting hierarchies, and giving room for alternative narratives. The investigation of creativity along socio-cultural and political dimensions was a notable theme in this exploration and will be discussed further in the chapter. This is an area that offers some insights that would be valuable to future creativity research. Definitions are fuzzy in many instances. At times creativity is identified as a theme in the abstract with no precise definition given. Rather associations are made with the arts (creative activity), the act of being creative (Creely & Southcott, 2020; Cueva et al., 2012) and the tension between habits and creativity in learning environments that encourage social change (VanWynsberghek & Herman, 2015). Articles in Group B often used the concept of creativity as a way to contrast negative traits in education: indoctrination, conformity, and rigidity (Al Salman, Alkathiri & Khaled Bawaneh, 2021; Babaci-Wilhite et al., 2012; Boshier, 2017). The concept is also often included as a list item for essential twenty-first Century skills. Curiously in one article, it is associated with neo-liberalism in the context of disaster preparedness and neo-liberal politics in Japan (Kitagawa, 2016). Creativity is also used as shorthand for a positive quality that is a necessary component of responding to change and vital to effective lifelong learning environments. The lack of precision made it difficult to understand the identifying characteristics of creativity and its relationship to the key arguments or theories discussed by the authors. The concept of transfer initially associated with creative arts practice in schools (Hetland & Winner, 2004) is relevant to Fung’s (2015) examination of Studio Based Learning in Hong Kong. The idea of transfer also resonates as a theme in studies that highlighted the gains made through acts of creativity such as empowerment,

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confidence and social connection (Sabeti, 2015). This aspect of lifelong learning, considering outcomes beyond the actual subject of learning at hand, could make an important contribution in theoretical and practical ways that could extend on the work of Hetland and Winner. To consider “dispositions” in instances such as Sabetti’s creative writing class, where the act of participating in a creative writing class brings together both cognitive and attitudinal aspects of thinking and working creatively, could be a possibility of doing so. The field of lifelong learning is broad and this is reflected in the breadth of themes explored particularly within the International Journal of Lifelong Learning and the International Review of Education. It is insightful to explore, using the wider sample of Group A and Group B articles, clusters of concepts that are associated with creativity in these diverse settings, including empowerment and autonomy.

Empowerment and Autonomy The transformative nature of creativity is examined through a socio-cultural and socio-political lens in some of the settings and ideas presented in both sets of articles. The unifying thread is empowerment. Reporting on the findings of two projects dealing with adult literacy, Duckworth and Tett (2019) assert the importance of co-creation in advancing literacy and also aspects of identity beyond learning a competency: “I feel more confident in myself and being a mother when I paint. It’s something the social services can’t take from me. The creativity opened a space for transformation. . .” (p. 373). Sabeti’s anthropological approach to the study of older adults participating in a creative writing class reveals how the immersive nature of the experience, which met both learning and social desires, empowered the participants in her study. Another theme explored by some authors is the gains made through learners exercising control and ownership over and (thus) establishing the space to creatively engage with their learning (Wildemeersch & Vandenabeele, 2010; Wals et al., 2017). Morris (2020) connects self-directed learning to creative problem solving in realworld contexts that are rapidly evolving. Responding to conditions in such fluid environments changes the imperatives of learning from consumption (what others determine should be learnt) to active involvement in seeking out what is needed and how it can be acquired with creativity embedded into this process. White and Lorenzi (2016) attend to what they term the “creative space,” which encompasses physical, social-emotional, and critical contexts. These spaces have a bearing on creativity and are “characterized by flexibility, brightness and openness” (p. 786). Their case study, Fighting Words, is a non-formal creative writing center that caters to diverse age groups. Using informed engagement with recent theorizing around creativity and the anthropological approach they apply to the fieldwork, the authors bridge theory and practice. From this, White and Lorenzi develop a multidimensional model that could assist in the building of “creative spaces” in formal class settings in school.

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Implications: Understanding the Process of Creativity in Different Educational Contexts As stated previously, lifelong learning is a broad term that encompasses a multitude of educational formats and this is reflected in the diverse topics that were published in the four journals. Two characteristics that can be meaningfully applied to lifelong learning across this diversity are being adaptive and responsive, often out of necessity to remain relevant to learner demand. In the area of professional learning, for example, rapid turnover of programs reflects the high speed with which new technologies and knowledge disrupt professional environments. Flexibility and adaptability, along with being able to thrive in ambiguous environments, are qualities associated with creativity. The authors of this chapter were sensitive to potential thematic overlaps between the two areas of research throughout the process of identifying themes connected to creativity. On a simple count, it is clear that the International Journal of Lifelong Education has by far the greatest engagement with the concept of creativity over the period 2010–2020. Both the International Journal of Continuing Education and Learning (only published until 2016) and the Journal of Continuing Higher Education contributed few articles to the sample including only one article, Fung (2015), where creativity was a key theme. It is curious that there is little editorial concern with a concept that is so prevalent in formal educational settings and in professional learning programs. The nature of the sample articles in these two journals suggests that creativity is seen as (an invariably) positive quality rather than a theorized concept. While most articles addressed important themes, there is little engagement with existing theories of creativity or an explicit definition of the way the term is used by the authors. This perhaps dilutes a concept that is seen as important to many lifelong learning organizations and also reduces the possibility of transfer to other contexts, increasingly regarded as an important aspect of current research. This is in contrast to the 10 articles in Group A, which includes Fung (2015) published in IJCEL, that to differing extents examines the processes of creativity within the thematic context of the topic. The output from White and Lorenzi’s (2016) research in the form of the “creative space” model demonstrates the potential gains to be made through transference between different educational settings, in this case from non-formal to formal settings. The intellectual rigor applied to the development of this model is its strength as it theorizes and interprets practice. While this has been at the heart of much creativity in education research (Beghetto, 2016; Harris, 2014; Kaufman & Beghetto, 2009), there have been few studies that draw on diverse educational contexts that span formal-assessment in school and tertiary settings and informal and non-formal lifelong learning settings. Perhaps this is in part because lifelong learning research has under-theorized creativity and has placed too much reliance on a shared understanding of what creativity means at the expense of an informed exploration of process. White and Lorenzi (2016) along with Sabeti (2015) demonstrate the possibilities and value this can have to overlap the fields of creativity and lifelong learning.

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Csikszentmihalyi’s theory of flow (2006) is a useful way to consider Sabeti’s research (2015) set in a creative writing class for older learners. Sabeti has illuminated the process of flow within the context of older aged learners who become more confident and empowered and experience release through their absorption in the act of creative writing. While Csikszentmihalyi’s case studies are drawn from virtuoso performers in various fields of creative practice, Sabeti draws on the experiences of novice learners who happen to be in their third age. She provides a rich account of the processes of creativity in older adults learning and, for some, seeking mastery in a new area of practice. Transferring the processes identified in Sabeti’s research to other adult learning contexts could be a valuable area of research that adds to the theorization of creativity. Duckworth and Tett (2019) to some extent take up this challenge in exploring the positive effect of creativity on confidence and learning as it opened up space for transformation.

Cultural Construction of Creativity The diversity of lifelong learning that is reflected in the educational, economic, and cultural settings explored in the articles gives insight into themes that can be further explored in creativity research. One theme suggested is the way creativity is constructed along cultural lines. This challenges some influential theories that exclude cultural considerations and by this absence makes assumptions around the universal nature of creativity. The creativity literature cited in most of the articles explored is within a Western tradition and this is despite the diverse cultural backgrounds of the authors, the topics, and the data collected for research. There is potential for greater exploration of ideas on creativity that are outside of these structures. Kong Kong et al. (2006) are concerned with the way creative economy discourses used by academics and policy makers are largely controlled by Western discourses and adapted to Asian contexts. This is an issue raised by Fung (2015) in her study on Studio Based Learning (SBL) in Hong Kong. Fung largely draws on existing theories of SBL developed most recently by scholars associated with Harvard University’s Project Zero as well as other established creativity scholars who are steeped in Western tradition. Her case study, situated in Hong Kong, which she describes as an east-meets-west Asian city, potentially offers a way forward to consider other perspectives. Fung’s study highlights the pedagogical tensions of practicing SBL in the formal education setting of Hong Kong, as learners are encouraged to respond to assigned briefs in ways that are original, collaborative, and creative within the constraints of a rigid educational environment that emphasizes knowledge transmission and criteria-based assessment. Fung suggests these tensions are especially apparent in teacher-focused environments that are prevalent in Hong Kong and, she extrapolates, Asian education in general. Fung’s study epitomizes a paradox – how to judge the generation of new ideas through established criteria.

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Yet perhaps theories of SBL and creative transfer (Hetland et al., 2013) need to be adapted, re-theorized, or invented anew for other cultural contexts. As they exist in reference to the concept of creative economy, Kong Kong et al. (2006) argue existing theories with Euro-American focus fail “to capture how inter-regional dynamics and flows might shape policies and industries” (p. 174). Their research on the gap between “key creative economy ideas” (p.175) appearing in policy documents and being enacted in regional Asian contexts indicates that the ideas are re-interpreted and even re-imagined across the different regions. This indicates a more nuanced response to the concept, in this case of creative economy. The references to creativity in the articles explored for this chapter suggest less nuance or divergence from theory largely developed in Europe and North America. Even where the articles only made brief reference to creativity without discussion of how the concept was being used aligned with commonly held tropes/ideas that are regarded as being “universal,” while emanating from a narrow range of countries and traditions.

Concluding Remarks Lifelong learning is a vast area of practice that is set to develop further over the coming years. This chapter has focused on research rather than practice and has explored a sample of articles to understand in greater detail how such a broad field theorizes and engages with the concept of creativity. One intention has been to consider areas where future research could be valuable. What is unexpected, given the highly dynamic, responsive, and changeable nature of lifelong learning institutions, is the paucity of theorizing, or even engagement with existing theory in many of the articles that reference creativity. Where articles did theorize creativity, they examined processes within the varied settings of the research. Much of this research has potential to be transferable across other areas of lifelong learning practice and, in one instance, to transfer practice from non-formal to formal educational settings. The research also offers valuable insights into creativity research more generally and also suggests ways forward to engage with more diverse cultural theorization in constructing concepts of creativity. Lifelong learning by necessity needs to be responsive to learner needs and therefore adaptive to the culturally and educationally diverse settings it resides within. This is the case in the Asia-Pacific and beyond. This chapter concludes that while there is some evidence of intersection between the areas of lifelong learning and creativity research, there is greater scope to develop this further. Research focused on lifelong learning could gain from further theorizing around the concept of creativity both by adapting existing theory but also, more potently, by challenging and developing new theory that takes account of the diversity. This could offer valuable insight into creativity processes and transfer and add depth to our understanding of a concept that has, as Kong Kong et al. (2006) argue, largely been defined in Euro-American or, more broadly, Western theory.

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Zenaida Q. Reyes and Minda C. Valencia

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Achievements of Filipino Women . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Women’s Movement in the Philippines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Gender Mainstreaming and Gender and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Filipino Women’s Lifelong Learning with the Twenty-First Century Competencies . . . . . . . . . Learning to Know (UNESCO – Delor’s Report) and Learning and Innovation Skills (Partnership Twenty-First Century Skills) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Interacting in Socially Heterogeneous Groups (OECD), Learning to Do, and Learning to Live Together (UNESCO – Delor’s Report) and Life, Career and Thinking Skills (Partnership 21(P21) Twenty-First Century Skills) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Using Tools Interactively (OECD), Learning to Do (UNESCO – Delor’s Report), Information, Media, and Technology Skills (Partnership 21(P21) Twenty-First Century Skills) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Acting Autonomously (OECD), Learning to Be (UNESCO – Delors Report), and Life and Career Skills (Partnership Twenty-First Century Skills) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Future Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Using the prism of lifelong learning with twenty-first century competencies, this chapter aims to examine the skills of women that have contributed to the improvement of women’s status in Philippine society. It specifically looks at the achievements of Filipino women vis-a-vis the Beijing Platform for Action Z. Q. Reyes (*) Graduate Teacher Education Faculty, College of Graduate Studies, Philippine Normal University, Manila, Philippines e-mail: [email protected] M. C. Valencia Faculty of Behavioral and Social Sciences, Philippine Normal University, Manila, Philippines © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_38

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Framework +25 (BPfA+25), the Sustainable Development Goal No. 5, and the women’s movement. Also, this chapter considers the institutional mechanisms set up by the Philippine government in advancing gender equality and women empowerment and most importantly the Magna Carta of Women and other legislations to protect women’s rights and women’s welfare. A closer look at the women’s activities, programs, and projects in the promotion of gender equality and women empowerment, Filipino women have gone a long way. The four sets of competencies from UNESCO, OECD, and Partnership twenty-first century skills are found to be very evident among those women who have improved their lives and those who have been actively involved in alleviating the status of women. These competencies include: (1) learning to know and innovation skills; (2) interacting in socially heterogeneous groups, learning to do, learning to live together, and life and career skills and thinking skills; (3) using tools interactively, learning to do, information, media, and technology skills; and; (4) acting autonomously. The paper ends by posing the future challenges faced by Filipino women, particularly those in the marginalized sector. Keywords

Filipino women’s lifelong learning · 21 century competencies · Status of women

Introduction The Philippines is one of the countries in Asia that has positive developments for women and ranks high in global gender indices (GGI). According to the 2021 Global Gender Gap Report, the Philippines ranked 17th out of 156 countries, one notch lower compared to its previous place. It is still, however, the top performing Asian country in terms of gender equality. Since 2006, the Philippines has been consistently among the top 10 ranking countries in the world (Rallonza, 2020) except in the last few years. This means that there have been gains, but also challenges which Filipino women face across the different indicators of women’s agenda as they pursue various strategies for gender mainstreaming. This relatively good ranking can be attributed to the Philippines’ gender mainstreaming efforts through the creation of the Philippine Commission on Women (PCW) as the policy making and oversight agency to achieve gender equality and women empowerment (GEWE) in the country. The PCW coordinates with different government agencies, non-government institutions, and other organizations in implementing the international and national mandates on gender and development (GAD). The United Nations (UN) mandates, such as the 12 key areas of women’s concerns in the Beijing Platform for Action (BPfA), the different indicators in Goal No. 5 of the Sustainable Develop Goals (SDG) and other indicators intersecting with SDG 5 and the provisions in the Convention on the Elimination of Discrimination Against Women (CEDAW) are used in the Philippine GAD framework for gender mainstreaming. Contextualizing these UN instruments to the Philippine situation are the different national mandates on GAD. First, Article II,

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Section 14 of the Philippine Constitution requires equality of men and women before the law. Second, promulgation of the Magna Carta of Women (MCW) obliges promotion, protection, and respect of women’s rights in the different sectors of society. The MCW also requires government agencies to use 5% of their budget for the development and implementation of gender-responsive programs and strategies for their internal and external stakeholders. Third, the Philippine government has highlighted and incorporated women and GAD in various development agenda such as the Philippine Plan for Gender-Responsive Development (1995–2025), the Gender Equality and Women Empowerment Plan (2019–2025), and the Philippine Development Plan 2040. Framed by the different GAD instruments and the competencies from UNESCO, OECD, and Partnership on twenty-first century skills, this chapter will look closely into the lifelong learning competencies that led to the gains of women in its pursuit for gender equality and women empowerment. In addition, competencies to overcome the challenges for gender mainstreaming will also be an important focus of this chapter for future actions of women in the Philippines.

Achievements of Filipino Women Women’s achievements in the Philippines are seen in their strategies of advocating women’s rights, GEWE across the years in several ways. First, the women’s movement shows how women and gender issues have been addressed across different periods in history. Second, the contributions of the PCW in gender mainstreaming have remarkably added to the gains of women not only in the government but also among non-government entities. Finally, the passage of gender sensitive legislation has immensely contributed to the improvement of women’s status in the country.

Women’s Movement in the Philippines The women’s movement in the Philippines revolves around various issues. The movement in the 1930s was concerned with the rights of women to vote, while the 1960s and 1970s saw the integration of women’s issues in the national political movement. Since the 1980s, the women’s movement in the country has been actively collaborating with the international women’s movements in advancing women’s agenda. The Suffragette Movement. Influenced by women in the US fighting for their right to vote, the National Federation of Women’s Club composed of middle class Filipino women also organized themselves. The suffragette movement gained momentum nationwide and in 1937, through a plebiscite, women overwhelmingly won their campaign. This was a first victory for organized women not only in the Philippines but also in Asia (Honculada & Ofreneo, 2018).

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Women in the Political Movement. Filipino women struggled to attain nationhood in the 1960s and 1970s, a period in Philippine history marked by activism, civil disobedience, and unrest. The activists during the First Quarter Storm clamored for social transformation such as rejecting foreign dependence, eliminating the landlord class, and advancing national democracy, among others. Various women’s groups were organized to include women’s issues in the national democratic movement. They saw the opportunity when the MalayangKilusan ng Bagong Kababaihan (Free Movement of New Filipino Women) protested against the 1969 Miss Philippines beauty contest. In the forefront were women’s groups such as PILIPINA, KALAYAAN, GABRIELA, and KaBaPa (Katipunan ng Bagong Pilipina or Association of the New Filipina (Honculada & Ofreneo, 2018). The women’s movement in the Philippines was characterized by women’s liberation from colonial rule, patriarchy, and Marcos dictatorship (Hur, 2012). Global Women’s Movement. This period is characterized by global feminism where Filipino women from the government and non-government organizations join forces to elevate gender and women’s issues in the global arena. The National Commission on the Role of Filipino Women (now the Philippine Commission on Women) has played a major role in institutionalizing the women’s agenda in society (Hega et al., 2017).

Gender Mainstreaming and Gender and Development Gains Based on Beijing Platform for Action Framework +25 (BPfA+25) The past 5 years, 2014–2019, have brought several gains in the women sector. The gains are in the form of laws, enabling policies, programs, and projects for attaining GEWE. This is shown in the progress report on BPfA+25 by the Philippine government and non-government organizations. The BPfA+25 Philippine Progress Report is clustered into six overarching dimensions covering the 12 areas of women’s concerns. These overarching dimensions are: (1) inclusive development, shared prosperity and decent work that covers the areas of women and poverty, women and the economy, human rights of women, and the girl child; (2) poverty eradication, social protection, and social services that includes education and training of women, women and health, women and poverty, human rights of women, and the girl child; (3) freedom from violence, stigma and stereotypes that comprise violence against women, women and the media, human rights of Women, and the girl child; (4) participation, accountability, and genderresponsive institutions with the areas of women and power in decision making, institutional mechanism, women and the media, human rights of women, and the girl child; (5) peaceful and inclusive societies that center on women and the armed conflict, human rights of women, and the girl child; and (6) environmental protection, conservation, protection and rehabilitation that focuses on women and the environment, human rights of women, and the girl child (BPfA+25 Philippine Progress Report, 2019).

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On Dimension 1 (inclusive development, shared prosperity, and decent work), the Philippine government and NGOs enacted laws on decent work and in business and entrepreneurship to protect women. Existing laws related to labor were implemented to promote the working condition of women in the formal sector. For instance, the Universal Health Care Law and the Expanded Maternity Leave Law were passed to protect women (Philippine NGO Beijing + 25 Report, 2020). Programs were also crafted to help improve the productivity of women with small farm landholdings and protection of women in unpaid and domestic services both in the Philippines and abroad. As regards Dimension 2 (Poverty eradication, social protection and social services), programs were developed to support women in their access to decent work, business and entrepreneurship, health and wellbeing, cash support, and education. Girls were also included in the government’s drive for health and education. In this dimension, efforts of gender mainstreaming were undertaken in the Department of Education, Commission on Higher Education, and Technical and Vocational Education and Technology (Philippine NGO Beijing + 25 Report, 2020). In terms of Dimension 3 (Freedom from violence, stigma and stereotypes), laws on violence against women and children, including trafficking, were enforced. The government and private entities became active in their campaign to prevent violence against women and children and trafficking of women and girls. The NGOs formed coalitions and networks to campaign against the misogynist policies and programs of Philippine President Rodrigo R. Duterte as well as collaborative activities in the elimination of trafficking and violence against women and children. On Dimension 4 (Participation, accountability, and gender responsive institutions), the government and NGOs became active in the promotion of women in public life and governance. In the government’s first level of career service, there are about 47% women, while in the second level, 67% are occupied by women. Programs for women in media and ICT were also launched. Moreover, programs that promoted gender responsive budgeting and women’s human rights were strengthened. On Dimension 5 (Peaceful and inclusive societies), the National Action Plan on Women, Peace, and Security was implemented that resulted in women’s participation in the peace process. Several NGOs were active in their campaigns to include women in the peace negotiations. In addition, policies and programs were implemented to address women and girls in armed conflicts and crises situations. Women-friendly spaces were also supported. On Dimension 6 (environmental protection, conservation, protection, and rehabilitation), gender perspectives were integrated in the planning and implementation of policies and programs for the environment, disaster risk reduction, climate resilience, and mitigation.

Sustainable Development Goal No. 5 For SDG 5.1 (end all forms of discrimination against women and girls everywhere), the environment for gender equality in the Philippines is relatively good compared to other countries because of a number of laws that ensure protection of women against

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discrimination (David et al., 2018). Below are the significant laws protecting women’s welfare and wellbeing (see Chart 1). In addition to the passage of the aforementioned laws, the Philippine government has crafted significant development plans to include women in the drawing board of development. These plans include: Philippine Plan for Gender Responsive Development (1995–2025), Gender Equality and Women’s Empowerment Plan (2019–2025), and Philippine Development Plan (2019–2022). Another important indicator that shows women’s strategy to eliminate gender discrimination is having access to education. Education is a pathway to attain the SDGs. SDG4, in particular, ensures inclusive and quality education for all and promotes lifelong learning. Overall, a little more than half of the Filipino women are educated from basic education up to the tertiary level. This situation gives them opportunities to work and participate in politics and governance. For SDG 5.2 (eliminate all forms of violence against all women and girls in the public and private spheres, including trafficking and sexual and other types of exploitation), the Philippine data show that the percentage of women who have suffered from sexual, physical, and psychological violence is higher than the target in SDG 5.2. For instance, in indicator 5.2.1 (proportion of ever-partnered women and girls aged 15 years and older subjected to physical, sexual, or psychological violence by a current or former intimate partner in the previous 12 months), 14.7% of the women experienced violence while the target in SDG is about 10%. Furthermore, even if the data on reported abuse on women (15,553) and children (21,751) in 2021 is decreasing compared to 2016 (32,552 abuses on women and 29,349 on children), abuses are still prevalent in the country (Goal 5, Philippine Statistics Authority, 2021). In target 5.3 (eliminate all harmful practices, such as child, early and forced marriage, and female genital mutilation), the proportion of women aged 20–24 years who were married or in a union before age 15 is 2.2%, and higher before age 18 at 16.5% in 2017. The Philippine target is 0 (Goal 5, Philippine Statistics Authority, 2021). For target 5.5 (ensure women’s full and effective participation and equal opportunities for leadership at all levels of decision making in political, economic, and public life), almost all indicators have a lower percentage than the 50% target. In 2019, 28.7% of the women occupy the national parliaments, while 29% are in local government units. The good news is that 53% of women occupy managerial positions in public and private companies (Goal 5, Philippine Statistics Authority, 2021). In terms of target 5.6 (ensure universal access to sexual and reproductive health and reproductive rights as agreed in accordance with the Program of Action of the International Conference on Population and Development and the Beijing Platform of Action and the outcome documents of their review conferences), only 18 years and older have access to sexual and reproductive health care, information, and education. Those below the age of 15 do not have access. The country’s target should include those 15 years old and below (Goal 5, Philippine Statistics Authority, 2021).

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Chart 1 Women’s laws in the Philippines The Magna Carta of Women of 2009 (Republic Act No. 9710), August 14, 2009

National Women’s Day (Republic Act No. 6949), April 10, 1990 The Rooming-In and Breast-Feeding Act of 1992 (Republic Act No. 7600), February 12, 1992 The Expanded Breastfeeding Promotion Act of 2009 (Republic Act No. 10028), March 16, 2010

Anti-Violence Against Women and Their Children Act of 2004 (Republic Act No. 9262), March 8, 2004 Anti-Sexual Harassment Act of 1995 (Republic Act No. 7877), February 14, 1995 The Anti-Rape Law of 1997 (Republic Act No. 8353), September 30, 1997

Solo Parents’ Welfare Act of 2000 (Republic Act No. 8972), November 7, 2000 Expanded Anti-Trafficking in Persons Act of 2012 (Republic Act No. 10364), February 6, 2013

The Responsible Parenthood and Reproductive Health Act of 2012 (Republic Act No. 10354), December 21, 2012 Anti-Mail Order Spouse Act of 2015 (Republic Act No. 10906), July 27, 2015

“An Act Providing for the Magna Carta of Women” a comprehensive women’s human rights law that seeks to eliminate discrimination through the recognition, protection, fulfillment, and promotion of the rights of Filipino women, especially those belonging in the marginalized sectors of the society An act to declare March of every year as a working special holiday to be known as National Women’s Day An act providing incentives to all government and private health institutions with rooming-in and breastfeeding practices and for other purposes “An Act Expanding the Promotion of Breastfeeding, and amending Republic Act No. 7600, an Act Providing Incentives to all Government and Private Health Institutions with Rooming-In and Breastfeeding Practices and for Other Purposes” An act defining violence against women and their children, providing for protective measures for victims, prescribing penalties therefore, and for other purposes An act declaring sexual harassment unlawful in the employment, education or training environment, and for other purposes An act expanding the definition of the crime of rape, reclassifying the same as a crime against persons, amending for the purpose Act No. 3815, as amended, otherwise known as the revised penal code, and for the purposes An act providing for benefits and privileges to solo parents and their children, appropriating funds therefore and for other purposes An Act Expanding Republic Act No. 9208, Entitled “An Act to Institute Policies to Eliminate Trafficking in Persons Especially Women and Children, Establishing the Necessary Institutional Mechanisms for the Protection and Support of Trafficked Persons, Providing Penalties for its Violations and for Other Purposes An act providing for a national policy on responsible parenthood and reproductive health An act providing stronger measures against unlawful practices, businesses, and schemes of matching and offering Filipinos to foreign (continued)

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Chart 1 (continued)

Safe Spaces Act of 2019 (Republic Act No. 11313), April 17, 2019

105-Day Expanded Maternity Leave Law (Republic Act No. 11210), February 20, 2019

Domestic Workers Act or Batas Kasambahay (Republic Act No. 10361), January 18, 2013

nationals for purposes of marriage of common law partnership, repealing for the Purpose Republic Act No. 6955 (Anti-Mail Order Bride Act) An act defining gender-based sexual harassment in streets, public spaces, online, workplaces, and educational or training institutions, providing protective measures and prescribing penalties therefore An act increasing the maternity leave period to 105 days for female workers with an option to extend for an additional 30 days without pay, and granting an additional 15 days for solo mothers and for other purposes An act instituting policies for the protection and welfare of domestic workers

Target 5.a (undertake reforms to give women equal rights to economic resources, as well as access to ownership and control over land and other forms of property, financial services, inheritance and natural resources, in accordance with national laws) shows that a little less than one half of the women were issued agricultural and residential land free patents in 2019 (25,581 of the total 52,512). It is much lower in secured land tenure in residential areas, at 17,326 of the total 2,008,191 in 2019. As regards target 5.c (adopt and strengthen sound policies and enforceable legislation for the promotion of gender equality and the empowerment of all women and girls at all levels), the Philippine government has enforced the policy of utilizing 5% of every government agency budget for GAD. The PCW’s Gender Mainstreaming Monitoring System (GMMS) is developed to check and monitor the government’s progress in implementing the programs, projects, and activities for GAD. Overall, Filipino women have worked hard to ensure that laws and policies to promote the welfare of women are legislated and enforced. However, there is still much to work on for the protection of women and children against gender-based violence.

Institutional Mechanisms and Governance Aside from the enactment of numerous women and gender laws, the Philippine government has established institutional mechanisms and processes to achieve GEWE. There are agencies which are mandated to realize this GEWE. Specifically, the National Economic Development Authority together with the Philippine Statistics Authority and the Philippine Institute for Development Studies are lead agencies in implementing the BPfA and the SDG. The Department of Local and Interior Government is in charge of devolving the BPfA and SDG including the Philippine Development Plan 2017–2022 to local government units. Finally, the National

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Anti-Poverty Commission is the agency responsible for the participation of marginalized women and girls in the country’s development processes.

Gender Mainstreaming Tools The Philippine government, through the PCW, has introduced gender mainstreaming tools to realize the goals of advancing GEWE. Launched in 2019, the Gender Equality and Women’s Empowerment (GEWE) Plan 2019–2025 serves as a reference for government agencies in preparing their Gender and Development (GAD) Agenda, Plans, and Budgets. In order to monitor the outcomes and results of GEWE, the PCW has also instituted the GEWE’s Compendium of Indicators. The document provides a set of indicators in different sectoral and thematic areas of concerns for measuring and evaluating the GEWE initiatives in the Philippines. Another gender tool introduced by PCW is the enhanced Gender Monitoring and Evaluation Framework (GMEF). This tool provides a holistic view of the gender mainstreaming process and guides government agencies in assessing and monitoring their gender mainstreaming performance. It measures gains and successes and pinpoints areas for improvement in the way agencies mainstream the GAD perspective in their organizations. The PCW annually performs desk review and validation of the GMEF assessment ratings of various agencies. These assessment results serve as reference in developing the agencies’ GAD Agenda and annual GAD plans and budget (GPBs). In addition, the Harmonized Gender and Development Guidelines (HGDG) was developed in 2004 to ensure that programs and projects undertaken by the government in their various stages – from project design to monitoring and evaluation – are gender responsive. It provides an instrument to integrate the gender lens in development programs and projects of government agencies, donor organizations, and other stakeholders. Another gender tool is the updated toolkit to measure the level of genderresponsiveness of local government units (LGUs). The Gender-Responsive Local Government Unit (GeRL) Assessment Tool contains a set of relevant indicators to determine the extent of LGUs’ GAD mainstreaming efforts and practices as well as their level of gender responsiveness as organizations and in their delivery of basic services and facilities. In addition, the results of the application of the GeRL Tool enables LGUs to ascertain gender gaps and issues and attendant strategies to attain gender-responsive local governance.

Filipino Women’s Lifelong Learning with the Twenty-First Century Competencies The twenty-first century is characterized by interdependence among national states, decentralization of power among states, and strengthened nationalism. However, this is also the period where societies experience terrorist attacks, climate change, fake news in the social media, growing social inequalities, migration, urbanization, and new types of diseases. This is also the age of the proliferation of cyber physical

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technology such as social media, Artificial Intelligence or AI, 3-D printing, robotics, the internet of things, big data, and digitalization, among others. As regards the economic conditions, social entrepreneurship emerges and companies shift to create shared values. Organizations are flat, open, flexible, transparent, and the culture of team-work, collaboration, partnerships, and co-creation of knowledge become the dominant practice. Further, social institutions consider the UN SDGs in their policies and programs. Despite the challenges faced by Filipino women and other women in the world during this twenty-first century, these women have survived and developed new knowledge and strategies through the skills that they hone in their work and advocacy. Framed by the twenty-first century skills developed by the Organization for Economic Cooperation and Development (OECD), Delor’s Report, United Nations Educational, Scientific and Cultural Organization (UNESCO), and Partnership Twenty-First Century Skills (Mawas & Muntean, 2020), Filipino women have exhibited a number of these skills in achieving gender equality and women empowerment. Filipino women’s skills can be analyzed through these twenty-first century skills. These skills are grouped into four: (1) learning to know (UNESCO – Delor’s Report) and learning and innovation skills (Partnership Twenty-First Century Skills); (2) interacting in socially heterogeneous groups (OECD), learning to do, and learning to live together (UNESCO – Delor’s Report) and life, career and thinking skills (Partnership Twenty-First Century Skills); (3) using tools interactively (OECD), learning to do (UNESCO – Delor’s Report), information, media, and technology skills (Partnership Twenty-First Century Skill); and (4) acting autonomously. Below are examples of Filipino women’s accomplishments that showcase sets of skills for the twenty-first century. Although the achievements are clustered in one set of skills, a thorough analysis of the data shows that the efforts of Filipino women to elevate their status have entailed combinations of sets of skills.

Learning to Know (UNESCO – Delor’s Report) and Learning and Innovation Skills (Partnership Twenty-First Century Skills) The Filipino women’s competencies in organizing and advocacy have been sharpened from their observation and first-hand experience of the situations of women in the Philippines and in other countries. Reflecting on their secondary and subordinate positions in society, manifested by inequalities in voting, owning properties, accessing education and other human rights, they have learned to organize themselves and joined the women’s movements across the years. Those who have been immersed in the women’s movement become very familiar with feminist theories and share their knowledge with other women in the academe, government, and non-government institutions. Knowledge combined with other thinking skills such as analytical, critical, evaluative skills, problem solving, decision making, strategic thinking, and creativity among others are continuously applied to present situations so that Filipino

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women will continuously sustain their recently earned positions in society. The establishment of several laws to protect and promote women’s rights, the development of strategies and tools for gender mainstreaming in government and non-government institutions, the formulation of projects and programs to emancipate women from poverty and achievement of women indicated by the metrics of development in SDG 5, SDG 3, and BPfA+25 are evidence that Filipino women are able to hone their knowledge and skills for the twenty-first century.

Interacting in Socially Heterogeneous Groups (OECD), Learning to Do, and Learning to Live Together (UNESCO – Delor’s Report) and Life, Career and Thinking Skills (Partnership 21(P21) TwentyFirst Century Skills) The growing sisterhood in the women’s movement, including the collaboration of men and women in working for gender mainstreaming of GAD perspectives in government and non-government institutions, demonstrates the competencies in learning to do and learning to live together. The culture of sharing, cooperation, collaboration, and nurturance is prominent in the women’s organizations or even in the women’s assembly and conferences. For instance, the National GAD Resource Pool (NGRP) of the PCW has a growing number of trained members who equip other women and men to become practitioners and advocates of gender equality and women empowerment in their own organizations or other organizations (https://pcw. gov.ph/national-gad-resource-pool-directory/). Life skills, career skills, and thinking skills are manifested in the Filipino women’s achievement based on the indicators of BPfA and SDG 5 and 4. Based on the report of the Philippine government and NGO on BPfA +25 and SDG5, there are a number of success stories among Filipino women in the areas of agriculture, business and industry, education and training, and human rights. The government has also established institutional mechanisms to monitor advances in gender mainstreaming.

Using Tools Interactively (OECD), Learning to Do (UNESCO – Delor’s Report), Information, Media, and Technology Skills (Partnership 21 (P21) Twenty-First Century Skills) With the help of the knowledge and skills in Information and Communication Technology (ICT), Filipino women are able to champion the improvement of women’s status in society through the women’s movement and other women’s organizations. The ability of women to advocate the elimination of discrimination against women, gender-based violence, subordination and marginalization of women, and other gender issues become possible because of the use of different social media platforms and the digital infrastructure. Studies, prose and poetry, and other forms of the arts, publications, and other advocacy materials are disseminated

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through conferences, webinars, workshops and fora, among others. Additionally, women’s economic participation and access to education show that they possess the skills to use ICT.

Acting Autonomously (OECD), Learning to Be (UNESCO – Delors Report), and Life and Career Skills (Partnership Twenty-First Century Skills) Filipino women act independently as shown in their achievements. First, they are able to organize themselves in their advocacies against various forms of female oppression in the country. Second, the gains in BPfA and SDG 5 and 4 demonstrate their abilities to empower themselves. Lastly, crafting of different legislations, GAD tools and various institutional mechanisms for gender mainstreaming have shown that they have acquired life skills which can be used and transmitted to the next generation of women through the socialization process that may happen in the family, schools, government, media, and other institutions. The PCW has featured successful projects and programs that have mainstreamed GAD which are worth emulating. The dominant skills which are demonstrated in these projects are the fourth group of skills – acting autonomously, learning to be, and life and career skills. However, other twenty-first century skills are also manifested in these projects. Some of these projects include: (a) GAD Local Learning Hub in Aklan Province and Davao City; (b) The GREAT Women Project of the Department of Science and Technology; (c) Gender Mainstreaming Programs and Project of the Province of Iloilo; (d) Institutionalizing Gender in TechnicalVocational Education and Training (TVET) in the Technical Education and Skills Development Authority; (e) Creating the Local Enabling Environment for Microentrepreneurs in the Province of Quezon; (f) Women Economic Empowerment in Infanta-Quezon, Buenavista-Bohol, Pavia-Iloilo, Barugo-Leyte; and (g) Managing Multi-Stakeholder Partnership for GAD (https://pcw.gov.ph/best-practices-on-gad/). In addition, women entrepreneurs in the Philippines are found to be successful in various areas of businesses. These women are either educated or with low levels of education (Edralin et al., 2015).

Future Challenges While significant strides have been made to elevate the status of women in Philippine society, it leaves much to be desired in terms of equipping the marginalized and poorer Filipino women with competencies in order to empower themselves. The BPfA+25 Report (2019) of the Philippine government has identified top priorities and challenges for hastening progress in BPfA implementation in 2020–2025. In order to achieve success in the different sectors, the following issues, as outlined below, have been raised in the said Report.

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A crucial issue is the equal opportunity to access quality tertiary education in order to address the concern of job placement and mismatch. While Filipino women have a higher completion rate in education, gender tracking still persists. It is undeniable that an increasing number of women are taking up law and medicine but not many are in Science, Technology, Engineering, and Math (STEM)-related courses. The latter is still dominated by males. This trend is attributed to cultural practices and gender stereotyping which impact the life choices and life chances of men and women. Another challenge is women’s access to affordable quality healthcare. There is no doubt that the passage of landmark laws such as Republic Act No. 10354 or The Responsible Parenthood and Reproductive Health Act of 2012 has somewhat helped women realize their reproductive health aspirations. Nevertheless, there is a need to continuously ensure funding for the maintenance and upgrading of basic health services facilities and services for women, girls, and other users. The right to work and rights at work are also issues for women. The absence of a harmonized definition of the informal economy affects the crafting of relevant policies, programs, and services that address women’s issues such as access to decent work, better compensation, and social protection. Elimination of all forms of violence against women and children (VAWC) have also been identified as another priority area of concern. In spite of the passage of numerous laws on gender-based violence (GBV)/ VAWC such as Republic Act No.9262 (Anti Anti-Violence Against Women and Their Children Act of 2004), Republic Act No. 7877 (Anti-Sexual Harassment Act of 1995), and Republic Act No. 11313 (Safe Spaces Act of 2019), among others, there are reported spikes in GBV/VAWC cases. Another challenge for women is the need to deepen understanding of the nature of gender-based violence in emergencies (GBViE), particularly those involved in armed conflict situations. A pressing issue is to identify and adopt gender-responsive approaches and strategies given the armed conflicts that Filipino women have regularly experienced. Strengthening women’s active participation to ensure environmental sustainability as well as to implement gender-responsive approaches on climate change adaptation and mitigation is also an identified challenge. Women are known to suffer the most due to the adverse impact of climate change. There is thus a need to identify measures to enhance women’s and girls’ resilience and adaptive capacities to be drivers of climate action and transformation. In a nutshell, despite the achievements of women in society, they need to exert more efforts to completely attain gender equality and women empowerment. Their empowerment may be realized if they may be further equipped with twenty-first century competencies and the future competencies which are laid down by the OECD Learning Compass 2030. The compass 2030 features transformative competencies, creating new values, taking responsibility, and reconciling tensions and dilemmas (OECD Future of Education and Skills 2030 – OECD Future of Education and Skills 2030). The education and training of women should purposely provide for learning opportunities that will hone the competencies of women to enable them to

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achieve the goals for quality of life and human development. The SDGs are important indicators of achieving such a life. The OECD’s goal of well-being can be achieved through these specific goals: jobs, housing, work life balance, safety, life satisfaction, health, civic engagement, environment, education, and community (OECD Future of Education and Skills 2030 – OECD Future of Education and Skills 2030).

Conclusions The foregoing shows that Filipino women’s acquisition of lifelong learning skills with twenty-first century competencies are instrumental in their noted gains in implementing the BPFA as well as in advancing their status in Philippine society. With laudable initiatives and support from various international and local organizations, Filipino women have made significant contributions in crafting and implementing policies, activities and programs to achieve gender equality and women empowerment. For several years, the Philippines has been ranked by the World Economic Forum’s Global Gender Gap Report as the top performing Asian country in terms of gender equality. The Philippines has thus become a relatively good place for women to be. Be that as it may, the Philippines’ standing in the community of nations as one of the gender-equal countries in the world poses certain challenges. In order to hasten and/or sustain achievement of gender equality and women’s empowerment, there is a need to continuously highlight the importance of possessing lifelong learning competencies. The crucial role of educational institutions in integrating the acquisition of lifelong learning skills for women cannot be underestimated. As one of the prime socialization agents, it is of utmost importance to emphasize and mainstream these lifelong learning skills vis-a-vis gender equality and women’s empowerment in the schools’ core functions of teaching, research, and extension. Sharing of genderresponsive experiences and practices of educational institutions may be conducted in appropriate venues. In addition, schools and other concerned institutions may identify or develop priority indicators for each of the 12 critical areas as stipulated in the BPFA. These indicators will have to be operationalized through women’s knowledge, skills, and strategies based on the twenty-first century lifelong learning competencies. Moreover, to sustain and accelerate gender equality through lifelong learning skills, it is imperative to intensify efforts to dismantle and eliminate oppressive patriarchal ideologies and practices which still lurk in contemporary Philippine society. As these harmful social norms are perpetrated even by those in power, there is a need to step up the conduct of gender sensitivity training in all sectors of society. It is also instructive to conduct further research on the identified gaps in the BPFA implementation vis-a-vis education and lifelong learning for women and girls.

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References Binkley, M., et al. (2012). Defining twenty-first century skills. In P. Griffin, B. McGaw, & E. Care (Eds.), Assessment and teaching of 21st century skills. Springer. https://doi.org/10.1007/978-94007-2324-5_2 BPfa+25 Philippine Progress Report 2014–2019. (2019). Philippine Commission on Women, Department of Foreign Affairs, and UN Women. David, C., Albert, J. R., & Vizmanos, J. V. (2018). Sustainable development goal 5: How does The Philippines fare on gender equality?. DISCUSSION PAPER SERIES NO. 2017-45 (revised). Institute for Development Studies. Delors, J., et al. (1996). Learning: The treasure within. UNESCO. Edralin, D., Caning, M. C. M., & Cheng, K. A. S. (2015). Women entrepreneurship studies in The Philippines: An inventory. Women Business Council, Philippines and De La Salle University: DLSU Publishing House. European Union’s Horizon. (2020). Research and innovation programme, Grant Agreement no. 688503. Goal 5: Achieve gender Equality and empower women and girls. (2021). Philippines: Philippine Statistics Office. Hega, M. D., Alphorha, V., & Evangelista. Meggan S. (2017). Feminism and the women’s movement in The Philippines: Struggles, advances, and challenge (pp. 8–11). Friedrich Ebert Stiftung. Honculada, J., & Pineda-Ofreneo, R. (2018). The national commission on the role of Filipino women, the women’s movement and gender mainstreaming in The Philippines. 978152613749. manchesterhive.com at 04/17/2021, pp. 131–145. Humm, M. (Ed.). (2013). Feminism: A reader. Routledge: Taylor and Francis Group. Hur, S. W. (2012). Dynamics of women’s movements and feminist counter-hegemony against neoliberal-patriarchal democracy in The Philippines. In H. Cho, A. Aeria, & S. Hur (Eds.), From unity to multiplicities (pp. 215–238). Strategic Information and Research Development Centre. Mawas, N. L., & Muntean, C. (2020). Supporting lifelong learning through development of 21st century skills. This research is supported by the NEWTON project (http://www.newtonproject. eu/) funded under the. OECD Future of Education and Skills 2030, OECD Learning Compass 2030: A Series of Concept Notes. (2019). OECD, p. 12. OECD Learning Compass 2030. OECD Future of Education and Skills 2030 – OECD Future of Education and Skills 2030. Partnership for 21st Century Learning. (2019). Frameworks for 21st Century Learning. A Network of Batelle for Kids. https://www.battelleforkids.org/networks/p21/frameworks-resources Philippine NGO Beijing + 25 Report. (2020). Diliman, Quezon City: UCWGS, University of the Philippines. Rethinking Education: Towards a global common good? (2015) by the United Nations Educational, Scientific and Cultural Organization, 7, Place de Fontenoy, pp. 38–39. Rallonza, M. L. V. (2020). Gender gap in the Philippines: Unraveling women’s power. Business World Online. https://www.bworldonline.com/editors-picks/2020/02/10/277908/gender-gap-inthe-philippines-unraveling-womens-power Success Stories on GAD. (2011 & 2015). https://pcw.gov.ph/best-practices-on-gad/

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lifelong Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lifelong Learning Provisions in Brunei . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Technical and Vocational Education and Training (TVET) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Establishment of Lifelong Learning Centre (L3C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . An Overview of Brunei’s Lifelong Learning Through the Lens of Delor’s Four Pillars . . . . . . How Are Future Skills Agenda Incorporated in the Lifelong Learning Provisions in Brunei? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A Commentary: Promoting Lifelong Learning in Brunei for the Digital Era . . . . . . . . . . . . . . . . . Shifting the TVET Paradigm with New Models for Lifelong Learning in the Digital Era . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion: Advancing a Way of Understanding Lifelong Learning by Generating Different and Better Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

The arrival of digitalization has shifted the landscape of work and also the skills profile within many occupations in the world. These issues have become deepseated within the discourse around the research and policy agendas of many countries, including Brunei. One of these recurrent agendas concerns the preparation of the current and future workforce through education, particularly technical and vocational education and training (TVET). In concurrence with this focus on initial education, it is imperative that the existing workforce continues to upskill and reskill to remain competent at work through lifelong learning (LLL). In 2013, grand initiatives, such as the transformation of one of Brunei’s TVET public providers to an autonomous post-secondary institution and the A. Y. S. Goh (*) Sultan Hassanal Bolkiah Institute of Education, Universiti Brunei Darussalam, Bandar Seri Begawan, Negara Brunei Darussalam e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_39

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establishment of a LLL center in 2020, aim to promote widening participation in LLL opportunities. The former is an institutional reform to create an education and training system which is relevant and responsive to industry demands and needs of the community at large. The latter is a part of the human resource development that seeks to provide equitable access to the nation’s communities in advancing and strengthening their skills through LLL programs. In view of this, the chapter draws on the recent report on human resource development readiness in ASEAN and deploys the Delors Four Pillars of LLL as points of reference for discussion, while examining the current provision delivered by these two major initiatives. It concludes with suggested future policy directions in embracing a LLL culture which is of paramount importance for the digital era. Keywords

Lifelong learning · Adult learning · Delors framework · Learning culture · Digital literacy skills

Introduction The era of digitalization is young in years but advanced in impact. Digitalization has the potential to profoundly reshape the world of work and individuals are already experiencing the effects of digitalization in their everyday lives. These effects have been hugely exacerbated and accelerated by the unprecedented COVID-19 pandemic. It is predicted that approximately 65% of today’s children will find themselves working in jobs that do not exist now (World Economic Forum, 2016). With such an evolving employment landscape, it would seem challenging to prepare workers for jobs that do not yet exist. These changes are not only non-linear and unpredictable, but also imminent (Phelps et al., 2005). One of the apparent signs of the changing employment landscape is that many current in-demand occupations did not exist several years ago (see WEF, 2020). The recent discourse about the future of work ranges from a wave of pessimism to more optimistic counterclaims. The wave of pessimism foresees that advances in digitalization could lead to revolutionary changes such as a significant disruption to the labor market, whereby many sectors will face chronic unemployment due to the replacement of routine human jobs (Frey & Osborne, 2013) involving repetitive and regimented tasks. Such predictions have invigorated a sense of urgency amongst policymakers across the advanced economies. On the other hand, there are more optimistic counterclaims that these changes could act as the prime catalyst for a wide range of unparalleled business opportunities such as the use of technology to augment human activity, job creation, and heightened labor productivity leading to sustainable economic growth (Chui et al., 2016; Frey & Osborne, 2017). Moving beyond this “black and white” discourse, a growing body of evidence concludes that digitalization is “polarizing” the workforce into high-skilled and low-skilled jobs, or in other words, the “hollowing-out” or “job polarization” of

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intermediate-level skilled jobs is taking place and their numbers will be reduced drastically (Goos et al., 2014). This means that workers with intermediate skills are at higher risk of losing their jobs because of the routinized tasks they often perform which can be replaced by robots. These changes raise new challenges for (i) the preparation of the future workforce through education and training, and (ii) repetitive maintaining the employability of the existing workforce through continuing education and workplace learning to remain relevant to the needs of the labor market. The potential impacts of advanced digitalization on jobs, education, training, and skills have accelerated the urgency to reimagine, revise, and revitalize the notion of lifelong learning (see Keep, 2021). This urgency is made apparent as these issues are now entrenched within the current discourse around the research and policy agendas of many countries’ educational systems, including Brunei. This does not come as a surprise as Keer et al. (1960) argue that the close interrelationship between technologically driven labor market change and responses by the education system has long been observed. This suggests that the nature of response from education is crucially important when there is a technological change which brings about demand for new skills requirements within the workforce, i.e., for new skills for the future and current workforce to reap the potential benefits of innovation. This is because the implications of skill shortages can materially impact on the pace, scale, and productive deployment of technology (Keep, 2021). The current discourse triggered by digitalization is part of an ongoing debate that centers on several core issues in education, including the importance of creating an integrated and effective lifelong learning system to build a competitive workforce (Aspen, 2019). The discussions which are reflected in this paper center on Brunei’s position in lifelong learning provision through vocational and technical education and the recently established lifelong learning center (L3C). To guide the discussion, the Delors framework is employed to think about the necessary changes to current provision in order to accommodate new needs and circumstances. This chapter has been written within certain limitations as the overarching lifelong learning policy is currently being drafted. The newly established L3C, under the purview of Ministry of Education, Brunei, is given the mandate to draft the policy. In addition, there are no available data on the adult literacy and skills (e.g., PIACC) as Brunei has not participated in the recent survey. Hence, the chapter drew on available sources such as (i) recent report on Human Resource Development which looks at how each of the ASEAN nations incorporate “future skills” in their TVET curriculum and (ii) documents relating to digital literacy skills as part of the lifelong learning agenda, to enrich the discussion. In terms of the structure of this chapter, what follows starts with an introduction of the concept of lifelong learning in Brunei. To establish the scope of the discussion in this report, the chapter then focuses on the provision of vocational education and training and the newly established lifelong learning center. It then sets out to examine these provisions by using the Delors framework which enables reflection about how adult and lifelong learning will be required to change to accommodate new needs and circumstances. The final part of the chapter provides a commentary on suggested future policy directions in embracing a lifelong learning culture for the digital era.

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Lifelong Learning The birth of the lifelong learning concept globally can be traced back to the early twentieth century when adult education came to be deemed a permanent necessity that was integral with the concept of citizenship and which should be both universal and lifelong (MOR, 1919). From then onwards, different terms or concepts such as “continuing education” and “adult education” have been used interchangeably. It was only in the 1990s after the publication of the Delors report that the term “lifelong learning” emerged as a central term in policy debates (Delors, 1996). The report is well known for its four “pillars” (learning to be, learning to do, learning to live together, and learning to know). The Delors report marks a pivotal moment in elucidating the notion that front-loaded learning of skills through initial education and training is no longer sufficient. There are fundamental issues with this notion that initial learning is sufficient due to its weak alignment with the reality of the rapidly changing nature of work. In her papers, Goh (2015, 2022) argues that learning before entry to the labor market and learning on the job are both parts of an individual’s lifelong learning journey. This signals the important role of education and training systems to provide equal opportunities for individuals to continuously develop themselves over the life course. Lifelong learning is a contested concept and it does not come as a surprise that there is no single universal definition of lifelong learning. Lovern and Popovic (2018) argue that the term has been interpreted differently and been adapted according to the context and purpose in which it is being deployed. This is evident in the different definitions that guide the lifelong learning agendas in various international and national contexts. As a result, it would be a serious mistake to presume that lifelong learning usually meant (or means) the same thing from place to place or from time to time, or even in the same place and the same time (Goh, 2015). Lifelong learning can constitute a wide range of learning outcomes and learning processes that occur within different contexts as succinctly described in the Education 2030 Framework for Action, which defines lifelong learning as: [R]ooted in the integration of learning and living, covering learning activities for people of all ages (children, young people, adults and the elderly, girls and boys, women and men) in all life-wide contexts (family, school, community, workplace and so on) and through a variety of modalities (formal, non-formal and informal) which together meet a wide range of learning needs and demands. Education systems which promote lifelong learning adopt a holistic and sector-wide approach involving all sub-sectors and levels to ensure the provision of learning opportunities for all individuals (UNESCO, 2016, p.30) [italics mine]

In the recent OECD Skills Outlook 2021 report, lifelong learning is defined as “start(ing) in childhood and youth continuing throughout adulthood and old age. It encompasses formal learning in settings such as schools and training centres, informal and non-formal learning derived from colleagues and workplace trainers, and unintentional learning stemming from spontaneous social interactions” (OECD, 2021, p.18).

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Other international organizations like UNESCO (1984) and ILO (2006) define lifelong learning in terms of its purpose which is to improve knowledge, skills, and competences, within personal, civic, social, and employment-related perspectives. Given these broad perspectives, lifelong learning can either focus on individualized learning to accommodate personal needs or it could focus on citizenship and the individual’s obligation to support the economic objectives of the country. Sung and Freebody (2017) succinctly argue that the justification for lifelong learning gravitates toward either the humanistic objective or economic objective, where each has different implications for policy and measurement of achievements.

Lifelong Learning Provisions in Brunei Lifelong learning has emerged as an important policy agenda in many countries, including Brunei. In Brunei, lifelong learning is defined as “All learning activity undertaken throughout life which results in improving knowledge, know-how, skills, competences and/or qualifications for personal, social and/or professional reasons.” (MOE, 2019)

The first explicit provision for an adult and continuing education program in Brunei dates to 1958 (MOE, 2008), when the Language and Literacy Bureau commenced classes with the objective of improving literacy rates amongst the adult population. It was in the 1960s that the adult education classes began to operate under the Department of Education. It was only in the 1990s when the concept of “lifelong learning” began to gain attention that this led to an increased emphasis on the role of adult education as part of the lifelong learning agenda for the public. The adult education courses were transferred to be managed by the Department of Technical Education (which is now the Institute of Brunei and Technical Education). The current policy direction driving the lifelong learning agendas in Brunei is predominantly shaped by four key documents: Brunei Darussalam Long-term Development Plan which includes Brunei Vision 2035 or known as Wawasan Brunei 2035 (National Vision Taskforce, n.d.), 11th National Development Plan (2018–2023) (Department of Economic Planning and Statistics, 2020), National Brunei Education System for the 21st Century (MOE, 2013), and Ministry of Education Strategic Plan (2018–2022) (MOE, 2019). In the National Vision 2035, one of the three goals is to ensure that the people of Brunei are educated, highly skilled, and accomplished. Within this goal, there are three national outcomes: first-class education, equal educational opportunities, and human resource development. The national outcome on human resource development focuses on two key areas namely: high-quality post-secondary education and opportunities and access to lifelong learning. In response to Brunei’s 2035 Vision, a major reform to the national education system was implemented in 2009, now known as the National Education System for the 21st Century or Sistem Pendidikan Negara Abad ke-21 (SPN 21).

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The vision of the Ministry of Education (MOE) of Brunei is “Quality Education, Dynamic Nation” which guides its mission to achieve the fullest potential by providing quality education to all. This holistic vision aims to realize the nation’s aspirations and provide equitable access to education. This vision also aims to equip the country’s future generation with values inherent in the Malay Islamic Monarchy or Melayu Islam Beraja (MIB) philosophy, together with twenty-first century skills. It was imperative for Brunei to introduce this new national education system to develop individuals who are competitive and whose skills and abilities can remain relevant in a globalized world. There were three key changes made to the national education system, which focused on education structure, curriculum, and assessment, and the repositioning of the place the place of technical and vocational education within the education system. To achieve this vision and mission, Brunei’s Ministry of Education launched its strategic Plan 2018–2022 to support Brunei Vision 2035 or Brunei Wawasan 2035, which aims to create a nation that is widely recognized for its world-class education system, a highly educated and skilled workforce, a high quality of life and as a nation possessing a dynamic and sustainable economy by 2035. There are three broad strategic objectives, of which one focuses on providing equal and equitable access to quality education. This strategic objective aims to improve system-wide inclusion by ensuring access to quality learning and educational attainment opportunities for all learners, however diverse their needs; and to develop them to their full potential. To achieve this strategic objective, two of the five strategic initiatives, namely (i) improve quality and access to post-secondary education and (ii) improve opportunities to lifelong learning, are directly related to our discussion in the following sections. These two strategic initiatives are pivotal in promoting the lifelong learning culture in Brunei. The first of these initiatives is the transformation of one of the key TVET public providers to a statutory board, autonomous post-secondary institution. The second initiative is the establishment of the lifelong learning center.

Technical and Vocational Education and Training (TVET) The repositioning of TVET within the national education system widens opportunities by providing alternative pathways for student access and participation in postsecondary education, and which aims to prepare marketable graduates to gain employment in the labor market. Hence, TVET is recognized as one of the potential remedies to reduce youth unemployment in the country. Given its instrumental role in Brunei’s workforce development and its potential for reducing unemployment, the integration of TVET could be seen as paramount to the national education system for realizing Brunei Vision 2035. In line with SPN 21, TVET is offered at various levels: secondary level, post-secondary level, and higher education level. There are multiple TVET pathways for students who have completed their secondary education as shown in Fig. 1. Based on the existing Government policies on the provision of scholarships for Bruneian citizens, TVET scholarship students

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Fig. 1 Progression opportunities for post-secondary students. (Adapted from MOE, 2020)

are not required to pay tuition fees. This provision provides opportunities for skills development, starting from the secondary level, and extending to tertiary education, including university, and to provide lifelong learning opportunities for young people and adults. In essence, this is in line with the Sustainable Development Goals 4.3, which is “to ensure equal access for all women and men to affordable technical, vocational and tertiary education, including university.” Increasingly, many countries recognize that high-quality vocational education and training can contribute to economic development and international competitiveness (OECD, 2015). This contribution becomes crucial when the world is experiencing accelerated adoption of emerging technologies and new forms of work practices. This adoption will profoundly transform workplaces, the labor market dynamics, and employment relations. These transformations are already driving demand for skilled labor and an upgrading of skills and expertise across the economies needed for the future of work. All these transitions put TVET at the center of the stage. TVET is recurrently cited in many countries’ human resource development policy discussions as an enabler of such transitions. On a practical level, TVET provides an alternative pathway that attracts a diverse range of students who seek technical skills to enter the labor market or who prefer to progress to higher education. TVET also

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provides opportunities for adults who wish to re-enter the labor market or develop their skills further to increase their employability. For the past 3 years, in Brunei, up to 15% of the current employed national workforce was made up of technical and vocational graduates (Department of Statistic, Economic Planning and Development, 2017, 2018, 2019). This signifies that TVET plays an instrumental role in Brunei’s workforce development. This is reflected in Brunei’s human resource development policy discourses, as the country recognizes the importance of having high-quality TVET for socio-economic development and to compete in an increasingly integrated global market (see MOE, 2013). The development of TVET in Brunei is relatively recent compared to other countries in Southeast Asia. Considering its young age, the field has expanded quickly since its first explicit expression in the 1959 Baki-Chang report of the government’s intention for formal TVET to be integrated into the school curriculum. This notion was triggered by the economic situation at that time when there was a limited supply of local skilled manpower in both the public and private industrial sectors (Ahmad, 1989). Since then, several key milestones have marked significant progress in TVET development, which have come in tandem with the economic development of the country. Within the span of 20 years, numerous public and private TVET institutions were established to meet the demand for workforce development. In 2014, the transformation of one of the main TVET public providers led to the establishment of the Institute of Brunei Technical Education (IBTE). In addressing the country’s socio-economic demands within a globalized competitive society, this transformation is of paramount importance and was deemed necessary to produce a skilled and knowledgeable workforce for a competitive knowledgebased economy (IBTE, 2013). The system also acknowledges the importance of being responsive and relevant to changes in the labor market. Hence, there is a need to strengthen co-operation between technical education providers and stakeholders. This move is to ensure that students are trained and developed with the relevant industrial skills bases.

Current TVET Provisions In SPN21, the move to reposition TVET within the national education system provides crucial alternative pathways to develop competencies required for employment in the labor market through widening participation and access to postsecondary education. In 2012, another major review of the TVET system was carried out to evaluate its relevancy and responsiveness to the demands of the industry. Based on the outcome of this review, a transformation plan of the TVET system was implemented (IBTE, 2013). Subsequently, widening access and participation in TVET training was made available for post-secondary school students who have an inclination for technical subjects. Within this transformation, the TVET system initiated and implemented several key initiatives such as expanding apprenticeship options, restructuring courses with an increased focus on practical knowledge and skills that are in line with a competency-based curriculum, and widening progression opportunities for students through multiple pathways.

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TVET can be categorized as Initial TVET which includes programs mainly designed for and used by young people at the beginning of their careers, commonly before entering the labor market. It includes many upper secondary and tertiary programs. Continuing TVET can include enterprise training of employees and training explicitly provided for those who have lost their jobs. Based on these categorizations, there is an acknowledgment that TVET can occur at different qualification levels and across different occupational structures, and within different training programs. These programs can be formal, non-formal, or informal where formal is a structured training program which leads to a recognized qualification and is accredited; a non-formal program is a structured training program which does not lead to a recognized qualification and not accredited; and informal which describes learning resulting from daily life activities related to work, family or leisure (UNESCO-UNEVOC, 2011). In Brunei, many of the TVET programs fall within initial TVET.

Initial TVET Programs One of the central roles of TVET in Brunei is to provide training for new entrants to the labor market, particularly young people. As shown in the previous section, TVET provides an alternative progression pathway for post-secondary school leavers who are not interested in pursuing higher education level education, to the labor market. There are several TVET providers in Brunei, which can either be public or private institutions under the purview of the Ministry of Education. These TVET institutions offer various formal training programs relevant to the needs of the industries and occupations listed on the Brunei Darussalam standard industrial classification (BDSIC) 2011. TVET programs are offered at different educational levels: secondary education, post-secondary level, and higher education level. These are categorized into different competency levels corresponding to the different Brunei Darussalam Qualification Framework (BDQF) levels. In the secondary education level, students are channeled to Business and Technology Education Council (BTEC) vocational programs after undergoing a student progress assessment (SPA) at the end of year 8 of their secondary education. These vocational programs, which primarily focus on practical skills, are catered to students who are vocationally oriented. Secondary schools offer a few training levels such as BTEC level 1, 2, and 3, and recently, a new BTEC +5 was introduced. Programs offered at the post-secondary level of training focus on skills development using a competency-based training framework such as (i) Industrial Skills Qualification (ISQ), a program offered in collaboration with Registered Training organizations from the industries to prepare workers at artisan level, (ii) National Technical Education Certificate or NTec to prepare workers at the skilled level, and (iii) Higher National Technical Education Certificate or HNTec to prepare workers at the technician level. There is also an upward trend to offer work-based learning programs such as the Dual-System Apprenticeship program which is increasingly recognized as an effective strategy to promote quality and relevance of TVET. Given the importance of exposing students to professional work settings, several Dual-System Apprenticeship programs are being offered. IBTE is the main provider for TVET

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programs at the post-secondary level. iSkill, a new qualification program, was launched in August 2020. It was developed between the relevant industry players and the support of the Manpower Industry Steering Committee (MISC) working group with IBTE (Borneo Bulletin, 2020). MISC is one of the major ongoing initiatives under the Manpower Planning and Employment Council (MPEC) which is a multi-ministerial agency that addresses the workforce development in Brunei launched in 2019. From its inception, there has been a significant progress in the provisions of lifelong learning programs which provide opportunities for upscaling and reskilling to be relevant for the labor market. TVET Diploma programs are also offered at higher education level, which provide post-secondary students with progression opportunities. Politeknik Brunei (PB) is the main provider for TVET diploma programs. It is in the transformation plan that there should also be more progression opportunities for those who aspire toward tertiary education. An overview of the number of admissions to TVET programs by the BDSIC 2011 sectors can be seen in Fig. 2. There are TVET institutions under the jurisdiction of other ministries like Prime Minister’s office and Ministry of Youth, Culture and Sports. These institutions offer value-added programs which are program catering mainly to youths who are unemployed. These programs aim to develop their vocational skills which could help them

Informaon and Communicaon

29.5%

Financial and Insurance Acvies

19.1%

Accomodaon and Food Services Acvies

10.6%

Mining and Quarrying

7.6%

Professional, Scienfic and Technical Acvies

7.4%

Construcon

5.7%

Arts, Entertainment and Recreaon

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Human Health and Social Work Acvies

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Wholesale and Retail Trade; Repair of Motor Vehicle and…

2.8%

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Administrave and Support Services Acvies

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Other services acvies

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Manufacturing

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Unclassified

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Transportaon and Storage

0 2016

2017

1000

2000 3000 4000 5000 Number of admission (students)

6000

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Fig. 2 Admission to TVET by BDSIC 2011 sectors for the years 2016, 2017, and 2018. (MOE, 2020, p.24)

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find employment. In Brunei, the Brunei Darussalam National Accreditation Council (BDNAC) is responsible for the quality assurance and standards of programs.

Continuing Education and Training (CET) IBTE CET offers lifelong learning opportunities in the form of short courses, programs, and workshops to the community, which allow adult learners to acquire further knowledge and skills in relevant fields. According to the MOE report (MOE, 2020), the programs offered include the following: 1. Academic upgrading programs to help participants to acquire relevant knowledge and skills to meet the admission requirements for post-secondary programs. Examples of the courses offered are as follows: GCE “O” Level Examination preparation course and GCE “A” Level Academic Upgrading program. 2. Community development programs to help participants to learn new skills to enrich their interest in various fields such as sewing courses and cooking courses. 3. Skills training or workforce development programs to support participants to acquire the relevant knowledge and skills for upskilling or employment purposes. Courses offered cover a range of vocational skills. 4. Professional/International/Industrial certification programs to provide customized training to address tackle employees’ skills gap as required by the industry.

Establishment of Lifelong Learning Centre (L3C) L3C under the jurisdiction of Ministry of Education was officially established in 2019. The center was established to foster a national education system which emphasizes lifelong learning and to provide support in realizing Brunei’s Wawasan 2035. The objectives of this center are to develop policy frameworks and guidelines to promote access to lifelong learning, review the provision of LLL programs, and to promote enrolment in LLL programs. Broadly, its main function is to work with different stakeholders from both the public and private sectors to offer programs that cater to the needs of adult learners and the community. These programs offered fall within four areas: • Workforce development – programs that are designed to reskill, upskill, and help learners to enter the job market which are supported by Manpower Planning and Employment Council (MPEC). For example, programs that help develop workers’ management skills, data science and research skills, information and communication technology skills, etc. • Academic upgrading programs that widen the access to multiple pathways to post-secondary education. For example, courses to prepare individuals for Cambridge “O” and “A” level exams. • Personal development programs offered for individual growth and progression. • Community development programs offered to cater to the needs of community.

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Recognizing the importance and the urgency of having a robust workforce, L3C works closely with MPEC and JobCentre Brunei (JCB) to offer workforce development programs. These workforce development programs provide opportunities for Bruneians to attain skills mastery and to remain relevant in their field of work and industry. In addition, these programs are funded by MPEC through a new initiative, SkillsPlus under the Learn and Grow Programme supported by the L3C. This funding assistance is also provided to employers in the country that meet the eligibility criteria set by MPEC to strengthen their local workforce through these programs.

An Overview of Brunei’s Lifelong Learning Through the Lens of Delor’s Four Pillars In conceptualizing the evaluation and monitoring framework for lifelong learning, the indicators were designed around the four pillars of learning proposed in the Delors report (Institute for Adult Learning, 2019) to reflect the areas of learning across different aspects of life. The Delors lifelong learning framework provides a robust opportunity to review and possibly rethink Brunei’s position in the lifelong learning agenda for the digital era. The framework offers a holistic approach to learning that includes learning beyond the classroom that involves the development of knowledge, skills, attitudes, and values throughout one’s life. As shown in Fig. 3 below, Delors framework consists of 4 dimensions: Learning to know dimension refers largely to formal learning that is most often linked to the development of knowledge and skills. It is also about developing the capability of learning to learn, which is much needed in the light of today’s changing work practices. That is, “learning to know” presupposes “learning to learn.” Hence, Delors recognized that learning to know can be regarded as “both a means and an end in life” (Delors, 1996, p.86). Brunei has an education structure for supporting the “learning to know” dimension evidenced by its position at the Organisation for Economic Co-operation and Development (OECD) for International Student Assessment (PISA) for the year 2018. It was ranked third in all domains of the assessment amongst the participating ASEAN member states. Fig. 3 The Delors “Four Pillars”

Learning to know

Learning to do

Lifelong learning

Learning to live with

Learning to be

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Learning to do refers to the acquisition of skills that would enable individuals to effectively participate in the global economy, which are often linked to occupational performance. Like many other countries, the learning to know and learning to do are integrated and cannot be pigeon-holed as both are needed to support skills acquisition and productivity to maintain or improve the economic performance of a country. Due to changes in the work environment, “learning to do” needs to extend beyond narrowly defined skills development for performing specific tasks needed in an occupation. In other words, within the digital era, “learning to do” is about equipping people with the capability and willingness to innovate and to adapt to changes in the future of work environments (Delors, 1996). More broadly, the “learning to do” needs to shift from acquisition of skills to a wider competence of dealing with a diverse range of situations (Nan-Zhao, n.d.). According to the latest report (Whiting, n.d.), the types of work skills needed in the future include problem-solving, selfmanagement, working with people, technology use and development, and the latest in data literacy. Refocusing and revitalizing the strategic plan of Brunei’s TVET sector and the workforce development programs offered through L3C have helped to strengthen the “learning to do” dimension. For example, the increase in the number of apprenticeship programs signals the recognition of the workplace as a learning site where students are not only exposed to the daily work practices but is also a place where they learn new skills and re-learn skills to apply in the work context. That is, the ability to self-learn in a team approach has equal or more importance than having a broad range of technical and vocational know-how learned in this era of a rapidly changing landscape of employment and the requirement for lifelong learning. Learning to live together involves the development of social skills and values. These social skills include respect and concern for others, social and inter-personal skills, and an appreciation of societal diversity. In other words, this learning to live together dimension focuses on community development to strengthen individual competence in issues such as equality and social inclusion. A simple review of the provisions offered by TVET and L3C indicates the majority of the programs are focused on preparing individuals for entry to the labor market and on upskilling and reskilling individuals in the workplace. However, the focus on these programs does not necessarily mean that the “learning to live” together aspect is neglected. In the recent report on Brunei’s achievements and the ongoing collective efforts in the implementation of the Sustainable Development Goals (SDGs), it attributed the country’s social cohesion to the strong social values possessed and practiced by the community (Ministry of Finance and Economy, 2020). The Malay Islamic Monarchy (Melayu Islam Beraja – MIB) is the country’s national philosophy which has an enormous influence on how people live together as a harmonious community. Learning to be involves activities that promote holistic personal development for an all-round “complete person.” It is about personal growth, self-fulfillment, and career development. The activities include acquisition of knowledge, cultivating one’s self-analytical and social skills, values conducive to personality development in the cultural, moral, intellectual, and physical dimensions. The recently established

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L3C aims to deliver these by continuing to spearhead community development programs which were previously offered by the CET section of IBTE.

How Are Future Skills Agenda Incorporated in the Lifelong Learning Provisions in Brunei? To discuss how the two lifelong learning policies are preparing Brunei for the digital era, this section draws on the four pillars as a lens for measurement and the results from a baseline study which explores the human resource development (HRD) strategies, policies, and programs currently implemented in the ASEAN member states (AMS) of which Brunei is one of the members (Euler, 2021) to construct a framework for discussion. In this report, the concept of “lifelong learning” is a significant integral part of HRD, “the concept of HRD accentuates the perspective of the providers of learning and development opportunities, LLL points to the role and responsibility of the learner, without which no HRD effort can succeed” (Euler, 2021, p.3). The role of education has been gaining substantive attention in policy debates and attention has been directed to the dearth of discussion on the measurement of lifelong learning (Sung & Freebody, 2017). This is also partly due to the absence of a universal framework for measurement and monitoring of lifelong learning. However, as with any other major policy initiative, the measurement of Brunei’s progress with delivering lifelong learning provision is important to underpin further development of the policy. The HRD report draws on PIAAC-based skills data presented by OECD’s PIAAC Study and the skills promoted in the World Bank development report (World Bank, 2016, p.259) to synthesize the future skills used as indicators for the report. The future skills which have been used as indicators consist of cognitive skills, ICT skills/digital literacy, STEM skills, social skills, learnability, character qualities and problem-solving in complex, technology-rich environments. To ground our discussion, this section focuses broadly on the extent to which digital literacy skills are incorporated into the two forms of lifelong learning provision which fall under the two Delor’s pillars of lifelong learning (“learning to know” and “learning to do”). The two streams of provision, the TVET system and L3C, which are under the jurisdiction of Ministry of Education signal to us that the learning to do and learning to know dimensions, are inseparable in Brunei. With the recent establishment of L3C, Brunei is ramping up its effort in upskilling and reskilling its workforce with programs like SkillPlus to promote economic performance, productivity, and innovation. Aligning to Brunei Vision 2035, the Digital Economy Council recently launched a digital economy masterplan 2035 (Digital Economy Council, 2021) with a vision for a “Smart Nation through Digital Transformation” which serves as a roadmap that charts and guides the implementation of the country’s digital transformation initiatives. One of the strategies highlighted in this masterplan which is congruent with our discussion is to build a future workforce which is digitally capable, equipped with the right skills to adapt to the digitalized world. There are four foci: enhance the

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capabilities of the existing workforce by reskilling and the redeployment of human capital, create a digital lifelong learning framework, carry out studies on the demand for digital jobs in all industries, and revise the education programs and develop local capabilities. There have been suggestions offered by the Institute for Adult Learning (IAL) roundtable experts on the augmentation of the Delors framework to include another learning pillar to the current four pillars by adding technology skills/digital skills (IAL, 2019) as we have embarked on a digital era. Digital literacy skills have also been presented as a new foundational skill alongside other established basic skills such as reading and writing in the World Development report (World Bank, 2016). Given the importance of digital literacy skills in the current digital era, these skills have been included in the “learning to know” pillar in Table 1. Many countries have begun to integrate the development of digital literacy and competency skills in their education system to embrace the digitalization of life and work. It will be useful to review the position of Brunei’s lifelong learning provisions in terms of developing the digital preparedness of the nation. For this discussion, these future skills are matched with the Delors framework. Brunei has scored relatively well in integrating most of the future skills in the TVET curriculum. Apart from future skills being integrated in the curriculum, we will discuss ways Brunei can leverage the two lifelong learning provisions in preparing for Brunei Vision 2035. We have looked at the two provisions that support lifelong learning agendas of the country. Despite the unavailability of data on Brunei’s relative lifelong learning position, we have presented an overview of the extent of how the country has integrated the future skills in the TVET education system as a part of the lifelong learning agenda (Fig. 4).

Table 1 Using Delors’ four pillars to categorize the types of future skills Delors framework four Pillars Learning to know (learning within formal education) Learning to do (learning for work) Learning to be (learning for personal growth) Learning to live together (social learning)

Types of future skills Numeracy and literacy skills, High-order cognitive skills (e.g., analyzing; critical thinking; creating) STEM skills, ICT skills/digital literacy Problem-solving in complex technology-rich environments Socio-emotional skills Learnability (e.g., readiness to learn; learning motivation; curiosity; self-learning strategies), social skills Character qualities (e.g., ethical reflection; social and cultural awareness; agility). Social skills

*Learning to know and learning to do are inseparable in the context of Brunei’s lifelong learning provisions **Digital literacy skills and socio-emotional skills are two new foundational skills which should be prioritized for the skills development agenda of a modern labor market (World Bank, 2016, p. 259)

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Fig. 4 Future skills incorporated in the TVET curriculum for a number of AMS (Euler, 2021, p. 104)

A Commentary: Promoting Lifelong Learning in Brunei for the Digital Era While there is no doubt that it is difficult to predict with total accuracy which jobs will be created in the future and what type of skills will hence be needed, how Brunei can prepare its current and future generation is by reviewing its TVET systems and lifelong learning provisions and by starting the planning today for changes in the labor market which includes digitalization. The four pillars provide a useful

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framework to rethink how the two lifelong learning programs can further support Brunei’s achievement of its vision for 2035. Some recommendations:

Shifting the TVET Paradigm with New Models for Lifelong Learning in the Digital Era A first part of a lifelong learning agenda is ensuring that the skills students learn are useful for entering the labor market and provide a strong base for continuing to learn on the job. Given the pace at which digital technologies are changing and how they are impacting the labor market, students and adults must also learn how to learn. The initial vocational programs should increase the emphasis on work-based learning, which can provide students with practical training and exposure to the world of work prior to their graduation. In addition, Brunei TVET should explore modular approaches to learning through their IVET and CVET programs for adult learners who wish to return to the workforce. As part of the lifelong learning agenda, workbased learning can support and reinforce the type of skills acquired by students/adult learners that are categorized as learning to know and learning to do. There are also new fundamental skills, such as digital literacy and socioemotional skills which are needed to create a workforce which is resilient and agile to respond to a VUCA (Volatile, Uncertain, Complex and Ambiguous) environment. Hence, it is important to strengthen links between the labor market and the higher education and vocational systems. This partnership will link the roles and responsibilities of labor market representatives. Based on the recent report (Cedefop et al., 2021), a well-established apprenticeship system largely depends on the nature of the roles and responsibilities of labor market actors. Equally important, a shift in company attitudes toward quality training at the workplace is necessary to create an expansive learning environment (Fuller & Unwin, 2003). For example, while the appointment of a mentor is not obligatory, it is widely acknowledged that mentors are pivotal in creating an expansive learning environment which subsequently could lead to the successful completion of apprenticeships (Goh & Tan, 2021).

Conclusion: Advancing a Way of Understanding Lifelong Learning by Generating Different and Better Questions Policy questions, which have numerous forms, tend to ask about the best ways to improve lifelong learning. Using the four pillars could change the way we organize and think about Brunei’s lifelong learning provision. The monitoring and measuring of lifelong learning activities in Brunei could play an instrumental role in examining the different lifelong learning provisions such as TVET programs, LLL programs, and workplace learning in the development of the skills in all four pillars set out in the Delors framework. This data could assist Brunei in developing its policy recommendations to address any shortfalls and to advance from its current position

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to help achieve Brunei Vision 2035. At present, L3C is focusing largely on workforce development programs to respond to industry demands. The shift of perspective about LLL brought about by deploying the Delors framework leads us to ask different and better questions – from “what is the best way to promote lifelong learning in Brunei?” to “what counts as valuable learning for a learning society?” and “how can we build a nation that promotes a learning culture that will fulfill both economy and individual aspirations?” (Goh, 2021; Hodkinson et al., 2008). Put simply, the fundamental question is to ask ourselves about the purpose of lifelong learning, and whether it is about “skills for jobs” or “education for life.” Answers to these questions will fundamentally drive the way we approach our lifelong learning agendas. Afterall, lifelong learning needs to be about individual “self-fulfilment through education, rather than in a narrowly utilitarian way that looks through an economic lens and sees no further than skills and training” (Barrow & Keeney, 2012).

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Ministry of Finance and Economy. (2020, June). 2020 United Nations high-level political forum on sustainable development: Voluntary national review report of Brunei Darussalam. Ministry of Finance and Economy, Government of Brunei Darussalam. MOR. (1919). The final and interim reports of the adult education committee. Ministry of Reconstruction 1918–19, University of Nottingham. Nan-Zhao, Z. (n.d.). Four pillars of learning for the reorientation and reorganisation of curriculum: Reflections and discussions. http://www.ibe.unesco.org/fileadmin/user_upload/archive/ cops/Competencies/PillarsLearningZhou.pdf. Accessed 11 Oct 2021. National Vision Taskforce. (n.d.). Wawasan Brunei 2035. Prime Minister’s Office. Organization for Economic Co-operation and Development. (2021). OECD skills outlook 2021: Learning for life. OECD Publishing. https://read.oecd-ilibrary.org/education/oecdskills-outlook-2021_0ae365b4-en#page4. Accessed 16 Sept 2021. Organization for Economic Co-operation and Development (OECD). (2015). Education indicators in focus-No.33: Focus on vocational education and training. OECD Publishing. Phelps, R., Hase, S., & Ellis, A. (2005). Competency, capability, complexity and computers: Exploring a new model for conceptualising end-user computer education. British Journal of Educational Technology, 36(1), 67–84. Sung, J., & Freebody, S. (2017). Lifelong learning in Singapore: Where are we? Asia Pacific Journal of Education, 37(4), 615–628. https://doi.org/10.1080/02188791.2017.1386090 UNESCO. (1984). Terminology of technical and vocational education. UNESCO. UNESCO. (2016). Education for people and planet: Creating sustainable futures for all, global education monitoring report, 2016. UNESCO. http://unesdoc.unesco.org/images/0024/002457/ 245752e.pdf. Accessed 8 Sept 2021. UNESCO-UNEVOC. (2011). UNESCO-UNEVOC TVETipedia. https://unevoc.unesco.org/home/ TVETipedia+Glossary/filt¼all/id¼306. Accessed 12 Dec 2020. Whiting, K. (n.d.). These are the top 10 job skills of tomorrow – And how long it takes to learn them. https://www.weforum.org/agenda/2020/10/top-10-work-skills-of-tomorrow-how-long-it-takesto-learn-them/. Accessed 13 Oct 2021. World Bank. (2016). World development report 2016: Digital dividends. World Bank. https://doi. org/10.1596/978-1-4648-0671-1. License: Creative commons attribution CC BY 3.0 IGO. World Economic Forum. (2016). The future of jobs: Employment, skills and workforce strategy for the fourth industrial revolution. WEF. World Economic Forum. (2020). The future of jobs report. WEF.

The Current and Future State of Lifelong Education in the Republic of Korea

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background and Current Status of Lifelong Education in Korea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background of Korean Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Current Status of Lifelong Education in Korea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges and Future Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Promising Practical Learning Rights for all People . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Creating Lifelong Education – Employment – Welfare Virtuous Cycle . . . . . . . . . . . . . . . . . . . Respnding to Demographic Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

In order to solve various economic and social problems, South Korea (Republic of Korea) has continuously promoted lifelong education. Although South Korea has achieved various developments in the field of lifelong education, it is necessary to adapt in order to properly cope with the social and economic changes of the future. The purpose of this chapter is to understand the current status and problems of lifelong education in South Korea and to suggest the necessary directions for responding to changes in the future. First, this chapter examines participation rate in Lifelong Education of South Koreans, the Lifelong Education Act and administrative systems for lifelong education, key policies related lifelong education. Second, this chapter suggests to guarantee practical learning rights for all people, to create lifelong education–employment–welfare virtuous

Y. S. Kim (*) Department of Education, Korea National University of Education, Cheongju, South Korea e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_153

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cycle, and to respond to demographic changes for future directions of lifelong education in South Korea. Keywords

Lifelong education of South Korea · The lifelong education act · Administrative systems for lifelong education · Demographic changes · Education–employment– welfare

Introduction Although the Republic of Korea (hereafter called “Korea”) has a history dating back approximately 5000 years, the Korean War (1950–1953) forced the country to start rebuilding from the early 1950s. The state-led economic policy, the desire for democracy, and diligence of the people have enabled Korea to develop both economically and politically. Korea’s gross domestic product (GDP) in 2020 was USD 1,630,525 million ([Other Asian Countries in top 10] China: 14,722,731 million USD(2nd), Japan: 5,064,873 million USD(3rd), India: 2,622,984 million USD (6th))1 (tenth in the world) (World Bank, 2021), and Korea became a country of “full democracy” with a score of 8.01 (out of 10) according to the “Democracy Index 2020” of the Economist Intelligence Unit (2021). Although Korea has achieved many economic and political achievements in a short period of time, it has faced various threats in recent years. High-unemployment rate has been observed due to long-standing low-economic growth. From a baseline perspective, Korea’s potential GDP per capita growth from 2030 to 2060 was expected to be 0.8%, which was the lowest rate among OECD countries (OECD average: 1.1%) (Guillemette & Turner, 2021). Korea’s average annual increase in the youth (15–24 years old) unemployment rate from 2010 to 2020 was 0.76% (OECD average:
1.40%) and ranked tenth out of 38 OECD countries (Kim, 2021d). Due to the lack of a social safety net, Korea has a very high-suicide rate. In 2019, the suicide rate in Korea was 24.6 persons per 100,000 persons, and this rate ranked first among OECD countries (OECD, 2022). In order to solve various economic and social problems, Korea has continuously promoted lifelong education. In 1999, the Lifelong Education Act was established to clarify the national responsibility for the promotion of lifelong education. In 2007, the National Institute of Lifelong Education (NILE) was established and has consistently implemented various national policies. Due to the Korean government’s efforts, the rate of lifelong education participation has gradually increased. The proportion of adults aged 25–64 who participate in formal or non-formal education was 29.8% in 2007, and this rate has increased to 42.1% in 2020 (Ministry of Education & Korean Education Development Institute, 2020). 1

[Other Asian Countries in top 10] China: 14,722,731 million USD(2nd), Japan: 5,064,873 million USD(3rd), India: 2,622,984 million USD(6th).

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Although Korea has achieved various developments in the field of lifelong education, it is necessary to adapt in order to properly cope with the social and economic changes of the future. Therefore, this chapter examines the current status and problems of lifelong education in Korea and will suggest the necessary directions for responding to changes in the future.

Background and Current Status of Lifelong Education in Korea Background of Korean Society This section describes the background of Korean society, which is necessary to understand the current status of lifelong education in Korea, such as demographic changes, social problems, and educational attainment. First, in the past 20 years, Korea has experienced significant changes in its demographic characteristics in two ways: an increase in the older adult population and an increase in migrants and those with migrant roots. Significantly, the proportion of the elderly population has been rising dramatically. The proportion of the population 65 years old and over was 7.0% in 2000 but doubled to 14.2% just 17 years later in 2017 (Han, 2020). As at 2021, the older adult population (65 years and over) accounts for 16.5% and is expected to rise to 30.5% in 2036 and 43.9% in 2060 (Statistics Korea, 2021). In addition, the proportion of foreigners and people with migrant roots is expected to increase. It was estimated that in 2020, the total population that had been living in Korea for 3 months or more was 51.78 million, of which 96.7% (50.05 million) were Koreans and 3.3% (1.73 million) were foreigners (Statistics Korea, 2020). However, in 2040, it is predicted that the proportion of Koreans will decrease to 95.5% (48.58 million), while the proportion of foreigners will increase to 4.5% (2.28 million) (Statistics Korea, 2020). Additionally, it was assessed that in 2020, the number of people with migrant roots (naturalized Koreans, second-generation immigrants, foreigners) was 2.22 million, accounting for 4.3% of the total population. However, it is predicted that in 2040, the number of people with migrant roots will increase to 6.9% of the total population of 3.52 million (Statistics Korea, 2020). The World Economic Forum (2021) anticipates that Korea will be one of the OECD countries significantly affected by a decline in their working-age population (aged 20–64); therefore, it is necessary to prepare a new system for lifelong education. Vocational education and training should be carried out at each stage of life so that the elderly can continue to work. Also, lifelong education enables older adults to participate in various social engagements, such as recreational, political, and volunteer activities. In addition, the rise in the proportion of foreigners and those with migrant roots calls for a change in lifelong education. The number of lifelong education programs for migrants should be further expanded. Also, lifelong education that helps improve the global citizenship of indigenous people so that they can successfully live together with migrants should be more actively conducted. Second, Korea is currently facing various economic and social difficulties. Korea’s economy has developed at a rapid speed, but this has caused various problems. Korea’s GDP per capita in 1970 was USD 279, and it increased to USD

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31,631 in 2020 (World Bank, n.d.). During the same period, the industrial structure of Korea experienced a steep change. From 1970 to 2020, the share of manufacturing increased from 19% to 27%, and the service industry increased from 44% to 62%; however, agriculture, forestry, and fisheries decreased from 19% to 2% (Lee, 2021a). Although Korea’s economy has steadily developed, it has recently experienced limitations in its development. Korea’s Structural Change Index (SCI), which indicates the vitality or dynamism of the entire economy, has been continuously decreasing. Korea’s SCI in the 2010s was less than half of what it was in 1970s. Finally, the SCI of Korean industry continued to decline to the level of the G7 countries by the late 2010s (Lee, 2021a). Korea’s rapid economic growth has caused the following social problems. Korea’s Gini coefficient of income inequality is 34.5, which is higher than the median of countries with advanced economies (30.3) (OECD, 2021a). Additional problems in Korea are low unemployment benefits and deficient coverage for non-regular workers (OECD, 2021a). Specifically, inadequate pensions cause Koreans to work non-regular jobs until their advanced age (OECD, 2021a). Due to a shortage of pensions, older Korean adults (66 and over) showed the highest relative poverty rate (the percentage earning less than 50% of the median income) among OECD countries (Lee, 2021b). Although the declining speed of structural industry changes is a general phenomenon occurring in countries with advanced economies, it is necessary for Korea to solve its various structural problems in order to attain continuous economic growth (Lee, 2021b). There are a variety of solutions to solve the structural problems of Korean industry, and increasing participation in lifelong education to expand human capital is one of them (Lee, 2021b). In addition, the social safety nets need to be strengthened, especially for non-regular workers (OECD, 2021a). In 2020, the Korean government announced that in order to increase employment stability and social safety nets, job-training programs and internship opportunities would be provided to low-income workers (Ministry of Economy & Finance, 2020). Third, Korea has shown high-educational attainment, which leads to dramatic economic growth for a short time. The participation rate of Koreans in secondary and tertiary education is very high. In 2020, Korea ranked 44th out of 44 OECD and partner countries for the level of below upper secondary attainment among 25–34-year-olds (2%) (OECD, 2021b). In 2020, Korea showed the highest percentage (69.8%) of 25–64-year-olds attaining a bachelor’s or equivalent tertiary education degree among 45 OECD and partner countries (OECD, 2021b). Also, Korean students’ skill levels are above average among OECD countries. According to the OECD’s “2018 Program for International Student Assessment (PISA),” the scores for Korean students (15-yearolds) are above the OECD average in the fields of reading, mathematics, and science (OECD, 2019) ([Korean students’ mean score] Reading: 514, Math: 526, Science: 519 [OECD average score] Reading: 487, Math: 489, Science: 489 (OECD, 2019)).2

2

[Korean students’ mean score] Reading: 514, Math: 526, Science: 519 [OECD average score] Reading: 487, Math: 489, Science: 489 (OECD, 2019)

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Although the younger generation has high-educational attainment and skill levels, the older generation does not (OECD, 2020). Korea ranked 33rd in the formal education enrollment rate of 40–64-year-olds (0.6%) among 41 OECD and partner countries (OECD, 2021b). According to the “Program for International Assessment of Adult Competencies (PIAAC),” which took place from 2011 to 2012 (OECD, 2016), on a 500-point scale, Korea showed significant differences between the scores of the younger and older generations. Literacy scores for 16–24-year-olds were 290 (OECD average: 275); however, 55–64-year-olds scored 235 (OECD average: 250) (OECD, 2020). Numeracy scores for 16–24-year-olds were 280 (OECD average: 265); however, 55–64-year-olds scored 230 (OECD average: 245) (OECD, 2020). These age-related differences may be caused by cohort effects, such as educational opportunities and educational attainment (OECD, 2016). There is a need for an active lifelong education promotion policy for the older generation, who have lower educational attainment compared with the younger generation.

Current Status of Lifelong Education in Korea In order to understand the current status of lifelong education in Korea, this section describes: (1) the participation rate in lifelong education, (2) the Lifelong Education Act and the administrative systems of lifelong education, and (3) key policies related to lifelong education.

Participation Rate in Lifelong Education According to Article 18 of the Lifelong Education Act, the Ministry of Education (MOE) has been conducting annual statistical surveys on the status of lifelong education across the entire country since 2007. The results of these annual statistical surveys are saved in a database (http://lifelong.kedi.re.kr) and used as the reference basis for making the necessary lifelong educational policies. The survey has been conducted every year, and individual visits and interview methods have been used. In 2020, a total of 9776 adults were targeted for the survey. In addition, 16 metropolitan cities and provinces were subdivided for the stratified sampling method. This annual statistical survey defines lifelong learning participation as participating in formal education (education under the national academic ability accreditation system) or non-formal education (forms of structured education besides formal education). The participation rate among adults between 25 and64 years of age has changed, which is represented in Table 1. It was its lowest at 26% in 2008 and had stayed in the 30% range since 2010, before rising to the 40% range in 2018. The majority of lifelong learning participation consisted of participation in non-formal education. In 2020, the overall rate of participation in lifelong learning among adults between 25 and 79 years of age was 40.0%. As shown in Table 2, although gender did not impact the participation rate, the rate showed considerable disparities due to age, education level, and monthly household income. The survey showed that the higher the age, the lower the lifelong learning participation rate. In addition, the

2007 29.8 5.7 26.4

2008 26.4 4.1 23.9

2009 28.0 4.3 25.3

2010 30.5 3.9 28.2

2011 32.4 4.2 30.1

2012 35.6 3.5 33.1

2013 30.2 3.8 28.0

Source: Ministry of Education & Korean Education Development Institute (2020, p. 32)

Overall Formal education Non-formal education

Table 1 Lifelong learning participation rates among Korean adults aged 25–64 (Scale: %) 2014 36.8 3.1 35.2

2015 40.6 3.5 39.1

2016 35.7 2.8 34.2

2017 35.8 2.2 34.6

2018 42.8 2.7 41.8

2019 43.4 1.7 42.5

2020 42.1 1.6 41.3

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Table 2 2020 Rate of participation in lifelong learning

Classification Overall Gender Age

Education level

Monthly household incomea

Male Female 25–34 35–44 45–54 55–64 65–79 Middle School and Below High School Graduate College Graduate and Above Below KRW 1,500,000 KRW1,500,000–below 3,000,000 KRW3,000,000–below 5000,000 KRW5,000,000 and above

Overall 40.0 39.7 40.3 50.2 46.4 39.9 33.9 29.5 28.4

Formal education 1.4 1.6 1.1 4.9 0.9 0.7 0.4 0.1 0.2

Nonformal education 39.3 38.9 39.7 47.8 46.1 39.4 33.6 29.4 28.1

Occupational purposeb 20.1 25.4 14.8 29.6 28.0 21.0 15.0 6.0 8.5

31.4 51.5

1.3 1.8

30.8 50.6

13.4 30.0

29.7 30.1

2.2 0.6

28.3 29.9

8.1 12.2

38.2

1.0

37.7

19.0

45.4

1.8

44.6

24.6

Source: Ministry of Education & Korean Educational Development Institute. (2020, p. 48) Source: The Ministry of Education, Korean Educational Development Institute (2020). 2020 Actual Situation of Lifelong Learning for Korean Adults Participation rate: A  100/A ¼ (Formal Education Participants + Non-formal Education Participants
Concurrent Participants)/Adults (25–79 years old) a USD1 ¼ KRW1,186 (2021.12.19) b Participants in non-formal education with job-related purposes, such as 「Employment, job change, starting a business」, 「Acquiring skills necessary for work」, 「Increasing income」, and 「Employment stability」

participation rate for the group of college graduates and above was approximately 17% higher than that of the high school graduate and below group. It was also discovered that the lower the household income, the lower the lifelong learning participation rate. Particularly, in relation to lifelong learning for occupational purposes, the participation rate of the group with a monthly household income of KRW 1.5 million and below was 8.1%, while the participation rate of the group with a monthly household income of KRW five million and above was 24.6%, about three times the rate of the group with the monthly household income of KRW 1.5 million and below. Although the lifelong learning participation of all Korean adults has risen from approximately 30% to 40% over the course of approximately 10 years, the survey results showed a large inequality in lifelong learning participation according to age, education level, and income. The Korean government and related institutions should

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make efforts to encourage older, less educated, and lower-income people to participate in lifelong education. For this, a more in-depth understanding of the non-participating population is required. Based on the data from the PIAAC (OECD, 2013), Kim (2017) found that 38% of Korean adults belonged to “the voluntary non-participation group,” who had no experience in lifelong learning and were not motivated to participate. The population of undereducated and older adults with low-skilled employment tended to belong to the voluntary non-participation group. In order to solve the problem of inequality in lifelong education participation, it is necessary to reflect on the tendency for Korean society to regard lifelong education participation as a culture enjoyed by groups above the middle class (Kim, 2017).

The Lifelong Education Act and Administrative Systems for Lifelong Education Article 31 of the Constitution of Korea stipulates that “the state must promote lifelong education.” In order to fulfill this state responsibility, the Lifelong Education Act was enacted. The current Lifelong Education Act has been critically revised three times in the last 40 years. The Social Education Act was established in 1982, and this Act was succeeded by the Lifelong Education Act in 1999. In 2007, the National Assembly took an active role to revise the Lifelong Education Act of 1999 in order to mirror environmental policy changes and amend the limitations of the previous Act (National Institute for Lifelong Education, 2016). The major features of the Lifelong Education Act of 2007 are the following (National Institute for Lifelong Education, 2016). First, the Act of 2007 clarifies the scope of lifelong education (National Institute for Lifelong Education, 2016). Although the Act of 1999 defined lifelong education as “all types of systematic educational activities other than regular school curricula” (Article 2), the Act of 1999 failed to clarify the scope of lifelong education. The Act of 2007(Article 2) lists the six different types of lifelong education: education for diploma achievement, basic adult literacy education, vocational capacity-building education, liberal arts education, culture and arts education, and education on civic participation. Second, the Act of 2007 refines the administrative structure for promoting lifelong education at the national and regional levels (National Institute for Lifelong Education, 2016). According to Article 19 of the Act of 2007, the NILE was established in 2007 at the central government level. The NILE is responsible for establishing a comprehensive national masterplan for lifelong education, developing and supporting lifelong education programs at the national level, building networks among lifelong education organizations and institutions, and supporting metropolitan and provincial institutes for lifelong education. Third, the Act of 2007 (Article 9) requires that the Minister of Education establish a National Lifelong Learning Promotion Plan every 5 years. A National Lifelong Learning Promotion Plan addresses matters concerning mid- to long-term policy goals, the expansion of investment and necessary financial resources for the promotion of lifelong education, the analysis and evaluation of lifelong education promotion

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policies, and the promotion of lifelong education for the disabled. According to the Act of 2007, the Minister of Education shall notify a National Lifelong Learning Promotion Plan to the heads of the relevant central administrative agencies, metropolitan city mayors, province governors, and the heads of cities, counties, and districts. In 2003, the MOE launched the first National Lifelong Learning Promotion Plan, and the most recent fourth Plan covers the years from 2018 to 2022. Fourth, the Act of 2007 emphasizes the role of cities, counties, and districts in the promotion of lifelong education at the regional level. According to the Act of 2007, each city, county, and district head should be the chairperson of their Lifelong Education Council. The number of council members is limited to 12, and the Act of 2007 states that the members should be selected among public officials, specialists in lifelong education for all, including the disabled, and representatives of lifelong education institutions. The main role of the Lifelong Education Councils in cities, counties, and districts is to implement a lifelong education promotion plan and build networks among relevant agencies. Figure 1 shows how administrative organizations and councils at each level (central government, metropolitan cities/provinces, and cities/counties/districts) are structured. Fifth, the Act of 2007 clarifies the responsibilities of the central and local governments for the promotion of lifelong education for people with disabilities. Before the revision, the Lifelong Education Act did not address matters related to the lifelong education of people with disabilities; the Special Education Act addressed only the schooling of children and youth with disabilities. Therefore, in 2016, the Lifelong Education Act was revised in order to establish related institutions and implement policies for promoting lifelong education for people with disabilities.

Level

Administrative Organizations

Councils

Central Government

National Institute for Lifelong

National Lifelong Education

Education

Councils

Metropolitan cities or

Metropolitan or Provincial

Lifelong Education Councils of

Provinces

Institutes for Lifelong

Metropolitan City or Province

Education

Cities, Countries, or

Lifelong Learning Centers

Districts

Fig. 1 Administrative systems of lifelong education

Lifelong Education Councils of Cities, Countries, or Districts

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Key Policies Related to Lifelong Education The system of lifelong education in Korea can be divided into two columns. However, the two columns need to be understood as a whole (OECD, 2020). The first column is a system that is governed by the MOE. In most cases, the MOE focuses on lifelong education for life enrichment and civic engagement. The second column is related to vocational education and training governed by the Ministry of Employment and Labor (MEL). This section will describe key policies implemented by the MOE and the MEL. Although the MOE has been implementing several policies to promote lifelong education, this section describes the two policies that are the most important for facing challenges in the future. First, the “Lifelong Education Voucher Support Project” offers a lifelong education voucher to underprivileged people who would not otherwise have the chance to participate in lifelong education (National Institute for Lifelong Education, n.d.). Adults who are recipients of basic livelihood security or who are in the second-lowest income bracket can apply for a Lifelong Education Voucher. The number of beneficiaries and the amount of the grant has been gradually expanding. In the past, 5000 persons were selected to receive KRW 350,000 (about USD 300); however, in 2021, 15,000 people were selected to receive KRW 700,000 (about USD 600) (Kim, 2021c). Every year, about 80% of tuition fees are paid for by the Lifelong Education Voucher Card. If the Voucher receivers are absent for more than 20% of the time without notice, the use of the Voucher may be limited in the following year (National Institute for Lifelong Education, n.d.) Second, the “Universities’ Lifelong Education Support System” policy encourages high-school graduates to work first and then go to university, and also enables colleges and universities to prepare adult learner-friendly higher education systems and cultures (National Institute for Lifelong Education, n.d.). In 2021, 30 universities were selected for this policy, and these universities received an average of KRW 780 million (about USD 650,000) for policy expenses (Metro, 2021). The monetary provision can be used for curriculum development, curriculum operation, scholarships, and publicity costs (Metro, 2021). There are three operating models for this policy (National Institute for Lifelong Education, n.d.). First, in the “College Model,” a distinct college is set up for only adult learners with specific majors. Second, through the “Faculty Model,” universities recruit adult learners through the faculty, and adult learners can choose their major later. A faculty for only adult learners would operate within the existing college. Third, in the “Department Model,” a department is operated for only adult learners within the existing college. For the three models, a new administrative system should be instituted in order to support adult learners. Compared to the MOE, the MEL promoted vocational education and training (VET) in the following way. In Korea, policies related to VET are closely related to employment insurance, which is one of Korea’s mandatory social insurance systems governed by the MEL (OECD, 2020). The employment insurance system started in 1995, and both employees and employers must contribute to the insurance fund. According to the Employment Insurance Act (Article 1), the main purposes of

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employment insurance are to develop and improve the vocational skills of employees as well as prevent unemployment, strengthen the national job guidance and job placement functions, and provide livelihood services to the unemployed. Employees who are currently covered by the insurance or the unemployed who were previously covered can receive the insurance fund in order to participate in VET programs. In addition, the insurance fund finances employers’ costs of finding substitutes for workers who are temporarily out of work for training purposes. The VET system is supported by the Tomorrow Learning Card, which is governed by the MEL and Korea Employment Information Service (KEIS) (OECD, 2020). Anyone can apply for the Card regardless of their employment status or whether they are unemployed or taking a leave of absence. However, government employees, private school teachers, self-employed persons with annual sales of KRW 150 million or more, and employees of large-scale enterprises with monthly wages of KRW three million or more are excluded. Through the Tomorrow Learning Card, training expenses can be supported with a minimum of KRW three million (about USD 2500) to a maximum of KRW five million (about USD 4200) per person, and 45–85% of the training fee can be covered. When applicants receive the Tomorrow Learning Card, the Card Holder can search for and select programs through a portal website of the VET called “HRD-Net” (www.hrd.go.kr).

Challenges and Future Orientation In order to promote lifelong education, Korea has organized a related legal system, established central and local government agencies, and implemented various policies. However, the field of lifelong education has faced various challenges, such as unequal participation in lifelong education, low-employment rates, and demographic changes. This section describes the challenges that Korea faces and presents the solutions to solve them in the future.

Promising Practical Learning Rights for all People Although the Constitution of Korea articulates that the state is responsible for promoting lifelong education, it has failed to guarantee learning rights for all people throughout their lives. As described in the previous section, since the Lifelong Education Act was enacted in 2000, the central and local government’s lifelong education administrative systems and various policies have been established and continuously implemented. However, the government’s efforts did not reach enough people, and everyone should be given the opportunity to enjoy their educational rights regardless of age, economic status, or societal class. In the future, employment opportunities will continuously decrease, and the quality of jobs is also expected to deteriorate in Korea due to low growth of the national economy and advances in technology such as artificial intelligence. In a society where education, employment, and welfare are closely connected, lifelong

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education should not be a private undertaking that individuals must commit in order to respond to changes and survive. Lifelong education should be understood to be a form of public support from the state that enables people to increase their employability and provides opportunities for a fulfilling life across various paths (Kang, 2021; Kim et al., 2021). In order to increase public support for expanding the learning rights of all people, it is important to increase the support of learning expenses for low-income people. To do that, the MOE’s budget for lifelong education should be increased. As seen in Table 3, the proportion of the 2022 MOE budget for “Lifelong and Vocational Education” is only 1.28%. Although the percentage of the MOE’s budget for this has been increasing, it is relatively low compared to other countries with developed economies (Kim, 2021b). As noted in the previous section, since 2018, the NILE has been implementing a Lifelong Education Voucher Support project. The number of people receiving vouchers and the amount given in benefits should be increased (Kim et al., 2021). Second, in order to guarantee practical learning rights for all people, the emphasis on literacy education should be increased. The NILE has been conducting adult literacy surveys every 3 years since 2014. As seen in Table 4, according to the results of 2020 survey, 4.5% of the adult population over the age of 18 were in level 1. The poorer, older, and less educated the population, the higher the percentage of illiteracy. 14.2% of the population over the age of 60, 34.3% of the population with a monthly household income of less than KRW1 million (about USD 840), and 35.5% of those with less than a middle school education attainment fell under Level 1. Literacy is a fundamentally necessary skill to lead a life that goes beyond the level of understanding simple language and writing, so both basic and functional literacy education are essential skills (Kim et al., 2021). In addition, digital literacy skills have become necessary after the outbreak of COVID-19. Therefore, digital literacy education should be addressed as part of the social and national agenda (Kim et al., 2021).

Creating Lifelong Education – Employment – Welfare Virtuous Cycle Korea has a low-employment rate due to its extended period of low growth. As noted in the previous section, Korea has difficulties with income inequality and a shortage of social security systems for the unemployed and non-regular workers. Therefore, the Korean government has been attempting to link employment and welfare. For example, as of 2020, the MEL and the Korea Employment Information Service (KEIS) are operating a total of 171 “Employment Welfare Plus Centers” for the purpose of expanding national welfare systems and providing employment support. The main tasks of “Employment Welfare Plus Centers” are supporting employment (job placement and job consulting) and managing employment insurance (workers’ unemployment benefits provisions and education and training cost support). However, in the future, due to continuous technological developments and the deterioration of the state of employment, it will become difficult to link employment

Early childhood, primary, & secondary education 69,834,946 (78.78%)

Source: Ministry of Education (2021)

Overall 88,641,806 (100%)

Higher education 11,808,999 (13.32%)

Education part: 82,915,071 (93.54%) Lifelong and vocational education 1,135,303 (1.28%)

Table 3 MOE budget for 2022. Scale: KRW one million (About USD 840)

Education general 135,823 (0.15%)

Basic livelihood security 122,168 (0.14%)

Teacher’s public pension 5,604,567 (6.32%)

Social Welfare Part: 5,726,735 (6.46%)

23 The Current and Future State of Lifelong Education in the Republic of Korea 463

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Y. S. Kim

Table 4 Literacy level of Korean adults (over 18 years old)

Level Level 1

Level 2

Level 3

Level 4 Overall

Description of level Difficulty in basic reading, writing, and arithmetic necessary for daily life (first and second grade in elementary school learning required) Basic reading, writing, and arithmetic are possible, but the level of use in daily life is insufficient (third, fourth, fifth, and sixth grade in elementary school learning required) Sufficient for use in simple daily life, such as home and leisure, but insufficient for use in complex daily life, such as public and economic life (first, second, and third grade in middle school learning required) Sufficient literacy necessary for daily life

Ratio (over 18 years old) 4.5%

Estimated population (over 18 years old) 2,001,428

4.2%

1,855,661

11.4%

5,039,367

79.8% 100%

35,184,815 44,081,271

Source: Ministry of Education & NILE (2021, p. 3)

and welfare without providing continuous learning opportunities tailored to an individual’s life cycle. In order to do this, governments and civil societies must find ways to form a lifelong education – employment – welfare virtuous cycle; lifelong learning experiences lead to jobs; jobs increase employment security, and employment security improves quality of life. The following methods can be used to create this virtuous cycle. First, it is necessary to establish an innovative government organization that integrates and operates the government policy regarding the education – employment – welfare virtuous cycle. So far, each government ministry has performed its respective functions related to education, employment, and welfare as shown in Fig. 2. As each ministry independently operated their own projects, the linkage between the related projects of each ministry was not fully realized. As a result, the improvement of the employment rate, the most important indicator of governmental projects, was not successful (Kim, 2016). In order to solve the problem of a lack of connectivity among ministries, a new government organization should be created as shown in Fig. 2. In order to operate the government policy relating to the education – employment – welfare virtuous cycle, the entire policy process, from the planning stage to implementation, evaluation and feedback, must be operated in a consistent manner (Kim, 2016). In order to operate policies in this regard, a presidential or prime ministerial committee can be established in order to strengthen the connection among ministries and adjust roles. Second, in order to operate policies realizing the education – employment – welfare virtuous cycle, regional governments should take active roles. Since 2008,

23

The Current and Future State of Lifelong Education in the Republic of Korea Ministry

Current Roles

Ministry of Education

-Adult literacy education support -Educational expenses support for low-income adults -Vocational education and training operation -Employment incentive support -Employment insurance system operation -Basic livelihood security operation -Employment support for the underprivileged - Vocational training provision for women with career interruptions - Vocational training and literacy education provision for female immigrants

Ministry of Employment and Labor

Ministry of Health and Welfare

Ministry of Gender Equality and Family

465

Suggested New Organization

೛

A Presidential (Or Prime Ministerial) Committee on Education– Employment– Welfare linkage

Fig. 2 Committee on Education – Employment – Welfare Linkage

the NILE has designated “Learning Cities” and given grants in order to establish networks among schools, universities, and local lifelong education institutions, which expands the learning opportunities for local residents within Learning Cities. As of 2021, among a total of 226 local governments, 180 local governments (79.6%) were designated as Learning Cities. The Learning City project has enabled local governments to expand the types of lifelong education programs and increase the participation in lifelong education for the underprivileged (National Institute for Lifelong Education, n.d.). However, since the Learning City project is only operated by the department related to lifelong education, the welfare and employment-related departments within local governments were not included, thus leaving gaps between education, employment, and welfare. Although the Lifelong Education Act specifies the roles of local government heads and councils in the promotion of lifelong education at a local level, it fails to demonstrate the role local governments play in the relationship between lifelong education, employment, and welfare. Therefore, it is recommended that the Lifelong Education Act needs to be revised in order to ensure the responsibility that local governments have to increase employment opportunities and provide welfare benefits through the promotion of lifelong education (Kim et al., 2020). In addition, the Local Autonomy Act fails to specify the role of local governments in the promotion of lifelong education or the connection among education – employment – welfare at a local level; therefore, it must be revised in order to provide a legal basis for implementing policies that recognize the education – employment – welfare virtuous cycle (Cho, 2021).

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Y. S. Kim

Respnding to Demographic Changes In the future, lifelong education must respond to the demographic changes in Korea. As the previous section described, the predominant demographic changes in Korea are the increases in the populations of older adults and immigrants. This section describes the proper direction of lifelong education in response to these demographic changes. As noted in the previous section, Korea is aging rapidly. As a result, Korea has the following problems concerning lifelong education for older adults, and the following efforts are necessary to solve these difficulties. Although the proportion of older adults (65 years and older) is approximately 16% of the total Korean population (Statistics Korea, 2020), efforts to promote lifelong education for older adults are insufficient. The lifelong education participation rate of older adults is low compared to that of other age groups. In 2020, the lifelong learning participation rate of adults 25–79 years old was 40.0%; however, the rate for older adults who are between 65 and 79 years of age was 29.5% (Ministry of Education & Korean Educational Development Institute, 2020). When the age range was expanded, older adults’ participation rate in lifelong education was even lower. According to the “2020 Survey of the Elderly (Lee et al., 2020),” the lifelong learning participation rate of all older adults (65 years and older) was 11.9%. The average monthly lifelong learning participation hours of older adults were also found to be low; 48.8% reported 1–5 h per month, 25.4% reported 6–10 h, and 9.8% reported 11–15 h (Lee et al., 2020). In addition, the areas of lifelong education in which older adults participated were limited. The most popular area was health care/exercise at 44.3%, which was followed by culture and arts at 28.2%, informatization at 11.4%, foreign language at 5.9%, and humanities at 5.4% (Lee et al., 2020). In the future, it is expected that the proportion of the older population will further increase, as well as the educational attainment and economic power of older adults. Therefore, the following preparations should be made in order to meet older adults’ future demands for lifelong education. The MOE should take an active role in developing and implementing policies for older adults’ lifelong education. Although the proportion of the elderly population is increasing and older adults’ interest in lifelong education is growing, the MOE has yet to implement a systematic policy related to lifelong education for older adults. In order for the MOE to actively promote the lifelong education of older adults, a legal basis should be prepared. Currently, there is no provision for the lifelong education of older adults in the Lifelong Education Act. Therefore, it is necessary to amend the Act to encourage central and local governments to take responsibility for the promotion of lifelong education for older adults (Han, 2020). In addition, the MOE should create systematic policies to prepare for the aging society of the future. With the most recent National Lifelong Learning Promotion Plan (2018–2022) (Ministry of Education, 2018), the MOE announced the following three policies related to older adults’ lifelong education: the activation of a counselor training course for the life design process of older adults; the operation of university degree programs for seniors with a strong academic background and academic will; and the development of training

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courses for older adult education experts. As of 2021, 4 years after this plan was announced, none of these 3-year plans are being implemented. A new fifth National Lifelong Learning Promotion Plan (2023–2027) will be announced at the end of 2022. This new plan will include practical and necessary policies related to the lifelong education of older adults. Next, the future direction of lifelong education for immigrants will be described. Immigrant groups in Korea can be broadly divided into marriage immigrants and foreign workers. Although the number of marriage immigrants is small compared to the number of immigrant workers, marriage immigrants are important members of Korean society since they form a family with their Korean spouse and live in Korea for an extended period. The number of marriage immigrants continues to rise in Korea. The number of marriages per year was 125,087 (female: 87.3%) in 2010, 144,912 (female: 82.6%) in 2015, and 168,797 (female: 81.5%) in 2021 (Ministry of Gender Equality & Family, 2020). Currently, most education programs for marriage immigrants have been conducted by the Ministry of Justice (MOJ) and the Ministry of Gender Equality and Family (MOGEF). The MOJ has operated 50–70 hour education programs to instruct on Korean language and culture for foreigners who hope to reside in Korea permanently or acquire Korean nationality (Kim, 2021a). Through the “Multicultural Family Support Center,” the MOGEF has provided education programs for female marriage immigrants in order to support the guidance of school-age children and improve family relationships (Kim, 2021a). Although lifelong education for marriage immigrants has progressed, the following solutions to current problems must still be pursued. First, the MOJ has operated educational programs for the purpose of the initial settlement of marriage immigrants, and the MGEF has implemented educational programs aimed to help stabilize the lives of multicultural families after their initial settlement. However, the challenge is that the actual programs operated by the two ministries have almost identical content (Kim, 2021a). In the future, mutual cooperation between the two ministries is necessary to prevent the repetition of education for marriage immigrants. In addition to the two ministries, local governments should also develop and operate educational programs that reflect the characteristics of the regions the marriage immigrants reside in (Park & Yi, 2017). Second, the ultimate goal of lifelong education for female marriage immigrants, who account for approximately 80% of marriage immigrants, should not be the adaptation to Korean society through raising children and performing household chores. Instead, it should develop human resources so that immigrants can more actively participate in economic activities (Park & Yi, 2017; Kim, 2021a). The economic status of marriage immigrant families is poor. In 2018, the average monthly household income of multicultural households was KRW one million (KRW one million ¼ approximately USD 840)3 – 9.7% of families earned below KRW one million, 22.4% earned KRW one to two million, 26.1% earned KRW two to three million, and 20.1% earned KRW three to four

3

KRW one million ¼ approximately USD 840

468

Y. S. Kim

million. To this end, the NILE must take control of the policy to develop the economic manpower of marriage immigrants (Kim, 2021a). Since the early 1990s, South Korea has allowed many foreign workers to work legally. Since then, the rate of foreign workers has continued to increase. The number of foreign workers remaining in the country was 489,000 in 2010, 561,000 in 2015, and 503,000 in 2019. It dropped sharply to 391,000 in 2020 due to COVID-19 (Ministry of Employment & Labor, n.d.). Although the number of foreign workers is approximately 2% of domestic workers, they are recognized as significant members of society in the manufacturing and agriculture fields since they work in low-skilled jobs that Koreans are reluctant to hold (Joongang, 2021). Although foreign workers are important members of Korean society, lifelong education for foreign workers has not received substantial attention (Choi, 2018). Education for foreign workers is largely the responsibility of two ministries (Kim, 2019). First, within 15 days of entering Korea, foreign workers should take courses provided by the MOJ (16 hours in total) on basic skills necessary for job searching, matters related to occupational safety and health, and laws and regulations related to the Labor Standards Act and Immigration Control Act. In addition, the MEL provides education in Korean language, technology, legal matters, occupational safety, and finances through the “Korea Support Center for Foreign Workers.” Because foreign workers may only stay in Korea for a short period of time, it is difficult to recognize them as subjects of lifelong education policy. However, due to the low-fertility rate (Korea’s fertility rate was 0.98 in 2018 and 0.92 in 2019, and Korea was the only country to have a fertility rate of less than 1% in 2018 and 2019 (OECD, 2020)4 in Korea, the working-age population continues to decrease, and, as a result, foreign workers will be regarded as more important members of Korean society in the future. Accordingly, the following adaptations related to education for foreign workers are necessary. First, the “Korea Support Center for Foreign Workers” is currently the only public institution that assists foreign workers with long-term educational programs. In 2021, 44 Korea Support Centers for Foreign Workers were installed across the country, but more centers are needed to increase the accessibility for foreign workers. In addition, considering that foreign workers are busy with work during the week, it is necessary to expand online education so that they can learn when they want. Second, it is necessary to provide systematic education throughout the period of entry to departure for foreign workers (Kim, 2019). After entering the country, education should be conducted during the initial settlement process, as well as after settlement to develop job-related abilities. In addition, participation in various social activities should be a goal of education programs. To this end, the MEL, MOE, and MOJ need to jointly establish a longterm plan.

4

Korea’s fertility rate was 0.98 in 2018 and 0.92 in 2019, and Korea was the only country to have a fertility rate of less than 1% in 2018 and 2019 (OECD, 2020f)

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Conclusion Overall, this chapter has examined the current status and problems relating to lifelong education in Korea and has suggested the necessary steps for responding to changes in the future. In order to promote lifelong education, Korea enacted and amended the Lifelong Education Act and established nationwide administrative systems for lifelong education. The MOE has operated policies related to lifelong education for life enrichment and civic engagement, and the MEL has implemented policies related to vocational education and training. In addition to these efforts, in order to prepare for various future challenges, a guarantee of practical learning rights for all people, the creation of a lifelong education-employment-welfare virtuous cycle, and further systematic education for older people and immigrants are required.

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Recruitment and Training in Japanese SMEs: A Case Study Concerning Lifelong Learning in the Manufacturing Industry at the Tokyo Metropolitan Area Matthias Pilz

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Specific Characteristics of the Japanese Transition System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . State of Research: Recruitment and Training in the Manufacturing Sector . . . . . . . . . . . . . . . . . . . . Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Survey Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Outline of Recruitment and Hiring Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Initial Training After Entering the Company . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion: Outcomes and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Japan is an aging society facing a demographic problem because of the low birth rate. Therefore, the workforce in Japanese companies is getting older. As a hightech country with rapidly changing technical and organizational requirements, the demand for lifelong learning is higher and getting more important. Small and medium-sized enterprises (SMEs) play an important role in the Japanese labor market and economic system; however, in contrast to large companies, very little is known about recruitment, training, and lifelong learning in Japanese SMEs. This study, therefore, examines recruitment, training, and lifelong learning in Japanese SMEs. As a first step, the transition from school to work in Japan is presented. This is important because Japan has a very high proportion of academically educated young people compared to other countries. At the same time, M. Pilz (*) University of Cologne, Chair of Economics and Business Education, Cologne, Germany e-mail: [email protected] S. Sakano Tamagawa University Tokyo, School of Education, Tokyo, Japan e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_40

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the recruitment processes in Japan are very special, which is discussed with existing literature in the field. As a second step, the paper focuses on the Japanese SMEs. Existing research results about recruitment, training, and lifelong learning in these companies are collected and presented. As a third step, we introduce our own research. Interviews were conducted with those responsible for recruitment and training in ten SMEs in the manufacturing sector in the Tokyo area, using an interview structure developed on the basis of the outcomes of the previous literature review in the field. The innovative approach of our study is the use of a mixed-method approach, including expert-interviews combined with observations during a company visit. The analysis of the interviews by using the method of Qualitative Content Analysis indicated that recruitment is more problematic for small than mediumsized enterprises. As a fourth step, we show that small enterprises often have to resort to employing people in mid-career who have little or no further employment opportunities in large enterprises. This finding largely aligns with existing studies. With regard to training and lifelong learning, however, significant deviations from literature can be found. In contrast to large companies, hardly any formally structured training takes place in SMEs; rather, training takes place in an informal way. In this author’s opinion, the term “On the Job Training” (OJT), which is often used in Japan, cannot be used here. Against this background, we advocate the introduction of the construct of “informal learning” into the scientific discourse of Japan. Informal learning describes these unplanned and unconscious learning processes, and can be found in various professional contexts, including research on lifelong learning, worldwide. Keywords

Recruitment · Training · Japan · Small and medium-sized enterprises · On the Job Training

Introduction Recruitment and training are important in all developed economies, and have been intensively researched in various disciplines. This also applies to Japan, where some particular problems arise. (Acknowledgment: We are especially grateful to Prof. Dr. Harald Conrad (Heinrich-Heine-University Duesseldorf) and Prof. Dr. Roman Bartnik (TH Cologne - University of Applied Sciences) for the valuable scientific suggestions and comments on the content and interpretation of findings.) The Organization for Economic Co-operation and Development (OECD, 2019, p. 88) states this in a recent report:

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More than two-thirds of Japanese workers believe that they need further training, double the OECD average. However, the OECD Survey of Adult Skills finds that participation in lifelong learning in Japan is the bottom quartile of countries in the Survey. [. . .] A key challenge is that skill training provided by workplaces and educational institutions often does not reach workers in jobs at high risk of automation, typically non-regular workers in routine jobs. Participation in training in Japan is thus lower for non-regular workers and those who are less skilled, and it drops with age [. . .].

Against the background of this problem, it becomes clear that the topic is discussed extensively in business science. Japan is of high interest, because on the one hand Japan as an industrialized country has a high number of small and medium-sized enterprises (SMEs) and on the other hand these companies have a great need for training due to the high level of technology. The aging of society and the longstanding trend toward an academic route are further aspects that make a focus on the SMEs in Japan also interesting for other mature industrial nations. In the context of human resource management, for example, one branch of research is devoted to recruitment and training concepts in Japanese companies (Kuriyama, 2017; Debroux, 2016; Robinson, 2003; Sako & Sato, 1997; Yasuda, 2009). In the context of sociological research (Hori, 2009; Kariya, 1998, 1999) and labor market research (Kosugi, 2007), the individual and societal perspective is particularly important. On the other hand, in the educational sciences (Dore & Sako, 1998; Rohlen, 1998; Takeuchi, 1997; Teichler, 2007; Yoshimoto, 2002) and in international comparative Vocational Education and Training research (Eswein, 2012; Pilz & Alexander, 2011, 2020; Terada, 2012), the transition from school to working life and, at the same time, recruitment and training, are addressed. A look at the comparative political economy literature (Thelen & Kume, 1999; Busemeyer & Trampusch, 2012) is especially revealing. In particular, the engagement of different actors in initial training is examined. From this, a “skill formation systems typology” is derived in which one type is the “segmentalist approach” (Busemeyer & Trampusch, 2012). With this type, the responsibility and implementation of training measures lie exclusively with the companies. In the literature, Japan is repeatedly referred to as the only country where this ideal type exists as a real type (Busemeyer & Trampusch, 2012; Pilz, 2016a). As this chapter will focus on the activities of companies, a closer look at Japan is needed. An analysis of the literature from various disciplines shows that in the case of Japan, the focus, in the context of recruitment and training in companies, is predominantly on large enterprises (see in detail below). For example, the classification of Japan as a “segmentalist type” is also largely based on findings in large Japanese companies (Busemeyer & Trampusch, 2012; Pilz, 2016a). However, Japan is characterized by a diverse industrial landscape in which SMEs play an important role. (The definition of SMEs in Japan depends on the sector. For the relevant sector “manufacturing” (see below), the number of employees must be fewer than 300 (The Economist Intelligence Unit, 2010, p. 7).) For example, SMEs contribute about 50% of the GDP of Japan, and employ more than 70% of all employees, which is a significant proportion compared to other industrial nations (OECD, 2017, p. 2). The Economist Intelligence Unit (2010, p. 6) states:

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And while Japan’s SMEs may not be as well-known as its corporate titans, their health is vital to the economic wellbeing of the country, not least because they account for an overwhelming majority of total enterprises and employment, and a considerable part of the value added in the economy.

At the same time, however, Japanese SMEs are accused of significant shortcomings in terms of recruitment and training (The Economist Intelligence Unit, 2010, p. 10; National Association of Small and Medium Enterprise Promotion Organizations, 2018, p. 147; OECD, 2017). From a scientific perspective, it is striking that research on the challenges of recruitment and training in Japan’s companies mostly focuses on large enterprises with regard to hiring (Keizer, 2009; MacVaugh & Evans, 2012; Sato, 1997). There are very few studies of the hiring problems and training being experienced by SMEs; studies such as Koike (1988), Gamage (2014) or Fujimura (2004) and Ohta (2010) being exceptions. More recent and larger studies of SMEs involved in manufacturing include a survey by the Japan Institute for Labor Policy and Training (JILPT, see in detail below). The manufacturing sector is the focus of this investigation. On the one hand, SMEs in this sector account for a significant proportion of all Japanese SMEs (The Economist Intelligence Unit, 2010, p. 7) and, on the other hand, these SMEs are active in areas of significant technological change (The Economist Intelligence Unit, 2010), which indicates a great need for training in skill formation. In light of this, the current study will investigate how recruitment and training in manufacturing SMEs are practiced in Japan, and what challenges arise. This study is therefore in the tradition of “Recruitment and Training Research” (for example, Koike, 1988; McCormick, 1991) and initially outlines the existing research findings. Thereafter, the design and the implementation of our own field study are presented. The findings are presented and then discussed. First, however, the peculiarities of recruitment and training in Japan will be discussed briefly.

Specific Characteristics of the Japanese Transition System On 1 April each year, virtually all new graduates from schools and higher education institutions are recruited collectively. Many larger companies follow this up with collective induction of the new employees. New recruits from leading universities are immediately identified as senior managers on the basis of the grades they achieve in university entrance examinations, rather than what they have achieved academically during their degree courses (Kaneko, 1997, p. 169; Yoshimoto & Yamada, 2007, p. 102). Recruitment policies of companies ultimately do not focus on subject skills; in fact, these may be seen as a hindrance. Companies are, instead, primarily interested in the socialization of their employees, with qualifications from a specific school or university seen as “biographical signals” (Inui & Hosogane, 1995, p. 166–169). Moreover, graduates should not be older than 23; older graduates tend to find it very difficult to secure jobs (Fürstenberg, 1998, p. 120). Ultimately, the lack of vocational skills makes it difficult to attribute a clear employment value to an individual’s school-leaving qualification. It is, for example,

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possible for a music graduate to gain employment as a budding “salaryman” in a Japanese company. Most of Japan’s “salarymen” are trained in three to five year training programs within companies, during which trainees work their way round departments and enjoy a combination of “on-the-job training” (OJT) and “off-thejob training” (Off-JT) (Matsuo, 2014). In contrast, most budding “office ladies” (secretaries) carry out simple tasks and are much less likely than their male colleagues to benefit from company training programs (Kosugi, 2007). A combination of OJT and Off-JT is very common in large organizations. Such Off-JT is generally highly specific to individual companies and is thus at the discretion of each individual company. Self-directed further training focuses on what individual companies need by way of further training within the context of “lifelong learning” (Matsuo, 2014; Fujimoto, 2018). In Japan, a successful career within a large company is restricted to those who are consistent, loyal, conscientious, and keen to learn and who, above all, persevere in efforts to achieve organizational goals to the best of their ability. In the early years of employment, a successful career is still determined primarily by loyalty to the company and length of service; in senior management positions, by contrast, criteria such as personal assessment become increasingly important. Nevertheless, value is still overwhelmingly determined by an employee’s own company, and training offers only a limited scope for gaining promotion and improving prospects by moving from one company to another (Kosugi, 2007). From this perspective, the career prospects of young Japanese are determined by their success in establishing themselves in a permanent position on the staff of a large company, which is more likely for those who have good qualifications, gained from a good school or a good university. In contrast, those employees in precarious employment or in small companies, are less likely to enjoy good career prospects (Ishida, 1998, p. 297–307; Kaneko, 1997, p. 169; Kosugi, 2007). In order to be able to fully classify the findings of this study, it is also necessary to briefly outline the special features of the manufacturing industry. The total number of employees in all industries in Japan are 65.3 million, of which 10.52 million (16%) are employed in manufacturing (Statistics Bureau, Ministry of Internal Affairs and Communications, 2017). Entry into the labor market in Japan has been said to be characterized by the collective hiring of new graduates. In recent years, university graduates have accounted for a large proportion of these new graduates. However, looking at secondary industries, especially in the manufacturing sector, whereas university graduates hired by manufacturers account for 11.6% of the total, the figure is 38.7% for high school graduates (National Statistics Center, 2019, Table 76-2).

State of Research: Recruitment and Training in the Manufacturing Sector As already outlined in the introduction, there are few recent studies dealing with recruitment, and hardly any studies dealing specifically with training in Japanese SMEs (Yamamoto, 2017).

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One exception is a detailed study of recruitment, which also includes SMEs. The Japan Institute of Labour Policy and Training (JILPT, 2017a, b) study collated the results of a 2015 postal survey sent to 20,000 enterprises in the manufacturing sector, each with ten or more employees. The number of valid responses were 5785, which is a response rate of 28.9%. The aforementioned survey clarified the following points: First, over the preceding 3 years, 44.6% of those enterprises that responded had hired new graduates, meaning that most enterprises had not done so. Furthermore, there was a large difference according to enterprise size in terms of number of employees. Whereas upwards of 90% of enterprises with 300 or more employees had hired new graduates, only around 50% of enterprises with 30–99 employees had done so, and the figure was only around 25%for enterprises with fewer than 30 employees. In addition, 72.8% of all participating enterprises, 62.4% of enterprises with 300 or more employees, and 78.1% of enterprises with fewer than 30 employees, answered “agree” or “tend to agree” in response to the statement “the lower the number of employees, the lower the response to job offers.” Of all participating enterprises, 68.4% answered “agree” or “tend to agree” in response to the statement “we are unable to hire the level of personnel that we require.” For this statement, the proportion of answers that are affirmative also rises as the scale of the enterprise (in terms of number of employees) falls (75.5% for enterprises with fewer than 30 employees and 56.2% for enterprises with 300 or more employees). With reference to mid-career hiring, 75.1% of enterprises had engaged people in mid-career during the preceding 3 years. In other words, a higher proportion of enterprises had engaged in mid-career hiring than had hired new graduates. Thus, when asked whether their enterprise focused on hiring new graduates or mid-career hiring, an emphasis on mid-career hiring was clear, with 27.7% of all participating enterprises focusing more on hiring new graduates and 65.9% on mid-career hires. Moreover, whereas around 75% of large enterprises, with 300 or more employees, focused on hiring new graduates, 75% of small enterprises with fewer than 30 employees focused on mid-career hiring. At 73.3%, the most common reason for this focus was “because we need someone who can contribute immediately.” At the same time, there were factors that made mid-career hiring unavoidable, with 29.1% focusing on mid-career hiring “because even when we attempt to hire new graduates, we have no applications,” and 28.8% “because we are not in a position to train new graduates.” In this respect, there are also large differences between enterprises depending on scale. No enterprises with 300 or more employees mentioned focusing on mid-career hiring “because even when we attempt to hire new graduates, we have no applications,” instead candidates responded to their new graduate recruitment drives, enabling them to take on new graduates. On the other hand, more than 25% of enterprises with fewer than 300 employees had “no applications” from new graduates and were therefore forced into mid-career hiring. In addition, around 33% of enterprises with fewer than 30 employees mentioned that they were “not in a position to train new graduates.” From these results, it is clear that the nature of hiring varies depending on the scale of the enterprise. Small enterprises receive very little or even no response when

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attempting to hire new graduates, and many enterprises are not in a position to offer training. As a result, they have no choice but to focus on mid-career hires when looking for new staff. Meanwhile, it is clear that large enterprises with 300 or more employees focus on collective hiring of new graduates but are also increasingly using mid-career hiring as they need employees who can contribute immediately. This result also suggests a tendency where a rise in the cost of training new graduates encourages a switch to mid-career hiring (Ohta, 2010). As far as training activities in Japan are concerned, Green (2000, p. 424) came to the very general conclusion some time ago that “Off-JT is frequently the only way of acquiring skills in small and medium-sized companies.” Fujimoto (2018), on the other hand, using detailed data sets from the JILPT as well as data from the Ministry of Health, Labor, and Welfare, concludes that SMEs offer Off-JT less often than large companies. Large companies are also more active in the OJT sector (Fujimoto, 2018, p. 17) where planned OJT dominates, with clear planning and focused implementation. On the other hand, OJT is less often planned in SMEs, but rather happens through “training by task.” Matsuo (2014) came to similar conclusions in a survey of trainers in 22 Japanese medium and large companies. The study clearly shows that in larger companies, the planning, implementation, and reflection of Off-JT are of greater importance. Consequently, it is clearly a type of “planned OJT.” As already mentioned, however, these studies do not focus specifically on SMEs or the manufacturing sector. Additionally, the questions of recruitment and training are rarely addressed in an integrative way. Further, the studies are generally based exclusively on standardized surveys, which are often criticized (Tanaka, 2009, p. 8). On the other hand, qualitative approaches or more recent experimental studies, are largely unknown. For example, the recently published book by Takenori (2017, p. 138–144) presents four case studies that were collected as early as in 1983.

Methodology As discussed before, we selected manufacturing for our research as this sector is of great importance to Japan’s industrial ecosystem, and SMEs play a major role in this industry (Okamuro, 2016, p. 49). The Tokyo area was chosen, due to the fact that many companies are located in the greater metropolitan area of Tokyo. Ten companies were selected from recommendations of experts and managers of SMEs rather than through a random approach, due to the very difficult field access by own connections. Table 1 shows the relatively small size by number of employees in our sample. In contrast to existing research studies, a qualitative approach was used to explore details of recruitment and training in the Japanese SMEs, using a case-method approach (Yin, 2002). The innovative approach of our study is the use of a mixedmethod approach, including expert interviews combined with observations during a company visit. These research methods are already well developed in research on

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Table 1 Enterprises in the survey (ranked by no. of employees) Company A

Capital (¥ million) 7

No. of employees 48

Number hired in the last 5 years New graduates 6, mid-career 4

G

15

43

New graduates 13

J

25

37

New graduates 17, mid-career 3

F

10

15

H

3

15

New graduates 8, Mid-career 2 Mid-career 5

I

10

14

Mid-career 4

E

10.5

10

2

B

20

9

2

D C

No data No data

0 0

1 0

Business Wide range of precision grinding and integrated processing of precision parts Design, manufacture, and sales of marine electrical circuit tools, distribution and section boxes, signal lights, marker lamps, and control panels Material testing specimens, ultrasonic flaw testing specimens, and prototype parts Large machine special materials machining Manufacture of machine part screws and car part screws, etc., by machining center and NC lathe Press machining, manufacture, and sale of interior items, design and production of press dies Manufacture of precision machine parts (mainly prototypes) Manufacture of elevator and machined parts Wire cut EDM Metal processing

recruitment and training (see for example Li et al., 2019; Pilz et al., 2020; Pilz, 2016b). To guarantee a comprehensive picture of the companies’ situation concerning recruitment and training, the interviews were designed as semi-structured interviews. The interview guideline was based on recruitment practice in SMEs on an international comparative basis (Pilz et al., 2020), the results of school-to-work transition research, with a special focus on Japan (for example Kosugi, 2007; Pilz & Alexander, 2011, 2020), and on training arrangements, including workplace learning (like Billett, 2000; Eraut, 2004; Evans et al., 2006; Lahiff et al., 2019; Koike, 1988; Matsuo, 2014). The major aspects in the survey were (in line with the abovementioned research question): (1) Company outline. (2) Qualities, abilities, skills, etc. required for core operations. (3) Nature of new regular employee hiring and hiring criteria. (4) Plan for initial training after entering the company and its actual implementation (both OJT and Off-JT). (5) Impact of initial training and relevant challenges. Before putting the interview guideline into practice, we discussed and optimized it with more than ten experts from Japan and abroad, including experts in human

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resource management research, researchers from the field of work-based learning, an expert in labor market research, and some practitioners from companies and vocational schools in Japan. The expert interviews were carried out with spokespersons from the general affairs or HR department, master trainers or the owner of the company, from May to June 2018. The interviews lasted between 1 and 3 h, were taped and later partially transcribed. The observations were documented in a nonstructured observation report.

Survey Results In the following, the findings are listed separately by recruitment and training. As the findings on recruitment are very similar, an aggregated presentation by means of clustering is carried out here, while a more differentiated presentation on training is carried out by tracing individual cases.

Outline of Recruitment and Hiring Criteria Looking at the nature of hiring over the last 10 years, it was clear that hiring at the four companies with 15 or more employees (Companies A, G, J, and F) centered on new graduates. For the four companies with 15 or fewer employees; however, it centered on mid-career hiring. Among enterprises with no employees, that is, sole traders, Company D hired one new high school graduate in the preceding 10 years, who left the company after 1 year. Company C hired no employees in the 10-year period. The hiring criteria for the four companies focusing on hiring new graduates include basic calculation ability (Company A, Company F), and social competence (Company G, Company F); knowledge essential to the operation of relevant machinery was not a prerequisite (Company A, Company F). Other criteria included “two trial weeks as a casual employee” (Company I), “the ability to understand the operational procedure” (Company B), and “appetite for a challenge” (Company D). The responses of companies that did not hire many new graduates indicated that, in practice, it is hard for them to get the best out of the new graduate system; they said, “as we do not carry out such recruitment very often, selection is hard” (Company H) and “we wanted to hire new graduates but there were no applicants” (Company E). From the above points, it is possible to summarize the nature of recruiting and hiring criteria as follows. Many SMEs want to hire new graduates but recently it has been difficult to hire university students due to a lack of graduates in mechanical engineering. Medium-sized companies therefore hire high school graduates, without requiring specialist knowledge relating to machines. This is because there is a strong tendency for academically gifted high school students to go on to university or specialist colleges. Hiring criteria for both industrial high school graduates and general high school graduates are minimally mathematical knowledge, self-competence, social

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competence like the ability to cooperate, and so on. Hiring new graduates tends to be difficult for companies that have ten or fewer employees; they more or less rely on mid-career hires, and it is rare for them to hire new graduates. Up to 2013, the situation was different, when the job offers to applicants’ ratio were low (JILPT, 2017a). Indeed, many enterprises were impacted by the economic slowdown caused by the Lehman shock in 2008, and the Great East Japan Earthquake in 2011, experiencing a decline in orders, among other things. Company J saw a severe reduction in orders during the time of recession, causing a change of company president, a higher awareness of costs, and a move to performance-based pay. As a result, most of Company J’s longstanding skilled workers left the company. In the last 5 years, at least half of the company’s employees were newly hired. Among 20 people hired in the manufacturing department, 17 were hired as new graduates and three as mid-career hires. At the time of the interview, Company D consisted only of the company owner, who gave the following statement: Orders are gradually falling. Until about 15 years ago, there were many orders. Increased use of automatic tool manufacturing allowed enterprises to make machine tools themselves. As a result, a number of enterprises went bankrupt. It takes about seven years to see a return on a machine costing in the tens of millions of yen. During those seven years, the precision of new machines improves. This means that things are difficult without business expertise. The quality of a small factory is determined by the capability of its machines.

The company owner described hiring new employees under such circumstances, as problematic. In addition, he stated: “I made an exception and hired a new industrial department high school graduate. However, when we discussed the company’s situation and likely future, after one year the graduate transferred to another company.”

Initial Training After Entering the Company Planned initial training after entering the company and its actual implementation are summarized below. Small enterprises that focused on mid-career hiring did not provide much Off-JT. Once the new employee has some familiarity with operating the enterprise’s machines, it is left to each person’s own discretion to further pursue his capability development. The following specific cases help to examine and clarify the situation: At company A (48 employees), training for new graduates is planned by the company president and is not written or codified into a manual. Initial training is scheduled to last around 6 months. The skills to be learnt are understanding machine operation and drawings, coarse grinding, and rough finishing. The skills are learnt in parallel. To raise the retention rate of the new employees, in principle there is no overtime in the initial 6 months. The decision as to whether a trainee becomes a “multi-skilled” or a “single-skill” worker is made according to each individual’s

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aptitude and motivation. Workers are sometimes sent for training with relevant machine manufacturers upon entry or when desired. Additionally, sometimes the customers invite employees of company A for some days of training. Very often the customers are bigger companies and offer some structured in-house training courses to guarantee the quality of the products manufactured by company A. In company F (15 employees), training for new graduates is also not written or codified into a manual, and a certain amount of flexibility is assumed. Learning to operate the machines starts from deburring and inspection tool skills; this period lasts about a month. Thereafter, training in operation of the machines is carried out according to the judgment of the operator. New graduates record the details of their learning in notebooks but, in practice, some of them prove to be inadequate. The time needed to master a skill like coarse grinding varies from person to person, taking from 3 months to around a year. Veteran members of staff judge when a trainee is ready to progress to the next stage. Company G (43 employees), sends its new graduates on a five-day training course for machine tool manufacturing enterprises. This is so they can fully understand and properly grasp how to operate the latest machines and also learn skills that differ from the individual operation style of veteran employees. The cost of the training is around 200,000–300,000 yen per person, which is borne by the company. At company H (15 employees), five people were hired mid-career over the 10-year period. They were mainly recruited via HelloWork (a public-sector employment security service) and were mainly technicians able to operate lathes, milling machines, and so on. When SMEs hire workers, selection is difficult due to the low status of SMEs in Japan and the labor shortage. In order to raise the retention rate of new employees, there is initially no overtime. Training is given in operation of the machines needed to fulfill orders, but the content of training is not structured. At company H, salary increases are determined by an annual interview; that is, the company has a performance-related pay structure. In addition, ad hoc allowances are paid when an employee has worked particularly well. This company reported that although there are orders, the number of young people unwilling to work long hours are increasing which impacts the company’s ability to handle them. Company I (14 employees), hired eight or nine people over the 10-year period. There are many older workers at this company, and it has proven impossible to attract people under 40 through the company’s recruitment channels center on HelloWork and Rikunabi (a private-sector personnel placement enterprise). When someone applies, they are first asked to work as a casual employee for two trial weeks. There have been cases of applicants choosing to withdraw at this stage because the company culture does not suit them; there have also been cases where the company has notified the applicant that they will not be taken on. Employees may sometimes leave within the first 2 years after joining the company, but after that they tend to stay. Training in machinery operation is basically on-the-job and few of those hired had previous task-related experience. Among the 14 employees, four are multiskilled. Company I also hired two new high school graduates during the 10 years, one of whom left the company early, while the other graduate, who was

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hired from an industrial high school, has been with the company for 10 years and is now in a position of responsibility. Training in this company is mainly OJT, and hands-on experience of working in other departments is regarded as an important part of the training. Although which department the trainee belongs to makes a difference, it is extremely beneficial during sales negotiations if those involved in marketing are familiar with the production process. In the same way, if those working on site have first-hand external knowledge (e.g., of the market in which the company operates), they are able to understand why certain aspects of the process are important, which, in the opinion of management, helps ensure stable product quality. However, in practice, many of those hired to work on the factory floor have poor communication skills, and such workers who are regular employees do not actually receive sales-related training. For more than 10 years, the company has suffered from a shortage of staff, with a particular lack of people able to produce machine tools. Many similar businesses have shut down (ceased trading) in the past 7 or 8 years. The official retirement age is 60, but retirees continue to be employed on casual contracts. To help with employee retention, the performance-related portion of the salary system has been increased. Company J (37 employees), considers the training period for new graduates to be around 3 years. Intensive Off-JT training is provided for new graduates and mid-career hires for around the first month. Training new graduates and mid-career hires together is considered to be efficient in terms of time and money, and also encourages communication between the two groups. There is a three-day camping trip for new employees, during which the creation of relationships is emphasized. In addition, the company president conducts a three-day training event providing an overview of the company. Thereafter, training is mainly OJT. New graduates have 84-h sessions on how to look at drawings, after which different employees give instruction in how to operate the machines. After all of this, when the new graduates understand how to operate the machines and can rough cut, they are allowed to operate the machines alone. At company J, trainees first learn how to operate shearing machines (four or five types), then progress to lathes and milling machines. The time needed to acquire such skills varies according to each individual, but it takes 1 or 2 years to learn how to operate the shearing machines and around the same length of time for lathes.

Discussion: Outcomes and Challenges When analyzing the results of the interviews, it is possible to highlight the following points: First, mid-career hiring is central at small enterprises in the manufacturing sector. Although some enterprises require candidates to have existing experience in machine operation, labor shortages mean that in practice most small enterprises are not in a position to pick and choose between candidates; they will offer a position to all suitable candidates. Initial training is rarely anything other than OJT. New

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graduate training at small enterprises is also mainly on-the-job, but it was possible to confirm that some enterprises have some kind of training program. Second, medium-sized manufacturing companies hire new graduates who are provided with initial training, the duration and content of which vary depending on the enterprise. Training is mainly OJT, but some companies provide Off-JT. The retention rate for new graduates at medium-sized enterprises that provide initial training is comparatively high. However, these were also the enterprises in this survey making relatively higher profits. As a result, it is not clear whether the higher retention rate is the result of initial training, or comfortable working conditions in the enterprise. Third, criteria for performance-based pay include the level of skills such as machinery operation and being able to operate multiple machines. At SMEs, to secure highly capable members of staff, there are systems of compensation that reflect ability rather than seniority-based systems. Furthermore, the following points can be extracted from the examples of initial in-house training at enterprises that mainly hire new graduates. First, initial training focuses on understanding the enterprise and building human relationships. This can be said to be similar to the content of the initial training at large enterprises (Pilz & Alexander, 2011). Second, training in how to operate machines is mainly OJT, where 1 or 2 years are expected to be the norm to learn the necessary skills. Third, it is intended that trainees become multiskilled and operate more than one type of machine. If a single worker can operate multiple machines, an enterprise can put in place a system that can respond to changes in orders and in which workers can cover for absent colleagues. Many enterprises intend their skilled workers to be multiskilled in principle, but this does not always happen in practice. As shown in the individual company examples, there are many occasions at most SMEs in our sample when ability assessment and compensation are linked. SMEs constantly suffer from a shortage of labor and, in order to retain good technicians, they have no choice but to set the weighting of performance pay to be high. Compensation at SMEs places importance on performance-related pay, in contrast to the seniority-based wage system seen as typical of Japanese companies at least in the past (Conrad, 2009). It is also noticeable that only in one of the companies surveyed is there a close cooperation with customers regarding training activities. The cooperation networks between SMEs and Japanese large enterprises described in the literature (Hirasawa et al., 2018; Kajikawa et al., 2010, p. 170–175; Tanaka, 2009, p. 7), which also includes the area of know-how transfer and training, are therefore hardly noticeable here.

Conclusion This study has limitations such as the small number of cases, which make generalizations difficult. Especially, a detailed international comparison becomes highly speculative (Ashton et al., 2008; Bishop, 2015; Baumeler & Lamamra, 2019; Stone & Braidford, 2008; Billett et al., 2003). Limiting the study to a single industry sector also constricts the ability to reveal differences between

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industries (Fujimoto et al., 2008, p. 3). Nevertheless, it was possible to identify some aspects that require further discussion. In particular, it is noticeable that there are significant differences between SMEs and large firms in Japan. While our findings on recruitment are consistent with the existing literature, there are some aspects in the area of training that have so far received little attention. These findings now have some implications for research on the one hand, and for the strategies of SMEs with regard to recruitment and training on the other. As far as research is concerned, this study of small companies shows that there are significant deviations from the international discussion, which mainly focuses on large companies. This can be demonstrated using the example of the typology in the Skill Formation Approach outlined above (Busemeyer & Trampusch, 2012). While large enterprises in Japan clearly belong to the “segmentalist type” (Pilz, 2016a), the concept for SMEs is different. The training in the SMEs we examined is rather a mix of the “segmentalist type” with the strong involvement of the enterprises, and a “liberal type” in which the enterprises offer little or no training activity and leave the upgrading of qualifications to the employees themselves. In light of this, the typology for Japan should be more differentiated in the future. At the same time, upskilling activities can be found in all the small enterprises (fewer than 50 employees) we surveyed. However, these are hardly compatible with the differentiation of OJT used in the literature so far. Although the literature on Japan often differentiates between structured and unstructured OJT (Matsuo, 2014, p. 227), it is not clear whether this differentiation is compatible with the differentiation of OJT in practice. In the literature, the unstructured OJT also illustrates a form of clear intention in training, and a conscious learning process. Our findings, on the other hand, show that skill acquisition in SMEs often happens without any planning and without specific intent. Thus, in our qualitative interviews, this form of skill acquisition had to be explored or disclosed only together with the company experts, which once again shows the advantages of a mixed-method approach for this research. For example, reading a technical manual was not perceived as a learning activity by the respondents in a first statement during the interview session. Against this background, we advocate the introduction of the construct of “informal learning” into the scientific discourse for Japan. Informal learning describes these unplanned and unconscious learning processes, and can be found in various professional contexts, including research on work-based learning worldwide (Jeong et al., 2018; Manuti et al., 2015; Björnavold & Colardyn, 2004; Ellström, 2011; Eraut, 2004; Harris et al., 2001; Tam & Gray, 2015; ILO, 2011; Koops & Pilz, 2019). In an ethnographic study, Madono (1998) was able to describe this form of learning – without naming it “informal learning” – in detail in a small Japanese auto garage. He uses the Japanese term “minarai,” which describes learning as follows: “apprentice: literally, novices who learn by observation of skilled workers” (p. 134). (Koike (1997, pp. 13–19) used the term “informal OJT” a long time ago. However, in his study, the nonexistence of training plans was primarily focused on. In contrast to our approach, the learning processes themselves could nevertheless be described as planned and intended.) At the same time, our findings document that in the Japanese

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corporate context, more extensive qualitative studies are of great importance. Matsuo (2014, p. 237) comes to a similar conclusion. In view of the activities and strategies in Japanese SMEs, the following implications can be derived from our data. With regard to recruitment, the SMEs face major problems. On the one hand, in a high-tech and high-wage country like Japan, well-qualified employees are needed. On the other hand, demographic change and academic drift mean that fewer and fewer applicants are available to join Japanese SMEs (National Association of Small and Medium Enterprise Promotion Organizations, 2018, p. 116–155; The Economist Intelligence Unit, 2010). Furthermore, SMEs are not very popular with graduates because they cannot compete with large companies in terms of job security, career opportunities, labor conditions, and the social business environment (Pilz & Alexander, 2020; Takahashi, 2017). It remains to be seen whether the strategy of paying relatively high salaries (see also National Association of Small and Medium Enterprise Promotion Organizations, 2018, p. 132–134; Waldenberger, 2016, p. 27), which was also found in our sample, will be sufficient in the long term to remedy the shortage of skilled workers. Other approaches discussed so far, such as the greater recruitment of women and elderly workers (National Association of Small and Medium Enterprise Promotion Organizations, 2018, p. 136–139; The Economist Intelligence Unit, 2010, p. 10–12) could not be found in our sample. Only part-time recruitment of retired former workers plays a role. The relatively low productivity of SMEs to date is repeatedly noted with regard to training (National Association of Small and Medium Enterprise Promotion Organizations, 2018; The Economist Intelligence Unit, 2010). At the same time, SMEs must do more for training in order to be competitive in the face of rapid technological change (Waldenberger, 2016, p. 25). However, this can only succeed if internal training in SMEs is more professionalized and standardized (National Association of Small and Medium Enterprise Promotion Organizations, 2018, p. 173–178) and small enterprises need support in order to make this a reality. In the future, this may be in the form of greater use of online-based training (Sambrook, 2006) or, alternatively, the networks between SMEs as suppliers for large enterprises could be better used. By introducing this solution, it would be conceivable to expand the training of SME employees in large enterprises. This is because large companies with international operations are interested in ensuring that their suppliers can continue to supply high-quality products in a short period of time (Smith, 2019). Whether external services, for example, via the employer’s organizations (Fujimoto et al., 2008, p. 4–7), can also play a role in the future is yet to be seen. In our findings, such activities were hardly noticeable, at least at present. Finally, the role of the state in Japan can also be discussed. With a new approach, the government is currently trying to attract more young people to employment in SMEs, while placing greater emphasis on workplace-related competences during their studies. A new type of vocational university introduced by the Central Council for Education in 2017 comprises so-called “professional and vocational universities” and “professional and vocational junior colleges.” These new institutions are

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intended to enable Japanese school leavers to obtain higher education geared to vocational skills. In particular, key competencies like social and self-competencies are the focus of training (Kaneko, 2019; OECD, 2019, p. 89). Whether and how this government initiative will affect the challenges of recruitment and training in Japanese SMEs is, at this point, not clear.

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Literacy and Lifelong Learning in the Twenty-First Century: Development of Multilingualism and Multiliteracies in ASEAN

25

Azirah Hashim

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Language and Language-in-Education Policies in ASEAN . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Sustainable Development Goal (SDG) 4 calls for all nations to “ensure inclusive and equitable quality education and promote lifelong learning opportunities for all” (UN Sustainable Development Agenda 2030). To achieve this goal and its ten related targets in Education 2030: Incheon Declaration and Framework for Action, literacy is indispensable. Literacy is also required to achieve the other 16 SDGs. Often, literacy has been referred to as a set of skills and practices comprising reading, writing, and using numbers; however, it has now evolved into a multidimensional and complex concept. This chapter aims to show that inclusive and equitable quality education and lifelong learning are only possible when education responds to and reflects the multilingual nature of a society. Focusing on ASEAN, this study examines multilingualism and the extent to which development of multilingual and multiliteracies’ competency is given a place in the education system. Cross-border mobility and increased ASEAN cooperation have led to a transition from specific languages and cultures to a mixture of the same in nations in the region. To add to this complexity, English was declared ASEAN’s sole working language, a status confirmed in its 2009 Charter. ASEAN member states would have to reexamine their language education policies to allow for multilingualism and respect for mother tongues. The one-nation-one-language ideology and the promotion of single languages as A. Hashim (*) Universiti Malaya, Kuala Lumpur, Malaysia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_36

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national languages, together with the pragmatic rationale for language learning that prioritizes English, conflict with actual multilingual realities. A framework that supports lifelong learning development of multilingual and multiliteracies’ competency is needed. Keywords

Multilingualism · English · Lifelong learning · Education · Multiliteracies

Introduction This chapter aims to show that inclusive and equitable quality education and lifelong learning are only possible when education responds to and reflects the multilingual nature of a society. Focusing on ASEAN, this study examines multilingualism and the extent to which development of multilingual and multiliteracies’ competency is given a place in the education system. Although language is not named in any one of the 17 domains of the SDGs, its role cannot be denied or underestimated. Language is needed, for example, to talk about global issues, to put forward action plans around the SDGs and to execute those plans to reach the goals. It may not directly lead to substantive development activities, job creation or eradicate poverty, and remove hunger; however, all this cannot really be achieved without the medium of language (Obaidul, 2021). The importance of language and the key role it plays are clearly seen in education and quality education in particular. There is the study of language and language is also the medium of instruction for other subjects and this has been a much-debated issue among education policy makers in ASEAN (e.g., Azirah & Kuang, 2012; Asmah, 2013; Kirkpatrick & Liddicoat, 2019). In addition, the topic of children’s mother tongue as medium of instruction in early childhood and primary education has been a contested area in education (Lo Bianco, 2016). This chapter further argues that a multilingual lifelong learning policy is appropriate in the context of ASEAN to preserve and promote linguistic diversity as well as to provide lifelong learning opportunities in a multilingual context. In this regard, while striving to come up with transnational education and language policies, it is important that a consideration of contextual factors in the different countries are taken into account. The role of English is discussed as it has become the most important second and foreign language in all countries in ASEAN. It is the lingua franca in education, trade, and employment in many cases and an essential skill to be able to succeed academically and professionally in the twenty-first century. As such, language policies have focused on providing this skill to facilitate equitable access and allow inclusive opportunities while neglecting other languages which are not national languages. A focus on English, however, is not enough in a multilingual region like ASEAN. There is an urgent need to ensure that, while English skills are pursued for regional and global competitiveness, mother tongue heritage languages, are also preserved and used. It does not appear that ASEAN countries have developed a clear and coherent policy on languages and for languages across the

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curriculum which does this. What can be seen is the emphasis on the importance of the national language and English, with insufficient consideration given to multilingualism.

Language and Language-in-Education Policies in ASEAN In this section, a survey of language and language-in-education policies in the ten ASEAN countries – Malaysia, Singapore, Brunei, Philippines, Thailand, Indonesia, Cambodia, Laos, Myanmar, and Vietnam – is given. The main focus is on the national languages and English, the impact of policies, and the implementation of these languages in education on other languages in the country and region. The survey begins with the former Anglophone colonies – Singapore, Malaysia, the Philippines – and Brunei, a former protectorate – all of which have retained a strong position on English. It then describes the situation where English has only recently become the first foreign language in the country, as seen in Cambodia, Thailand, Laos, Indonesia, and Vietnam. All countries have national language and educational policies that have evolved, for the majority, since independence. It can be seen that, in all cases, a local language has been made the national language. The role and status of English have taken different paths in the different countries given their colonial history but there are some widely shared attitudes amongst all. What seems clear is that the one-nation-one language ideology and the pragmatic rationale for language learning have combined to exert pressure on language policy leading to a conflict with the multilingual realities of these nations. It has also brought about the promotion of a few languages for national and educational purposes whilst neglecting the others. In ASEAN, English has quite unanimously been considered a vehicle of empowerment and participation whereby knowledge of it is central to a country’s competitiveness. For example, the Philippines workforce is favored in the international market due to the English language skills of its workforce (Tupas & Lorente, 2014). Countries with lower levels of English proficiency and, therefore, lacking access to information and technology like Cambodia and Laos, have also turned to English to ensure economic growth and competitiveness for themselves. Therefore, all countries are trying to juggle local needs, national priorities, and the available resources against global demands. Debates about language can be said to have been reduced to the national language, English, and local languages that have some status in education. As English is the language of ASEAN, measures are in place in every country to close or narrow the English proficiency gap between ASEAN’s member states. A study by Kosonen (2017) on choice of media of instruction and the extent to which multilingual education is practiced shows that, in general, Cambodia, Vietnam, and the Philippines have pluralistic policies and use nondominant local languages as languages of instruction to some extent, while Brunei, Laos, Indonesia, Malaysia, and Singapore mainly use the national and official languages as languages of instruction. The implementation of multilingual policies in the former group,

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however, remains unclear. At all levels of education, there are attempts to increase the role of English vis-à-vis the national and local languages. Policies are designed to increase the number of international students who come from the region and outside as the region tries to harmonize the education systems and encourage intra-ASEAN mobility rather than send students to traditionally popular destinations such as the UK, the US, and Australia. In Malaysia, English was introduced in the maritime region during the seventeenth century and it was a British colony from 1867 until 1957. In 1925, there were 29,000 children in Malay vernacular schools, 15,000 in Chinese vernacular schools, 8000 in Tamil vernacular schools, and 14,000 in English-medium schools (Kirkpatrick, 2010, p. 22). In the 1950s and 1960s, recommendations for the media of instruction were put forward and the Razak Report of 1956, which became the Education Ordinance of 1957, gave the country the kind of schools which are still in existence today – the national and national-type school systems. The former uses Malay as the medium of instruction while the latter uses two local languages, Chinese and Tamil, as the medium of instruction catering to the two ethnic groups. International schools from the UK, Australia, and the United States have English as the medium of instruction. After independence, efforts were made to strengthen the position of the Malays and the Malay language. Article 152 of the Constitution made Malay the official and sole national language, reducing the status of English to second most important language. The phasing out of English ten years after independence was actively pursued by the government. As for the other ethnic groups, Article 153 defined the function of other ethnic languages in greater detail and referred to the safeguarding of “the legitimate interests of other communities” without mentioning any language explicitly. Only Mandarin and Tamil were foregrounded as representative of the Chinese and Indian communities who were allowed to continue their own schools where these two vernacular languages were used as media of instruction. Replacing English with Malay was deemed successful as, by the 1980s, Malay was the medium of instruction in all schools and public institutions of higher education. However, the weaknesses of the policy that solely promoted Malay became a subject of debate (Azirah, 2009; Asmah, 2012). The English language competence of many, especially graduates from local universities, had declined to the extent that they became virtually monolingual in Malay and were often unable to secure jobs in multinational organizations. This became an acute new problem especially when the private sector was expanding, businesses needed personnel proficient in English, and competition in the region was increasing (Ramiza & Albion, 2013). A new policy was then announced in 2003 whereby English was reintroduced as the medium of instruction for Mathematics and Science from the first year of primary school. With this change in policy, the school system went back to a system that was bilingual, or trilingual in the national-type schools. After some years of implementation, this was also judged to be unsuccessful – children from poorer and rural areas performed badly in these subjects and teachers who taught them were not proficient enough in English. This led to another reversal of the policy and Malay was reinstated as the medium of instruction for the two subjects in 2012

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(Azirah, 2009; Asmah, 2012; Gill, 2012). Malaysia has seen a constant ongoing struggle between its adherence to tradition and the use of the national language and the need to meet the demands of the modern and global world. The debate has not significantly included minority languages (of the indigenous communities) apart from Mandarin and Tamil which are taught in some national schools. There are efforts to revive some of them as can be seen in the teaching of Bidayuh and Iban; however, any efforts fall behind the emphasis given to the national language, Malay, and the second most important language, English, accompanied by the constant debates about how much English should be allowed as media of instruction in schools and higher education institutions. Neighboring Singapore has taken a different path from Malaysia with its choice of national and official languages and implementation of language and language education policy. The government commitment to human capital investment and modernization through rapid industrialization have made English a necessity and a priority. English has been portrayed as the main language for advancement and the means of gaining access to information and wealth. At the time of independence, English was not a first language but it has, over the years, become the first language for many Singaporeans and has continued to be central to Singapore’s economic survival and progress. At the same time, the country has four official languages – Malay, Mandarin, Tamil, and English – and one national language, Malay (Kirkpatrick, 2010, 2014). Three of the official languages represent the three official communities – Chinese, Malays, and Indians – whether or not they were in fact speakers of any of these languages or used any as a home language. These languages were initially taught as a first language or second language in the Malay, Chinese, and Tamil schools but, by 1987, English had become the medium of instruction in all schools. The three languages are referred to as Mother Tongues and studied as subjects by all students according to the father’s ethnicity although hyphenated identities were allowed for children of mixed marriages as of 2011 (Jain & Wee, 2019, p. 272). English is generally the language of interethnic communication and is considered a neutral language. Singapore’s language policy has been called one that is about pragmatic multilingualism and it has been a success for the country’s economy and education which are regarded as world class. This policy has, however, been seen to be detrimental to other languages as many Chinese dialects have become neglected and ethnic Chinese have difficulty in achieving high levels of literacy in Mandarin (Wee, 2010). The Speak Mandarin Campaign was launched in 1979 to promote Mandarin among the Chinese with the rationale of unifying the Chinese who came from different dialectal groups and to facilitate learning amongst students (Lim, 2015; Jain & Wee, 2019). This has led to the replacement of the Chinese dialects with a standard language. Data from census revealed that English has become the dominant home language and that Mandarin had displaced the other Chinese dialects over time. Recently, however, there has been some enthusiasm about promoting Chinese dialects as awareness of the importance of heritage has increased. Classes for teaching Chinese dialects have sprung up especially for the young to study the dialects of their elders and videos from the Ministry of

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Communications and Information have also been produced with official approval (Lim, 2015). Brunei has a similar colonial history to Malaysia and Singapore in that it became a British Protected State in 1888. The Constitution of 1959 stipulates that Standard Malay is the official language. Malay is the first language of the majority of Bruneians and the main language for oral communication but the majority of the population are plurilingual (Noor Azam et al., 2016). During the 1950s and 1960s, the mainstream government primary schools used Malay as the medium of instruction while a small number of primary schools and government secondary schools had English medium streams. The Chinese community had its own schools and used Mandarin as language medium and Arabic was used in certain schools. The question of which language should be used as medium of instruction appeared to have been fluctuating at that time. On independence in 1984, a bilingual language education system was adopted using both Malay and English. This dual policy was seen to have placed greater emphasis on English than on Malay indicating that Malay was considered to be less important than English (Noor Azam et al., 2019). In 2009, a new system of education was introduced and, from then on, mathematics and science have been taught in English from the start of primary school. This seems to have proceeded smoothly with English becoming a common language used among the different ethnic groups. As for the many indigenous languages that exist, it does not appear that they will be included in the school curriculum. Philippines was colonized by the United States after Spain was defeated in the Spanish-American War in 1898. English was introduced and became the de facto medium of instruction in schools set up during colonial rule (Thompson, 2003). According to census data, in 1918, more than 50% of Filipinos of age ten and above could speak English and 55% could read and write it (Kirkpatrick, 2012). Tagalog was made the national language in 1937 prior to independence and was taught in schools from 1940. It was not the language of any majority group as there are many other different languages spoken in the country. Tagalog was renamed Pilipino in 1957, and then renamed Filipino in the 1970s to avoid accusations of Tagalog imperialism. English and Filipino were then designated official languages. AntiEnglish sentiments led to Philippines developing its own language policies and, in 1974, bilingual education was established with English and Filipino used as media of instruction (Thompson, 2003). In 1987, the policy stipulated the use of English for science and mathematics and Filipino was to be used for all other courses similar to what was implemented in Malaysia. English has remained the most dominant language of literacy even though there were efforts to widen the domains of Filipino mainly because of the prospects that English competency provides in the job market and the economic advantage it has to offer (Lorente, 2013). The bilingual policy has only had marginal success with English still dominant in several domains (Martin, 2012). The push for English saw a return to English as the medium of instruction in 2003 and efforts to permanently institutionalize English. At the same time, efforts for the use of mother tongues also gained traction and a new bill was proposed in the Philippine Congress in 2008 proposing the use of mother tongues as media of instruction in education and for the

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use of the first language as the primary medium of instruction from preschool to Grade 6. This is a key step in acknowledging the multilingual nature of the country. A policy called Mother Tongue-Based Multilingual Education (MTB-MLE) was implemented in 2009 with Article 1 stipulating “the superiority of the use of the learner’s mother tongue or first language in improving outcomes.” Official recognition of the value of local languages as languages of education became more evident. Mother tongues other than Tagalog have become alternative languages in the debates on media of instruction showing the weaknesses of bilingual education in that it has marginalized certain groups of people (Tupas & Lorente, 2014). Moving to a country that was never colonized, Thailand, English was introduced in the nineteenth century during the reign of Rama III (1824–1851). Although English has become more and more popular, it does not threaten the dominant status of the national language, Thai, and is still very much a language for international use rather than intranational use amongst the Thai people (Fitzpatrick, 2011). It is the lingua franca especially in tourism and international trade but of not that much relevance to the majority of the population – this may change with internationalization of higher education and Thailand’s membership in ASEAN (Kirkpatrick, 2012; Bennui & Hashim, 2014; Bennui, 2019). Thai is spoken in some of its forms by almost all Thais. It is the de facto working and national language and is the first language of about half the population (Kosonen, 2013; Kosonen & Person, 2014). While there are about 70 local languages spoken, Standard Thai is the language of education leading to the exclusion of minority languages except in a small number of pilot programs funded by external agencies (Kosonen, 2008; Kirkpatrick & Liddicoat, 2017). Like other countries, English has become a dominant language of instruction in education. English is a mandatory subject for every Thai student. There is no official second language but English is, in practice, the de facto second language, like in Malaysia and the Philippines, is used in a wide range of domains. It is also now the most popular foreign language. Education reform through the National Education Act of 1999 included the aim of making English a compulsory subject for all levels in primary school. Thailand’s bid to become an education hub and competition for foreign students saw the acceleration in the adoption of English as a medium of instruction in programs offered by higher educational institutes. Leading public universities also began to offer international programs for Thai and foreign students using English as the medium of instruction and this trend is increasing (Kaur et al., 2016). Despite the interest in English, Thailand is one of the ASEAN countries that has demonstrated some effort in promoting a few minority languages in education. The Thai Constitution of 1997 has allowed for minorities to use their languages and since the late 1990s, the use of more of these languages has increased. The Thai school curriculum since then has allowed the teaching of ethnic minority languages in minority areas with 30% of the curriculum for minority language study or other local subject matter allocated (Kosonen, 2005). In Indonesia, only Bahasa Indonesia has been officially named as national language but other languages have played some role in education. Language policy was already a topic of debate as far back as 1928, 17 years before Independence

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when youth organizations called for the renaming of Malay as Indonesian and that the Indonesian language would signify unity of the many different ethnic groups. Indonesia became the state language as stipulated in the Constitution in 1945 and has since been used as the medium of instruction at all levels of education in the country (Nababan, 1991). Indonesian is not a language of any ethnic group and was only spoken by a very small percentage of the population; however, a strong nationalist movement and a desire to unify the different ethnic groups have led to its acceptance. Like Malaysia after independence, a major educational priority in the 1950s was to improve literacy in Indonesian. As the only language of instruction, it has excluded other local languages. English was taught as a foreign language across all secondary schools. Although English was never used in official domains, it was seen as a global or international language in trade, business, politics, education, and the media (Lauder, 2008). Unlike the rest of the ASEAN countries, Indonesia has not made English a compulsory part of the primary curriculum even though English became a compulsory skill in many university programs. It was only in 1990 that English was officially recognized as a subject in the national curriculum of primary schools. English was allowed to be taught in primary schools from Grade 4 “as an optional local content subject in cases where there was a demand for it in the local community and a qualified teacher was available” (Kirkpatrick & Liddicoat, 2017, p. 19). In contrast to its neighbors that have made English an official language or a medium of instruction of some subjects, Indonesia has prioritized the national language with increasing importance given to English (Kirkpatrick & Liddicoat, 2017). In 2015, it was announced that English would be a medium of instruction in universities (Kohler, 2019). There has been pressure to promote English as an international language as in the other ASEAN countries to enable Indonesians to compete globally and the shifts and uncertainties are similar in some ways to those in Malaysia. Like in the other countries, the neglect of other local languages has been highlighted (Rahmi, 2015; Kirkpatrick, 2012; Kirkpatrick & Liddicoat, 2017). The Constitution guarantees the use and development of minority languages but efforts can be seen mainly in projects on mother tongue multilingual education (Kosonen, 2017). Contradictory language policy demands have been found in the education domain testifying to the overall political and social uncertainty about how to balance the support for the national language, the other local languages and English. As for the rest of ASEAN, regional economic integration and the desire to participate in the global economy are two of the main reasons for the push for more English. Due to Vietnam’s past experiences, English is generally not widely used in Vietnam and the population has not had much access to information or media broadcasts in English. Economic reforms known as doi moi changed this when the country opened up in 1986 leading to a nation-wide rush to learn English. English came to be seen as being more and more crucial for the development of the country. After the collapse of the Soviet Union from the 1990s, Russian became unpopular and English became privileged as the main foreign language. Vietnamese and English have become the two most highly sought languages. Government efforts saw the implementation of programs such as “English 2020” that aimed at getting college graduates to be able to use English by the end of the decade (Kirkpatrick, 2012, p. 8).

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A curriculum for English in primary schools was introduced in 2003 and the target of Resolution 1400, a new plan for language education then, was for all Vietnamese students to study English from Grade 3 to tertiary level by 2020 (Kirkpatrick & Liddicoat, 2017). English will likely continue in its position as the key foreign language that is learnt nationwide and supported by the government (Nguyen & Nguyen, 2019). Where minority languages are concerned, the 1946 Constitution recognized the right for minorities to be educated in their own languages and minority languages are incorporated into education. It is not clear, however, as to how much of this has been implemented. As in other ASEAN countries, language policy has come to focus increasingly on the provision of the national language for all learners with little emphasis on implementation for local minority languages (Kosonen, 2013). Written policy statements support the use of minority languages in education, but in practice, Vietnamese remains the main medium of instruction at all levels (Kirkpatrick & Liddicoat, 2017). Vietnamese is a compulsory subject in international schools and ethnic minorities are encouraged to learn Vietnamese from primary school. Furthermore, the language policy implements Vietnamese in public and private institutions, therefore, threatening the status of minority languages (Nguyen & Nguyen, 2019). Similar trends can be seen in Cambodia and Laos. From the arrival of the French in 1863 to the 1950s, three main languages were used in Cambodia: Khmer (the native language), Pali (the language of Buddhism), and French (the colonial language). The largest ethnic group, the Khmer, constitutes more than 90% of the population and their language, Khmer, was already used in many public domains for a long time before independence. It became the national and official language postindependence. Cambodia can be said to be the least diverse in ASEAN linguistically as there is only an estimated 27 languages in the country today (Kosonen, 2005). As it had been a French colony, French was the language used as the medium of instruction in education, the language of written legislation, intragovernment documents, and the language of commerce and banking until 1955 (Thong, 1985). In the 1960s, the language of literacy and instruction at all levels of education shifted to Khmer although some schools also taught Chinese and Vietnamese as subjects of study due to its complex history. When the Vietnamese withdrew in 1989, English and French were taught once again as foreign languages in state schools (Tweed & Som, 2015). The Constitution of 1993 stipulated that Khmer – the language of the largest group – is the official language. It was the exclusive language of instruction until the late 1990s when bilingual education programs were started in some minority areas facilitated by nongovernmental organizations in collaboration with the government. Indigenous minority communities have also played a major role in making their languages media of instruction and the support of the Ministry of Education, Youth, and Sports has also been crucial (Kosonen, 2005). Some of these languages were introduced as languages of literacy and media of instruction in the Eastern highland provinces. Local authorities were given the authority to choose the languages of instruction in some minority areas following the Education Law of 2007. This was further expanded when the Bilingual Education Decree in 2013 allowed for nondominant languages in education. The Multilingual Education

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National Action Plan (MENAP), which sees the role of the government in the delivery of multilingual education, was adopted in 2015. However, it is not clear to what extent it was implemented and contributed to multilingual education in schools (Kosonen, 2017). English has replaced French as the most popular foreign language and is in highest demand in Cambodia. It is taught from Primary 5 for between 2 and 5 hours a week. The preference for English is obvious now as it is seen to be requisite for a better job or a scholarship from abroad. Many academics are trained in countries that provide these scholarships; such as Australia and some European countries. English schools have sprouted in cities as parents place their children in English language schools and classes are held after regular school hours for those who can afford to send their children to learn English (Igawa, 2010). In Laos which has Lao as the official language, the Education Law of 2007 stipulates Lao as the language in education. However, only about half of the Lao population speak Lao as their first language (Kosonen, 2008). Although there has been some opposition to this policy, for example, by the Hmong, there have not been any clear efforts to incorporate other languages into the classroom. There is very limited teaching of minority languages and they are usually used orally in classrooms for explaining the subject matter that is taught or the teaching materials that are used (Kosonen, 2013). Minority children have been provided with Lao as a second language to assist them in coping with learning in a language they are not familiar with. This has not been sufficient in enabling Lao to be learnt well enough for these children to perform at the optimum level. It can be concluded that about half of the population who are not speakers of Lao are therefore at a disadvantage as a result of the language policy (Kosonen, 2005). Like other countries, English has been given priority and has begun to be taught earlier in the National Primary Curriculum. In 2008, English was introduced in Grade 3 instead of Grade 6 as in the past for foreign languages replacing French which had become an optional second foreign language (Kirkpatrick, 2012). In 1996, higher education teacher training and health colleges merged to become the National University of Laos. Lao was made the medium of instruction. However, due to insufficient teaching materials in Lao, French and English had to be used. The trend now appears to be that some English is used in the classroom with the increase in intra-ASEAN mobility within the region. However, literacy development in Laos seems to be explicitly tied to the propagation of the national language and efforts are made to increase the proficiency of the minority groups in Lao to enable them to participate in higher education. Support for minority languages as media of instruction or of languages to be taught is not clear (Kosonen, 2008; Meyers, 2019). Finally, Myanmar was colonized by the British who brought in English but due to its complex history, the status of English is unlike that in the other former anglophone colonies. English was the official language during British rule and the language of governance, law, and education. The language and its literature had a significant place in the country during this period until the 1920s. From then on, national schools were established with Myanmar as the medium of instruction. By

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the 1930s, the University of Yangon established the study of Myanmar and Myanmar became the language of instruction in higher education. By the time of independence from the British in 1948, it had become the sole language of government administration, mass media, and the sole medium of instruction in government schools (McCormick, 2019). From 1964 to 1980, English was banned from use and from 1966 to 1980, the teaching of English in schools was completely disallowed. It was only after this that English started to be taught from Year 5 but by then the inadequacy of teaching methods and teachers’ lack of English proficiency made it a problem (Hnin & Lotfie, 2016). Attempts to adopt English after the second education reform in 1980 were not very successful as the teaching relied heavily on the native language. The New Education Program of 1981 aimed to improve the overall standard of education in the country. English was brought in as a compulsory subject from kindergarten and was the language of instruction at the upper secondary levels for certain subjects. The pressure to increase English proficiency also resulted from trade, tourism, and its membership of ASEAN in 1998 and English is now taught from Primary 1 (Kirkpatrick, 2012; Hnin & Lotfie, 2016). As for minority languages, the National Education Law of 2014 acknowledges linguistic diversity and supports the teaching of nondominant languages as subjects as well as allows for local languages to be used orally as auxiliary languages to help non-Myanmar speakers understand the curriculum. While there are efforts to support nondominant languages and mother tongue education, there is also the view that multilingualism could be a problem in uniting the different ethnic groups (McCormick, 2019). It remains unclear as to what language policies with regard to ethnic minority issues would be implemented (Azirah & Leitner, 2021).

Conclusion This chapter aimed to highlight that inclusive and equitable quality education and lifelong learning are only possible when education responds to and reflects the multilingual nature of a society. Language as a medium of instruction and as a subject for study are both related to equity and quality in education. By examining the language and language education policies in ASEAN, some generalizations are made about the extent to which development of multilingual and multiliteracies’ competency is given a place in the education systems. It can be concluded that all countries have developed some form of national language and educational policies. The national language chosen is a local language although not necessarily the one that has the majority of speakers. In Indonesia, for example, Malay was not the largest language when it was selected. As all policies propagate and promote the selected national language, this leads to a form of bilingualism of the national language and English with a marginal consideration of other local languages (Azirah & Leitner, 2021). Media of instruction issues are included in the policies with the usual solution being the choice of the national language with English to some extent.

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Other languages may be selected in some regions, for example, Malay in southern Thailand or Mandarin and Tamil for Chinese and Indians in Malaysia. English is a very frequent choice due to the belief that it guarantees participation in the sociopolitical and economic domains, access to jobs, and access to knowledge, normally restricted to some subjects like mathematics and sciences. Where English is concerned, all countries have taken different paths depending on their context based on some widely shared attitudes. English is unanimously seen as an important asset for progress, as the language of access to knowledge, and as the lingua franca of ASEAN. In many cases, children learn in a language which is the national language and the mother tongue of the majority; this surely perpetuates social inequality and injustice for the minority groups. Decisions are made based on assimilating ethnic groups and economic and instrumental potentials. Minority groups who have their own indigenous languages are forced to leave behind their languages and assimilate into the mainstream national languages and English as a lingua franca. There does not seem to be any clear policy for the teaching of the national language of a neighboring country and so languages like Thai or Filipino are not languages necessarily taught in other countries. At the same time, Article 2 of the ASEAN Charter Article 2 states that ASEAN seeks to inculcate “respect for the different cultures, languages and religions of the peoples of ASEAN while emphasising their common values in the spirit of unity in diversity” (Kirkpatrick, 2014; Kosonnen, 2017). Researchers (e.g., Kirkpatrick & Liddicoat, 2019) have argued that people in the region who come from such multilingual backgrounds will, over time, speak mainly the national language and English. The diversity in the linguistic ecology will decrease and there be a loss of several languages if the situation is not rectified. Minority groups are shifting to majority languages for pragmatic and instrumental reasons. From the discussion above, it can be surmised that not enough has been done in the region to ensure that minority languages and/or languages which are not national languages are sustained. To do so, they have to be included in education and teaching has to be done in these languages at least in early primary education. This would help enhance the status of these languages in education as well as in other sectors. Furthermore, learning through the home language would provide a solid foundation on which other skills and languages can be successfully developed thus preparing learners for future opportunities. Ways that contribute to the sustainability of these languages need to be undertaken not only at the formal level but also at the informal level as well to ensure lifelong learning. For example, language learning can take place beyond the classroom in informal situations. Multilingual adult education programs can be set up with different programs for different goals. There has to be a flexible model of education to achieve multilingualism. Lo Bianco’s (2016) study on language and social cohesion in Malaysia stresses that there must be focused and well-prepared interventions and that there should be more investment in promoting the use of Malay, English, and mother tongues/vernaculars. Bottom-up language planning is needed to accompany the current top-down planning with views of ethnic and minority communities, government officials, teachers,

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academics, and parents to shape policy development. A comprehensive approach that looks at all aspects of the national and regional ecology to determine an overarching national and regional policy that takes into account all languages is needed in ASEAN. Acknowledgments The author wishes to thank the Alexander von Humboldt Foundation, Germany and Freiburg Institute of Advanced Studies (FRIAS), University of Freiburg for research funding for the period, January to March 2021.

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Section IV Language and Education Xiao Lan Curdt-Christiansen

Introduction The Asia-Pacific is one of the richest regions in the world when it comes to culture and language. The languages of the region cover many language families, including Sino-Tibetan, Altaic, Mon-Khmer, Tai-kadia, Austronesian, Dravidian, and Siberian. In the field of education, this linguistic wealth has, however, been confronted by many challenges, such as which language should be adopted as the medium of education in schools, how should the mother tongue be implemented together with the society’s dominant languages, and in what ways should language-in-education policy serve the social and linguistic needs of minority and indigenous people. These challenges, which have to be dealt with by teachers, students, and families, have been compounded by globalization and transnational movements in the past decades, as well as by English as a global language. These changes in the linguistic landscape have intensified the challenges and problems in language education in the region. The 14 chapters in this section focus on how language-in-education policies are developed, implemented, and practiced. Consisting of research in Australia, China, Hong Kong, India, Japan, New Guinea, the Philippines, Singapore, and more, this section covers a variety of topics, including language-in-education policy, bilingual programs, English as lingua franca, English as Medium of Instruction (EMI), teacher education, literacy development, classroom discourse, citizen education, language assessment, and immigrant languages. In addition to the various topics in language education, the chapters also evaluate language education in different educational settings, from basic educational programs in primary schools to EMI programs in higher educational institutions. The reviews and evaluations of these language education topics point to some of the critical issues in this region in relation to the wider context of educational reform around the globe. The section is divided into five clusters: language-in-education policy, migration and globalization, English as a

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global language, modern languages in Asia, and teacher education and language assessment. Language-in-education policy is one of the major issues in the Asia-Pacific region because of the rich and diversified languages used by its population. Addressing this important topic in education, three chapters (by Anthony Liddicoat, Andy Kirkpatrick, Baoqi Sun and Hock Huan Goh, and Xiao Lan CurdtChristiansen) focus on national language policies, medium of instruction, and bi/multilingual programs in schools. Through a comparative lens with a focus on members of ASEAN and Pacific Islands Forum (PIC), the authors provide critical reviews of the policies to understand the different sociopolitical contexts and linguistic ecologies in the region. Through their evaluations of the educational policies and curricular models, they identify the influence of neoliberal ideologies underlying language policies that favor English as the medium of instruction and the early introduction of English into the curriculum across the region. Although in most countries, both the national language and English have been adopted as medium of instruction in schools, the local indigenous and minority languages have been largely excluded from educational provision. Issues such as limited support for indigenous languages, insufficient teaching materials in English and indigenous languages, and shortage of qualified teachers are some of the major educational challenges in the region. The promotion of English and the national language in the educational policies presents not only difficulties for rural and indigenous children to access literacy education but also poses threats to the regional linguistic ecology. The authors advocate the implementation of a Mother-Tongue-Based-Multilingual Education (MTB MLE) model to narrow the gaps created by English or national languages as the medium of instruction that disadvantage children from rural areas and with indigenous language backgrounds. Drawing our attention to the role of language-in-education policy and the consequences of policy implementation that can exacerbate the divide between the wealthier and the poorer groups, the authors emphasize that language education policies should be coherent and allow all children access to basic education. While the promotion of English as the medium of instruction may seem ideal under the influence of neoliberal ideologies, the implementation of such policies in schools with multilingual student populations is not problem free. Classroom practices of bilingual policies involving English and local languages often involve the phenomenon of codeswitching and translanguaging. As local languages have both social, cognitive, and pedagogical functions in the teaching of subject contents, teachers tend to use translanguaging as a pedagogical tool to facilitate classroom learning. Xiao Lan Curdt-Christiansen’s chapter addresses this critical language-ineducation policy implementation in classrooms by using examples from Singapore and Hong Kong. She argues that “named” languages, such as English or Chinese, conceptualized as discrete “codes,” can fail to address issues faced by bilingual/ multilingual learners in the process of language policy implementation. The first four chapters in this section deal with language-in-education policies, their consequences for the region, and their implementation in classrooms. The next two chapters look into the changes in language and literacy education as a result of

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globalization in recent years. Guanglun Michael Mu reflects on language education of (im)migrant children from the perspective of sociological resilience. Suzanna Choo and Sharon Quek approach globalization from the perspective of cosmopolitan literacies for the development of ethical, critical, and global citizens. The authors in this cluster explore questions that have emerged from intensified migration movements and global capital flows in the past decades. Whereas Mu illustrates how social structure has forced child (im)migrants to leave their linguistic habitus behind, exposing them to social and educational marginalization, Choo and Quek argue that overemphasis on Western philosophy in countries with Confucian Heritage Culture can devalue the educational insight afforded by Eastern philosophical traditions. The impact of globalization and the spread of English in Asian countries are the focus of the next cluster. Will Baker and Fan Fang discuss the effect of the spread of English through the field of Global Englishes that covers World Englishes (WE), English as a lingua franca (ELF), and English as an international language (EIL). Jun Lei and Guangwei Hu provide a comprehensive review of EMI particularly in the region. Paul Moore’s chapter focuses on English as a foreign language (EFL) in Japan. Examining the role of English as an international language, as well as medium of instruction in CLIL and EM programs, the authors in this cluster question the ways in which English is approached in education in Asia from a colonial and Anglocentric ideology to an examination-focused educational culture. The next cluster includes two chapters on language other than English (LoTE) programs in the region. Danping Wang and Alice Chik’s chapter focuses on Chineseas-an-additional-language programs in two English-speaking countries in the AsiaPacific region, Australia and New Zealand. Despite the increase in the Chinese heritage population and the economic growth in China, Chinese language programs have remained medium-sized in recent years. They argue that the stagnation of the Chinese programs is caused partly by a neoliberal and partly by a colonial perspective, framed by the economic value of Chinese and a geopolitical rationale. Yongyan Zheng provides an overview of modern language education in three parts of the Asia-Pacific region: Northeast Asia, Southeast Asia, and Oceania. Her review indicates that despite the geopolitical and ecological relationships between the neighboring countries, English occupies a dominant position in the modern language curriculum, either as the de facto official language or as the dominant foreign language. Other modern languages from Asia, Europe, and the Middle East are usually taught at the tertiary level as elective courses. The authors in this cluster point out that the region needs to develop a decolonizing approach and diversified LoTE programs to raise critical awareness of language status and its role in education in both Anglophone and non-Anglophone countries. Teacher knowledge is necessary for any language education to be successful. In this cluster, Andy (Xuesong) Gao, Fang Lin, and Guoxing Yu address issues related to language teacher awareness and language assessment. The authors assert that teachers’ conception, knowledge, and skills of language teaching and assessment are not only an integral part of their own professional identity but also a critical knowledge base for them to provide effective pedagogical practices for learning. Drawing on empirical studies in China, Korea, and Japan, they suggest that language

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teacher awareness and their language assessment literacy (LAL) should be included as essential foundations in teacher training programs. The section on Language Education concludes with a review of PISA’s reading literacy test assessment by Andres Sandoval-Hernandez, Dan Zhao, and Zhijun Chen. Comparing high-performing countries (e.g., Singapore) and low-performing countries (e.g., the Philippines), the authors illustrate how different educational systems in the Asia-Pacific region contribute to students’ reading literacy performance. Although literacy performance is affected by factors both at individual level, class level, and school level, they highlight that language-in-education policies that give attention to the national language and English have disadvantaged students whose mother tongue is not used for their literacy assessment.

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Anthony J. Liddicoat

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Language-in-Education Policy and Nation-Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Medium of Instruction Policies and Local Languages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Place of English . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion and Future Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter will examine general patterns in language-in-education policy in the Asia-Pacific region with a focus on official government policies on languages and their use in education. The chapter will begin by considering three main areas of language-in-education policy that are of particular significance for understanding the region. These are (1) the focus on national languages and policies relating to medium of instruction, (2) the teaching and learning of additional languages as second or foreign languages, and (3) the place of minority languages. Overall, the chapter will argue that most countries in the region have adopted language-ineducation policies that give attention to two languages only – the national language and English – and that other languages have been marginalized in education, although there are some cases where a greater range of languages is included in educational contexts. Keywords

Language-in-education policy · National languages · English · Minority languages · Human capital development · National identity

A. J. Liddicoat (*) Department of Applied Linguistics, University of Warwick, Coventry, UK e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_22

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Introduction This chapter examines how language-in-education policies are constructed in the Asia-Pacific region, aiming to tease out some of the common issues and responses in the region. Language-in-education policy (Baldauf Jnr & Kaplan, 2005), sometimes also called acquisition policy (Cooper, 1989), refers to the domain of decisionmaking about the role and use of languages in educational contexts. It covers a span of different educational activities, such as literacy development, the teaching and learning of additional languages, and the choice of the medium of instruction. The focus of such policies is to identify the subset of languages that will be used in educational systems, and which languages will be developed as a part of the educative work of a nation. In so doing it is a selective process choosing some languages found in local language ecologies for inclusion in educational domains and excluding others, with subsequent consequences for those groups whose languages are included or excluded. The Asia-Pacific region can be conceptualized in different ways and so before beginning this review of language-in-education policies, it is necessary to frame the geographic scope of this review. For this chapter, the Asia-Pacific region has been operationalized by combining two regional groupings of nations, one which represents the “Asia” component of the region and the other of which represents the Pacific. The first of these clusters is the ASEAN (The Association of Southeast Asian Nations) þ 3 forum made up of ASEAN member states (Brunei, Cambodia, Indonesia, Laos, Malaysia, Myanmar, the Philippines, Thailand, Singapore and Vietnam) and three East Asian nations (China, Japan, and South Korea) to coordinate cooperation in the Asia region. This regional grouping thus represents a key element in the regional politics of Asia, and its member nations have similarities that make it a useful grouping for considering language-in-education policy (Kirkpatrick & Liddicoat, 2017). The second cluster is the Pacific Islands Forum (PIC) members Cook Islands, Fiji, Kiribati, Republic of Marshall Islands, Federated States of Micronesia, Nauru, Niue, Palau, Papua New Guinea, Samoa, Solomon Islands, Tonga, Tuvalu and Vanuatu. These Pacific Island nations also have similarities as a group that make them useful for considering language-in-education policies. Australia and New Zealand, which are members of the PIF, have been excluded from the analysis as they have very different economic, social and ethnolinguistic profiles from the other members as a result of their history as settler colonies and so are less directly comparable with the other PIF countries. The Asia-Pacific region is ethnolinguistically highly diverse. However, this diversity is represented differently in different countries. For example, some nations are highly ethnolinguistically diverse, such as China, the Philippines or New Guinea, while others are more ethnolinguistically homogenous, such as Japan, Niue, or Nauru. The linguistic diversity of the region may result from the presence of numerous local languages in a specific geographical territory, or it may result from population flows that have introduced ethnolinguistic communities to new geographical territories, for example in Fiji, local Fiji exists alongside Hindi as the result of an influx of indentured labor from India during the colonial period.

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Similarly, Chinese is present in many countries in the region as the result of trade and economic migration over a long historical period. Other languages have been introduced because of geolinguistic processes such as colonialism. These patterns of linguistic diversity constitute the context in which language-in-education policies have developed in the region. Most of the nations of the Asia-Pacific region were colonized and only gained their independence in the second half of the twentieth century. Different nations in the region had very different histories of colonialism. Some nations in Asia were colonized by European powers as early as the sixteenth century, beginning with the Portuguese acquisition of Malacca in 1511. In other nations, however, colonial history is much more recent and in parts of the Pacific structural colonial links still persist, as in the case of Niue and the Cook Islands, and Micronesia, Palau, and the Marshall Islands, which are in “free association” with New Zealand and the USA, respectively. Nations in Asia was colonized by most of the European colonial powers, with the United Kingdom, Germany, France, Spain, Portugal, the Netherlands, and Russia all carrying out imperialist projects in the region, while the USA, Japan, Australia, and New Zealand became colonizers more recently, and Indonesia controlled East Timor after the Portuguese withdrawal in 1975. In all, very few nations escaped colonization, with Thailand and Japan the exceptions. China, although not fully colonized, ceded territory notably to Portugal (Macau), the United Kingdom (Hong Kong), and Japan (Taiwan and briefly Manchuria).

Language-in-Education Policy and Nation-Building During the colonial period, colonial governments in the Asia-Pacific region normally used the colonizers’ language as the language of administration and established educational programs using the colonial language as the medium of instruction. They adopted internal language spread policies that aimed to increase use of the spoken variety of the colonial language among those who did not speak it as a first language and educated local elites in the language to support colonial administration. In colonial contexts, the colonial language has normally typically been the sole language of schooling and other languages at best have been given only marginal roles. This focus on the colonial language meant that, at the time of independence, there were established elites in most nations who had been educated in the colonial language, and the main education systems in operation at the time of independence usually functioned in the colonial language. Language-in-education policy since independence has thus taken place against this backdrop and the language-ineducation policies in many nations are linked to earlier colonial policies, either as continuations of these or as reactions to them. At independence, nation-building was a key aim of the governments of the newly independent nations of the region and was also a key element of policy in countries that had not been directly colonized, for example, in post-Revolution China or in Japan from the Meiji era. This nation building work included both a focus on developing the nation economically and technologically and also developing a

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sense of national identity and belonging in multiethnic and multilingual regions that often came to exist as single nations only as the result of the territorial units established by colonial powers (Liddicoat & Kirkpatrick, 2020). Language policy was closely associated with both of these objectives, although with different emphases in different places. In Asia, the central linguistic focus of nation building has been on language as an index of national identity. Most nations in Asia rejected the use of colonial languages as official languages and chose local languages as a way of marking new, post-colonial identities. Such policies were strongly influenced by the one nation—one language ideology that equated national unity with linguistic uniformity (Kirkpatrick & Liddicoat, 2019). Diversity was thus often constructed as a problem, potentially an existential problem, for the nation-state, and education in a single national language was framed to create national identity and understood as a necessary resource for creating social cohesiveness. In such contexts, linguistic diversity was constructed as a threat to the integrity of the nation-state and language policy aimed to create a single national linguistic identity that would either overlay or replace the existing diversity. This focus on the national language was also articulated in the context of a need to develop human capital by expanding literacy levels in the general population. At the beginning of the twentieth century, few nations in the Asia-Pacific region had high levels of literacy and in colonized nations, literacy had normally been developed in the colonial language (Elley & Kam, 2003). For most of the nations in the region, therefore, literacy and internal language spread policies were important for educational planning (Kirkpatrick & Liddicoat, 2019; Liddicoat & Kirkpatrick, 2020). Language-in-education policies at the time therefore focused strongly on the raising of literacy levels, and this expansion was predicated on literacy in the national language. The desire to promote the language as an index of national identity and to raise literacy rates thus worked together to construct the policy approaches to language-in-education throughout the region. As a result of the focus on literacy, literacy levels have risen very substantially in many nations in the region since the mid-twentieth century, although achievement is lower among ethnolinguistic minorities who have been educated solely in the official language (Elley & Kam, 2003; Nunan, 2003). In the Pacific, however, the focus on language was often based on a different rationale in which national development in economic terms was given the main emphasis and many nations retained the colonial languages as the official language, either as the sole language or alongside a local language. In some cases, the colonial language has been viewed as important as a lingua franca that facilitates communication between ethnic or linguistic groups within the nation (e.g., English in Papua New Guinea) and is seen as advantageous because it is not the language of a particular ethnic group. However, in many Pacific Island states that have adopted a colonial language as the official language, there existed a single main language, although often with dialect variation, that could have ensured adequate communication in local contexts (e.g., Nauru) or an established lingua franca (e.g., Tok Pisin in Papua New Guinea, or Bislama in Vanuatu), but this language was not chosen as the normal language of official communication. In some cases, the colonial language

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was chosen because the local language was believed to be inadequate for the purposes of government or education, as was the case in Nauru (Kephas, 2005), or was not considered a valid language, as in the case of Tok Pisin in Papua New Guinea and Bislama in Vanuatu (Siegel, 1993). Even in cases where the local language was maintained, it has also been viewed as the lesser language for similar reasons. Often the colonial language has been maintained because it is seen as providing a link to the wider world that is not afforded by the local language (Barbosa da Silva, 2019) and this perception of their international reach has contributed to the status imbalance between the colonial language and local languages, as, for example, in Singapore (Jain & Wee, 2019). Thus, the nation-building function of language in these nations has focused more on processes of economic and technological development through modernization and internationalization rather than on identity construction. This seems to have been especially the case in nations where there was less ethnolinguistic diversity and where local identity was thus more established than in ethnolinguistic diverse nations. Moreover, in contexts where the local language was seen as inferior to or less developed than the colonial language, this ideological construction could have had been problematic for an explicit focus on the language for identity construction. While many of the language policies adopted in the Asia-Pacific region were monolingual, some nations adopted more multilingual policies, as has been suggested above. These multilingual policies often show more sophisticated interactions with nation-building that the dichotomies discussed above. In many of these cases, plurilingual language policies were adopted in which a former colonial language was maintained alongside a local language, or even multiple local languages. For example, Singapore maintained English as a language of international and interethnic communication, alongside the languages of the main local ethnic groups which served identity functions as the “mother tongues” of these groups (Chinese, Malay and Tamil) (Jain & Wee, 2019). Samoa maintained English alongside Samoan, even though Samoan could have functioned as the vehicular language for the nation because it was seen as being more internationally relevant and also more prestigious (Lameta, 2005). These policies have seen multilingualism as a way to address both aspects of nation-building discussed above through language policy, with local languages having an identity function and the former colonial language having a modernization and internationalization function. Nation-building work may also be associated with alleviating inter-group conflict that could impact on national cohesiveness. In Fiji, the 2013 constitution requires that Fijian and (Fijian) Hindi be learned as second languages from primary to enable inter-ethnic communication (Lagi, 2016). The policy states that students are to acquire conversational abilities but it is not clear what this means and there is evidence that the policy has not been well articulated or implemented and that teaching may be tokenistic (Prasad, 2020). Vanuatu’s decision to adopt two colonial languages as official languages can be seen as special case within the Asia-Pacific region in which the nation-building aim was to reconcile different factions emerging from the history of colonialism rather than as a response to the locally existing ethnolinguistic diversity. As a colony, Vanuatu had been divided between the UK

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and France as a condominium that divided the island into two separate communities and the colony operated in a bilingual mode. Education was conducted in each part of the condominium in the language of the colonizing power and local elites emerged that were speakers of one or other of the colonial languages (Durston, 1981). After independence Vanuatu continued the bilingual colonial policy as a way of consolidating the new nation by including both elites in its political structures (Crowley, 2006) but also as a means of maintaining international links within both the English-speaking and French-speaking worlds. In Vanuatu’s educational policy, the development of bilingualism in both languages is a central objective and all students are required to learn the other official language as a subject from Grade 4. Language policies also show other forms of accommodation to nation-building needs. After their return to China, both Hong Kong and Macau adopted policies that continued the use of the former colonial languages (English and Portuguese) alongside Chinese (Moody, 2019; Poon, 2019). In this case, the maintenance of the colonial language marked these territories as outside the linguistic and political structures of the Peoples’ Republic of China and maintained historic international links. The adoption of Cantonese as an official variety also marks a linguistic distinction between these regions and the Chinese mainland. At the same time, Mandarin Chinese was promoted in both regions, for example, in Hong Kong’s policy of trilingualism in Cantonese, Mandarin, and English and biliteracy in Chinese and English. The situation is, however, quite different in the two regions as Portuguese has little more than a symbolic presence in Macau, while English is very strongly entrenched in Hong Kong.

Medium of Instruction Policies and Local Languages Overall language-in-education policies in the Asia-Pacific region have focused on the dissemination and acquisition of a small number of languages, even though the region is highly multilingual. Given the educational focus on literacy in the official language, discussed above, the education of linguistic minorities has mainly been conceptualized in terms of developing language and literacy skills in the official variety. Throughout the region it is uncommon for local languages to be taught systematically in the education system, unless they have been adopted as official languages in the society. In almost all cases, minority languages have at best been given only marginal roles in education, if not ignored. The overall situation can be seen in Table 1, which shows that in most of the nations under consideration, the medium of instruction policy is monolingual with a single official language being authorized for use in schools. This is found in nations that are linguistically relatively homogenous, such as Nauru, Japan, or South Korea, or linguistically diverse as in the case of Thailand or Indonesia. Languages that have not been granted official status fare less well as media of instruction in language policies in the region as the drive to promote a single national language as a marker of national unity and identity conflicts with the promotion of indigenous languages (Bradley, 2019). Governments may see the teaching and

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Table 1 Language of instruction policy in the Asia-Pacific region Nation Brunei Cambodiaa Chinab Cook Islands Federated States of Micronesia Fijic Indonesiaa Japan Kiribati Laos Malaysia Marshall Islands Myanmar Nauru Niue Palau Papua New Guinea Philippines Samoa Singapore Solomon Islands South Korea Thailand Tonga Tuvalu Vanuatu Vietnama

Medium of Instruction Malay and English Khmer Putonghua Cook Islands Maori, English Local languages, English (30/70 transitional bilingualism) English, Fijian, Hindi Indonesian Japanese English (Kiribati taught as a subject) Lao Malay, English, limited use of local languages Marshallese, English (30/70 transitional bilingualism) Burmese English Niuean, (English from grade 4) Palauan, English (50/50 bilingual program) Local languages, English Local languages, English Samoan, then English from year 6 English (other mother tongues taught as subject) English, with use of local languages Korean Thai Tongan, English Tuvaluan, English English, French, Bislama or a local language can be used in the early years Vietnamese

a

Some minority language use in education for minority groups in early primary Separate policies for minority languages exist in designated regions c Fijian and Hindi are learned as first languages by the respective ethnic groups and as second languages by those who do not speak them as first languages b

learning of minority local languages as problematic for promoting national unity. Draper (2019) describes the situation in Thailand where the teaching and learning of local minority languages is viewed with suspicion, especially in the south of the country, where separatist movements exist. The Ministry of Education’s rationale for teaching Thai centers on promoting national identity, national unity, and strengthening “Thainess.” However, teaching solely in the official language has proved problematic and the monolingual education system is generally seen as ineffective, as about a third school leavers are not functionally literate in Thai. This problem is replicated in many of the countries of the region and the mismatch between the

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languages spoken by learners and the languages used in schooling has created problems for literacy development and has impacted on other areas of learning (Elley & Kam, 2003; Nunan, 2003). The one language—one nation ideology and the aim of building national identity by disseminating a single national language seems to conflict with the aim of building human capital. There are, however, examples where minority local languages are given greater recognition in education, at least in early education. The focus in such policies, however, is rarely on the full development of the minority language as a language of education or literacy. They are often transitional education policies that limit the role of minority languages to early primary school and construct their use as a way of facilitating initial learning while students develop abilities in official languages. In Papua New Guinea, a policy for a mother tongue-based multilingual education (MTBMLE) program has been in place since 1995 in which local minority languages are taught as subjects and used as media of instruction in the first 3 years of formal education (Malone & Paraide, 2011). English is introduced as a subject in Elementary 2 and becomes a medium of instruction along with the local languages as primary education progresses, with a gradual increase in the use of English and decrease in the use of the local languages; English being used for 40% of the time in Grade 3 and for 90% in Grades 7 and 8. After primary school, English becomes the sole medium of instruction although local languages can be used informally to support learning. This policy was widely implemented and by 2000 over 400 local languages were being taught in formal education in the country. The implementation of the project has required extensive development of local languages, including orthographic development, as many languages had no written form that could be used in education, and the development of educational and literacy materials for school use. In the Philippines, MTBMLE has been integrated into policy more recently and 19 minority languages have been identified for use as media of instruction for the first 3 years of primary school, with a transition to the national language, Filipino, and English in the later years of primary school (Young & Igcalinos, 2019). This policy, as Young and Igcalinos note, is actually a muchreduced version of the originally agreed policy, which intended the use of minority languages throughout primary school. The existing policy is thus an assertion of the dissemination of the national language as a key goal in education rather than education in minority children in a language they understand. Moreover, the policy is limited to only a small subset of the minority languages of the Philippines (approximately 10% of minority languages) and there is currently no plan to increase the range of languages used in the medium to long term. The impact of this policy on school programs is currently limited as a lack of funding means that many materials and resources have not been developed to support teaching in these languages. The new system is also designed to be delivered primarily through technology but may make access difficult especially in areas where Internet service is poor or non-existent and so the digital divide that exists within the country further impacts on the viability of the policy proposal. In some nations, education policies explicitly permit the use of local languages as support languages, but without giving them the status of media of instruction.

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In Indonesia, Law 20/2003 allowed some role for local languages at the initial level of instruction if they were necessary for student comprehension, but this was a pragmatic response to students arriving in schools with low levels of Indonesian rather than an opening of the school domain to these languages (Candraningrum, 2008). Similarly, the national language policy of Vanuatu (Vanuatu Ministry of Education, 2012) allows for the use of a local language in early years education in support of English or French: [. . .] in the first two years of school, Bislama or a local vernacular can be used while either French or English is introduced by the second semester of Year 3. By the end of Year 3, the language of instruction should be either French or English, However, teachers will continue to use, for as long as is necessary, the agreed local vernacular languages to support children as they make the transition to English or French. (p.2)

Such policies recognize that teaching and learning solely in the official media of instruction, which are not usually understood by children entering school, creates problems for educational development and so make allowances for local languages as a means of facilitating comprehension. However, they do not provide concrete support for the use of such languages in the school system, for example, by providing materials and resources in the languages or professional education to support teachers in using local languages to support the official language curriculum but give responsibility to teachers to integrate local languages into their professional practice and do not have multilingualism in which local languages are seen as having value as a key educational goal. In a small number of nations, local languages are taught as subjects alongside the dominant medium of instruction. In Indonesia, for example, the educational system is monolingually focused on Bahasa Indonesia but local languages can find a space in primary education as local content subjects, which are organized at school level and are not subject to a national curriculum or national oversight (Kohler, 2019). As local content subjects, these languages are in a highly marginal position as they have no acknowledge place in the curriculum. They provide only a minimal opportunity for language learning and the learning itself is not recognized as contributing in a significant way to the learners’ educational development. Moreover, they can be vulnerable to changing priorities in education; many local context subjects, including programs in local languages, were dropped in favor of English when it was also introduced as a local content subject (Hadisantosa, 2010). The approach of teaching local language as subjects, rather than using them as media of instruction is also found in some nations where the local language has official status. For example, in Kiribati, the local language is taught as a subject, but it is also the usual language of communication for the majority of children coming to school (Ohi & Ingram, 2021). While the local policy speaks of the importance of the local language for maintaining identity, its position in the future is problematized and English is seen as a way of enabling outward migration as the consequence of rising sea levels that may make living in Kiribati unviable.

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Language-in-education policies in nations with a multilingual approach may have differences in policy setting at different points in schooling, with local languages coming to have a lesser role as education progresses. For example, in Samoa, the initial policy is for Samoan to be used as the normal medium of instruction, with English present only as a subject. However, this position is reversed from Year 6 in primary school after which English becomes the normal medium of instruction and Samoa is taught as a subject or is reserved for local cultural studies (Lameta, 2005; Tuia & Iyer, 2015). Similarly in Niue, English replaces Niuean as the medium of instruction from Grade 4 and in this case the change is connected to allowing students to live and study in New Zealand as higher levels of education and many employment opportunities are not available locally (Connell, 2008).

The Place of English The internationalization dimension of language in education policies does not only play out in decision-making about medium of instruction policy that favors former colonial languages, as discussed above, but is also found in policies relating to the acquisition of additional languages. In most nations of the region, educational policy aims at the development of a multilingual citizenship, even where medium of instruction policies are monolingual. In the Asia-Pacific region, the policy of multilingual development can be considered as a form of “English-knowing bilingualism” (Pakir, 1993), in that policies in most countries seek to develop citizens who speak both the local official language and English. In most countries, study of English as an additional language is specified in local language policies, but in some the policy refers more generally to study of an unspecified language. However, regardless of how the policy is framed, English has become the default language in all policies. In the Pacific, and in some parts of Asia, most notably Singapore, Hong Kong, and Malaysia, English-knowing bilingualism has been achieved through medium of instruction policy as English has become one, or in some cases the sole, medium of instruction in schools, regardless of the language profile of learners. However, in societies that have not chosen English as the medium of instruction, English is given a privileged place in the educational system as an additional language. The overall situation of English is shown in Table 2, which shows that English is present in all of the education systems under discussion. In all of the counties in the region where English is not a medium of instruction, language polices require the learning of an additional language and the language chosen is universally English. Over time, policies in the region have introduced English at earlier points in the curriculum, moving from a usual start for additional language learning in secondary school to starting learning from the early years of primary school, for example, from Grade 1 in Thailand (Draper, 2019) and Myanmar (McCormick, 2019), and Grade 3 in China (Feng & Adamson, 2019), South Korea (Jeon, 2019), and Laos (Meyers, 2019). In fact, programs for beginning additional language study in secondary school

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Table 2 The status of English in the Asia-Pacific nations Medium of instruction Brunei Cook Islands Federated States of Micronesia Fiji Kiribati Malaysia Marshall Islands Nauru Niue (from primary 4) Palau Papua New Guinea (from primary 3) Philippines Samoa (from primary 6) Singapore Solomon Islands Tonga (from primary 3)b Tuvalu Vanuatua a

Subject (Level at which introduced) Cambodia (primary 5) China (primary 3) Indonesia (secondary 1) Japan (primary 1 “language activities”) Korea (primary 3) Laos (primary 3) Myanmar (primary 1) Thailand (primary 1) Vanuatu (from primary 4)a Vietnam (primary 3)

English is studied as a subject by students in French MoI schools Start from primary 1 being considered

b

are rare, with Japan and Indonesia being exceptions (Honna & Saruhashi, 2019; Kirkpatrick & Liddicoat, 2017; Kohler, 2019). However, even in these countries policy has sought to introduce an earlier start. Japan has introduced primary level English language study in the form of “foreign language activities” as an option in 2008 (MEXT, 2008), and as compulsory from 2011. The curriculum was to be taught by homeroom teachers, that is by non-specialist language teachers, and was originally intended for fifth and sixth grade students but has since been extended to Grade 1. The focus of these language activities is not on language learning per se but on cultural understanding and language activities are not intended as establishing a pathway of continuous progression in language learning from primary school, but rather to provide an initial experience of learning before real language learning begins in middle school. The status of language activities is therefore ambiguous as it aims to introduce English in primary school, but is not intended to be the beginning of a course of study in English (Hashimoto, 2013). Indonesia permitted English to be taught as a local content subject in primary school in 1993 and this was formalized in 2006 by a decree of the Ministry of National Education (Departemen Pendidikan Nasional) (22/2006), which also specified that English should be taught at least once a week and for 70 min. However, this policy was withdrawn in the 2012 curriculum revision. The result in Indonesia has been some confusion about whether English is still a part of the primary curriculum, but in reality, schools have often continued with English language

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teaching regardless of official policy because of pressure from parents to start English learning earlier. Although English dominates education, other languages are nonetheless present in the education as foreign languages mainly at the tertiary level, although their role is usually quite marginal (Kirkpatrick & Liddicoat, 2019; Liddicoat & Kirkpatrick, 2020). Although some policies do not explicitly state that English is the language to be studied, few school policies specifically mention languages in addition to English, Tonga being an exception as its Education Policy Framework states All Tongans will be literate in both Tongan and English. Students will also have opportunities to learn other languages, including French, Japanese and Mandarin (Tonga Ministry of Education, 2004, p. 36). Current opportunities to learn languages other than Tongan and English (French, Mandarin, Japanese and German, for instance) will be maintained (Tonga Ministry of Education, 2004, p. 39)

However, as no Tongan curriculum exists for any of these languages, it is difficult to know what this means. In each nation, only a limited number of languages in addition to English are present within the education system, with high prestige European languages such as French, Spanish and German tending to predominate, along with Chinese as the most widely taught Asian language. In the Pacific, the main university is the multisite University of the South Pacific, which offers courses in a range of Pacific languages, Hindi and French. In China, the recently developed Belt and Road initiative has seen growth of programs in languages other than English (Han et al., 2019; see also ▶ Chap. 36, “Modern Language Education Programs in Asia and Pacific Countries,” by Zheng, this volume), although it is too early to see what the full impact of this on language learning is. In universities, there are more languages offered than in schools and the enrolments in these languages are greater than in schools, although often still marginal compared to the study of English. Much learning of foreign languages is undertaken in elective ab initio tertiary level programs. In many cases, the teaching and learning of these languages is supported by external language spread agencies such as the Alliance Française or the Confucius Institute. In Islamic countries, Arabic is taught in schools, especially in religious schools, although it is less widely taught than English and is often taught only for the purposes of Qur’anic recitation or other religious uses.

Conclusion and Future Directions The language-in-education policies of the Asia-Pacific region collectively reveal a context in which education is normally focused on the learning of two languages – the national language and English. Literacy development in the official language (s) of nations has been an important part of nation building work of governments in

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the region, both for developing human capital and also for creating national identity, especially in nations where a local language has been chosen as the official language. Literacy development in the Asia-Pacific region has therefore often been a main means for developing linguistic uniformity in multilingual nations and this has consequences for how other local languages are positioned in education and in the wider society. English has a significant role in the region either as a medium of instruction, either alone or together with a local language or, where it is not a medium of instruction, as an additional language with a strongly entrenched place in the curriculum. In most nations, the national language and English is the normal focus of language education policy. Where other languages have been included in education, this usually takes the form of transitional programs in which local languages are used in early schooling to support the acquisition of the national language, after which they are excluded from educational provision. Local minority languages are thus not seen as legitimate targets for learning in national education systems. There are very few contexts in which learning a third language is explicitly included as a learning objective; Fiji’s policy of having students learn Fijian or Hindi at a conversational level being an exception. Currently, language in education policy in the Pacific is under-researched and the implications of educational policies that focus on English is less well understood, although there is evidence that English-only forms of education can have negative implications for students’ participation and achievement. There is evidence across the region that lack of support for home languages has consequences for the educational achievement for children from linguistic minorities, but the impacts of education that excludes or gives little place to the home languages of majority students is perhaps less well understood. As Asia too moves further toward EMI, there is a need to understand how the particular models of education impact on education more generally and to understand better what factors support or constrain educational achievement. Overall, the is evidence that current language policy approaches across the Asia-Pacific region do not take an ecological view of the multilingual contexts that exist within the region and this lack of ecological thinking may have consequences for the sustainability of mass education in the region. In particular, there is evidence that “two-speed” education systems are beginning to emerge in which wealthier groups are able to reap the benefits of current educational models but where poor groups are being increasingly left behind. The role of language-in-education policy, and the consequences of policy choices, in such contexts needs further exploration to support future policy development.

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English in General Education: Current Issues and Possible Solutions

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . English in Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . English in Basic Education – Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . English as an Asian Language? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teaching English as a Lingua Franca . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

English has become the second language of basic education in many countries and jurisdictions within the Asia-Pacific region, and it is now second only to the countries’ respective national languages. It is also being introduced earlier and earlier into the school curriculum, now often at Grade/Primary 3 (Kirkpatrick and Liddicoat, 2019). This chapter first reviews the place of English in basic education and consider the reasons why English is becoming so dominant in so many educational systems. The chapter then raises a number of concerns connected with the dominant position of English in the school curriculum and argues that the early introduction of English can cause a range of problems: for example, there is often a shortage of qualified teachers with adequate proficiency in English to teach it at primary level; the focus on English leads to a neglect of local languages, which may, in fact, be the mother-tongues of many of the children in a region that is highly multilingual, and this denies these children the opportunity to learn in their first language; the focus on English can undermine the role of the respective national language as a language of education; and the early introduction of English privileges elite and wealthy families where English is already spoken and who can also afford to provide extra-English lessons for their A. Kirkpatrick (*) Griffith University, Brisbane, QLD, Australia e-mail: a.kirkpatrick@griffith.edu.au © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_21

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children. The chapter concludes by suggesting how language education policy might be revised in ways that will enable children to become proficient in English, while also developing literacy and fluency in their mother tongue and the national language. Keywords

Languages of education · Language education policy · Mother tongue-based multilingual education (MTB-MLE) · English as a language of education · English as a lingua franca · English as an Asian language

Introduction In a recent survey of language education policy across Asia, the following trends were identified: (i) The promotion of the respective national language as a symbol of national identity and unity (ii) The promotion of English as the second language of education (iii) As a result of (ii) an increasing division between the “have” and “have nots,” as government schools often face shortages of qualified English teachers and lack access to suitable materials (iv) Limited support for indigenous languages in education, and often these languages are present in policy documents but not in reality (v) As a result of (ii) and (iv), many children are having to learn in languages they do not understand (Kirkpatrick & Liddicoat, 2019, p. 12)

The survey revealed that, in the overwhelming majority of cases, English is promoted as the second language of education, and in an increasing number of cases, English is promoted as the medium of instruction for “science” subjects such as maths. English is also being introduced earlier and earlier into the school curriculum, now frequently being taught as a subject from Grade 3. In this chapter, this trend to make English the second language of education across so many Asian countries and settings will be exemplified and reasons for it proposed. This promotion of English creates a number of serious problems, also noted in the trends listed above, and these will be discussed. Some Asian countries, however, most notably the Philippines, are bucking this trend toward English as a language of education and have introduced mother tonguebased multilingual education (MTB MLE). The take up and implementation of MTB MLE will be reviewed. The chapter will conclude by suggesting ways in which English in basic education could be introduced as an additional language and not one that displaces local languages from the school curriculum. This will involve recognizing the role of English as a lingua franca across Asia and treating it as an Asian language. This will also involve developing a coherent language education policy which allows the languages of education to complement each other.

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English in Asia At the outset, it is important to have an idea of how widespread the use of English is in Asia today. The following tables list the percentage of the population using English along with the actual numbers. These tables are adapted from Bolton and Bacon-Shone (2020) and were based on government censuses and language surveys. Table 1 lists the numbers of users in Expanding Circle countries or polities (Kachru, 1992) where English was traditionally only taught as a foreign language and had no institutional or internal role. The figures show an extraordinary number of English users in these countries. Most remarkably, there are now more English users in China than in India, an Outer Circle country (see below). Table 2 (also adapted from Bolton & Bacon-Shone, 2020; see also Di Sabato & Kirkpatrick, 2022) shows their estimates for the percentages and current number of English speakers in the Outer Circle countries of Asia, countries that typically were colonies of English speaking empires and where English has been retained in some form of institutional or official role since their independence. Combining these totals shows that there are some 800 million users of English across Asia. This number of multilingual users of English exceeds the total number of people who have English as their first language. Of course, care must be taken in the definition of “users” here. Nevertheless, these figures show a remarkable number of multilingual users of English across Asia. Why then, are so many people across Asia learning and/or using English? There are a range of motivations from global to local. Globally, this desire for English is driven by a neoliberal agenda (Rana & Sah, 2022; Tupas & Metila, 2022) and by the need to participate in globalization and international markets. There is also the desire for people to be able to communicate their wishes and values to others and English, as the international lingua franca, is an obvious language to learn to achieve this. The teaching of English for Islamic purposes in Indonesian madrasahs and pesantren Table 1 Knowledge of English in Expanding Circle Asian societies Society Nepal Macau China Myanmar (Burma) Japan South Korea Taiwan Thailand Vietnam Cambodia Indonesia Laos Total

Current estimates 30% 28% 20% 10% 10% 10% 10% 10% 10% 5% 5% 5%

Approx. total of English speakers 8.5 million 0.2 million 276.0 million 5.2 million 12.5 million 5.1 million 2.4 million 6.5 million 4.6 million 0.8 million 13.0 million 0.3 million 335.1 million

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Table 2 Knowledge of English in Outer Circle Asian societies Society Singapore Philippines Brunei Hong Kong Malaysia Pakistan Sri Lanka Bangladesh India Total

Current estimates 80% 65% 60% 53% 50% 25% 25% 20% 20%

Approx. total of English speakers 3.1 million 66.7 million 0.2 million 3.9 million 15.5 million 50.9 million 5.3 million 32.6 million 260.0 million 438.2 million

represent an excellent example of this (Kirkpatrick, 2020). Knowing English means that Indonesian Muslims can explain “how to perform shalat, how many pillars of Islam are, and what Islam is” (Nashruddin, 2015, p. 76). There are also regional motivations for learning English. The 21 countries that are members of The Asian Pacific Economic Group of Countries (APEC) have actively promoted the learning of English for some time. At the APEC Ministerial Meeting some 20 years ago, the member countries were encouraged to undertake measures “to provide adequate knowledge and practical use of English as a working language within the APEC region” (Lazaro & Medalla, 2004, p. 278). Perhaps the major regional motivation for the learning of English in Southeast Asia is the fact that the Association of Southeast Asian Nations (ASEAN) has made English the sole official working language of the group. Article 34 of the 2009 ASEAN Charter reads “The sole working language shall be English.” The importance of English to ASEAN was further highlighted by the then Secretary General of ASEAN, Le Luong Minh, speaking in 2013. With the diversity in ASEAN reflected in our diverse histories, races, cultures and belief systems, English is an important and indispensable tool to bring our Community closer together. [. . .] Used as the working language of ASEAN, English enables us to interact with other ASEAN colleagues in our formal meetings as well as day-to-day communications. [. . .] In order to prepare our students and professionals in response to all these ASEAN integration efforts, among other measures, it is imperative that we provide them with opportunities to improve their mastery of the English language, the language of our competitive global job market, the lingua franca of ASEAN. (ASEAN, 2013)

There are also local motivations and demands for learning English. Colonial legacy is a major cause for the use of English in what were Outer Circle countries and this legacy can be realized in different ways. For example, six of the eight government-funded universities in Hong Kong are English medium, a definite consequence of colonialism. It was parental pressure that forced the Hong Kong government to “fine-tune” its medium of instruction policy and allow more classes in Chinese medium secondary schools to be taught in English (Kan et al., 2011).

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The parental demand was fueled by the fact that six of the eight government-funded universities and all the private ones are English medium. Parents, naturally enough, felt that it was essential that their children were taught through English in secondary schools, as they wanted their children to be able to go on to universities. This parental desire for their children to be educated through English was remarked upon by Wang Gungwu some 15 years ago, “To actually forsake the public school system that teaches in your own language for the private one that teaches in English is an increasingly common phenomenon” (Wang Gungwu, 2007, p. xiv). This quote also notes the desire to move from public to private schools in order to receive an English medium education. The potential implications of this will be discussed further below. Having described the overall picture of English in Asia, specific examples of English in basic education will be provided in the next section.

English in Basic Education – Examples First, the place of English in basic education across the ten countries of ASEAN) is reviewed. Table 3 shows when English is introduced into the school curriculum. It should be noticed that Indonesia is the only country of ASEAN that does not make English a compulsory subject in primary school, introducing it as a compulsory subject only at secondary one. It will later be argued that this relatively late introduction of English is a model that might be followed by all. What this table does not show is the changes in language education policy that many of the countries here have instigated. Malaysia has been particularly noteworthy in this regard, with frequent changes of medium of instruction policy. As Gill and Shaari note, “the journey of the English language in Malaysia has almost come full circle – from being relegated from the upper end to the lower end of the scale of importance, it is now gradually moving back to occupy an important position” (2019, p. 260). In 2002, the Table 3 The National Language and English in Education in ASEAN Country Bruneia Burma Cambodia Indonesia Laos Malaysia Philippines Singapore Thailand Vietnam

Medium of instruction Malay and English Burmese Khmer Bahasa Indonesia Lao Malay and Vernacular Local languages English Thai Vietnamese

First foreign language (Year of introduction) English (primary 1 as MoI) English (primary 1) English (primary 4) (French also offered) English (secondary 1) English (primary 3) English (from primary 1) English (from primary 1 as MoI in certain areas) Malay/Mandarin/Tamil (primary 1) English (primary 1) English (primary 3 in selected schools)

Adapted from Kirkpatrick and Liddicoat (2017) The Arabic script, jawi, is introduced from primary 3

a

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government decided to replace Malay as the medium of instruction from Grade 1 for maths and science subjects with English. After 6 years of this policy, it was reversed, with Malay again becoming the medium of instruction for science and maths in primary school, and English being taught as a subject. There were several reasons for this reversal in policy, among which were that students from rural and lower socioeconomic backgrounds failed in these subjects as they did not have adequate English. Similarly, many maths and science teachers who were perfectly capable of teaching these subjects in Malay had inadequate English to teach these subjects through English. There has since been another change with the introduction of the Dual Language Program, whereby selected schools which meet certain criteria – including having the teachers who could teach these subjects in these languages – can choose whether to teach science and maths through English or Malay. While these policies have changed several times over recent years, there is little doubt where Gill and Shaari stand. They conclude their chapter by quoting the Malaysian political scientist, Farish A Noor, Yet the world will not wait for any nation, and nor does the world owe any nation a living. The champions of vernacular education in Asia and Africa may find momentary comfort and solace in the familiar territory of a vernacular culture that they recognise as their own, but refusal to face up to the realities of the global age we live in means we are in danger of condemning the future generation of our societies to a marginal position. (Khaleej Times, July 11 2009 cited in Gill & Shaari, 2019)

Similar arguments influenced by neoliberal ideas in favor of introducing English early into the curriculum and/or making it a medium of instruction argument are heard across the region. There seems to be a belief that the languages of education present an “either or” choice. As will be argued below, however, it is possible for children to achieve literacy in their mother tongue and their national language, as well as becoming proficient in English. Yet, most countries in the region are introducing English earlier and earlier into the curriculum, with English often replacing a local language. For example, in 2014, Cambodia ruled that English should be introduced as a subject from Grade 4 (Kosonen, 2019). However, it was clear that the basic requirements for this policy to be successful – suitable teaching materials and enough teachers with adequate English proficiency to teach them – were not met. An evaluation report of the policy “provides a rather bleak view on teaching-learning practice” (Kosonen, 2019, p. 222). As the authors of the report note, There is a lack of effective mechanisms to systematically prepare and support teachers who have low or no capacity to carry out the challenging task of teaching English to students. (Sitha & Visal, 2015, p. 24, cited in Kosonen, 2019, p. 222)

Cambodia has, however, also implemented the Multilingual Education National Action Plan (MENAP), but children whose mother tongue is not Khmer, the national language, only get to learn in their mother tongue up to Grade 3, after which the national language becomes the medium of instruction and, as noted above, English

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becomes introduced as a subject. As a result, Cambodian children who have a mother tongue other than Khmer, do not gain adequate literacy in it. Instead, they are required to take English even when there are no materials or teachers. “With no English competence and absence of English training, the teachers can neither use nor guide students to utilize the English books” (Sitha & Visal, 2015, p. 13, cited in Kosonen, 2019, p. 223). It is not surprising that many children drop out of school at around Grade 5. In their report Education for All by 2015, UNESCO (2015) urged a number of Southeast Asian countries, including, Cambodia, Vietnam, Indonesia, Laos and the Philippines, to develop forms of multilingual education to help counter the alarming drop-out rates in these countries. As will be illustrated below, the Philippines is the only country that has attempted to implement multilingual education in a systematic way. As noted in Table 1 above, China has the largest number of English users in Asia. The Language Policy of the People’s Republic is explicit (Kirkpatrick & Xu, 2001). The variety of Chinese, Putonghua, is the language of education alongside its written form, Modern Standard Chinese. Other Chinese languages such as Cantonese or Shanghainese are not to be used as languages of education. English is the main second language of education and is introduced across the country at Grade 3. Its status is equivalent to Chinese itself in that it is one of the three core subjects, along with Chinese and maths, which students have to take in the highly competitive gaokao exam on graduating from secondary school. While there have been official plans to reduce the exam weighting of English and increase that of Chinese, these have, as yet, not taken effect (Feng & Adamson, 2019). Like most countries of Asia, China is multilingual with 55 officially recognized minority languages. These can be taught as languages of education to mother tongue speakers of these languages in a form of trilingual education comprising the mother tongue, Putonghua and English. Yet, this has only been successful where the minority language has economic value, as with the case of Korean and Mongolian, for example. In most cases, however, the minority language comes under threat as parents and students see more need for Putonghua and English (Feng & Adamson, 2015). The need for English is reflected in the desire of Chinese to communicate across borders. English connects Chinese people to the world “either directly, through travel or education abroad, or even symbolically, by connecting young people to life outside mainland China, at a range of levels, from popular culture to current affairs or to various forms of academic knowledge” (Bolton et al., 2020, p. 523). As noted in the trends outlined above, throughout Asia the most common realization of language education policy is for the respective national language to be the main language of education and English the second. While some governments are experimenting with the provision of multilingual education through a variety of pilot projects, often externally funded by foreign aid agencies and non-governmental organizations (NGOs), local languages other than the national language are not taught in a systematic way. A major exception to this has been the Philippines (Martin, 2018). From 1974, the Philippines had a language education policy that mirrored most of Asia today in that there were two languages of education, the national language, Filipino, and English. Filipino was created as a national language

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by using Tagalog, the language spoken around the capital Manila as the base and adding features of other languages of the Philippines – of which there are more than 170. This was clearly impractical, so that Filipino is basically Tagalog with “added extras.” Filipino was used as a medium of instruction for arts-type subjects and English for science-type subjects (Young & Igcalinos, 2019). After decades of intensive lobbying for other languages to be included as languages of education, in 2013, the government finally signed into law Mother Tongue-Based Multilingual Education (MTBMLE) which stated, in part, that For Kindergarten and the first three years of elementary education, instruction, teaching materials and assessment shall be in the regional or native language of the learners. . .Filipino and English are to be gradually introduced during grades 4–6, so that they can become the primary languages of instruction at secondary level.

Does this mean that all students can be taught in their mother tongue for the first three years of basic education? As noted above, the Philippines is linguistically diverse with more than 170 languages. In the event, the government gazetted only 19 languages as languages of education in the MTB MLE scheme. This has led to criticism of the scheme as “the problem was that teacher training in MTB MLE methods was inadequate and teaching-learning materials were provided in only 19 of the more than 170 Philippines languages” (UNESCO Case Studies Booklet, 2016, p. 32). Some districts have therefore introduced further languages. For example, in South Central Mindanao, a scheme to teach in Maguindanao, Hiligaynon, and Tboli languages has been funded by Save the Children (UNESCO, 2016). The MTB MLE scheme has recently been evaluated by the Philippines Institute of Development Studies (Monje et al., 2019). The authors stress that for the first time in Philippine education history, mother tongues are recognized as integral to language learning and literacy. The authors go on to say, however, that the program is facing implemental challenges that could threaten program delivery and service, so that the Department of Education needs to find more effective, efficient, and acceptable ways of delivering MTB MLE. Specific challenges the authors noted included lack of teaching materials and textbooks. The rich linguistic diversity of the Philippines also means that some teachers, students, and parents may not themselves know the mother tongue chosen to be the medium of instruction. Where and when it is successfully delivered, however, MTB MLE) shows excellent results. For example, a pilot project conducted in the Lubuagan area of the Northern Philippines showed that the children in the MTB MLE classes performed consistently better than children in the control groups, including their knowledge of Filipino and English and that this meant that the community were happy to support the program (Young & Igcalinos, 2019). “Parents expected that less time spent in English would result in lower English scores. When this began to be disproved, attitudes began changing with parents in one barrio where there was no MTB MLE asking for it to be introduced” (Dekker, 2003, p. 147, cited in Young & Igcalinos, 2019, p. 175). The Maguindanao, Hiligaynon, and Tboli project referred to above also achieved similar results. This strongly suggests that, if implemented

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properly, MTB MLE can deliver a win-win result. Children learn literacy in their own mother tongue, the national language and become proficient in English. Not only that, these children outperform children who are enrolled in classes where the languages of education are restricted to the national language and English in both the national language and English. If MTB MLE can deliver these results, it also has the extraordinary potential extra beneficial effect of removing or reducing the gap between the “haves” and the “havenots” which is exacerbated when English is made the language of education early in the curriculum. The previous Filipino bilingual education policy using only Filipino and English policy favored the urban elite. As the Filipino linguist and educator Gonzalez despaired, The formula for success in Philippine education is to be a Tagalog living in Metro Manila, which is highly urbanized, and studying in a private school considered excellent. And of course, the formula for failure is the opposite: being non-Tagalog, studying outside of Metro Manila, in a rural setting, in a public or government school considered sub-standard. (Gonzalez, 1996, p. 333)

It is frequently claimed that, by providing students with English, one provides them with the passport to international mobility and success. This may be true if the introduction of English only occurs after the students have developed literacy in their mother tongue and their national language. The too early introduction of English at the expense of mother tongues, far from giving all students an equal chance of being able to participate in the global market economy and internationalization, actually increases the inequality between the “haves” and the “have nots” as evidenced, for example, by the high dropout rates discussed above. This division is often realized in the distinction between public and private education. Private schools are more likely to teach in English, while public schools teach in the local language. As Wang Gungwu noted above, parents are increasingly likely to send their children to private schools that teach in English than to the public schools which teach in the local language(s). Private schools require fees; so this privileges those that can afford the fees. This also places pressure on public schools to move to English medium classes in order to compete with the private sector, as is the case, for example, in Nepal (Rana & Sah, 2022), Bangladesh (Hamid & Rahman, 2019), and in many other countries in Asia. The deepening of the divide between the “haves” and the “havenots” which is created by allowing schools to teach in English has been recognized by the Indonesian courts. They have ruled as unconstitutional the Sekolah Bertaraf Internasional (SBIs) or international standard schools. These schools, which charged fees, introduced English as a medium of instruction for maths and science from Primary 4, but many actually taught these subjects through English from earlier grades. As one critic of these new SBI schools observed: . . .with (the) emerging and mushrooming demand for English, schools then drop the local language in order to give more time to the English teaching. As a result, in the long run, children and the younger generation can no longer speak the local language. This is culturally and linguistically pitiful. (Hadisantosa, 2010, p. 31)

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Indonesia remains an outlier both in delaying the compulsory teaching of English until secondary and in outlawing the SBIs; and the Philippines is an outlier in being the sole country attempting to implement MTB MLE in a systematic way. In the great majority of cases, however, English is made the second language of education. Despite all the arguments in favor of MTB MLE and the research that shows (i) how successful MTB MLE can be and (ii) that the too early introduction of English leads to failure and high dropout rates, the gathering trend is for English to be introduced earlier and earlier into the curriculum at the expense of local languages. In the next section of the chapter, alternative ways of introducing English based on MTB MLE will be considered. The nature of English itself will also be questioned and it will be argued that English is now a language both in and of Asia (Kachru, 1998), and it will be argued that this has implications for how it might be taught in Asia.

English as an Asian Language? In his article, “English as an Asian Language” (1998), Kachru reflects that English is most often described as being in Asia rather than of Asia. In arguing that it is also of Asia, he lists five uses of English across Asia that illustrate this. These five uses are: (i) As a vehicle of linguistic communication across distinct linguistic and cultural groups (ii) As a nativized medium for articulating local identities within and across Asia (iii) As one of the Pan-Asian languages of creativity (iv) As a language that has developed its own sub-varieties indicating penetration at various levels (v) As a language that continues to elicit a unique love-hate relationship that, nevertheless, has not seriously impeded its spread, function, and prestige. All these five uses can be readily exemplified. First, as Tables 1 and 2 above demonstrate, English is widely used by Asian Multilinguals across Asia. It is a vehicle of linguistic communication across distinct cultural and linguistic groups. Second, the emergence of many Asian varieties of English, from Indian to Singaporean, from Filipino to Sri Lankan, articulates local identities within and across Asia. Third, the collection of Asian literature(s) written in English provide evidence that it is one of the Pan-Asian languages of creativity. As Lim et al. have argued, While it is undeniable that the English language is a legacy of British conquest and -colonialism, and English is often regarded in Asian societies as a language of commerce and technology, Asian literature in English shows the critical and creative potential of the language beyond such instrumental uses. . . these writers. . . use English within their own terms to recollect histories, remember journeys, and represent conflicts within and between the communities and nationstates situated in the vast expanse of Asia. (2020, p. 806)

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Fourth, Asian varieties of English have developed their own sub-varieties. It is customary in Singapore, for example, to distinguish between the colloquial variety of Singaporean English and an educated one. India is home to countless varieties of English, from literary (Naik & Narayan, 2004) to Butler English (Hosali, 2005). And English probably still elicits a sort of love-hate relationship among its users. In any event, all these five functions of English in Asia strongly suggest that it is a language of Asia as well as one in Asia and that it is an Asian language. Given this, it would make sense to teach it as an Asian language. By recognizing that English is now an Asian language and teaching it as such, school children can then see it as a language of identity, as their language, and not as an imported language which belongs to someone else. An obvious way of underlining that English is a language of Asian identity is to use samples from Asian literatures in English as teaching materials. An interesting approach in this regard was put forward some twenty years ago. For Filipino secondary school students, Thompson (2003, p. 51), suggested the first year teaching materials and literary texts should encapsulate the theme “I am a Filipino.” The second year’s theme should be “I am Asian”; the third year’s “I am an English speaker”; and the fourth year’s “I am a citizen of the world.” Kirkpatrick (2020) also gives examples of how Asian literatures written in English could be exploited as language teaching materials for Asian school children. Teaching English as an Asian language will also show children that English is most commonly used by Asian multilinguals – such as the children themselves are learning to become – with fellow Asian multilinguals. Again, as Tables 1 and 2 above demonstrated, there are more than 800 million multilingual Asians currently using English. And while they may well use English with native speakers, by far the most common interaction events will be with fellow multilingual Asians and other multilinguals from whom English is also an additional language. When used in this way among multilinguals English is being used as a lingua franca. It is being used by people from different linguistic and cultural backgrounds but who share English as a common language. Explaining the nature of English as an Asian language and its use as a lingua franca to Asian school children will help them see English as something that belongs to them, as a language that they can use. This also means that the model or target for Asian school children need not be a native speaker model, as remains the cases in the majority of teaching contexts (see also ▶ Chap. 32, “Transcending Anglocentric Ideologies of English Language Teaching in Asia: Global EnglishesInformed Policy and Practice,” by Baker and Fang, this volume). Instead, what has been called a “lingua franca approach” to the teaching of English might be adopted and this approach is briefly described and discussed below.

Teaching English as a Lingua Franca A useful definition of lingua franca is, “any use of English among speakers of different first languages for whom English is the communicative medium of choice” (Seidlhofer, 2011, p. 7). English as a lingua franca (ELF) is not a stable “thing” but rather a description of how “English is used by people who share this

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resource. . .ELF can be linguistically influenced by contact with the other languages of the speakers who use ELF. . .and is thus subject to unbounded variation” (Schaller-Schwaner & Kirkpatrick, 2020, p. 234). This, in turn, means, that ELF cannot be taught as a stable variety of English. What can be taught, however, are the communicative strategies adopted by ELF users, along with insights into the use of language including what makes for successful and intelligible communication and what does not. For example, phonological features that are empirically shown to be essential for clear communication should be emphasized while those that are not may be overlooked. (See Jenkins, 2000, 2007, Walker, 2010 for details.) As many varieties of Asian English have a tendency toward syllable rather than the stress timing common to most native varieties, it may be wise to allow the syllable timing of Asian children, especially as syllable timing has been shown to be more mutually intelligible among ELF users than stress timing (Deterding & Kirkpatrick, 2006). Several scholars have proposed an ELF-approach to the teaching of English (see, for example, Kirkpatrick, 2015, Zein, 2018, Canh et al., 2019 for ideas for an ELF-approach in Asian contexts). Two principles of Kirkpatrick’s ELF approach are: Principle#1 The native speaker of English is not the linguistic target. Mutual intelligibility is the goal. Principle#2 The native speaker’s culture is not the cultural target. Intercultural competence in relevant cultures is the goal

In essence, the first principle means that the focus of the curriculum should be to ensure that students speak an English that is intelligible across linguistic and cultural boundaries. The focus therefore shifts from an insistence that students acquire or aspire to acquire native speaker norms to one of intelligibility. The second principle simply means that it is the cultures of the people that one is most likely to be interacting with that should form the major part of the curriculum. In many contexts – in ASEAN, for example – it may be that it is more important for children to learn about the cultures of fellow Asians rather than that of native speakers’ of English. The overarching principle behind these specific principles is that the curriculum should be contextually determined and adapted to meet learners’ needs.

Conclusion The great majority of language education policies across Asia make the respective national language the main language of education and English the second. It has been argued that these policies advantage the privileged elite who can afford to buy private English medium education. These policies also seriously disadvantage children whose mother tongue happens not to be the national language, as these mother tongues are not included as languages of education. They also disadvantage children from rural areas and low socio-economic groups as they are unable to access private education. Many public schools face severe shortages of suitably proficient English teachers. Far from creating equal access to economic success as is claimed by

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proponents of these polices, they deepen the divide between the “haves” and the “have-nots.” It has been argued here that it does not have to be like this. Instead, recognition can be given to English now being an Asian language. It could be taught as such. In this way, Asian children can recognize that English is a language that belongs to people like them and not solely to “foreign” native speakers. Secondly, as the primary role of English in Asia is as a lingua franca, the implications of this should inform and shape the curriculum. An ELF approach can be adopted, replacing an approach that sees the approximation of native speaker norms as the goal. At the same time, by delaying the teaching of English until children have achieved literacy in both their mother tongue and their respective national language can actually improve children’s chances of becoming proficient in English. The results of the various MTB MLE projects described above show that, if implemented with forethought and care and where there are suitable materials and the teachers to teach them, MTB MLE produces children who are not only literate in the mother tongues but whose proficiency in the national language and English is higher than those of children who are taught using only the national language and English as languages of education. Most importantly, language education policies need to be coherent and consider the respective roles the mother tongue, the national language and English will play in the education of the children. In this way, basic education can produce children who are functionally trilingual in their mother tongue, their national language, and English. There will be pressures, both parental and societal, to increase the amount of English taught and to introduce it even earlier. The exponential increase in the use of English as a medium of instruction in higher education across Asia (see Hu Guangwei and Lei Jun, this volume) will add to increased washback effects on secondary and primary schools which will increase demand for English. This pressure needs to be resisted and coherent language education policies developed which specify precisely the roles languages will play in the education of children. By using the successful MTB-MLE programs as models, it should be possible for children to be able to acquire literacy in their mother tongue, their national language, and English. Coherent language education policies of this type should also at least reduce the gaps between the “haves” and the “have-nots.” We therefore need further research into MTB-MLE programs in order to determine how these might be successfully implemented. In addition, currently there is little data on which minority languages are being taught and learned. For example, it is not know how many of Indonesia’s seven hundred languages are being taught in schools and, if they are, to what levels. Therefore, further research into the teaching and learning of indigenous languages in the region’s schools and investigations into the challenges associated with teaching them is needed. Finally, further research is needed into the actual ways English is being used and shaped by Asian multilinguals so that this can inform the teaching and learning of English in schools, so that the English being taught is of direct relevance to the learners and is an English with which they can identify.

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The Learning of National and Local Languages in Asia-Pacific Countries Baoqi Sun

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Language-in-Education Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . South Asia: The Case of India . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . East Asia: The Case of Mainland China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Southeast Asia: The Case of Thailand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Oceania: The Case of Fiji . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Learning of Non-English National Language(s) as a Nation Building Strategy . . . . . . . . . . The Learning of Local Language(s) Is Often Neglected . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Learning of English as a National or Foreign Language . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusions and Future Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Taking a comparative perspective, we review in this chapter the trends and challenges in the learning of national and local languages in the Asia-Pacific countries. Our review focuses on four regions based on geographical location: South Asia, East Asia, Southeast Asia, and Oceania. One multilingual and multicultural country from each of the four regions is chosen as a case study country to showcase the similarities and differences of the learning of national and local languages: India for South Asia, mainland China for East Asia,

B. Sun (*) The Centre for Research in Child Development, National Institute of Education, Nanyang Technological University, Singapore, Singapore e-mail: [email protected] H. H. Goh The Centre for Research in Pedagogy and Practice, National Institute of Education, Nanyang Technological University, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_24

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Thailand for Southeast Asia, and Fiji for Oceania. We have identified and discussed three common and interrelated themes: the learning of non-English national language(s) that have been promoted to fulfill national identity, the learning of local language(s) that have often been neglected, and the learning of English as a national or foreign language that competes with the national and local languages. The chapter concludes with suggestions for improving language learning ecology and supporting the learning of national and local languages in the Asia-Pacific countries. Keywords

Asia-Pacific · Language-in-education · Language policy · National language · Multilingual · Language learning

Introduction The Asia-Pacific region is home to the most linguistically diverse societies on earth, with long-established literacy traditions and a wide spectrum of writing systems. It is estimated that more than 2500 of the world’s 6700 languages are found in this region (Lewis et al., 2016). Countries in this region have been striving to strike a balance between preserving their local languages and developing proficiency in national language(s) to maintain social cohesion and keep up with globalized demands. On the one hand, local language(s) can help children to learn about their culture, to identify with their ethnic roots, and to preserve cultural traditions; on the other hand, national language(s) is important for building national identity and managing ethnic diversity (Adriano et al., 2021; Liddicoat, 2013). Therefore, learning two or three languages is unavoidable for school children in most of the countries in this region. Given the complex linguistic landscapes in the Asia-Pacific region, there is often an ambiguity regarding national language and local language definitions. In this chapter, national language refers to the language or languages legitimated to be used for administration and legislation purposes at national level, and local language refers to people’s mother tongue language(s), which can be a regional language, an indigenous language, and may or may not be the national language. Achieving high proficiency in two (sometimes three) languages is apparently not easy. Moreover, it is impossible to examine language learning without considering national language policies and broader social, economic, and political contexts, because these factors determine whether to include or exclude certain language(s) in the education system (Liddicoat, 2013; Kirkpatrick & Liddicoat, 2019). In addition, these explicitly stated policies are often accompanied by implicit language policies that may impact linguistic ecologies and shape language learning processes and language practices in school and home domains (Curdt-Christiansen, 2009; Spolsky, 2004).

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What languages are included in education across the Asia-Pacific countries? What national language(s) and local language(s) are children learning in these countries? What are the common and unique challenges they face? How can policymakers and educators better support children’s learning of more than one language? To answer these questions, this chapter takes a comparative perspective and reviews the trends and challenges in the learning of national and local languages in four Asia-Pacific countries. Due to space constraints and the vast number of countries in this region, a detailed review of each country will be impossible. Instead, we will focus on four regions grouped geographically for convenience: South Asia, East Asia, Southeast Asia, and Oceania. One case study of a multilingual and multicultural country from each of the four regions is chosen to showcase the similarities and differences of the learning of national and local languages: India for South Asia, mainland China for East Asia, Thailand for Southeast Asia, and Fiji for Oceania. By examining how the dynamics of the various languages are presented in the education system in these countries, we identify and discuss the common themes and implications.

Language-in-Education Policy In order to understand the trends and challenges of language learning in different Asia-Pacific countries, it is first important to briefly review how macrolevel language-in-education may affect language learning and practices. According to Liddicoat (2013, or see ▶ Chap. 26, “Language-in-Education Policy in the AsiaPacific Region,” by Liddicoat in this volume for more details), language-in-education policies mandate which language(s) are taught and learnt in schools and implemented through the formal education system. Inevitably, such policies will construct the social realities that result from the teaching and learning of languages, project the status and prestige of these languages, and govern language use. Furthermore, the language ideologies conveyed by the top-down language-in-education policies are not self-contained; they interact with ideologies at other societal levels (e.g., community, family, and individual levels) via sociolinguistic, sociocultural, socio-economic, and socio-political contexts, which may foster or discourage a certain language or languages. Thus, language-in-education policy at macrolevel may project and construct future possibilities for languages and make provisions to bring this into existence (Liddicoat, 2013). Therefore, showcasing how language-ineducation policies shape language learning in four different countries helps us gain valuable insights into language planning and bi/multiliteracy development. In the following sections, language learning in each country will be reviewed in detail. For each country, we will first introduce the country’s national and local languages, along with its language-in-education policy, followed by its implementation (i.e., how the national and local languages are taught in schools) and any associated challenges.

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South Asia: The Case of India As a multicultural and multilingual nation-state, India is one of the most linguistically diverse countries in the region. According to Article 343 of the Constitution of India, Hindi in Devanagari script is the official language (Groff, 2017). As a colonial language, English is given “associate” status at the national level to be used for all official purposes of the Union (Petrovic & Majumdar, 2010). Even though Hindi and English are co-official languages, there is no one language specified as the national language. Each of India’s 29 states and seven union territories has one major or dominant language group (which may or may not be Hindi) and several regional languages spoken by different numbers of speakers. There are 22 “scheduled” (constitutionally recognized) regional languages, which are also official languages of the various states and spoken by 96% of the population in the respective states. It is important to note that not all schools in these states offer all of the scheduled regional languages spoken in these states as Medium of Instruction (MoI). According to a recent survey and census, at least 800 “nonscheduled” local languages are spoken (Census of India, 2011; Devy, 2014). Languages in India can, thus, be categorized into a hierarchical power structure at, roughly, three levels (Mohanty & Panda, 2016; Petrovic & Majumdar, 2010). While both English and Hindi are seen as common lingua francas that facilitate communication across India, English retains the highest position in the power structure due to its linguistic capital and global status. Hindi and other major regional languages are in the middle of the hierarchy, while other local languages (indigenous, tribal, or minority languages) are at the lowest level of the power hierarchy. The rich language diversity in India presents significant challenges to language planning (Hornberger & Vaish, 2009; Petrovic & Majumdar, 2010). In the 1950s, the Central Advisory Board on Education recommended that the policy for language-ineducation adopt a three-language formula (TLF) to provide guidelines for the teaching of three languages in school with different combinations in Hindi- and non-Hindi-speaking areas (Annamalai, 2001). The three languages include the official/scheduled regional-state language or the student’s mother tongue, Hindi and English. Although the TLF was intended to provide unified planning for languages in the education system, it faced criticism for its inadequacy in addressing the enormous linguistic complexity and diversity within states (Groff, 2017). For instance, although 96% of the population speak the 22 scheduled languages, not all schools provide MoI in these languages. In response, the TLF underwent several rounds of modification. Table 1 summarizes the suggested MoI by grade level. As Shohamy (2010) aptly noted, the declared and de facto language policies in education are not always reflected in what is actually implemented, and TLF implementation is no exception. There are at least three challenges. First, as the TLF does not specify that the official regional language and the mother tongue may be mutually exclusive, Hindi-speaking states (primarily in the north and central regions) often choose to adopt the regional language as their first language. Thus, in those states, Hindi is taught as the first language, another Indian language (usually Sanskrit) as the second language, and English as the third language. In contrast, in

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Table 1 Medium of instruction suggested by the three-language formula Grades 1–4 5–7 8–10

9–12

Medium of instruction Only one language is recommended which could be the official regional language or the mother tongue when the latter is different from the regional language. The study of two languages is obligatory. The second language may be either Hindi (or any other Indian language) or English (or any other modern European language). The study of three languages is obligatory. These can be the official regional language, Hindi and English in the non-Hindi-speaking states. In the Hindi-speaking states, these can be Hindi, English, and any other Indian languages. No language is obligatory. The decision lies with the schools.

Note: Grade 1–4: aged 6–10; Grade 5–7: aged 11–13; Grade 8–10: aged 14–16; Grade 9–12: aged 15–18

non-Hindi-speaking states, the regional language (i.e., the state majority language) is treated as the first language, Hindi as the second language, and English as the third language. As none of the non-Hindi state majority languages is taught as a second language in any Hindi-speaking states, non-Hindi-speaking states show considerable resistance to taking Hindi as their second language, which hampers efforts to make Hindi a common language across India. The pro-versus-anti-Hindi conflict has led to another challenge in language planning and learning in India (Vaish, 2005). As globalization has opened up many sectors of employment in India since the 1990s, English is no longer seen through a postcolonial lens and knowledge of the language has become increasingly essential. Consequently, although English is not introduced to all children until the higher grade levels, it has gradually become more prominent in education. The National Knowledge Commission (2009) of India recommended the teaching of English from the first year of primary education in order to “democratize” English among all children. In most of the 29 states in India, English is taught from grade one in government schools. Moreover, English is the major MoI in higher education. However, the quality of English teaching at the primary level is not optimal because of insufficient teacher training, inadequate teacher language skills, and an overemphasis on rote memory (Pattanayak, 2001; Vaish, 2005). The third challenge is that the education system neglects the “unscheduled” local languages at the lowest level of the language hierarchy. While the TLF seeks to protect minority languages, it does not promote unscheduled local languages as the major regional languages, nor does it ensure their adequate representation in the education system (Kirkpatrick & Liddicoat, 2019). Only three to five tribal languages are used as the MoI in regular primary school programs, and they do not receive government funding. In the Anthropological Survey of India study, Singh (2002) reported the existence of 159 tribal languages, but these languages did not have any presence in education and the public domains. About 99% of the children who speak local languages as their mother tongues had to learn a dominant language from primary school onwards, which has a subtractive effect on their mother tongue competence, resulting in an increase in the dropout rate and in low academic performance (Mohanty & Skutnabb-Kangas, 2013).

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Taken together, although the TLF gives formal recognition to Hindi, regional languages, and English, it does not adequately reflect the multilingual and sociolinguistic realities in India. Therefore, there is misalignment between the actual learning of the official and local languages and the TLF’s objective. On one level, due to the lack of a symbolic national language and growing demand for English competence, Hindi and the official regional languages have been progressively threatened by English, as the latter is gaining more prominence in education, governance, and other socio-economic domains. On another level, local languages that do not have constitutional recognition have been marginalized and pushed out of the education system.

East Asia: The Case of Mainland China With its vast territory and multiple ethnic groups, mainland China is home to eight main dialect groups and more than 300 minority languages (Chen, 1999). Putonghua, which means the Standard Chinese, is based on one of the eight dialect groups – Beijing dialect. In contrast to India, which has no national language, Putonghua is the official national spoken language of China. It is spoken in varying degrees by the majority Han ethnic group, which makes up 90% of the 1.4 billion people in the country (Li, 2015). It is important to note that although the eight main dialect groups share the same writing system, they differ drastically in their respective phonetic and morphological systems. Thus, Putonghua serves as a lingua franca for the dialect groups, since people from different dialect groups may not be mutually intelligible when they speak. Recent studies have shown that only 14% of the Chinese population speaks Putonghua as their mother tongue (Cao, 2014), and approximately 70% of them understand Putonghua but converse in it with a strong local accent (Li, 2015). China has 55 officially recognized ethnic minority groups who speak about 300 minority languages (including the variations of some minority languages), 30 of which have written scripts that differ from the Standard Chinese writing system, and the rest are oral languages. The Chinese government is known for its instrumentalism in language planning, reflected in its persistent promotion of Putonghua as the only official language to unify a vast and diverse nation (Standing Committee of People’s Congress of China, 2000). In 1992, the State Language Commission advocated the implementation of Putonghua across the country, with “cities as the focus, schools as a base, government offices as a priority, radio and television as a model, and the public service industry as a window for communication” (Wang & Yuan, 2013, p. 27). Over the decades, various measures have been taken to reinforce the campaign of Putonghua. For instance, the National Technical Committee of Language Standardization has been working to establish the regular orthographical, grammatical, and phonological forms of Putonghua. Hanyu Pinyin, a Romanized phonological coding system, was developed to facilitate access to written forms of Standard Chinese (Wang et al., 2013). Furthermore, language laws were created to enhance the status of Putonghua as the legally mandated oral means of communication and of Standard Chinese characters for

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written documents in all formal domains (the Law of the People’s Republic of China on the Standard Spoken and Written Chinese Language, 2000). This creates a clear linguistic hierarchy, with Putonghua as a lingua franca for public affairs, designated as the principal MoI in schools and explicitly associated with national sovereignty and national dignity (Xu, 2019). Minority languages, despite receiving support for their use and development as their own languages and cultural emblem by law, are less prestigious than Putonghua. For instance, some minority groups, inhabiting autonomous regions, have their own additional official languages; for example, Tibetan has official status within the Tibet Autonomous Region, and Mongolian has official status within Inner Mongolia. However, Nima (2001) reported that Putonghua permeates all aspects of public life in Tibet, from government administration and technical reports in the workplace to businesses and schools. To maintain and promote minority languages, the Regional National Autonomy Law provides detailed guidelines on how to use minority languages in formal domains (Adamson & Feng, 2009). Twenty-one out of 55 minority groups have included teaching minority languages in schools, enrolling over six million minority students. Due to the ethnolinguistic, cultural, and linguistic diversity of Chinese minorities, how minority languages are taught alongside Putonghua differ tremendously across the country (Zhou, 2004). For example, Yanbian Korean Autonomous Prefecture demonstrates a strong form of minority language maintenance, as children learn their minority language (Korean) first to develop native-speaker competence and then learn Putonghua with relative ease. In addition, these children’s overall performance in Standard Chinese is generally above the national average (Zhou, 2003). In contrast, the native language of some smaller minority groups, such as Salar or Jinuo, is not used as MoI or taught only as a subject in school due to lack of qualified teachers and well-designed instructional materials (Zhou, 2004), which inevitably poses a threat to the maintenance of these minority languages. The national promotion of Putonghua has been remarkably successful in reducing illiteracy among the ethnic Han group, with an average of four million people becoming literate every year during the first decades after the implementation of this language policy (Feng & Adamson, 2015). However, such language planning is grounded in the belief that Putonghua is important for national cohesiveness, economic development, and civilization, whereas minority languages and dialects are associated with culture preservation and ethnic diversity. Consequently, minority languages and dialects are not treated equally in the job market, the formal instructional context, or informal social domains, and linguistic diversity in China has been decreasing over the past six decades (Zhou, 2004). Recent research has revealed that minority languages are declining within the current framework of multilingualism (Curdt-Christiansen & Wang, 2018; Xu, 2019; Zhang & Tsung, 2019). For instance, Xu (2019) examined the impact of Putonghua promotion with 24 participants from four minority regions and uncovered that lacking competence in a language of higher status (Putonghua) seriously restricted participants’ social interactions and work opportunities. Therefore, Putonghua is regarded as a necessary capital which one must possess, which requires considerable

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effort to acquire, whereas minority languages can be forgone because poor minority language skills do not create substantial difficulties or pose disadvantages in daily life or at work. Drawing on interviews with 16 Tibetan parents, Zhang and Tsung (2019) found that while the government of Qinghai province is generally supportive of the preservation of the linguistic heritage of Tibetans, it aims to foster an ethnic minority identity embedded within a broader Chinese national identity to avoid social divisions that the empowerment of a local language might cause. Therefore, all primary schools use Putonghua to teach all subjects, and Tibetan is taught as a standalone subject. Thus, the promotion of Putonghua exacerbates parents’ difficulty in helping their children become literate in Tibetan. While possessing high proficiency in Putonghua can ensure access to higher education and a good career with a high income, the same cannot be said of high proficiency in dialects. The use of dialects is increasingly confined to the private home domain, with many dialects on the verge of extinction (Zhou, 2003, 2004). The matter is further complicated with the interference of English – a language which is neither a national nor a local language. According to the Chinese Ministry of Education (2001), all children should begin to learn English as a school subject no later than the third grade in primary school. However, in many parts of mainland China, English teaching starts in the first grade (Feng & Adamson, 2015). Research suggests that the combination of the two prestigious languages (Putonghua and English) can pose a serious threat to minority languages and dialects (CurdtChristiansen & Wang, 2018). In a study involving eight middle-class Chinese families, Curdt-Christiansen and Wang (2018) found that the significant educational and practical values of Putonghua and English had led to cultural and emotional detachment from dialects among parents, which in turn influenced their decisions to use and develop certain languages (Putonghua and English) and discontinue using others (dialects). In response to these language shifts, the Chinese government has launched multiple nationwide preservation efforts to reinforce the idea that languages are a valuable resource that needs to be protected and used (Zhang & Tsung, 2019; Zhou, 2003). However, the effectiveness of these measures remains to be seen.

Southeast Asia: The Case of Thailand Thailand is often seen as a country of ethnic and linguistic homogeneity with the assumption that it is populated by Thai people who speak Thai. It is, however, an ethnically and linguistically heterogeneous country with only 25–50% of the population being native speakers of the national language, Standard Thai (Lewis et al., 2016). There are 62 officially recognized languages spoken by indigenous tribes, such as the Karen, Lahus, Lissus, and other minorities, such as Chinese, Malays, Cambodians, and Vietnamese (Baker & Jarunthawatchai, 2017). Similar to the case of mainland China, the language policy in Thailand assigns ultimate privilege to Standard Thai. It is designated not only as the sole language of government services and the education curriculum but also as the symbol of Thai

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national identity and unity (Rappa & Wee, 2006; Warotamasikkhadit & Person, 2011). Thus, Standard Thai is widely used in government administration and the media. Its prestige is reinforced in the education system, where Standard Thai is taught as a core subject and used as the MoI for other subjects. In contrast, regional varieties, such as “Northern” Thai and “Southern” Thai, are treated indiscriminately as variants of the Standard Thai regardless of their linguistic properties, even though researchers have questioned if all varieties of Standard Thai are dialects or separate languages (Baker & Jarunthawatchai, 2017; Darasawang & Watson Todd, 2012). Other languages are treated as foreign languages whether they are truly foreign, such as English and German, or languages which are widely spoken by minorities, such as Malay, Chinese, and Vietnamese. The dominance and superiority of Standard Thai may be attributed partially to Thai people’s high degree of loyalty to the Thai royal family and partially to the fact that Thailand has never been colonized by any Western country (Morita, 2007; Siebenhütter, 2021). The Thai alphabet was created in the thirteenth century by King Ramkamhaeng and has remained intact in form and substance for over 700 years, which has helped Thailand’s ruling class forge a strong association between Standard Thai and royalty and utilize the language as an important symbol for nation-building. Furthermore, unlike other Southeast Asian countries, which have been colonized, Thailand has never faced threats from other linguistic groups because of its independence. Some researchers have proposed that if, during the state-building process, the effective threat of alternate linguistic groups is low, the government can afford to shift language policies towards a greater degree of monolingualism (Liu & Ricks, 2012; Rappa & Wee, 2006). Thus, it is not surprising that languages in Thailand are usually classified as Thai and foreign, with the hegemony of Standard Thai being unchallenged. In recent years, however, there has been a turn towards embracing bilingualism and multilingualism (Baker & Jarunthawatchai, 2017). Since the 1970s, the national language policy of Thailand has accorded greater recognition to regional and minority languages, stating that “(I) it is the policy of the government to promote bilingual or multilingual education for the youth of ethnic groups whose mother tongue is different from the national language [Thai]” (Fry, 2013). Interestingly, different language groups respond differently to the national language policy. According to Warotamasikkhadit and Person (2011), Standard Thai is the L2 of about 7–10% of the population in Thailand. These ethnic minorities speak language varieties that are considered dialects of Standard Thai. As the national language policy promotes Standard Thai to ensure a strong sense of unity, it minimizes linguistic differences from regional varieties as dialectal variations rather than recognizing these varieties as different linguistic systems. Speakers of these minority languages, thus, have been gradually assimilated into Thai culture and society and increasingly use Standard Thai for professional communication (Smalley, 1994). For instance, drawing on survey data from 74 Kui minorities in north-eastern Thailand, Siebenhütter (2021) found that all participants over 58 years of age speak Kui, whereas only 40% of participants in the 15–25 age group use Kui regularly.

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However, ethnic Chinese and Malay communities presented somewhat different patterns. About 20% of the Thai population has some Chinese ancestry, and there are approximately one million Malay speakers in Thailand (Rappa & Wee, 2006). Chinese and Malay languages are treated unambiguously as foreign languages. Consequently, there are neither efforts to assimilate these languages as varieties of Standard Thai nor to maintain these languages in the Chinese and Malay populations. According to Manomaiviboon (2004), the development of Chinese language education fluctuated over the past century with subsequent opening and closing of Chinese-medium schools supported by different Chinese dialect associations in Thailand. In addition, there have been both easing and tightening of restrictions on schooling hours in Chinese language by the authorities due to political concerns about communism (Morita, 2007). In the 1950s, given the importance of a good command of Standard Thai to thrive in the Thai society, some Chinese families gradually adopted the Thai language, which slowly displaced Chinese (Skinner, 1973). In recent years, however, due to the dedication of the Chinese associations to preserve the language in harmony with the national language and the rapid growth of Chinese tourism, Chinese language education has gained increasing attention from Thai authorities (Guo et al., 2020; Morita, 2007). Manomaiviboon (2004) notes that since the beginning of this century, Chinese has been taught as a foreign language in 100 state schools in Bangkok, and there were 118 Chinese-medium schools in operation across 51 provinces in Thailand. In contrast, the Malay community in Thailand has been facing different challenges. The majority of the Malay community, located in the southern provinces, is Muslim, contrasting drastically with Thailand’s national Buddhist religion (Rappa & Wee, 2006). In addition, the Malay language has strong ties with the Islamic religion owing to its use to express faith and its key role in representing identity. Thus, the Malay community is reluctant to be assimilated into Thai society by replacing Malay with Standard Thai. Complicating things further, there are separatist movements and sometimes violent conflicts in the region. Malay children who are enrolled in the Thai-only education system tend to perform below the national average. For instance, Premsrirat (2009) reported that 42.1% of Malay third graders in the southern region failed the national writing test, compared to 5.8% nationwide. To address these thorny issues and the needs of ethnic Malay children, a Malay-Thai bilingual education program was implemented in southern Thailand in 2008, and the results are promising. Students taking part in the program were found to achieve 40–60% higher scores in all subject areas compared to Malay students in monolingual Thai classrooms (Premsrirat, 2009). Nonetheless, English has an instrumental role in connecting Thailand with the region and the world and its status, therefore, has become increasingly prominent over the past several decades (Baker & Jarunthawatchai, 2017). The government has made considerable efforts to enhance the teaching and learning of English. In 1996, English became a compulsory subject in primary and secondary education (Charttrakul & Damnet, 2021). Subsequently, 2012 was declared the “English speaking year” (Baker & Jarunthawatchai, 2017). In 2016, the duration of English instruction at the primary level was increased from one to five hours in the hope of

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further improving Thai English speakers’ proficiency (Franz & Teo, 2018; Widiawati & Savski, 2020). In fact, in 2010, English was even proposed as the official second language, but the proposal was unsuccessful after facing strong resistance owing to the potential of English to undermine the hegemony of Standard Thai, which could pose a threat to the national identity (Darasawang & Watson Todd, 2012). However, English has undoubtedly become the de facto primary foreign language in Thailand. One promising trend, as some scholars have observed (Baker & Jarunthawatchai, 2017; Widiawati & Savski, 2020), is that there appears to be a nascent recognition of the importance of other foreign languages and the diverse range of Thai varieties.

Oceania: The Case of Fiji When compared to research on language learning in the Asia-Pacific countries, little attention has been given to language learning in Oceania. Located in the South Pacific, Fiji is a multilingual, multiracial country with a remarkable degree of linguistic diversity, despite its less than one million population. In Fiji, the two languages most commonly spoken are: Fijian and Fiji Hindi, a local variation of Hindi. In roughly equal numbers, 95% of the population speaks either Fijian or Fiji Hindi as their first language (Lewis et al., 2016). Both Fijian and Fiji Hindi consist of several dialectal varieties. There are also a number of indigenous minority languages spoken by about 5% of the population (Goundar, 2019). Even though only 1–3% of the population speak English as their first language, English retains an important role as it is the sole official language of the islands under British colonial rule until 1997 (Baldauf & Kaplan, 2006). According to Fiji’s 1997 constitution, English, Fijian, and Hindi are the three official languages of Fuji, each with equal status, use, and function (the Fiji Education Commission Report, 2000). While Fijian and Fiji Hindi are the main forms of communication between individuals, English is used for official purposes and serves as a lingua franca between groups speaking different first languages. Taken together, multilingualism in Fiji exists both at the societal and the individual levels. While most speakers typically speak Fijian or Fiji Hindi as their first language and have some mastery of English as a second language, many have much richer linguistic repertoires, particularly among the minority groups. The Fiji Review of Education Commission established a transitional education system in 1926 and there has not been much change since then. Under the system, children’s mother tongue (Fijian, Fiji Hindi, or their dialectal varieties) should be the MoI for the first three years of primary school; thereafter, MoI transits to English and mother tongue is only taught as a subject from the fourth year (Fijian Ministry of Education, 2002). Depending on their mother tongue, children attend either “Fijian” or “Indian” schools. English, though only native to 1–3% of the population, is promoted as a national language, whereas the other two official languages are less valued and on their way to becoming local languages (Mangubhai, 2002). Most of the primary schools in Fiji are run primarily by religious organizations, community groups, and parent-teacher committees, who make decisions on which language

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(s) be used as MoI in the schools (Shameem, 2007). This implies that these parties decide whether to follow the national policy or not. Even though Fijian, Hindi, and English are designated national languages, the current Fiji language policy is inadequate in guiding the use of these languages in classrooms where diverse languages are used (Goundar, 2019; Subramani, 2000). As mentioned earlier, the ethnic compositions of schools vary according to their religious affiliation and historical ethnic and tribal links. Moreover, there are different dialectic variations of Fijian and Fiji Hindi. For instance, Indo-Fijians use either Fiji Hindi, Tamil, Telegu, Malayalam, Gujarati, Urdu, or Punjabi, and not all native Fijians speak the same dialect (Baldauf & Kaplan, 2006). This means that children in the same class may have different mother tongues. Teachers often face great challenges in deciding the most pragmatic way to handle the issue of language diversity in the classroom (Goundar, 2019; Shameem, 2007). Drawing on survey and observational data from 24 classrooms across four cities, Shameem (2007) found that the diverse ethnic and linguistic composition in class posed great challenges to mother tongue teachers in identifying which language should be considered as the children’s mother tongue. Moreover, teaching materials were inadequate to support teachers in understanding the possible role of each of the languages. Hence, they were found to make their own judgments in selecting language(s) to use in the classrooms, although they usually chose English. Extant research, though limited, also suggests that teacher training may be needed to improve teachers’ English proficiency (Goundar, 2019; Shameem, 2002). Shameem (2002) examined the teaching of Fiji Hindi and other Fijian dialects in eight schools. She found that English teachers with inadequate English proficiency and lack of confidence in using English would stick to their mother tongue as the de facto medium of communication in the classroom. Furthermore, nonstandard dialects of the Fijian and Fiji Hindi have been undermined by the current language policy. Although mother tongues other than Fijian and Fiji Hindi are allowed to be used as MoI, little planning takes place (Baldauf & Kaplan, 2006). For instance, out of nine Indo-Fijian dialectal varieties, only four are used in school (Mangubhai, 2002). Moreover, even though some varieties have similar spoken forms (e.g., Urdu and Standard Hindi), they differ in their scripts. Thus, not all children learn their mother tongue, even if schools are teaching vernacular variations of Fijian or Fiji Hindi. When a language other than the children’s mother tongue is used as MoI for all subjects during the first three years of primary school education, these children may be in a disadvantaged position to develop adequate linguistic skills in that language to solve cognitively demanding tasks (Cummins, 2000). Thus, failing to provide clear guidelines in legitimating the dialectal varieties may limit the roles of these languages in the classroom and consequently threaten Fiji’s language diversity. Consistent with findings from the other three countries and despite being a multilingual country, English has become the dominant language in Fiji, even though the three languages are assigned equal official status. The younger generation are reported to be unable to read the Hindi script and fewer of them are speaking Fijian (Goundar, 2019). As a result of English’s important role in economic gains, parents have also called on schools to adopt English as the language of instruction. In

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urban areas, English has become the most common MoI. Another unintended consequence of English as the dominant language in Fiji is that it gradually replaces the use of Fijian and Fiji Hindi for interethnic communication when people of different linguistic backgrounds rely more and more on English as the lingua franca. Taken together, even though the Fijian transitional language policy aims to encourage language diversity, it does not serve as a bucket policy to provide one-size-fits-all solutions to the diverse language learning needs of its citizens. It needs to recognize minority languages and provide more explicit educational strategies for teachers to employ these languages in classrooms so to achieve multilingualism.

Discussion In this chapter, we chose to focus on these four Asia-Pacific countries, as they have very different linguistic, cultural, and historical characteristics. Comparing the four countries above illustrates more clearly the complex relationships between linguistic diversity, language planning, and the learning of national and local languages. Three common and interrelated themes have emerged: the learning of national language (s) as a nation building strategy; the learning of local language(s) is often neglected; and the learning of English as a national or foreign language.

The Learning of Non-English National Language(s) as a Nation Building Strategy Without exception, all four countries are dedicated to promoting non-English national languages as part of nation-building and as a means to establish a shared sense of national identity. It appears especially crucial to maintain a country’s ethnic roots when, arguably, globalization has become one of the most prominent features of the modern age. Their efforts have, however, met with varying degrees of success. Only mainland China and Thailand have accomplished this with little hurdle, owing to the fact that Standard Chinese and Standard Thai languages are the dominant long-established national languages. That is, these languages (which have both a spoken and a written form) were historically chosen, standardized, and promoted by their rulers and eventually became common languages among the different ethnic groups in these countries. With regard to India, the lack of an official national language and the large number of regional languages make it difficult for India to keep Hindi and other official regional languages from being overtaken by English. While Fiji assigns its two major languages (Fijian and Fiji Hindi) equal importance, people of different linguistic backgrounds rely on English for interethnic communication. Another recurring finding is that children whose mother tongue is not the national language are often found to be in a disadvantaged position when the national language is used as MoI. This can lead to severe educational disadvantages

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(e.g., school repetition, drop-outs) in less developed areas whose communities traditionally do not speak the national language.

The Learning of Local Language(s) Is Often Neglected The second common theme is that there is lack of systematic support for the inclusion of local languages as languages of education. As shown earlier, despite being the most linguistically diverse region of the world, many local indigenous languages in the four countries are, with few exceptions, not being systematically taught as part of the education system. While promoting national languages helps to achieve national unity and national cohesiveness, it runs counter to the maintenance and promotion of local languages. Local languages are often at the lowest level of the language hierarchy, and many of them are neglected, if not ignored (Kirkpatrick & Liddicoat, 2019; Mangubhai, 2002). As demonstrated in mainland China and Thailand, once the national language is assigned higher status and used widely for government and social purposes, it becomes a language of greater social capital and consequently, more valuable to be learned. Therefore, local languages are inadvertently being neglected or assimilated since a lack of proficiency in them will not significantly affect life, work, or income. As for India and Fiji, language diversity serves as a double-edged sword. Despite being an important source of rich culture, it poses challenges to the implementation of a nationwide language policy without incurring the resistance of minority language speakers, especially in areas with several dialects. Thus, the linguistic diversity of the region is in grave danger and the future of many local languages looks bleak.

The Learning of English as a National or Foreign Language The third common theme is that all four countries are facing the unprecedented impact of English on their language planning (see also ▶ Chaps. 27, “English in General Education: Current Issues and Possible Solutions,“ by Kirkpatrick and ▶ 26, “Language-in-Education Policy in the Asia-Pacific Region,” by Liddicoat in this volume). This is more as a response to globalization than as a legacy of colonialism. In the case of mainland China and Thailand, English is neither a national nor a local language, but rather a foreign tongue. Since English proficiency is often regarded as a requirement for getting a better job and an essential language for business and/or governance, it has gained an increasingly high level of prominence in all four countries. The use of English as a language of instruction usually starts at lower primary levels with different lengths of duration. In addition, English is inevitably in competition with the national and local languages and is becoming detrimental to local languages, sometimes even the national language, as shown in India and Fiji. Furthermore, as a result of the uneven economic development of different regions in the four countries, the distribution of English educational resources is also uneven. This further exacerbates the divisions between the haves and the have nots. In many rural or less developed regions, even though English is a compulsory subject, there is

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a dearth of qualified and proficient English teachers. Thus, English is either poorly taught or not taught at all. In contrast, the children in better-off regions are able to attend well-designed English classes in public schools and/or take private tuition classes. Recently, mainland China and India have initiated some educational reforms in an effort to reverse these trends, but the results have yet to be seen.

Conclusions and Future Directions The Asia-Pacific region covers an enormous land mass and is home to the largest population and the greatest linguistic diversity on earth, making it a significant site for examining language planning and language learning. As shown in the four case study countries, choices of and decision-makings in language-in-education policy in multilingual settings are remarkably complex. The education systems in the four countries have become a major tool in language planning, due to their instrumental roles in the construction of language regimes and the regulation of access to language resources. Policymakers should ensure that education systems are more inclusive and supportive of the use of local languages in education, rather than consciously or unconsciously assimilating these languages and enforcing the extensive use of the national and international languages as the principal MoI. Although the education systems in the Asia-Pacific region intend to assimilate diverse languages and ethnicities for the creation of a national identity, it should be noted that the education systems, especially in the current globalization context, also hold the responsibility to nurture, develop, and maximize their students’ potential for the development of their nations. Research has consistently reported that knowing more than one language is closely related to a wide range of educational, social, and cognitive benefits (Bialystok et al., 2012; Blom et al., 2017; van den Noort et al., 2019). Local languages are indeed valuable assets for these students, which should be further developed in order to ensure that these nations maintain their uniqueness and competitiveness in the global world. In addition, there is a deep-seated myth among policymakers and parents that high proficiency in language(s) can be achieved through education. But research has repeatedly shown that education in school settings is a necessary condition for language learning, but this alone is not sufficient (Curdt-Christiansen, 2009; Groff, 2017). This is especially true when certain languages are not even included in the education system. Language planning should set clear goals for language maintenance and create adequate opportunities for language usage and learning outside the classroom (Curdt-Christiansen & Wang, 2018; Spolsky, 2004). For many ethnic groups in the Asia-Pacific region, language is not just a marker, it is the marker (Brown & Ganguly, 2003). Language is a means and resource for these groups of people to gain education and maintain their ethnic identities and values. It becomes complicated, though, when there is more than one language at work. Through language planning, a well-developed language-in-education policy can play an important role in influencing language choice and use in social, educational, political, or economic domains and further affect the learning of national and

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local languages. To support the learning of more than one language, clear guidelines on the learning and use of these languages are needed to meet realistic educational, community, and society goals. Although the studies reviewed in this chapter expand our understanding of the learning of national and local languages in the Asia-Pacific countries, several limitations need to be noted and addressed in future research. Firstly, much research has adopted a qualitative approach to conduct discourse analysis of official documents or document ethnographic studies in home and classroom domains. While qualitative research design helps reveal more nuanced understandings, quantitative studies with larger sample sizes may capture the relationships between different domains, such as home, school, and society, more accurately. Secondly, there is a dearth of well-designed longitudinal studies that track the impact of national language policy on the various developmental stages of children’s language learning. Such studies are necessary to capture the dynamic of changing relationships between national language policy and bi-/multi-lingual development. Finally, given the important roles of home and school environment in children’s language and literacy development, further research may employ more fine-grained operationalizations to differentiate language practices at home and in school and map out how different practices shape the various components of language and literacy development in one or more languages.

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Bilingualism and Multilingualism in Classrooms in Hong Kong and Singapore: Code-Switching and Translanguaging

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Translanguaging and Translanguaging Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Code-Switching (CS) and Translanguaging . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Language Ecology and Language Policy in Hong Kong and Singapore . . . . . . . . . . . . . . . . . . . . . . Hong Kong . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Singapore . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Translanguaging Practices in Classrooms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Hong Kong . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Singapore . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Bilingualism and multilingualism in classrooms are common phenomena in bilingual education programs that involve different languages as medium of instruction or as medium of local (home) cultural practices. This chapter reviews, from a holistic perspective on bi/multilingualism, research on translanguaging in bilingual classrooms as a pedagogical practice. It first provides a historical/ conceptual overview of the development of the concepts of code-switching and translanguaging and discusses the different theoretical assumptions underlying them. It then surveys recent research on patterns of translanguaging with a particular focus on the pedagogical, cultural, and social functions of translanguaging. In discussing the use of two or more languages as well as semiotics in classrooms as a dynamic and fluid communicative and pedagogical means, the chapter also reviews how “named” languages are conceptualized as discrete “codes” with clear boundaries and how different languages are valued and X. L. Curdt-Christiansen (*) Department of Education, University of Bath, Bath, UK e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_25

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privileged in relation to the political, economic, and linguistic-historic context of language use in general. The chapter concludes with a discussion of the potential challenges and advantages of using translanguaging in classrooms, seen from language development and cross-cultural perspectives. It will point out future research directions and make suggestions for research possibilities. Keywords

Bilingual education · Multilingualism · Translanguaging · Classroom interactions

Introduction Bilingualism and multilingualism in classrooms are common phenomena in bilingual education programs that involve different languages, either reflected in the medium of instruction or in the local (home) cultural practices. Like any natural phenomenon in multilingual societies, translanguaging is often observed in classrooms, either in teacher-student or student-student interactions. Research into bilingual and multilingual classrooms has identified that translanguaging plays critical roles in facilitating learning of subject knowledge and enhancing classroom communications (e.g., Lin, 2020; Tai & Li, 2020, 2022; Vaish, 2020). In this chapter, I review research on translanguaging practices in bilingual classrooms as dynamic pedagogical strategies in two similar yet different socio-political and culturallinguistic contexts in the Asia-Pacific region: Singapore and Hong Kong. By comparing the official language policies and their linguistically/culturally diversified populations, I discuss the different ways in which translanguaging practices are spontaneously used or intentionally applied to achieve different purposes with different functions in classrooms. The chapter starts with a brief review of the historical origins of translanguaging and the subsequent development of the concept in relation to code-switching. It then presents a discussion of the policy and the sociolinguistic environments of the two contexts. Moving forward from the contextualized discussion of language policy, the chapter then focuses on empirical studies derived from the region to understand the different social and pedagogical functions that may be afforded or constrained by translanguaging practices in classrooms. In conclusion, the chapter engages researchers and practitioners to explore future research possibilities in translanguaging in other Asia-Pacific regions and discuss the potential challenges of doing translanguaging in classrooms.

Translanguaging and Translanguaging Practices The concept of translanguaging was first coined by the Welsh scholar Cen Williams in Welsh as traswieithus in 1994 (Williams, 1994). He referred to it as a purposeful pedagogical practice in the language classroom that provides students with

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opportunities to alternate between languages or language modes in Welsh and English to develop language skills. For example, if the teacher provides an input in Welsh writing, then the students are required to produce an output in English, either in written or oral mode. García (2009, p. 140) extended the concept to refer to “the act performed by bilinguals of accessing different linguistic features or various modes of what are described as autonomous languages, in order to maximize communicative potential.” In recent years, the concept has been widely used as a generalization of the various cross-language practices in multilingual contexts (Canagarajah, 2013; Creese & Blackledge, 2010; Williams, 2022; García & Li, 2014). García and Li (2014), however, argued that translanguaging goes beyond the knowledge of two distinct languages to include semiotic resources at bilinguals’ disposal to form their linguistic and semiotic repertoires. Cenoz (2019) distinguished translanguaging practices between spontaneous and pedagogical translanguaging. The former “refers to the reality of multilingual usage in naturally occurring contexts where boundaries between language are fluid and constantly shifting. It can take place both inside and outside the classroom. Inside the classroom, it can have pedagogical value but it has not been planned in advance as a pedagogical strategy” (Cenoz, 2019, p. 77). The latter has the feature of “design,” as it emphasizes translanguaging as a teaching strategy. She further argued that “pedagogical translanguaging has great potential because it can provide a deeper understanding of the content and can also be useful as scaffolding across languages” (ibid.). Because of its scaffolding nature, Colin Baker (2011, p. 289) contended that translanguaging may have the following pedagogical functions: 1. 2. 3. 4.

It may promote a deeper and fuller understanding of the subject matter. It may enhance the development of the weaker language. It may facilitate home-school links and cooperation. It may help the integration of fluent speakers with early learners.

These pedagogical functions are also well recognized and identified in various research projects at different educational levels around the globe (e.g., García & Lin, 2017; Lewis et al., 2012; Otheguy et al., 2015; Vaish, 2021; Wang & CurdtChristiansen, 2019). Acknowledging the pedagogical effects in Welsh classrooms, Lewis et al. (2012), in their longitudinal study in Wales, pointed out that in translanguaging practices, “both languages are used in a dynamic and functionally integrated manner to organise and mediate mental processes in understanding, speaking, literacy, and, not least, learning” (Lewis et al., 2012, p. 1). Translanguaging practices, however, are not limited to pedagogical functions. As Cenoz (2019) pointed out, translanguaging can take place both inside and outside the classroom in spontaneous ways; studies have shown that spontaneous translanguaging can enhance bilinguals’ communicative potential and thus play a vital role in mediating their cultural practices and identity (Duarte, 2019; Lin & He, 2017; Park, 2013; Vaish, 2021). García and Li (2014) emphasized that affirming identity and activating home language/culture are part of the social inclusion processes that give voice to bilingual learners and recognize their diverse languages and cultures in

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meaning-making of the world. These vital functions, from social, cultural, and communicative perspectives, are reflected in classrooms between teacher-student or student-student when building rapport, recognizing each other’s culture, affirming identity, and sharing sociocultural experiences (Duarte, 2019; Lin & He, 2017). Duarte’s study in German secondary schools, for example, shows that although translanguaging talk between pupils can be off-task in class, it is also used by pupils to negotiate the process of getting back on track with the tasks. In this regard, translanguaging has a strong social function for bilinguals when making sense of their school experiences. These social, cultural, and communicative functions of translanguaging and the pedagogical functions of translanguaging practices are not mutually exclusive. They can be used together to support identity construction, cultural affiliation, and social collaboration to facilitate learning and enhance knowledge construction.

Code-Switching (CS) and Translanguaging As the translanguaging practice to a large extent involves two or more languages (as well as semiotic resources), it tends to be contested with the argument that it is just “old wine (code-switching) in a new bottle” (Vaish, 2021). However, the two concepts are fundamentally different in their philosophical, epistemological, and ideological premises. García and Lin (2017, p. 120) succinctly pointed out the difference: Code-Switching is based on the monoglossic view that bilinguals have two separate linguistic systems. Translanguaging, however, posits the linguistic behaviour of bilinguals as being always heteroglossic (see Bakhtin, 1935/1981; Bailey, 2007), always dynamic, responding not to two monolingualisms in one but to one integrated linguistic system.

Because languages are social constructions with arbitrary boundaries (Cummins, 2016), the conceptual understanding of code-switching views language as separate and isolated language systems. From a traditional sociolinguistic perspective, people use different languages, dialects, accents, and language combinations to project their identity (Gumperz, 1982). Depending on different situations of who, where, what, and when, people tend to change their language style and languages to suit their specific purposes. Because of the common features of alternative use of different languages, a misconceptualization of translanguaging as code-switching takes place (e.g., Gallagher & Colohan, 2017; Vázquez & Ordóñez, 2019). Lin and He (2017, 230) argued that these misconceptions are generated from a “deep-rooted psychological attachment to the idea that there are different separate language systems.” Translanguaging, however, sees bilinguals’ linguistic repertoire as one linguistic system and not as discrete “codes” with stable boundaries (García & Li, 2014; Lin, 2020). The differences between CS and translanguaging are also reflected in recent studies where translanguaging is viewed as a dynamic and fluid linguistic practice.

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Researchers have challenged and destabilized the concept “code” and viewed the sociolinguistic phenomenon as flexible bilingualism (Creese & Blackledge, 2010), metrolingualism (Pennycook & Otsuji, 2015), and polylingualism (Jørgensen & Møller, 2014). These recently emerged epistemological stances have enabled translanguaging researchers to move beyond codified views of human meaning-making experiences. Lin (2020, p. 4) argued that This codified view falls short of capturing the dynamic, fluid, and integrated sets of resources that people mobilise in doing the moment-to-moment interactions. From this dynamic view of interactions, speakers (including their bodies), linguistics, and multimodal resources, tools and artifacts (both physical and symbolic ones) are all entangled in the flow of speech/action events.

This dynamic view of classroom interactions involves more than the use of two distinct languages to encompass multiple languages, materials, and artifacts as well as past events and experiences. In their involvement in classroom interactions and speech/action events, all the aforementioned elements are “interconnected, entangled, and coordinated to enable the speech/action events to unfold in the dynamic material flows of matters, energy and information that encompass utterances and variations along multiple historical/time scales” (Lin, 2020, p. 4). In the following sections, I present how such dynamic flows of speech/action events are unfolded in Singaporean and Hong Kong classrooms.

Language Ecology and Language Policy in Hong Kong and Singapore Hong Kong Hong Kong, located in the eastern Pearl River delta, is a special administrative region of China. Before 1997, Hong Kong was under British Rule for 99 years and English was the only official language during the colonial period. But the majority of the population of Hong Kong are descendants of migrants from Guangdong Province in China, so Cantonese is the first language of most inhabitants and also the lingua franca of the region. In addition to the Chinese population, Hong Kong is also home to migrants and expatriates, both from other Asian countries and from the West. This population, though small, has contributed much to Hong Kong’s linguistic and demographic diversities. Since its return to China in 1997, Hong Kong has adopted a new language policy that promotes “Biliteracy and Trilingualism.” Biliteracy refers to literacy in Chinese (traditional Chinese writing system) and English and trilingualism refers to Cantonese, Putonghua, and English. Acknowledging both English and Chinese as official languages, the medium of instruction (MOI) policy in primary and secondary schools have undergone several changes from Chinese-medium instruction (CMI) to English-medium instruction (EMI) and mixed-medium instruction (see, e.g.,

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Poon, 2013; Tai & Li, 2021a; Tollefson & Tsui, 2014). These policy changes have reflected different ideological positionings of the government and different stake holders (such as parents and teachers) in relation to the social, economic, and political values they ascribed to the different languages (Poon, 2010, 2013). In classrooms, the CMI or EMI policy has been expected to carry out a monolingual rule of either Chinese or English for teaching and learning. However, in EMI classes, it has been noticed that many students struggle to learn content subjects through English because of their limited English proficiency (Tai & Li, 2021a, b). Although teachers and students share Cantonese as L1, it is believed that the use of L1 in EMI classes could impede their learning in English. Despite such assumptions, it has been reported that teachers and students engage in different degrees and styles of translanguaging practices, which we will return to with a more detailed discussion in section “Translanguaging Practices in Classrooms.”

Singapore Singapore is a city-state with a population of 5.4 million (Statistics Singapore, 2021). It hosts three major ethnic groups – Chinese (76%), Malays (13%), and Indians (8%) together with a small minority of others (3%). This ethnic make-up reflects to some degree the linguistic practices associated with the ethnic diversity. In markets, on public transportations and in residential areas, varieties of Chinese, Malay, India, and English languages, as well as other South-East Asian languages, can often be heard. While Singapore presents a vibrant multilingual and multicultural ecology, it has undergone a visible language shift and linguistic diversity decline from varieties of Asian languages toward English among all ethnic groups during the past three decades (Curdt-Christiansen, 2016; Li et al., 1997; Vaish, 2020). The present language situation is less diversified compared with 30 years ago and shows a tendency toward a more English dominant linguistical “diversity” where varieties of English are used in almost all domains, especially among young people (Chew, 2014; Curdt-Christiansen, 2016; Gupta, 2008; Vaish, 2020). Singapore’s government has from its inception 57 years ago been concerned with language policy. With racial harmony as its priority, the government adopted a bilingual policy in 1965, which recognizes four official languages: English, Mandarin, Malay, and Tamil. English has been the official language for government administration, business, and education, and Mandarin, Malay, and Tamil were given the title of designated mother tongues for the respective ethnic groups. The prestige positioning of English has resulted in a visible language shift from mother tongues to English language among all ethnic groups (Curdt-Christiansen, 2014, 2016; Tang, 2020; Vaish, 2021). In addition to such visible linguistic shift, a new variety of English, Singlish (also known as Singapore Colloquial English, SCE), has emerged and become the default lingua franca among speakers from different ethnic groups. Singlish is a colloquial variety of English that has a specific grammar, accent, and intonation. Many researchers have studied features of Singlish (e.g., Wong, 2005;

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Wee, 2008). Vaish (2020, p. 15) pointed out that “the most obvious grammatical features of Singlish are the use of pragmatic particles (‘lah,’ ‘ah,’ ‘leh,’ ‘lor,’ ‘meh,’ and ‘what’), lack of subject-verb agreement and inflectional morphology (e.g., Singlish drops plurals, tenses, and verbs can be used without subject), simplification of word final consonant clusters.” Most of the grammatical features of Singlish have been derived from either Mandarin, other Chinese dialects (Hokkien and Cantonese in particular), or Malay. Singlish is widely used by students and the majority of Singaporeans as a unique identity marker. Researchers reported that most students spoke Singlish with their friends during recess in schools despite the fact that the language of instruction in class is standard Singaporean English (SSE) (Rubdy, 2007; Vaish, 2021). As “Singlish is the most natural and spontaneous choice for informal talk among family and friends” (Rubdy 2007, p. 316), teachers also use it to build rapport with students. Singlish is a typical result of the bilingual policy. Within the context of education, the bilingual policy has, in particular, affected the language practices in schools and classrooms indicated by the aforementioned studies. As English has been implemented as the medium of education in all schools across all subjects, mother tongues (MTs) are now only taught as a “second language” and given a limited curriculum time. Although Rubdy’s (2007) study shows that students are aware of the differences between Singlish and Standard Singapore English (SSE), Singlish has been found to be used both inside and outside of classrooms (Curdt-Christiansen, 2014; Vaish, 2021). Different types of translanguaging practices, thus, have been found in classes between Singlish and SSE, SSE, and MTs, as well as Singlish and MTs. Although inhabited by large Chinese populations, Singapore and Hong Kong have very different linguistic ecologies. Whereas Singapore is home to four major ethnic groups, Hong Kong has only a small non-Chinese (mainly South Asian) population. From the perspective of language recognition, Singapore acknowledges four official languages, whereas Hong Kong gives recognition to only Chinese and English. In addition to the sociolinguistic differences, the language-in-education policies are also different in that Hong Kong provides both CMI and EMI programs in schools, whereas Singapore provides only EMI classes, although MTs are taught at school and are examinable subjects as required for the Primary School Leaving Exam (PSLE) at the national level. Despite these differences, translanguaging has been observed in both contexts. But to what extent are the practices different and similar? In what follows, I provide a discussion of the empirical studies found in these two contexts.

Translanguaging Practices in Classrooms As discussed in previous sections, translanguaging can be found both inside and outside of classrooms. In classrooms, translanguaging emphasizes the use of multiple languages “in a dynamic and functionally integrated manner to organise and mediate mental processes in understanding, speaking, literacy and not least,

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learning” (Garcia and Lin 2017, p. 120). The key words “organize” and “mediate” require teachers to take on a pedagogical designer’s role when planning the teaching contents as well as the teaching strategies. In this section, I focus primarily on pedagogical translanguaging practices that contain both spontaneous and designed elements.

Hong Kong In Hong Kong, most of the published translanguaging studies examine EMI classes and CLIL English programs and involve L1 Chinese (Cantonese) and English. Scholars focus on a variety of translanguaging topics, from dynamic activity flows to playful talks, and from connecting students’ out-of-school knowledge to their use of semiotics (gestures and signs) in classroom activities. The school-subjects are also varied from mathematics to geography and from biology to integrated science. Dynamic activity flows have been explored by Angel Lin and her colleagues (Lin, 2019; Lin & He, 2017; Lin & Wu, 2015; Wu & Lin, 2019). Studying how to integrate content and language in CLIL classrooms, they observed what teachers did, either deliberately or spontaneously, to engage students in learning cognitively demanding contents so that the students could effectively develop their academic literacy and proficiency in English. In one of the studies (Wu & Lin, 2019), the authors focused on a grade 10 biology class in a government school where most of the students were considered emergent bilinguals. Illustrating how transpiration pull is created in plants (subject content), the teacher employed multiple resources, including translanguaging (Cantonese, English), multimodality, and multisensory techniques, to co-construct knowledge with the students. Importantly, the process of co-construction allowed the teacher to use embodiment and spatial repertoire together with multilingual resources connecting “students’ familiar everyday semiotic and cultural patterns with school-defined semiotic and cultural patterns in the dynamic, dialogic flow of knowledge co-construction” (p. 258). In understanding this complex process, they argued that translanguaging, trans-semiotizing, transregistering, and trans-featuring are all happening simultaneously when students make meaning of what they learn. They contend that these phenomena are translanguaging/trans-semiotizing dialogic flows, which (p. 265) are seamless blending of different bits of registerial features or tendencies at every moment through intricate and well-coordinated entanglement of all the meaning-making resources available at that moment and space, which enables teachers and students to engage in dynamic and dialogic flows of collective meaning-making, together forming a holistic multi-voiced gestural, visual, linguistic, and embodied feeling-meaning continuously.

In a similar context of another biology class in a secondary school, Lin and He (2017) studied a group of students from South Asian backgrounds. Unlike the

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previous study, the students had fluent basic interpersonal communication skills (BICS) in English in addition to their home/community language and some Cantonese. Through ethnographic naturalistic observations and interviews, they found that both the teacher and the students were engaged in meaning-making and co-construction of knowledge through translanguaging in dynamic flows of interactions and activities. The differences between this study and the previous one lied in the “less designed” and “planned” spontaneous scaffolding strategies. The authors argued that meaning-making processes are entangled with resources and traces of past events across multiple media and languages that provide new insights into the nature of “translanguaging and transsemiotizing.” Multiple studies have been guided by the conceptual framework of translanguaging/trans-semiotizing directly or indirectly. Williams (2022) explored the concept by studying a fifth-grade class of emergent bilinguals doing integrated science. Tai and Li (2020, 2021b) looked into how teachers make connections between their students’ out-of-school experience/knowledge and their learning of mathematical concepts in classroom. Using multimodal conversational tools to analyze classroom interactions, they showed that translanguaging practices can create a safe space for co-learning. Lo et al. (2020) observed secondary science CLIL classes to examine how teachers unpack and repack abstract concepts and academic discourse. These studies provide significant insights into knowledge building in CLIL contexts and confirm that knowledge construction is a semiotic and translanguaging process. In this regard, pedagogical practices need to involve and use linguistic, semiotic, and multimodal resources to facilitate learning and teaching. As the aforementioned studies seek to highlight the pedagogical benefits of translanguaging in classrooms, they demonstrate how pedagogical scaffolding strategies are unconsciously or consciously/strategically deployed in classrooms. However, translanguaging, as argued by Cenoz (2019), does not always have “planned” elements. It tends to take place in natural settings where boundaries between languages are fluid, natural, and spontaneous. Such naturally occurring translanguaging has also been reported in Hong Kong classrooms. Lin and He’s study (2017) showed that the teacher spontaneously used South Asian students’ L1 to acknowledge their culture and affirm their identity. Tai and Li Wei’s study (2021a) of a mathematics class also illustrated that the teacher used “unplanned playful talk” to engage the students in learning mathematical concepts. Although “playful talk” on the surface seems not to have any pedagogical value, the features of humor, joking, parody, teasing, and chanting that emerge in teacher and learner talk can “create a translanguaging space, which allows classroom participants to bring in a range of linguistic and multimodal resources and different kinds of knowledge into the lessons” (Tai & Li, 2021a, 637). Their study showed that the teacher constructed playful talk not only to entertain but also to engage his students in learning by activating their related experiences in social and meaningful contexts.

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Singapore Despite the positive effects of translanguaging pedagogies, illustrated by studies in Hong Kong classrooms, there are relatively few studies of translanguaging in Singapore. The majority of studies in Singapore focus on code-switching and address issues of Singlish (Singapore Colloquial English (SCE)) in classrooms. This is perhaps not a surprise because over the years, the government has tried to promote the use of Standard Singapore English (SSE) over SCE in formal and informal situations. As SCE has been considered “corrupted,” “broken and ungrammatical,” the Speak Good English Movement was launched in 2000 with different programs and activities designed to increase the awareness among Singaporeans that speaking good English matters in their daily lives. Unlike the studies reviewed in HK where teachers’ use of students’ L1 or home language in classroom has been examined, in Singapore, teachers’ use of Singlish has been the central concern. Rubdy (2007), for example, explored teachers’ reasons for using SCE in the classroom through interviews with primary school teachers. She found that teachers used SCE to explain difficult subject content, especially to students they perceived as having low English proficiency. Like the study by Tai and Li (2021a), Rubdy also found that the teachers used SCE to build rapport with their students, to inject some fun and humor into the lesson, or to concentrate on the content rather than the form. In a qualitative study, Kwek (2005) explored teachers’ switching between SSE and SCE in two low-ability Grade 9 classes. The results indicated that SCE was used when teacher talk was organizational and disciplinary in nature. Standard English was used when teacher talk was content-centered. In a large scale of research project, Gwee and Saravanan (2018) reported an observational study of Grades 5 and 9 teachers teaching mathematics, science, social studies, and English in Singapore. In coding features of classroom teaching and learning, they paid attention to the social arrangement of activities, student engagement, classroom ethos, the nature and use of knowledge, and the intellectual quality of instruction and tasks. The results indicated that Grade 5 teachers used Singlish more often for curriculum access than for classroom management. Content subject teachers code-switched more frequently than language teachers. While the results of Singaporean studies are not much different from studies in other contexts, including HK where the use of home language/L1/local language can have critical pedagogical functions in scaffolding knowledge construction, the conceptual framework is fundamentally different. In the Singaporean context, languages are perceived as separate language systems, and the multimodal resources have not been integrated into the meaning-making process as part of the dynamic communication flows (Lin, 2020). The conceptual difference may be related to the psychological attachment to the idea that languages can be coded with solid boundaries, so that human communication is dependent on discrete “codes” rather than on a fluid and seamless practice involving both linguistic and semiotic resources (Yussof & Sun, 2020). Such different views of languages can present challenges for teachers when implementing a translanguaging pedagogy for lower-ability students.

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Vaish (2019, 2021) studied the Learning Support Programme (LSP) in Singaporean primary schools where most of the children come from multilingual backgrounds and use languages other than English at home. The LSP is an early intervention program aiming to support children who enter primary school without requisite reading skills in English. The teachers involved in Vaish’s project were engaged in an intervention training practice on how to use translanguaging as a pedagogical “design” to teach vocabulary, grammar, and comprehension. In the initial piloting study, 3.5 video-recorded training session and interviewing data with the teachers and students were analyzed. Vaish (2019) found that the students tended to have a very negative view of the teachers’ attempt to use the mother tongues to teach English. She concluded that the promotion of English language in public domains and education has prevented the implantation of translanguaging in learning English despite the benefits of using mother tongue for the LSP children. Li and Lin also (2019, p. 213) pointed out that This study has important implications for teachers, policy makers and advocates of translanguaging pedagogy that unless the ideologies and systems changed, multilingual education where all languages are equally valued, learners with languages other than the dominant national one will continue to struggle with access to the process of knowledge construction.

Following up on the pilot study, the researchers in the project dealt with the challenges of identifying elements that can be transferred from one language to another in the intervention practices. Four phases and 14 hours of the training sessions were video-recorded, and the design of the translanguaging pedagogy was captured for the Malay LSP. The study shows that teachers can make explicit connections between grammar of Malay and English by using a strong “designed” translanguaging pedagogy. The students also display noticeable metalinguistic awareness by showing differences in spelling systems and articulating rules of grammar as well as displaying the depth of knowledge of vocabulary items.

Conclusion Bilingual and multilingual interactions in the Asia-Pacific classrooms can be different yet similar as teaching and learning in a multilingual society inevitably involve the languages used by students and teachers in their everyday life. Although multilingualism is a natural phenomenon, it can be constrained and hierarchically controlled by a language-in-education policy. As a result, some languages are not allowed to enter the domain of classrooms, and classroom interactions tend to be monolingual. Policy-makers, educators, practitioners, and even students who subscribe to such monolingual view of “multilingualism” can present challenges and difficulties in the reality of multilingual classrooms in which translanguaging can be a valuable pedagogical tool for teaching and learning. The Asia-Pacific region is rich in its linguistic ecology, which contributes a large part of the world’s ethnolinguistic diversity. This linguistic diversity is, however, likely to be significantly reduced by

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the English as Medium of Instruction Policy which may affect the literacy development of national or local languages. In classrooms, subject and content learning can also be affected by the English-only policy despite the evidence that using L1 and translanguaging in classroom can facilitate knowledge construction. The discussion and review in this chapter of translanguaging as a pedagogy in Hong Kong and Singapore have provided critical evidence that illustrates multiple functions of translanguaging in classrooms. While the two contexts may not be representative of the entire multilingual region, classroom interactions may have similar features. Currently, translanguaging interactions in the classroom are underresearched in many parts of the region, and the benefits of translanguaging as a pedagogical tool are not well understood. As Liddicoat (▶ Chap. 26, “Language-inEducation Policy in the Asia-Pacific Region,” this volume) pointed out, lack of support for home/local/national languages can have serious consequences for educational achievement. I argue that lack of use of home/local/national languages in classrooms can worsen the educational development of these children. But advocates of translanguaging pedagogy in multilingual classrooms need, first and foremost, to deal with language ideologies and educational systems that do not value languages equally. Lastly, translanguaging pedagogy has shown positive effects in the process of knowledge construction. Research shows that students have been engaged in learning as evidenced in studies in Hong Kong (e.g., Lin & He, 2017; Tai & Li, 2021a, b) and Singapore (Vaish, 2021). In order to promote translanguaging pedagogy, there is a need to demonstrate not only how learning takes place but also what learning outcomes translanguaging pedagogy can provide. Although spontaneous translanguaging practices are observable in multilingual classrooms, designed translanguaging pedagogies have not been incorporated in teacher training programs. For translanguaging to be effective and transformative, traditional and negative views of alternating use of more than one linguistic code (as code-switch) need to be changed, and translanguaging pedagogy with specifically designed elements and teaching approaches should be incorporated in both pre-service and in-service teacher training programs. Most importantly, research projects should provide an informative translanguaging element through close observations of classroom practices.

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Language-in-Education and Sociology of Resilience for Child (Im)migrants: The Cases of India, China, and Australia

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Problematic Linguistic Landscape of the Asia-Pacific Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . A Bourdieusian Approach to Language-in-Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Language-in-Education and Internal Migration: The Case of Migrant Children in India . . . Language-in-Education and Internal Migration: The Case of Floating Children in China . . . . Language-in-Education: The Case of Immigrant Children in Australia . . . . . . . . . . . . . . . . . . . . . . . Reshaping the Space of Language-in-Education Through Sociology of Resilience . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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The Asia-Pacific region is home to half of the world’s living languages. Alongside the celebratory discourse of linguistic diversity exists a linguistic space of differentiation and competition, intertwined with symbolic spaces of power imbalance, social stratification, and educational inequality. These consequences become further complicated when faced with the high intensity of intra- and international mobilities in the region. To fare well in the challenging context of mobility, resilience is a key. This chapter discusses language-in-education and sociology of resilience for child (im)migrants drawn and venturing into internal and international migration. Migrant children in Indian and floating children in China are chosen as examples for internal migration, while immigrant children in Australia are chosen as an example for international migration. To theorize language-in-education and sociologize resilience for child (im)migrants, the chapter has recourse to Bourdieu. When child (im)migrants move across fields,

G. M. Mu (*) Education Futures, University of South Australia, Adelaide, SA, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_32

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their linguistic habitus (e.g., a particular way of speaking a language) often mismatches the valuation principles of the field into which they move. Such habitus-field mismatch often leads to the unconscious linguistic adjustments of child (im)migrants – linguistic others – to the dominant linguistic field. While individual adaptation and self-transformation in precarious and pressing situations demonstrate resilience, they largely leave the structural problems intact. What comes to the fore is sociology of resilience due to its dual interest in individual agency and structural change. This chapter calls for thinking and doing resilience sociologically, and provides implications for language-in-education policies. Keywords

Child (im)migrant · Language-in-education · Sociology of resilience · Bourdieu · India · China · Australia

Introduction This chapter discusses language-in-education (Kaplan & Baldauf Jr, 2003) and sociology of resilience (Mu, 2021a) for child (im)migrants drawn and venturing into internal and international migration. The chapter sets its scene in the AsiaPacific region not only because the region is home to 3,519 of the 7,097 living languages in the world (UNESCO & UNICEF, 2020) but also because it is the place of origin for nearly half of the world’s immigrants, with India and China being the largest two countries of origin (International Organisation of Migration, 2017). There are new trends of significant population flows into the two countries (International Organisation of Migration, 2018). Alongside the massive number of international immigrants from and into India and China, the scale of intra-national migration of the two countries is phenomenal. Given this sheer vastness of internal migration, Indian and Chinese child migrants are of concern in this chapter. Compared with India and China, Australia presents a different case in the AsiaPacific region as it has one of the highest proportion (30%) of immigrants across all nations in the region (United Nations, 2019). Given this high intensity of immigration, child immigrants in Australia are also of concern in the chapter. In what follows, I first portray the diverse yet problematic linguistic landscape of the AsiaPacific region. This is followed by theorizing language-in-education and sociologizing resilience for these child (im)migrants through Bourdieu’ sociology. Next, I present the cases of child (im)migrants in India, China, and Australia, probing the challenges unfolding through their language-in-education. To grapple with such challenges, I conclude the chapter with a proposal for moving toward sociology of resilience.

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The Problematic Linguistic Landscape of the Asia-Pacific Region The notion of linguistic diversity has a positive connotation; yet it co-exists with a linguistic space of differentiation and competition intertwined with symbolic spaces of power imbalance, social stratification, and educational inequality. Although cross-national variances exist, there appears a general tendency in the Asia-Pacific region that respective national languages are legitimized for strengthening national identity and unity; English – if not the official language – is commonly promoted as the second language; and the policy rhetoric of supporting minority languages is not productively implemented in reality (Liddicoat & Kirkpatrick, 2020). Within each Asia-Pacific nation, linguistic variants within the respective national language system claim different relative values in the national linguistic market. The officially standard way of using the national language assumes arbitrary value, pressing other (ed) dialects and accents to the bottom of the national linguistic pyramid. However, within a local linguistic ecology, the respective vernacular may function as the localized lingua franca that facilitates social networking and belonging. Whether such localized lingua franca enhances, sustains, or loses its value in the national linguistic market depends on not only the degree of closedness of the local linguistic ecology but also the position of the local linguistic ecology vis-à-vis the national linguistic market and other powerful institutions such as state, market, and education. Clearly, underneath the linguistic diversity across the Asia-Pacific region lurks a linguistic hierarchy. Most countries in the region have not formulated system-wide multilingual policies for education but favor the politically safe and economically inexpensive monolingual education policy (UNESCO & UNICEF, 2020). One unintended outcome of such policy is that many children have to learn in languages that they do not understand (Liddicoat & Kirkpatrick, 2020). This remains a problem at a global range. According to UNESCO and UNICEF (2020), 40% of the world’s children do not have the opportunity to start education in their mother tongue, which may incur short-, medium-, and long-term consequences including academic failure, unskilled future labor force, and undesirable socioeconomic outcomes respectively. These consequences become more complicated in contexts of intra- and international mobilities. To fare well in the challenging context of mobility, resilience is a key. However, children with an immigrant background who do not speak “the language of assessment” as mother tongue are less likely to be academically resilient than native-speaking immigrant children (OECD, 2018, p. 14). To theorize the nuances and tensions surrounding language-in-education, I have recourse to Bourdieu’s sociology.

A Bourdieusian Approach to Language-in-Education I construe language-in-education as a form of social practice unfolding within and across multiple fields such as family (Bourdieu, 1996), education (Bourdieu & Passeron, 1990), market (Bourdieu, 2005), and the state (Bourdieu, 2014). Each field

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is “a network, or configuration, of objective relations between positions” (Bourdieu & Wacquant, 1992, p. 97). The relative positions between speakers of different languages are objectively defined by the quantity and configuration of different forms of capital at their disposal in a particular field. Bourdieu agrees with Marx (1977, p. 932) that “capital is not a thing but a social relation between persons which is mediated through things.” Bourdieu also extends Marxist monetary and material forms of things (economic capital) to symbolic forms of capital. Most pertinent to this chapter is linguistic capital – a particular way of using a language (e.g., vocabulary, pronunciation, intonation) that claims arbitrary value in a given field (Bourdieu, 1991). Capital valuation in a field “follows rules or, better, regularities, that are not explicit and codified” (Bourdieu & Wacquant, 1992, p. 98) but are internalized through habitus largely in an unconscious way. To clarify, habitus denotes a system of cognitive schemata or/and bodily dispositions that are durable, transposable, yet modifiable (Bourdieu, 1977). When agents move across fields, their durable and transposable linguistic habitus (e.g., a particular way of speaking a language) follows them. If such linguistic habitus matches the valuation principles of the field into which agents move, it becomes capital and makes agents “fish in water” (Wacquant, 1989, p. 43). On the contrary, habitus-field mismatch disrupts “the immediate fit between the subjective structures and the objective structures” (Bourdieu, 1977, pp. 168–169). To avoid the unease of mismatch, dominated agents in dominant field are often drawn into “unconscious adjustments such as the correction of one’s accent (in the presence of a person of higher rank) or, in situations of bilingualism, the choice of the language appropriate to the situation” (Bourdieu, 2000, p. 184). While individual adaptation and self-transformation in precarious and pressing situations do demonstrate resilience, they largely leave the structural problems intact (Mu, 2020). Sociology of resilience differs because it is interested in not merely individual agency, but more importantly, structural change (Mu, 2022). In the ensuing sections, I put theory to work, starting from the Indian and Chinese contexts of internal migration, followed by the Australian context of international immigration. Rather than discussing language-in-education itself, the unique contribution of this chapter is to situate language-in-education in the contexts of (im)migration, which is a barely discussed topic in scholarly literature.

Language-in-Education and Internal Migration: The Case of Migrant Children in India The past three decades have witnessed an increasing scale of internal migration in India. According to the country’s most recent census (2011), one in every five migrants was a child, contributing to a population of 93 million. Of this population, children of construction laborers constitute a major component as the construction industry has grown into the largest national employer of migrant laborers (Pal, 2014). According to UNICEF (2020), the decadal growth rate of the population of migrant children was consistently higher than that of the national child population,

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indicating that more and more Indian children are on the move; rural-to-rural migration was the most common stream of flow for migrant children, followed by urban-to-urban and rural-to-urban migration subsequently; the most cited reasons for child migration were household relocation for work opportunities, child marriage (more common for girls), and child education (more common for boys); when the tercile of the household’s monthly per capita expenditure was considered, migrant children were economically better off than non-migrants if they belonged to the top tercile households, but the difference became minimal when it came to the middle and bottom tercile households. Clearly, child migration in Indian is complicated by education, gender, and class. When language is considered, child migration becomes even more complex. India houses over 1,000 languages. While the country is de facto a multilingual society, only 22 languages have a de jure official status. Language maintenance was once a norm and language shift a deviation (Pandit, 1977). For example, vernaculars of some isolated, tiny communities demonstrated a strong maintenance force and persisted through generations (Mohanty, 1990). Such an obsessive linguistic loyalty is described as habitus (Vaish, 2005), which re-enacts history across generations. As conceptualized by Bourdieu (1981, p. 305), habitus is “the product of a historical acquisition which makes it possible to appropriate the legacy of history.” It undergirds “an endless capacity to engender products – thoughts, perceptions, expressions, actions – whose limits are set by the historically and socially situated conditions of its production” (Bourdieu, 1977, p. 95). Despite its durability, habitus is “open to the world, and therefore exposed to the world, and so capable of being conditioned by the world” (Bourdieu, 2000, p. 134). When the historical linguistic condition in India was interrupted by colonialism, globalization, and migration, the original linguistic habitus was disrupted, followed by tensions between vernacular maintenance and shift. Tensions have also emerged between contrasting language ideologies, referring to different “sets of beliefs about language articulated by users as a rationalization or justification of perceived language structure and use” (Silverstein, 1979, p. 193). While the policy discourse purports that Indians’ English ideologies have been decolonized and articulated as a pathway to education, employment, and national and international life, a small-scale qualitative study with three rural-to-urban migrant children found that their English ideologies were reified in anxieties about the colonial experience as well as the imagined state of war with England at present and in the future (Bhattacharya, 2017). In another study, some rural-to-urban migrant children confer high status on Hindi and use English to communicate with friends and in private literacy practices (Vaish, 2008). Such language ideology is somewhat different from the traditional dichotomous view that considers English to be associated with status and Hindi with solidarity. At the macro level, tensions have emerged between a political ideology to promote mother tongues and ethnic identities of the masses in a multilingual society, and the growing status of English (Liddicoat & Kirkpatrick, 2020). In response to the tensions, the national policy of Three Language Formula was put in place in 1956, recommending the study of Hindi, English, and a vernacular in

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any non-Hindi speaking regions. Hindi is taught through school education not only as an official medium but also as “a link language. . .for inter-state communication” (Khubchandani, 2008, p. 377). The good-intentioned policy that recognizes the dual significance of Hindi may not educationally benefit migrant children who move inter-region with their parents. On the one hand, some of these migrant children may come from a non-Hindi region (such as West Bengal and Orissa) that favors the teaching and learning of classical Sanskrit at the cost of Hindi (Khubchandani, 2008). On the other hand, many migrant children move to a region without the required proficiency of its vernacular – the medium of instruction in local public schools (Pal, 2014). Consequently, linguistic diversity becomes a structural problem for migrant children who cannot learn in their mother tongue – the best medium of learning. Research suggests that most young students need a minimum of 6 years to acquire grade-appropriate levels of academic literacy in a new language when they simultaneously develop literacy and learning in their mother tongue (Heugh et al., 2019). This seems impossible for migrant children who neither receive education in their mother tongue nor stay in a region consistently for 6 years to learn in the vernacular of the region. The highly mobile trajectory of migrant children and the dynamic linguistic world into which they venture often baffle the good-intentioned programs such as School on Wheel – education imparted by reaching various locations in vehicles (Pal, 2014). Although learning in mother tongue strengthens a sense of empowerment, control, safety, and resilience (UNESCO & UNICEF, 2020), such enabling educational opportunities are coveted by migrant children in India who either struggle to adapt or fall far behind. Apart from being deprived of learning in mother tongue, many migrant children are further marginalized because their schooling is not able to help them develop English proficiency. Bhattacharya (2013) conducted research in a public school located outskirt of New Delhi, which accommodated a large proportion of rural-tourban migrant children from culturally and linguistically diverse backgrounds. As a self-identified English-medium school, all but Hindi and Social Studies textbooks were written in English – the second or third language of all teachers and students. To facilitate educational communication, teachers often translated and paraphrased texts into Hindi – a language that most teachers and students were comfortable with – but which syntactic and lexical items were being introduced or excluded in the translation process remained mysterious to students. The curriculum highlighted communicative skills but teachers skipped all interactive, learner-oriented activities and imposed didactic teaching and rote-learning instead. As teachers did not receive any training in communicative language teaching, they taught in a way they were taught as students. In addition, the content of the textbooks – heavily featured by mainstream style of living and disconnected with students’ migration experiences – posed a barrier in language acquisition. Here English education doubly disadvantaged migrant children first in school then in access to universities and jobs. For migrant children, language-in-education becomes an unfair game, as Bourdieu (1973, p. 80) poignantly reveals:

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By doing away with giving explicitly to everyone what it implicitly demands of everyone, the educational system demands of everyone alike that they have what it does not give. This consists mainly of linguistic and cultural competence

Similar to many other nations in the Asia-Pacific region where English is often scolded for social stratification particularly in context of rural-urban divide (Liddicoat & Kirkpatrick, 2020), India has seen English function as a divider rather than a unifier as often assumed in policy discourse (Sheorey, 2006). That language claims a sovereign status within a complex linguistic hierarchy (Bhattacharya, 2017). In this vein, English can be understood as capital – a form of valued resource that objectively defines its holders’ position in a given field (Bourdieu, 1986). The unequal distribution of capital constructs a differentiating field and determines “the chances of success for practices” in that field (Bourdieu, 1986, p. 242). For example, English as capital plays a gatekeeping role, privileging a small proportion of Indians from a better-off background while disadvantaging others such as migrant children (Bhattacharya, 2013).

Language-in-Education and Internal Migration: The Case of Floating Children in China While internal migration of India is growing but yet to reach its peak (CharlesEdwards et al., 2019), that of China is currently undergoing a phenomenally intense period (Mu, 2018). By 2018, there were 288 million migrant workers, including 115 and 173 million intra- and inter-regional migrants respectively; of all these migrant workers, 135 million were rural-to-urban migrants (National Bureau of Statistics, 2019). Although rural-to-urban migrant workers constitute a significant component of China’s urban workforce, they are often excluded from the citywide social welfare programs because they do not have urban household registration status (hukou). As hukou is inherited, children of rural-to-urban migrant workers naturally obtain an agricultural/rural hukou by birth. When they move with their parents to the urban space, they do not always have access to the social warfare programs enjoyed by their urban peers. For example, they face layers of structural barriers for accessing free compulsory education in urban public schools (Yu, 2020b). In the literature, children of rural-to-urban migrants are commonly termed as migrant children. Yet the term is somewhat problematic as it overlooks the heterogeneity of this child population. While some migrant children are at a structural disadvantage, children of well-educated, highly skilled, and economically well-off migrant parents usually settle down fairly comfortably after relocation (Mu & Hu, 2016). The term “floating children” is therefore preferred as it makes a distinction from migrant children with a privileged background and captures a sense of rootlessness in the context of migration (Mu & Jia, 2016; Mu et al., 2013). The population of floating children is astonishing, hitting 34.26 million (UNICEF, 2018) including 18.97 million at school age (Ministry of Education, 2018). Similar

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to migrant children in India, floating children in China venture into a complex space of language-in-education. Before I discuss such complexity, I portray a linguistic landscape of China. China is home to approximately 2,000 languages and language varieties (Shen & Gao, 2019). These languages and language varieties are spoken by Hànzú, the dominant ethnic group accounting for over 90% of the Chinese population, and 55 ethnic minority groups. It should be noted that not all ethnic groups in China speak a Chinese language variety as their native language. Chinese Mongolians and Chinese Koreans are two cases in point. Regarding Chinese language varieties, there are ten commonly cited linguistic families distributed in different regions of the country. These are: Jìn (晋), Guānhuà (官话), Pínghuà (平话), Xiāng (湘), Gàn (赣), Hakka (客家话), Yuè (粤), Mǐn (闽), Wú (吴), and Huī (徽) (Institute of Linguistics et al., 2012). The official Chinese language variety, Pǔtōnghuà (Mandarin), has been used for cross-group communication amongst Chinese people of different ethnicities and from different regions. Other Chinese language varieties (e.g., the ten broad linguistic families) and ethnic languages (e.g., Mongolian, Korean) are used for intra-group communication in daily life. Similar to India, behind the wide linguistic spectrum in China lurks a linguistic hierarchy. The Law of National Lingua Franca of People’s Republic of China (中国 人民共和国国家通用语言文字法) defines and justifies the legal status of Pǔtōnghuà (Mandarin). As such, and generally speaking, Pǔtōnghuà (Mandarin) is recognized as the most valuable linguistic capital in the Chinese national linguistic market. In more public and formal domains (e.g., education), Pǔtōnghuà (Mandarin) assumes an officially legitimate status and functions as a superior linguistic medium of communication over other Chinese language varieties and ethnic languages. Interestingly, biāozhǔn Pǔtōnghuà (standard Mandarin) often receives more symbolic value than accented Mandarin particularly in official contexts where the former is recognized and hence misrecognized as the “accentless” Chinese language variety. The more official the situation is, the stronger the tendency it is to misrecognize the symbolic value of biāozhǔn Pǔtōnghuà (standard Mandarin). Bourdieu (1991, p. 70) has made this clear to us: For the more formal the situation is, the more it is able to impose by itself alone the recognition of the legitimacy of the dominant mode of expression, converting the optional variants (at least on the level of pronunciation) which characterize it into imperative rules. . .making the recipients of these linguistic products more inclined to know and recognize the legitimacy of this mode of expression, even outside the constraints of the formal situation

No linguistic capital is appreciated universally. Rather, linguistic capital only receives value in the field of its production. In some relatively closed systems, local languages predominate because the local linguistic ecology is largely freed from the national linguistic market. In these situations, certain level of autonomy is sustained within the local linguistic field where the principle of the national linguistic field – the (mis)recognition of Pǔtōnghuà (Mandarin) – may not apply. For example,

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in some rural schools in remote or mountainous areas where a vernacular is used as medium of instruction, prestigious university graduates who serve for a short period of time as rural teachers find themselves at a linguistic and pedagogic disadvantage due to their incompetence in the vernacular (Yin & Mu, 2020). In this situation, vernacular becomes a form of “localised pedagogical capital” (Yin & Mu, 2020, p. 1294), which may depreciate when it is uprooted from the local linguistic field. The re-evaluation of linguistic capital across different fields questions the static binary of H (high) and L (low) language varieties in diglossia proposed by Ferguson (1959) several decades ago. In context of rural-to-urban migration, vernaculars move across geographical and linguistic borders with floating children, but they may no longer make sense and even incur penalty in urban schools. An example follows. In a study of floating children accommodated in schools in Beijing (Mu & Hu, 2016; Mu & Jia, 2016), the mismatch between the linguistic habitus (floating children who speak accented Mandarin) and the linguistic field (urban schools where standard Mandarin is used as medium of instruction) created tensions surrounding language-in-education. Here accent is a salient identity marker (Blommaert, 2004; Edwards, 2009). It demarcates a boundary between urban children and floating children, between legitimate Mandarin speakers and linguistic others with an accent. Due to its durability, the linguistic habitus of floating children has inertia and hence becomes identifiable in urban schools. Some floating children were teased, bullied, and discriminated by their urban peers due to their “illegal” linguistic habitus (Mu & Hu, 2016; Mu & Jia, 2016). Some teachers, with every good intention to help floating children adjust to the urban space, corrected and removed their accent through repeated counter-training of their durable linguistic habitus (Mu & Hu, 2016; Mu & Jia, 2016). Still some teachers believed that all students were treated equal irrespective of their origin but such equality was largely grounded upon how accentless floating children were (Dong, 2018). Some floating children were brought up by parents who implemented a family language policy of using Pǔtōnghuà (Mandarin) instead of vernacular owing to their belief of the former as a key to the gate of better education and career in the urban space (Liu, 2020). The Mandarin-only policy, whether in school or at home, appears effective particularly for those urban-born floating children who successfully become accentless (Yu, 2020a). By grace of being linguistically undistinguishable from their urban peers, floating children earn legitimate cultural citizenship in cities, leaving their vernacular “happily” behind. For floating children, linguistic choice can be more complex than an alternative between standard and accented Pǔtōnghuà (Mandarin). Exposed to diverse fields (e.g., school, family, community) in the urban space, floating children have to negotiate co-existing and sometimes competing linguistic valuations. When floating children move with their rural vernacular to a city with a local vernacular different from Pǔtōnghuà (Mandarin) used in formal settings such as education, linguistic multivalency comes into being. The study by Yang and Curdt-Christiansen (2020) is a case in point. Their study found that although there existed a general linguistic hierarchy, ranging in value from rural vernacular, through urban vernacular, to Mandarin, these Chinese language varieties all reserved significance in certain

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situations. Rural vernacular received some value when used by floating children to connect with their rural community and sustain belongingness to that community. Although urban vernacular was perceived by parents as convertible into economic and social capital within the urban space (also see Liu, 2020), floating children’s urban vernacular learning was largely limited by their parents to the immersion environment outside home. Within the domestic milieu, floating children were often brought up in Mandarin due to the parental perception of the language as convertible into economic capital for some careers. Due to language ideologies shaped by social structures across the multiple domains of family, school, labor market, and state policy (Yang & CurdtChristiansen, 2020), it is not uncommon to see floating children shift to Pǔtōnghuà (Mandarin), casting aside their vernacular (Liu, 2020). Interestingly, some urban families differ from rural-to-urban migrant families in language ideology. For example, parents in the city of Nanjing believed that children would acquire Pǔtōnghuà (Mandarin) in school with no problem irrespective of what language varieties were used at home (Wang, 2016). The higher the family socioeconomic status, the stronger the preference of maintaining vernacular for cultural inheritance over shifting to Mandarin for economic reasons (He & Chen, 2015). This is what Bourdieu (1983, p. 335) means by “anti-economic economy” – a social investment based on “the renunciation of short-term economic profits” and “the recognition solely of symbolic, long-term profits (but which are ultimately reconvertible into economic profits).” The propensity and the capacity to persist in investment with no guaranteed economic profit “seem to depend to a large extent on possession of substantial economic and social capital” (Bourdieu, 1983, p. 349). Since rural-tourban migrant families do not have the economic security to invest solely in the symbolic profit of a language, they would rather shift their vernacular to Pǔtōnghuà (Mandarin) for the sake of the imagined economic future of their children.

Language-in-Education: The Case of Immigrant Children in Australia Cultural and linguistic diversity has become increasingly visible in Australia’s education system, with 43.58% of school-aged children reporting an immigrant background while the academic performance of these children is ranked seventh amongst immigrant children across all OECD nations (OECD, 2018). In Australian schools, immigrant children are 24% less likely to report a weak sense of belonging as compared to native children – the widest gap found across all OECD nations. Immigrant children refer to those who are either foreign-born or who have at least one foreign-born parent, and native children refer to those who are native born from two native-born parents (OECD, 2018). When socioeconomic status and academic performance are controlled, immigrant children in Australia are more likely to hold achievable educational and career expectations as compared to their native peers; yet there is a worrying tendency of decline among immigrant children in belonging to school and in achieving baseline academic proficiency between 2003 and 2015, and

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between 2006 and 2015 respectively (OECD, 2018). The situation appears more worrying when language is considered. Of all immigrant children, 38.38% start school speaking English as their non-native language; these children are less likely to attain baseline academic proficiency and a sense of belonging at school as compared to native-speaking immigrant children; they have a lower level of academic resilience as compared to native-speaking native children (OECD, 2018). Alongside these overall tendencies are abundant cross-ethnic variances. For example, immigrant children with an Indian or Chinese background seem to outperform their native peers academically, while those who speak Vietnamese at home are at the most disadvantage of all immigrant children in PISA language test (OECD, 2018). Putting the above together, Australia’s enterprise of multiculturalism over the past five decades has obtained commendable achievements while it is intertwined with risks and challenges when it comes to language-in-education and resilience for immigrant children. Although Australia has systematic policies and approaches for language education of immigrant children, it largely adopts a one-size-fits-all framework without productively differentiating the diverse backgrounds of these children (UNESCO & UNICEF, 2020). This does not address the varying linguistic competences of immigrant children and may lead to a lack of context-appropriate training for teachers of these children (Naidoo, 2012). Through my multi-year project “Resilience, Culture, and Class: A Sociological Study of Australian Children,” I have also found the prevalence and persistence of monolingualism in Australian schools. I therefore fundamentally agree with Ang (2014) that Australia is a selfdeclared multicultural nation state. I now showcase a small part of my project pertinent to language-in-education and resilience (Mu, 2022). By the time of writing this chapter, I have completed interviews with 102 Grades Four to Nine students in five schools in Queensland. These students (38.2% born overseas) reportedly come from 40 different cultural backgrounds. When asked about experience of immigration, many children reported adaptive strategies in order to fit themselves to the cultural and linguistic landscape of Australia. Such experience was particularly common for immigrant children in a public school located in a socio-educationally disadvantaged, relatively white suburb. My focus here is the story of Philippine-born Gabriella, studying in Grade Nine at the time of data collection. When space allows, data collected from other immigrant children are reported as a complement. During the interview, Gabriella recollected: For me, there was a big change, especially when we moved here, eight years ago. It was hard for me, since I didn’t know English, so I had to like, adapt, and like, get to know another language. . .For me, as I came to Australia, studying was a bit harder, because you know, English is a language, and I’m like, “what?” But yeah, I adapted to it.

Clearly, language-in-education constructs a field of differentiation. Immigrant children like Gabriella started school in Australia with great effort to acquire linguistic capital, English in this case, which was given for free to other children born with that linguistic capital. In response to the structural deficit in linguistic capital, Gabriella

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had to work hard to adapt to the new linguistic field of Australia, where English is the official language and appears the only legitimate linguistic capital in formal educational settings like school. Similar linguistic tensions even bedeviled some immigrant children whose first language is English. Due to different ways of using English (e.g., vocabulary, accent), England-born Maggie (Grade Nine) got “laughed at” and New Zealand-born Carys (Grade Nine) and Jessa (Grade Eight) were “teased” and “bullied” respectively. Here the New Zealand and British ways of speaking English were arbitrarily assigned negative value as compared to the “standard” Australian English. As Bourdieu (1991, p. 53) puts it, “all linguistic practices are measured against the legitimate practices, i.e. the practices of those who are dominant.” The dominance of Australian English first made Gabrielle, Carys, Jessa, and Maggie recognize their linguistic difference to the official code, and then urged them to assess the value and acceptability of their language practices in relation to the legitimate language practices. This self-assessment often led to linguistic change: “I had to like, adapt, and like, get to know another language” (Gabriella); “I’ve learned to like, say that now” (Maggie); “I’ve gotten rid of my accent” (Jessa). As such, these immigrant children resiliently adapted their linguistic habitus to the new linguistic field, gradually circumvented linguistic unease, and ultimately claimed a legitimate position in the field. It would be impolitic and simplistic, however, to understand adaptation as an endogenous strategy developed from within. Rather, it is a practice of enculturation evolving with primary socialization (e.g., family upbringing) and secondary socialization (e.g., school education). When asked about her English learning experience, Gabriella outspoke: I really don’t know. It’s just like, as we grow up, um, we hear. . .we get. . .we pick up some words from other students and teachers, and like, we read books. My mum, when we were little, she even made us read and write the dictionary.

For Gabriella, linguistic adaptation was developed through parent-guided reading and writing in a domestic context and learning with peer students and teachers in a school context. Interestingly, she seemed to pick up English words naturally as she grew up, without noticing it. Such unconsciousness is evident in her comments: “I really don’t know.” This indicates that her linguistic adaptation might have been produced through habitus – “the source of cognition without consciousness, of an intentionality without intention” (Bourdieu, 1990, p. 12). Bourdieu (1991, pp. 50–51) asserts: “All symbolic power presupposes, on the part of those who submit to it, a form of complicity which is neither passive submission to external constraint nor a free adherence to it.” In this vein, the unconscious linguistic adaptation may not be completely voluntary or explicitly coercive. Rather, it is a form of unnoticed, irrational obedience to linguistic rules that take for granted the legitimacy of Australian English. Many immigrant children were reminiscent of

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people helping them by “fixing their English” when they first moved to Australia. Gabriella’s comment is telling: . . .when my friends and I talk at class, and teachers would say. . .“Don’t talk your language, because you might be talked bad about”. . .So we’re kind of like, not allowed to talk in our language at times.

Teachers’ good intention is commendable for protecting Gabriella against being “talked bad about.” From a critical sociological perspective, beneath the veneer of teachers’ good intention lurks a non-reflexive complicity with the arbitrary legitimacy of Australian English so as to label all other language practices different to Australian English as illegitimate, to reforge all different language practices into “standard” Australian English, to allow the symbolic power of Australian English to hold sway, and to indulge in an epistemic slumber of unconscious classificatory schemata. Bourdieu (1991, pp. 47–48) summarizes: “To reform language, to purge it of the usages linked to the old society and impose it in its purified form, was to impose a thought that was itself purged and purified. . .what was at stake was the formation and re-formation of mental structures.” Therefore, Gabriella’s mental structures inclined her to use English properly. Her mental structures – habitus – were formed through teachers’ good-intentioned suggestions, which generated her consent to dominance, hegemony, and symbolic power. Bourdieu (1991, p. 52) elaborates on this: The power of suggestion which is exerted through the things and persons and which, instead of telling the child what he [sic.] must do, tells him what he is, and thus leads him to become durably what he has to be, is the condition of the effectiveness of all kinds of symbolic power that will subsequently be able to operate on a (thereby created) habitus predisposed to respond to them

Gabriella’s teachers – also recall previous section where teachers corrected the accent of floating children in China – can be construed as dominant agents in the school field, or what Bourdieu (1993, p. 73) refers to as “those who, in a determinate state of the power relations, more or less completely monopolize the specific capital.” They are defenders of orthodoxy of the field and “are inclined to conservation strategies” (Bourdieu, 1993, p. 73). In contrast to the powerful teachers, Gabriella and floating children belonged to a powerless group that Bourdieu (1993, p. 73) refers to as “the newcomers.” Although young people “least endowed with capital. . .are inclined towards subversion strategies, the strategies of heresy” (Bourdieu, 1993, p. 73), it is not the case for Gabriella or floating children. This is because teachers’ conservation strategies for defending the linguistic orthodoxy were not made explicit but shrouded in the cloak of their good intention – a wholehearted invitation difficult to decline. Here the invisible and euphemistic symbolic violence normalized the orthodoxy of English for Gabriella and Mandarin for floating children. When orthodoxy is misrecognized as legitimate through symbolic violence, there is no legitimacy to subvert it.

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Reshaping the Space of Language-in-Education Through Sociology of Resilience Language is a code – not only “in the sense of a cipher enabling equivalences to be established between sounds and meanings, but also in the sense of a system of norms regulating linguistic practices” (Bourdieu, 1991, p. 45). Regulating norms are particularly powerful and hard to resist when “they are silent and insidious, insistent and insinuating” (Bourdieu, 1991, p. 51). While building resilience through linguistic adaptation does help child (im)migrants survive and thrive in the dominant system, it simultaneously contributes to the unquestioned hegemony of a particular language in the system, which in turn, “involves the making of normalized individuals, who are homogenized in terms of writing, spelling, and their way of speaking” (Bourdieu, 2014, p. 121). Resilience manifest in the shift to the legitimate language also coaxes child (im)migrants to desert their linguistic pedigree. In this vein, selfadaptive resilience does not have transformative effect on the wider structures; on the contrary, the more adaptative the self to a problematic situation, the more conservative and reproductive the structural problem becomes (Mu, 2021a). However, it is not the time to ring the death knell for resilience; rather, it is time to do resilience sociologically for change (Mu, 2021b). I now revisit the cases of India, China, and Australia, looking for traces of system level change. Migrant children in India often do not access education in their mother tongue. To address this problem, Pal (2014) recommends to put in place government legislation to ensure the provision of education in every factory where there are more than ten school-aged migrant children (6–14 years of age) who are not attending school; and to digitalize government-approved curriculum and translate it into the 22 officially recognized languages, from which migrant children can select their preferred language of learning. Nevertheless, some migrant children whose parents work in small construction companies and those whose vernacular does not receive official status may be left out. Bhattacharya (2013) therefore advocates vernacular-medium instruction at all levels of education whenever possible, without which the Indian educational landscape remains unequal. In practice, however, limited resources often strangle vernacular based multilingual education (Mohanty, 2019). An alternative approach is to promote the understanding of multilingualism and multilinguality within the teaching force to better serve multilingual school communities (Agnihotri, 2014). Floating children in China and immigrant children in Australia are exposed to the risk of educational and social marginalization because the depreciation of their original linguistic habitus in the new field. Linguistic adaptation is a common resilience strategy to elide the original linguistic habitus and obtain linguistic capital. Although adaptive strategies have self-transformative effect, they fall prey to, and work in complicity with linguistic hegemony. Schools can make invisible students’ linguistic repertoires and sustain a monolingual education policy, which may result in students’ sense of alienation in the school community and inferiority in the larger social space (Spolsky, 2009); schools can also seek to recognize and leverage the existing linguistic resources and migratory experiences of students to promote their

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developments and learning (Lam & Warriner, 2012). In an urban school in China, rather than reshaping the linguistic habitus of floating children, some teachers have made attempts to reshape the linguistic field of the school through educational activities such as opera and drama to bring vernaculars into school programs (Mu & Jia, 2016). In Australia, immigrant children perform better academically in more multicultural schools (OECD, 2018). Although Australia is English-dominant at national scale, local level initiatives occur sporadically to reshape the linguistic landscape of the country. For example, the government-sponsored Victorian School of Languages supports learning in more than 40 languages, through face-to-face classes held in pre-primary, primary, and secondary schools, as well as via distance education, across many parts of Victoria. In addition, the Australian Professional Standards for Teachers: Standards at the Proficient Teacher Level expressly requires skills to work with students from linguistically diverse backgrounds. Across the three countries, large-scale structural transformation takes a long time to pan out. Yet local level change is achievable and indeed occurring. The teaching force can be the pioneer for this change. Initial teacher education and in-service teaching training play a crucial role in empowering teachers with the knowhow to build on child (im)migrants’ mother tongue while also providing the best and most scaffolded access to the language/s of instruction in school. This does not mean that all teachers need to be multilingual, but teachers do need to know how to encourage child (im)migrants to maximize their linguistic repertoires for learning first in their mother tongue then in a new language/s. Put simply, multiculturality needs to be an embodied habitus and cultural capital of the teaching force. With multiculturality, strategies of self-adaptation can be purposefully and powerfully synergized with thinking and doing resilience sociologically. By dint of sociology of resilience, habitus of using a language in a way different from orthodoxy is neither a problem to fix nor a deficit to compensate but a capital to recognize. In this vein, languages of child (im)migrants and their families become “funds of knowledge” (Moll et al., 1992, p. 133) that construct an enabling foundation for functional multilingualism (e.g., Lo Bianco, 2016) and translanguaging (e.g., García, 2009) across inter-related fields of family, education, community, workplace, and nation state. More widely, proficiency in languages additional to the dominant language can be understood as a valuable form of global literacy (Salzburg Global Fellows, 2017).

Conclusion In summary, doing language-in-education through sociology of resilience not only realizes the translatability of child (im)migrants’ linguistic habitus into linguistic capital in the field of education but also shapes education as a welcoming and enabling field to capitalize on such capital to help child (im)migrants navigate their immediate present and imminent future mobilities across linguistic, geographic, educational, and social borders. To conclude the chapter, I provide a thoughtprovoking quote from Bourdieu (1988, p. 208):

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. . .we have. . .to relate language to the social conditions of its production and use, and, unless we accept in the social order the equivalent of magical power, we must seek beyond words, in the mechanisms of production of these words, and the people who emit and receive them, the motive force of a power which a certain way of using words allows us to mobilise. Conventional usage of conventional language is only one of the conditions of effectiveness of symbolic power, and a condition which works only under certain conditions.

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Empowering Students Through Cosmopolitan Literacies: Pedagogical Examples from Classrooms in Confucian Heritage Cultures

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conceptualizing Cosmopolitanism: Perspectives from the “East” and “West” . . . . . . . . . . . . . . . . Cosmopolitan Literacies: Pedagogical Principles and Examples from Schools in Confucian Heritage Cultures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ethical Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Transnational Attunement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Critical Engagement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Transformative Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion: The Limits of Cosmopolitan Literacies and Possibilities for the Future . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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In our globally interconnected age, language plays a fundamental role not only in facilitating communication across cultures but in fostering dispositions of intercultural understanding. In this chapter, we argue for the significance of cosmopolitan literacies for the development of ethical, global citizens. Cosmopolitanism, or citizen of the world, has typically been theorized from the perspective of Western philosophy. In this chapter, we focus on theorizing key concepts of cosmopolitanism from Eastern traditions, particularly Confucianism. We delineate these concepts to highlight the core principles of cosmopolitanism literacy, which refers to reading, writing, speaking, listening, and other meaningmaking practices that serve to develop critical, aesthetic, and ethical engagement S. S. Choo (*) National Institute of Education, Nanyang Technological University, Singapore, Singapore e-mail: [email protected] S. Y. S. Quek Wee Kim Wee School of Communication and Information Nanyang Technological University, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_27

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with diverse others in the world. Using examples drawn from Language and Literature classrooms in Asia, with particular attention to Confucian Heritage Cultures, we explore how teachers have sought to develop students’ cosmopolitan literacies through pedagogies that cultivate an ethical orientation, transnational attunement, critical engagement, and transformative action. We conclude with a discussion of some of the limitations and possibilities for future research. Keywords

Cosmopolitanism · Literacy · Confucianism · Confucian Heritage Cultures · Language education · Global education

Introduction The term “global,” from the Latin globus, originally denoted two ideas – a sphere and a lump of earth (Lemon, 1783). By the early twentieth century, its definition more clearly connected these two ideas to mean “a sphere on which is a representation of the geography of the earth and of the heavens” (Fernald, 1906, p. 206). This three-dimensional sense of planet earth became even more ingrained in the consciousness of people by the middle of the twentieth century with the advent of the space race in the 1960s. Photographs of the Blue Marble were later screened on television sets around the world, and for the first time in history, people were able to see the earth as a whole and attain a consciousness of themselves as a human species living on one planet in the universe (Gaudelli, 2003). During this time, the rise of the information age characterized by the ubiquitous spread of digital and online technologies galvanized the sense of a “global village” (McLuhan & Fiore, 1967). The computer was described as “an extension of our central nervous system” (McLuhan & Fiore, 1968, p. 35) altering our feelings and sensibilities. Accordingly, global education and its related movements such as citizenship education, environmental education, human rights education, and peace education have gained momentum since the mid-twentieth century as governments recognize that issues and ideas must necessarily incorporate transnational perspectives. In language education, traditional views of language as an abstract system or a set of cognitive and psycholinguistic processes came to be questioned (Bloome & Green, 2015). This marked the beginnings of the social turn from the 1970s when language was deemed embedded in historically and culturally situated social practices (Gee, 2015). Among the key catalysts were Paulo Freire and his push for literacy as a way to attain critical consciousness of the world and its systems of power, Vygotsky’s pioneering work on social cognition, which led to the growth of sociocultural theory, and scholars of the New Literacies movement (Lankshear & Knobel, 2011). The social turn in literacies has led to a greater recognition of the plurality of literacies – critical, digital, information, and multimodal literacies. An important aspect of literacy recognizes not merely social but global contexts given that local cultures and workplaces have become increasingly transnational in nature.

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In this chapter, we focus specifically on cosmopolitan literacies that empower students principally with critical-ethical skills and dispositions necessary to engage with diverse others in the world. The first part of the chapter outlines the key concepts of cosmopolitanism from Eastern traditions, particularly Confucianism. We delineate these concepts to highlight the core principles of cosmopolitan literacy premised on empowering students to respond to and engage with diverse others in the world. The second part of the chapter provides examples of cosmopolitan literacies in Language and Literature classrooms in Asia, with particular attention to Confucian Heritage Cultures. We explore how teachers have sought to develop students’ cosmopolitan literacies through pedagogies that cultivate an ethical orientation, transnational attunement, critical engagement, and transformative action. We conclude with a discussion of some of the limitations and possibilities for future research.

Conceptualizing Cosmopolitanism: Perspectives from the “East” and “West” Scholars commonly trace the concept of cosmopolitanism, translated from the Greek kosmopolitês as citizen of the world, to Cynic and Stoic philosophers of Ancient Greece. The origin of the term is often attributed to the Cynic Philosopher Diogenes (390–323 BC), who chose to live in Athens without citizenship rights in order to call attention to the idea that human nature and reason transcend the limits imposed by nationalistic and ethnic citizenship (Long, 2008). Diogenes’ vision was later employed by Stoic philosophers who sought to establish a view of citizenship as tied to the universe and such a citizen was to be governed by divine laws of nature (Brown, 2006). While the range of scholarship on cosmopolitan philosophy has largely emerged from the West, particularly its roots in the ideas of Hellenistic and Enlightenment philosophers, cosmopolitan philosophy has been less documented in the thought of Eastern philosophers. Although the term “cosmopolitanism” may not have been used, the ideals of citizenship transcending nationalism, ethnicity, and other limitations have been theorized for centuries. For example, Zhao (2009) has documented how the principle of universal harmony was established under the Zhou dynasty in China more than 3000 years ago. The mandate of tian xia or “all under heaven” led to the proposal for a world government responsible for the well-being of the world and overseeing the world order among all countries. Another important principle was that people would have freedom to migrate to and work in any state they liked, which implied a world rather nationalistic conception of citizenship. Hu and Elverskog (2016) also found that cosmopolitanism was employed during the Qing dynasty (1644–1912) and played a crucial role in guiding state relations with minority communities and other nations. More recently, Confucian scholars have identified an “anthropocosmic worldview” in Confucianism that perceives heaven, earth, and human beings as interconnected. Using a series of concentric circles, Tu (1994) has described how the self is at the center of an ever-expanding network of relationships.

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While the first and primary duty is to the family, moral responsibility should expand from self and family to the community, country, and the world. Such a view corresponds to the views of Stoic philosophers who saw individuals at the center of a series of concentric circles. The nearest circle contains one’s immediate family, the next contains one’s relatives, and the following ones consist of distant relatives, neighbors, citizens, and the entire human race. The point was to draw the circles closer to oneself such as by treating the third circle as if it were the second, etc., thereby reducing the gap between family and citizens, citizens and foreigners (Long, 2008). To understand what this cosmopolitan worldview meant in Confucian thought, one would need to understand the concept of ren, which we conceptualize as cosmopolitan love (Choo, 2020). No other subject matter occupied Confucius and his disciples as much as ren, which has been translated interchangeably as humaneness or benevolence toward one’s family, community, and the world at large. Ren is a character disposition in which one is oriented toward the flourishing of others. As Confucius (n.d.) said, “A humane person wishes to steady himself, and so he helps others to steady themselves. Because he wishes to reach his goal, he helps others to reach theirs” (Analects, 6.30). Concern with the flourishing of others necessitates not merely an intellectual knowing about others and their concerns but an affective affinity with them. This other-oriented nature of ren is also evident in a discussion Confucius (n.d.) had with his disciple: Fan Ch’h asked about humaneness (Ren). The Master said, “Love others.” He asked about wisdom. The Master said, “Know others.” (Analects, 12.22). Despite the similarities between Eastern and Western conceptions of cosmopolitanism, there are also key differences with the most distinct being the connection Confucius made between cosmopolitan love for others (ren) and ritual (li). Because human beings are naturally self-centered and concerned with advancing their own interests as well as those of their family, rituals are important avenues to promoting pro-social behavior. The purpose of rituals was not to blindly follow a set of rules or customs but to foster respect, empathy, and hospitality toward others. Confucius gave the example of an archery contest where competitors bow to each other and then go for a drink after the competition (Analects, 3.7). As rituals are regularly practiced, they become internalized like a kind of “cultural grammar” and serve to disrupt egoism, ethnocentrism, nationalism, and all forms of parochialism (Li, 2007; Tu, 1994). In this sense, rituals are centrally connected to the development of cosmopolitan character dispositions particularly social-ethical relations with others (Hall & Ames, 1987; Ivanhoe, 1991). The connection between a cosmopolitan concern for the flourishing of others and ritual is naturally related to literacy. In recent times, literacy routines as Socratic questioning, exploratory talk, free-writing, and visible thinking, among others, have become commonplace in schools and have been used to deepen students’ learning as well as contribute to constructivist, learner-centered classrooms. At the same time, these pedagogical routines are typically tied to cognitive and communicative skills rather than character dispositions. More specifically, how can routine literacy practices support the cultivation of cosmopolitan dispositions? In the next section, we

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distill cosmopolitan literacy practices using examples from Language and Literature classrooms in Asia with a specific focus on Confucian Heritage Cultures.

Cosmopolitan Literacies: Pedagogical Principles and Examples from Schools in Confucian Heritage Cultures Confucian Heritage Cultures (CHC) refer to countries in Asia that have strong associations with Confucianism and whose governments have deployed Confucian values in grounding constructions of national identity. These countries are typically China, Korea, Japan, Vietnam, and Singapore. The label has been criticized as being reductive given that these societies have become increasingly diverse and multicultural with citizens of different ethnicities and faiths (O’Dwyer, 2017). Within these countries, cities like Hong Kong, Shanghai, Singapore, and Tokyo have gained influence as global cities attracting flows of foreign talent and labor. It is now difficult to hold onto a monolithic view of Asian values as the region is increasingly becoming a melting pot of cultures. Another criticism is that the label promotes the stereotype that such cultures perpetuate conservative Confucian values that seem to go against individual autonomy. In the 1980s, Hong Kong, Singapore, South Korea, and Taiwan experienced rapid economic growth and were described as the “Four Asian Tigers.” Attention turned to their education systems where students in these countries consistently topped international tests in literacy, mathematics, and science, such as the Programme for International Student Assessment (PISA), Progress in International Reading Literacy Study (PIRLS), and Trends in International Mathematics and Science Study (TIMSS). Some scholars have noted that these countries emphasize Confucian values such as harmony, passivity, and conformity that cohere with authoritarian forms of governance and their education systems stress rotelearning and teacher-centric instruction. Scholars have described students from CHCs as having a tendency to avoid expressing personal opinions or questioning forms of authority such as the textbook or the teacher (Durkin, 2008; O’Sullivan & Guo, 2011). Correspondingly, the argument is that the heavy investment in students’ education by the state and parents, as well as the great pressure placed on test performance, have resulted in CHC students performing well on tests while suppressing critical thinking (Mahbubani, 2004; McGuire, 2007). Such perspectives reinforce the East versus West divide often encapsulated in binaries such as communitarianism versus individualism, social harmony versus human rights. While there may be some basis for this historically, such binaries project a one-dimensional view of Asian societies. Philosophically, scholars have now shown how critical thinking was evident in Confucian thought in the ways Confucius pushed his disciples to identify weak arguments, problematize dogmatism, question claims, and remonstrate a superior when he acted in morally improper ways (Andrew & LaFluer, 2014; Tan, 2017). As mentioned earlier, Confucius also pushed for an expansive, cosmopolitan awareness and obligation to care for others in the world from those near to us in the family to those who are distant.

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Additionally, Asian societies have undergone many changes over the last few decades, in part due to global and economic pressures to develop a more critical and creative citizenry. At present, many countries in Asia are beset by pressing issues such as political instability, growing income gap between the rich and poor, prevalent poverty, and widespread human rights violations. These issues require governments to raise future generations of leaders who recognize the impact of global forces on local markets and who are able to communicate and collaborate with others across borders to act on issues of global significance (Mansilla & Jackson, 2011). They also require students to have the requisite literacy skills to engage with a diversity of cultural texts, concepts, and issues that enable them to fulfill social and ethical responsibilities in both local and global contexts to promote a more peaceful, prosperous, and environmentally sustainable world. This is echoed in one of the subgoals of the United Nation’s (UN, 2015) 2030 Agenda for Sustainable Development: By 2030, ensure that all learners acquire the knowledge and skills needed to promote sustainable development, including, among others, through education for sustainable development and sustainable lifestyles, human rights, gender equality, promotion of a culture of peace and non-violence, global citizenship and appreciation of cultural diversity and of culture’s contribution to sustainable development. (p.17)

Since the late twentieth century, governments in many CHCs have incorporated global education and the language of twenty-first century competencies in calls for reform. For example, in Singapore, the Ministry of Education (n.d.) introduced the “Framework for Twenty-first Century Competencies and Student Outcomes” in 2010. Teachers have been encouraged to infuse these twenty-first century competencies in their teaching, which are critical and inventive thinking; communication, collaboration, and information skills; civic literacy, global awareness, and crosscultural skills. In Japan, the framework for twenty-first century competencies is based on a core educational concept – zest for life – and encompasses basic literacy, thinking ability (creativity, critical thinking, metacognition, etc.), and practical ability to act for the world (independence and autonomous action, relationship building, and responsibility for building a sustainable future) (Kimura & Tatsuno, 2017). Given the push in CHCs to empower a more critical, global-minded citizenry, this chapter aims to shed light on how teachers in these countries have employed cosmopolitan literacies to disrupt parochial ways of thinking and acting in the world. In so doing, it problematizes reductive stereotypes about passive, insular approaches to teaching in these countries while providing insights into the potentialities of cosmopolitan education. Broadly, cosmopolitan literacy refers to reading, writing, speaking, listening, and other meaning-making practices that serve to develop critical, aesthetic, and ethical engagement with diverse others in the world (Choo, 2018). Since language and culture are inextricably intertwined, and effective learning of a language requires enculturation of beliefs, customs, and values, literacy education can provide learners with opportunities to acquire and practice skills to

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develop cosmopolitan dispositions such as cultural curiosity, openness, hospitality, empathy, and responsibility toward others. Broadly, cosmopolitan literacies entail four essential characteristics – the development of an ethical orientation, transnational attunement, critical engagement, and transformative action – as elaborated below.

Ethical Orientation The classical transmission model of communication depicts a sender encoding a message, transmitting it through a communication channel to be decoded by a receiver (Shannon & Weaver, 1963). Such a model considers how accurately, precisely, and effectively meaning can be communicated with an intended effect. Scholars have criticized this model for advancing a deterministic view of communication. This discounts a more ethical and relational purpose of communication where the aim is not for the sender to get his/her message across but for the sender to engage and understand the other. The philosopher Jürgen Habermas (1984) has drawn attention to the intersubjective nature of language and observed how, underlying everyday speech acts, is the primordial drive to relate to another. Thus, while language is a means for communicating, it is also more than that; it is a means for reaching understanding so as to promote collaborative, communicative action. In this light, education in cosmopolitan literacies is grounded on an other-oriented ethics in which language is not used to impose one’s views or to dominate and objectify the other. Rather, language is a means to understanding, empathizing, and engaging the other. The post-Holocaust philosopher Emmanuel Levinas has often been credited for returning philosophy’s focus to the primacy of the other. As Levinas (1969) argued, the essence of being is “exteriority” and being comes into existence through a consciousness of the other who calls us to respond (p. 290). Language then provides that bridge to fostering ethical relations between self and other, for “the essence of language is friendship and hospitality” (p. 305). To strengthen learners’ ethical sensitivity, a cosmopolitan teacher seeks to build up learners’ intercultural capital that involves knowledge and dispositions that will help them in intercultural exchanges. This can occur by reading the world through, for example, multicultural literature (Poon, 2010; Tope, 2018) as well as literature that focuses on global issues such as terrorism, modern-day slavery, and climate change, among other pertinent topics. For example, Choo (2016) conducted studies of Literature classrooms in Singapore. In one class, students compared a canonical text they were familiar with (Animal Farm by George Orwell) with a less familiar, more contemporary text (Shooting Kabul by N. H. Senzai). The teacher felt that students were reading the canonical text in a disconnected way. She thus had students compare the canonical text with a contemporary text that dealt with issues such as asylum, 9/11, etc. Through various projects, students then connected the fictional texts they read with current realities such as Islamophobia in the United States, the Syrian Refugee crisis, etc. In another class, a teacher pushed students to explore the nature of cross-cultural identity through various transnational texts such

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as Ang Lee’s film Eat Drink Man Woman, Jamaica Kincaid’s On Seeing England for the First Time, Kyoko Mori’s The Dream of Water, and Amy Tan’s The Bonesetter’s Daughter. Common in all these texts are notions of cultural displacement, clashes, and mixing through experiences of globalization, colonization, and migration. In one assignment, students were asked to use the texts studied to discuss their own sense of cross-cultural identity. In the process, students became conscious of the dynamic and porous ways of cross-cultural identities in the making. Such cosmopolitan ways of reading to expand one’s worldview, disrupt established stereotypes, and imagine the world from another cultural lens are important in facilitating a “hospitable imagination” (Choo, 2016), which is essentially a reorientation away from the self’s imposition of judgment on the other toward an ethical and empathetic understanding of the other. Grounding such cosmopolitan literacy practices is fundamentally an ethical commitment to demonstrating response and responsibility to the other. For example, reading to learn about other cultures, viewing to witness the suffering of another, writing to uncover sociohistorical and political injustices done to others, listening to remember the testimonies of another, performing to provide alternative voices and perspectives – these are all instances of literacies directed by an ethical impulse to know, understand, and engage with multiple and diverse others in the world.

Transnational Attunement The ethical which is integral to cosmopolitan literacy practices is one that is transnational in nature. On the one hand, this entails attaining knowledge of world events. Hanvey’s (1976) well-known global education framework outlines five key aspects – perspective consciousness, state of the planet awareness, cross-cultural awareness, knowledge of global dynamics, and awareness of human choices. Cosmopolitan literacy practices can serve to foster students’ appreciation of and affinity with foreign cultures through exposure to their literature, art, and history. This contributes to a sense of planetary belonging and allegiance to humanity as a whole. On the other hand, cosmopolitan literacies should also attune students to transnational connections. As Rizvi (2009) argued, cosmopolitan learning involves “pedagogic tasks that help students explore the criss-crossing of transnational circuits of communication, the flows of global capital and the crosscutting of local, translocal and transnational social practices” (p. 265). This does not mean that students ignore local issues but they are attuned to the ways the local is situated within the broader context of globalization and how the global reconstitutes social identities. Essentially, cosmopolitan literacy practices are intertwined with “glocalized literacy” where students are equipped to engage intertextually with texts in relation to global economic and semiotic influences (Luke & Carrington, 2002). In the process, students “consider the contested politics of place making, the social constructions of power differentials and the dynamic processes relating to the formation of individual, group, national and transnational identities, and their corresponding fields of difference” (Rizvi, 2009, p. 265). Understanding the

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interplay of transnational landscapes attunes students to power differentials that may result in the continued oppression of marginalized groups and communities. It also allows students to gain greater awareness of how their own identities are negotiated along national–transnational forces. The infusion of Cosmopolitan literacy practices can be facilitated through the intentional provision of physical and virtual transnational spaces in schools. For example, Zhang and Heydon (2014) conducted a study of a transnational education program in a Sino-Canadian school in China. Students graduating from the school would have both Chinese High School and Ontario Secondary School diplomas, thus facilitating students’ transnational mobility. This hybrid curriculum became the catalyst for “syncretic literacies” that allowed students to create new literacy practices through syncretizing languages, literacies, and aesthetic styles of different cultures and groups (Gregory, 2008). Although the curriculum did not explicitly promote such syncretic literacy practices, students felt encouraged to construct transnational and multilayered identities using digital resources and multimodal artifacts. Students credited the transnational hybrid curriculum in equipping them with expanded literacy skills and in providing spaces for them to articulate their cosmopolitan identities as bilingual and bicultural learners navigating a transitional space between East and West. The authors proposed that such transnational education has the potential of helping students nurture genuine openness and attachment to both local and foreign cultures as well as creating the conditions for biliteracy or multiliteracies education in transnational education contexts. Such transnational spaces can also be facilitated through virtual means. For example, Hull and Stornaiuolo (2010) created an international social network where youths from Africa, India, Norway, and the United States created and exchanged digital artifacts, including music, stop-motion videos, animations, and artwork. They engaged in critical dialogues over common concerns such as discrimination, school pressures, poverty, and the challenges of media representation. In a study of a literacy curriculum in a school Macau, Zhang (2019) highlighted how teachers promoted creative reconstruction of meanings through the use of biliteracy and multimodal literacy. Constructivist pedagogies such as language games, roleplaying, and storytelling were used to develop students’ creativity in reconstructing stories while allowing them to critique them from multiple perspectives. In one instance, the Mandarin teacher collaborated with the English teacher to design a lesson that incorporated the teaching of a classic literature in English and Chinese as well as the translation of Chinese articles into English. As the text was set in the Cultural Revolution, the teacher also shared her lived experience of the event and students were invited to interview their grandparents or others who had lived through the period. The students had opportunities to construct their understanding of selected literary texts through multimodal ensembles using digital remixing practices to create modern images in which they translated quotes from a canonical text like Shakespeare’s Macbeth into present-day cultural settings. The teacher then had students reflect upon themes about Western history while exploring parallels in Asia. Essentially, these cosmopolitan literacy practices necessitate a shift from the teacher as facilitator of student-centered learning to the teacher as designer who

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navigates the complex art of selecting, mixing, and planning a range of local and transnational cultural artifacts alongside a variety of multimodal reading, writing, and other meaning-making engagements.

Critical Engagement From the mid-twentieth century, poststructuralist movements gained ground and drew attention to the need to educate students “to become active, critical citizens (not simply workers” (Giroux, 1988, p. 7). Drawing on the work of Michel Foucault, postcolonial and Marxist scholars, critical pedagogues foregrounded how the values of a dominant class are typically channeled through symbolic and cultural capital, leading to the perpetuation of inequalities and forms of oppression (Strydom, 2012). Engaging with ethical questions about systemic injustice is reliant firstly on cosmopolitan affective affinity with others, especially those from marginalized groups. For example, one’s advocacy for underpaid migrant workers can extend beyond national borders to other communities facing similar circumstances elsewhere. Such ethical questions are dependent secondly, on informed criticism. In relation to literacy, Paulo Freire was a seminal figure who conceptualized the relation between reading the word and reading the world. He argued that reading does not involve the mere decoding of words but is intertwined with reading the world. This reading of the world is one that entails criticality of history and social systems (Freire & Macedo, 1987). Freire’s work was crucial to the critical pedagogy movement. Essentially, critical pedagogies seek to empower students to critique discourses of power and ideology, irreducible tensions between the global and local, class distinctions, and systemic inequities in education (Delanty, 2006). Examples of critical literacy have been documented among young children in South Korea. For example, Kim (2016) explored how a teacher at a childcare center subscribed to the importance of critical reading and frequently asked open-ended questions to push her students to think about alternative perspectives before, during, and after reading. She used multicultural picturebooks to introduce ideas about human rights, social justice, cultural diversity, and equal opportunity. A variety of open-ended questions were asked for different purposes. First, these were questions that sought to foster curiosity about foreign cultures and helped students to compare and contrast nature, people, and communities across cultures. Second, there were questions that pushed students to challenge normative assumptions about racial diversity and equality. Students were encouraged to ask questions and rethink common assumptions about other races and cultures. In another study, she discussed how the teacher used “counter-storytelling” to help children think about fairytales from multiple perspectives (Kim & Hachey, 2021). Students were encouraged to compare versions of the stories they read, consider how the story would be different if told by a different character, and develop their own ideas to retell the story. Such pedagogies empowered students to be active social participants in deconstructing narratives, participating in collaborative language interactions, and developing agency in recreating narratives in their own voice.

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From the late twentieth century, the rise of ethical criticism propagated by scholars such as Wayne Booth and Martha Nussbaum provided the conceptual terms for its pedagogical application in language and literacy education. Ethical criticism encompasses an analytical and practical dimension. Literacy practices may involve such critical activities as analyzing how processes of othering and marginalization occur in specific social and geopolitical contexts, how ethical values are constructed, represented, and conveyed, the ideological beliefs grounding such values and the extent to which they support the agenda of dominant groups, among others. Some examples of cosmopolitan ethical criticism have been documented in Language and Literature classrooms in Singapore and Australia (Choo, 2017). For example, students in a high-performing school in Singapore examined literary texts through the lens of ethical philosophy. This enabled them to go beyond traditional ways of comprehending the text’s meaning (its plot, setting, character, point of view, and style) to examining ideological and religious beliefs that have informed authorial choices and construction of the text. Students then engaged in inquiry projects where they used the texts they read as a launchpad to examine ethical dilemmas in the world and discussed such topics as the ethics of genetic modification, the problems of freewill, and debates concerning euthanasia, etc. The ethical questions raised from the literary texts they read were applied to these real-world ethical issues that made them reflect on their own process of ethical reasoning. In another class in Australia, the teacher designed a unit around human rights and had students read a range of texts, including short stories, documentaries, information texts, graphic novels, and films. Each text was introduced to help expand and deepen students’ understanding of human rights. Rather than discuss human rights at a conceptual level, the teacher asked questions that pushed students to be critically reflexive about its significance to their own community. For example, she asked students about their experience of human rights in Australia, whether there were human rights problems in their own community and how human rights could be better protected for people in their society. To infuse authenticity to the curriculum, she guided students to conduct research and prepare a submission to the National Human Rights Consultation Committee in defense of a disadvantaged group. In a culminating project, students acted as representatives in a simulated forum to speak on behalf of the group, and in the process, they critically engaged with some of the challenges and complexities governing defenses of human rights. In short, the analytical dimension of cosmopolitan ethical criticism is aimed at sensitizing students to underlying values in texts and normative claims by particular groups. It aligns with Freire’s (1998) proposal of reading with “eyes opened to the world (denunciation),” referring to critically denouncing world injustices, and reading with “eyes open (annunciation),” referring to announcing possibilities for action and commitment based on cosmopolitan principles of human rights and dignity.

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Transformative Action Finally, the analytical dimension of cosmopolitan ethical criticism explained in the above section should be supplemented by a practical dimension that perceives texts as gateways to engaging with issues of injustice and oppression in the world and literacy as tools to defend the rights of others. In her survey of human rights education (HRE) models, Tibbitts (2017) has identified three models. The first is the values and awareness/socialization model where the aim is to build knowledge about and understanding of human rights and here, pedagogy is often didactic. The second is the accountability/professional development model focused on developing the capacities of professional groups (such as educators) to apply human rights norms and values in their given contexts and here, pedagogy is skills-oriented. The third is the activism/transformation model which emphasizes empowering of marginalized groups and taking action to reduce human rights violations. In this third area, pedagogy is action-oriented and collaborative in nature. The emphasis on transformative action contrasts with critical traditions proposed in the earlier period of poststructuralism by the likes of Foucault and Bourdieu. As Delanty (2012) observed, Foucault and Bourdieu turned the work of criticism on the subject’s constitution into discourses of power and socialized norms or habitus. Less discussed was criticism’s goal of “immanent transcendence” that focuses on possibilities for the internal transformation of society within the present. In this light, cosmopolitan literacies can provide the tools for strategic interventions in tackling social-global injustices. Both dialogue and deliberation are fundamental pedagogies, particularly in this current climate of “Woke” and “Cancel” culture where the Internet has fuelled vigilante activism that contributes to unproductive hostility and cements individuals into “us” versus “them” binary camps. Dialogue allows for multiple perspectives to be heard and deliberation prompts re-evaluations of strategic action through considering issues from the viewpoint of different groups. The question of how human rights and dignity can be protected is integrally connected to open, public reasoning (Sen, 2004). On the one hand, dialogue can be driven by ground-up, bottom-up movements facilitated by civil society organizations or grassroots movements. On the other hand, dialogue and deliberation should also occur beyond national borders. The critical evaluation of ethical principles and action benefits from understanding their applicability in specific local contexts as well as how these measure up against broader ethical standards that have largely gained international acceptance and been applied worldwide. In practice then, cosmopolitan literacies necessitate intertextual and comparative pedagogies in which students are constantly pushed to disrupt and expand their perspectives about ethical injustices. These serve to inform transformative actions they may design or undertake to secure human dignity and flourishing in the world. In HRE, Hong Kong provides an interesting case study through the work of nongovernmental organizations (NGOs) and their collaborations with schools and colleges. As Tse (2020) described, NGOs have been actively involved in the distribution of materials that provide knowledge about human rights, organizing

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school talks, school clubs, experiential learning to the local community. NGOs have also introduced pedagogical innovations such as theater in education where they collaborate with professional theatrical groups to conduct performances and interactive sessions to help students understand human rights. Other programs such as the Youth Human Rights Journalists Program enable youths to deepen their knowledge of human rights issues and controversies such as the death penalty. Indeed, transnational organizations can play an active role in providing spaces for youths to collaborate with their peers locally and overseas on various global advocacy projects. For instance, youths can be engaged in dialogues through programs such as those organized by the United Nation’s (UN) Environment program that offers initiatives to encourage youth participation and advocacy. Their report gave examples of how youths in Korea, Vietnam, and China were involved in upcycling of used banners, developing energy-efficient stoves to stop deforestation, and turning waste into fuel respectively, among other projects (UNEP, 2019, pp. 86–87). Other examples are the Sino-Japan Youth Conference that has brought youths from Hong Kong, China, and Japan together to promote dialogue, mutual understanding, and celebration of difference. Similarly, the UN Institute for Training and Research regularly organizes a Youth Ambassador Asia-Pacific Programme involving highschool students from the Asia-Pacific countries to engage with pressing global issues, including social and climate justice. Through their activities as Youth Ambassadors, students deepen their understanding of the UN’s Sustainable Development Goals; they also form international networks with experts from various fields. Such transnational “affinity spaces” allow students to connect with peers from other cultures to find common allegiances toward peace-building and other just causes. These transnational spaces provide that inspirational place for global advocacy. Supplemented by literacy projects, these spaces offer what Appadurai (2013) terms an “ethics of possibility” (p. 295) that involves ways of thinking, imagining, feeling, and acting collectively to counter social and global injustices. As Harper et al. (2010) have reminded us: Cosmopolitanism means more than the addition of an international perspective to adolescent literacy research and teaching. It means more than supporting pluralism and multiculturalism in literacy practices. More fully, it means acknowledging and integrating into our literacy lessons, and our literacy research the highly dynamic interface of local and global; and the movement among identities, affiliations and identifications that defines cosmopolitan life. (p. 11)

Conclusion: The Limits of Cosmopolitan Literacies and Possibilities for the Future The intensification of globalization in the twenty-first century has led to the recognition that globalization is not as an abstract external phenomenon, but is embedded in the everyday realities of daily life. Terms such as “glocalization” (Roudometof, 2016), “everyday globalization” (Shortell, 2016), and “world risk societies” (Beck, 2007)

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have been commonly employed to characterize transnational connectedness alongside the infusion of global risk in societies. The current coronavirus pandemic has provided a stark example of how globally interconnected the world has become such that a viral outbreak in the city of Wuhan in China, first reported by the World Health Organization (WHO) in January 2020, can so quickly spread, resulting in WHO declaring this a global pandemic just within three months (WHO, 2021a). Still raging on for close to two years at the point of writing this chapter, the Director-General of WHO recently reflected on how only global cooperation can stem the pandemic. He said, “No country can end the pandemic in isolation from the rest of the world. And no country can protect the health of its own people without working to protect the health of all people” (WHO, 2021b). His point illustrates why it is important that governments and educators invest in building students’ cosmopolitan literacies that they may have the requisite knowledge about different sociopolitical contexts and global issues, skills to collaborate and communicate with others, and dispositions of empathy alongside a concern for social justice and human rights. At the same time, we should be aware of three key limitations. First, CHCs continue to be characterized by strong state forms of governance alongside a heavy emphasis on high-stakes testing. Consequently, students may even resist critical thinking and non-didactic approaches to teaching. For example, when Kim introduced critical pedagogy in her English as a Foreign Language class in South Korea, students resisted the pedagogy as they had previously experienced teacher-centered instruction such as completing grammar exercises through drill and practice (Kim & Pollard, 2017). When she asked her students to collaborate in groups to design a website and conduct an oral presentation on a social justice issue of their own choosing, students reported feeling stressed and frustrated. Consequently, she had to adjust her pedagogy and provide more guidance using a “modest critical pedagogy” (p. 67). In Singapore, a national survey of Literature teachers showed that they were reluctant to engage students with social issues. This included contemporary issues related to race, gender, and politics likely due to fears of implicit out-of-bound markers, which are invisible boundaries designating topics that are off-limits in public discussions (Choo et al., 2021). Various civil society advocates and journalists have been publicly chastised and even persecuted for venturing into such topics with the result that scholars have claimed that critical discussions of these topics have been stifled. Teachers themselves may be uncomfortable about providing opportunities for open-ended, student-led discussions on such topics. Future research in this area would need to explore the pedagogical boundaries that teachers in CHCs need to navigate in engaging with contentious issues as well as offer strategies for teachers to facilitate open-ended conversations in the classrooms that balance both the honoring of student voice and agency with a recognition of how these can function effectively within the context of communitarian values. Second, many CHCs have their visions of education grounded on the value of harmony. Harmony is an implicit concept in Confucian cosmopolitanism tied to the doctrine of dao (way of heaven). Heaven is seen as the source of the cosmic order and pervades all facets of life (Chan, 2011). The task of the human being is to participate in heaven’s organic naturalism by seeking harmony with heaven and with

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others on earth (Cheng, 1991). Unlike an individualistic concept of personhood observed in Western philosophical traditions, Confucianism subscribes to a relational concept of subjectivity in which the self’s identity is formed through interdependent relationships with others (Bockover, 2007). Thus, self-identity and personhood are integrally tied to social responsibility and the role one plays in maintaining harmony in the social order. In Japan, the value of harmony is included in the framework for twenty-first century competencies as a cosmopolitan aim – “to be rich in humanity,” which encompasses being “in harmony with the spirit of cooperation” (Kimura & Tatsuno, 2017, p. 2). Likewise in Singapore, one of the six core values undergirding her twenty-first century competencies framework is the value of harmony that is characterized as follows: “Our students uphold harmony when they promote social cohesion and appreciate the unity and diversity of a multicultural society” (MOE, n.d., para. 11). This principle of harmony is perhaps one reason why programs such as human rights education hardly go beyond the provision of knowledge and awareness-building. Tse (2020) observed that in Hong Kong, even though NGOs actively work with schools to implement human rights education, this only goes as far as the first model that Tibbitts (2017) outlined in her survey of human rights education focusing on “Values and Awareness” with less emphasis on the third model, “Activism and Transformation,” including limited opportunities for students to advocate for human rights issues in society. Likewise in Japan, although human rights education was introduced following the end of the Second World War and continues to be taught in schools, Takeda (2012) observed that the continued emphasis on behavioral norms of obligation, responsibility, and harmonious human relationships impedes the claiming of rights or taking action to defend rights. He added, “For human rights to [provide] effective protection of people’s human dignity, people must claim them freely in the face of other individuals, groups or organisations in society or the state” (p. 92). Thus, the first step to empowering students to take transformative action is the provision of freedom for them to articulate unjust conditions when the rights of others have been violated and to press for human rights demands. Literacy education should then be viewed as that platform where students can practice and hone their communicative skills as human rights advocates. Looking ahead, future research would need to provide exemplars of how teachers can negotiate such values as agency and harmony as well as how they can find that balance between promoting student activism and advocacy alongside responsibility for the maintenance of social harmony. While these need not be perceived as mutually exclusive, there is a need to recognize moments when they may come into conflict. Language becomes a key meditating tool that can serve to foster cosmopolitan hospitality and empathy in such moments when values come into contention. Finally, much of the current research on cosmopolitan literacies has focused on the content and texts to be taught whether this ranges from the kinds of multicultural literature that students should be exposed to in order to foster global-mindedness to the kinds of multimodal and intercultural skills they need to negotiate and communicate meaning in a culturally porous age. Less discussed is the important role that

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literacy education plays in the development of cosmopolitan dispositions. Recent research suggests that attention to pedagogical routines including literacy routines can attune students to particular cosmopolitan dispositions. Some of these examples were observed in Singapore Language and Literature classrooms that included routines such as learning to respect the viewpoints of others beginning with one’s peers through habits of attentive listening and note-taking; learning to suspend judgment coupled with reading deeply into the history and culture of the other in order to see from the viewpoint of another; and acquiring the habit of ethical reasoning through discerning the underlying moral dilemmas and ideological values grounding texts (Choo, 2021). To conclude, the turn to Asia at the turn of the twenty-first century has been driven by the rise of China’s economic and military power coupled with the influence of global cities such as Singapore, Hong Kong, and Tokyo. In countries like Australia, Asia literacy has become an imperative infused in the national curriculum so that students would have a good understanding of the histories, geographies, literature, arts, cultures, and languages of diverse countries in Asia. Education systems in many CHC countries have also undergone progressive reform emphasizing key literacies, including civic literacy, multimodal literacy, critical literacy, and cosmopolitan literacy. The examples provided in this chapter offer glimpses of some exemplary pedagogies in the ways teachers have sought to cultivate ethical orientation, transnational attunement, critical engagement, and transformative action in their students. Though this may not be pervasive as yet and limitations continue to persist, each of the three limitations we have outlined are themselves possibilities for future research and reform. For a start, research could explore what Rizvi (2008) has described as cosmopolitan “epistemic virtues,” which are “habitual practices of learning that regard knowing as always tentative, involving critical exploration and imagination, an open-ended exercise in cross-cultural deliberation designed to understand relationalities and imagine alternatives, but always from a position that is reflexive of its epistemic assumptions” (p. 30). How can such cosmopolitan virtues become habitual practices of learning? As mentioned earlier in this chapter, it was Confucius who established the connection between the disposition of cosmopolitan love for others (ren) and ritual (li) as a means to disrupt the individual’s propensity to egoistic discourse and behavior. Future research could look into the development of “dispositional routines” (Choo, 2021), which are specific literacy routines employed to foster cosmopolitan dispositions such as empathy, openness to difference, active response to social and global justice, among others. These routines are ultimately aimed at supporting long-term habits of mind that enable students to gain greater investedness in the lives of distant others. In this way, such cosmopolitan literacies can prepare students to go beyond neoliberal pressures of schooling where students are narrowly trained to acquire workplace literacies to power the local and global economy. These cosmopolitan literacies can provide students with an ethical basis for communicating in the world and they can strengthen important habits of mind that would orient them to bridge cultural divides, racial and religious intolerance in order to secure a more just and hospitable future for all.

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Transcending Anglocentric Ideologies of English Language Teaching in Asia: Global Englishes-Informed Policy and Practice

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Global Englishes and Its Related Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Global Englishes in Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Current Policies and Practices in English Language Education in Asia . . . . . . . . . . . . . . . . . . . . . . . Global Englishes Approaches to English Language Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion and Future Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

The global spread of English is now well documented with over two billion speakers, the majority of whom are L2 users of the language. This global role of English has been particularly relevant to the Asian region, first through its use as a colonial and post-colonial language and, later, through its role as a regional lingua franca. The global reach of English and the accompanying diversity of users have had a profound effect on how we understand English and, in turn, how we teach and learn it. This is studied through the field of Global Englishes, an umbrella term covering the areas of World Englishes (WE), English as a lingua franca (ELF), and English as an international language (EIL). This chapter outlines the core features of English in Asia, particularly focusing on its use as a medium for intercultural communication as part of a multilingual repertoire of resources. It explores the educational consequences of the growth of English at policy level and in practice at all levels of education. Yet, there is still an underlying W. Baker (*) Centre for Global Englishes, University of Southampton, Southampton, UK e-mail: [email protected] F. Fang Department of Foreign Languages and Literature, College of Liberal Arts, Shantou University, Shantou, People’s Republic of China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_29

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colonial and Anglocentric ideology of English that underpins many approaches to English education in the region. This ideology results in tensions between the more normative Anglocentric teaching practices typically adopted and the diverse, multilingual, and intercultural reality of English use. Contemporary approaches to teaching English are outlined that recognize its variable use as a multilingua franca to prepare learners for English used in intercultural communication far removed from the norms of its Anglophone origins. Keywords

Global Englishes · English as a lingua franca · English language teaching (ELT) · English medium education (EMI) · Content and Language Integrated Learning (CLIL)

Introduction The growth of English beyond its Anglophone origins has long been recognized (Kachru, 1992). Likewise, the implications of a world with more “non-native” than “native” English speakers for ELT (English language teaching) and policy has been in discussion for decades (Widdowson, 1994). Nonetheless, despite the sociolinguistic reality of a diverse and varied multilingual population of English speakers, especially in Asia, much current policy and practice in ELT is still centered on an outdated monolingual Anglophone ideology. This chapter begins by describing the field of Global Englishes as an approach to understanding the varied ways in which English is used across the world. The chapter then focuses specifically on English in Asia, highlighting the wide range of uses and long history that English has in the region. Next, current English language policies and practices in Asia are examined in both school and higher education, including CLIL (Content and Language Integrated Learning) and EMI (English Medium Instruction). While broad generalizations are only possible in one short chapter, we argue that overall English language policies and practices in Asia are typically underpinned by an exonormative and potentially disempowering standard English Anglophone model. As an alternative, a range of approaches to ELT are proposed that place multilingualism and intercultural communication, rather than monolingualism and Anglophone cultures, as central to critical pedagogy, making them more relevant to the multilingual and multicultural uses of English in Asia. Through such perspectives it is hoped that learners of English will be better prepared for the rich and diverse landscape of English use in Asia and globally.

Global Englishes and Its Related Concepts Global Englishes is defined as the “the linguistic and sociocultural dimensions of global uses and users of English” (Centre for Global Englishes https://www. southampton.ac.uk/cge, 2021). It is used here as an umbrella term covering the

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related, but distinct, fields of World Englishes (WE), English as a lingua franca (ELF), and to a lesser extent, English as an international language (EIL). WE is a well-established field in socio/applied linguistics, which accounts for the global spread of English in postcolonial contexts. The most well-known approach within this field is Kachru’s (1992) three circles model comprising of the inner circle (Anglophone countries such as the US and UK), the outer circle (postcolonial countries such as Nigeria and Singapore), and the expanding circle (countries in which English does not have an official role but may be used extensively in education such as China and Germany). WE has been important in emphasizing and legitimizing the various uses and varieties of English globally, “and to stress that English no longer has one single base of authority, prestige and normativity” (Mesthrie & Bhatt, 2008, p. 3). ELF is a newer but now also established field in socio/applied linguistics defined as “any use of English among speakers of different first languages for whom English is the communicative medium of choice” (Seidlhofer, 2011, p. 7). More importantly, the ELF perspective recognizes the use and complexity of English transcending borders, as the multilingual aspects of ELF have recently been foregrounded, highlighting that ELF always takes place in multilingual scenarios (Jenkins, 2015b). ELF use includes both “native” and “nonnative” speakers of English (The notion of nativeness is notoriously problematic in applied linguistics and while it is a pervasive ideology in perceptions of English, it has been dismissed as largely irrelevant in characterizing ELF use. Nonetheless, the term will be retained for convenience.) but native speakers are greatly outnumbered by non-native speakers and do not constitute the reference point for communicative “norms.” EIL typically deals with diverse varieties of English including both outer and expanding circle settings and the implications of this for English language teaching (ELT) (e.g., Matsuda & Friedrich, 2012). However, due to the problematic nature of viewing “expanding circle” English use from the perspective of varieties of English as in WE (explained below), EIL will not be referred to further in this chapter. WE has been criticized for an overly static view of the spread of English that maintains an essentialist link between language and nation and the use of English within certain borders (e.g., Jenkins, 2015a). Such geographically based boundaries between language “varieties” are problematic as regards the use of English globally for intercultural and transcultural communication, in which English users do not remain within defined geographical borders (Baker & Ishikawa, 2021). In contrast, ELF research has documented highly variable uses of English (rather than varieties of English) that cut across all three of Kachru’s circles and where English use cannot be described in relation to a single defined variety. For example, we may observe English used in a flexible and diverse manner as a lingua franca by interlocutors in an international university in the UK, regardless of the “inner circle” setting or the nationality of the speakers (Jenkins et al., 2019). In other words, ELF is not a variety of English but rather a variable way of using English as part of a repertoire of multilingual recourses in translingual and transcultural communication (Baker & Ishikawa, 2021). Nonetheless, WE has been important in establishing a pluricentric approach to Englishes and in documenting identifications with national varieties of

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English in post-colonial settings. This is especially relevant in Asia, and so both WE and ELF will be referred to in the remainder of this chapter.

Global Englishes in Asia English has a long history in Asia, and it has functioned in post-colonial settings such as India for as long as some Anglophone contexts. Over 10 years ago, Bolton (2008) estimated that there were almost a billion users of English in the region and this number is likely to have increased over the last decade. Therefore, it is not surprising that scholars such as McArthur (2003) and Kachru (2005) have referred to English as an Asian language. Alongside its official role as a second language in post-colonial “outer circle” contexts such as Singapore, Hong Kong, and the Philippines, it is also the official working language of ASEAN (Association of South East Asian Nations). In many “expanding circle” settings English has taken on an increasing presence in numerous aspects of society including education, business, tourism, and the media. For instance, China is now estimated to have the largest number of English language learners with more than 450 million people, according to the latest national survey (Wei & Su, 2015). Similarly, in other countries in the region with no colonial links, such as Thailand, English is viewed as an essential medium to connect with the wider world, is often necessary for prestigious jobs, is compulsory in education, and features extensively in the media and urban landscapes (Baker & Jarunthawatchai, 2017). It is, however, important to point out that English use in Asia is different from Anglophone Englishes use. Firstly, WE research (e.g., Kachru, 2005) has documented numerous varieties of Asian Englishes such as Indian English, Filipino English, and Singaporean English with their own features of syntax, lexis, phonology, as well as pragmatic norms and cultural references. Many of these varieties are legitimized and codified through dictionaries, reference texts, and their use in official documentation. Secondly, in “expanding circle” settings, which do not have codified varieties of English, and use English as a lingua franca, we see a considerable degree of variation, adaptation, and flexibility in English use (e.g., Kirkpatrick, 2010). Similar to varieties in the outer circle, much of this adaptation is related to local pragmatic norms and cultural references. For example, drawing on data from ACE (Asian Corpus of English), Kirkpatrick illustrates the manner in which a Malayspeaking Malaysian Chinese female employs the discourse markers “lah” and “mah” in her use of English alongside non-standard tense markings influenced by Malay, e.g., “why give it to your mother or father to take care lah” (2018, p. 142). Furthermore, in both outer and expanding circle settings, English is typically embedded in highly multilingual environments in which it functions alongside other local languages. While many Anglophone settings are increasingly multilingual, in almost all cases English uses in Asia are in contexts in which at least one and often many more first languages are present. Thus, in keeping with Global Englishes perspectives more widely, English use in Asia is typically part of a multilingual repertoire used in translingual and intercultural/transcultural communicative

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practices (Baker & Ishikawa, 2021). Given this extensive and longstanding use of English in Asia and the variable manner in which it is used to suit local settings, the legitimacy and relevance of Anglophone the so-called “standard English” (Like the notion of the native speaker, what constitutes “standard English” is difficult to define. It is often conflated with native speaker English and national varieties of Anglophone English (e.g. British, American), although many native speakers of Anglophone English do not actually speak ‘standard English’ (see Seidlhofer, 2018).) as a reference point and aim for English use in Asia is highly questionable.

Current Policies and Practices in English Language Education in Asia As English has expanded in its role as a global lingua franca, it has also, unsurprisingly, taken on an increasingly important role in education with Asia being no exception. The need for English is viewed by many governments as self-evident as the means to engage in globalization and ensure economic success (Kirkpatrick, 2017). Therefore, English is typically the principal “foreign” language in language education policy and practice taught alongside the national language (which may also be an L2 in many cases). This has resulted in an increasingly early introduction of English into national curriculums and is frequently part of primary education policies. For instance, in the ASEAN region, all but Indonesia begin English language teaching at primary level (Kirkpatrick, 2017). In China, despite recent debates about whether English should be removed in primary school curriculums as a core subject (Chu, 2021), it is still taught in primary school starting at grade three as a compulsory subject with high parental demand (Qi, 2016), or even from kindergarten at first-tier cities such as Beijing and Shanghai. English is emphasized as a key language for interpersonal and intercultural communication according to the “Guidelines for Promoting English Language Instruction in Primary Schools” (MOE, 2001). In Japan, English has been compulsory in primary education for over a decade and recently moved to an even earlier introduction at grade three (Suzuki et al., 2018). South Korea has had a policy of compulsory English classes in primary schools since the mid-1990s (Ra, 2019). Given the extensive role of English in primary education policy in Asia, this obviously continues into secondary education where it is again frequently a compulsory subject, often with increased hours in the curriculum (Kirkpatrick, 2017; Liu & Fang, 2022; Suzuki et al., 2018). Perhaps most significantly English is also a component for both school leaving exams and entrance exams into higher education (HE) with the inevitable wash back effect this causes through the final years of secondary schooling. For example, in China, College English Test (CET) is used as a benchmark to evaluate individuals’ achievement of English language learning while for English majors students they are required to pass Test for English Majors (TEM) to demonstrate a higher level of English competence. In Thailand, English is a component of the national O-NET test at grades 6, 9, and 12, as well as many university entrance exams (Baker & Jarunthawatchai, 2017). In South Korea, English is one of the highest scoring

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components in the College Scholastic Ability Test, or “Suneung” (Ra, 2019). However, there are concerns that throughout Asia these exams cover a narrow range of receptive skills (i.e., listening and reading) and neglect productive skills (i.e., speaking and writing), as well as focusing on Anglophone English rather than Asian uses of the language (Tsou, 2021). Furthermore, the role of English in tertiary education typically extends beyond entrance exams and is also often a compulsory subject that must be passed before graduation regardless of major (see Baker & Jarunthawatchai, 2017 in the case of Thailand; see Fang, 2018b in the case of China). Accompanying the increase in ELT has been a rise in bilingual English language programs, CLIL (Content and Language Integrated Learning) and EMI (English medium instruction) (EMI has been used for ease of reference as it is the most commonly used term. However, we prefer the term EME (English medium education) since this is more inclusive of the range of learning, teaching and other processes that are part of education (Dafouz & Smit, 2020).) where English functions as the sole medium of instruction or in tandem with the national language. In HE there has been a huge growth in EMI programs over the last 10 years fueled by a perception in governments of EMI as a way for Asian institutions to engage in the internationalization of HE, prepare their students for globalization, and to attract international students (Fenton-Smith et al., 2017; ▶ Chap. 33, “Research on EnglishMedium Instruction in the Asia-Pacific: Trends, Foci, Challenges, and Strategies,” by Hu and Lei, this volume; Jenkins & Mauranen, 2019; Tsou & Baker, 2021). China, for example, has emphasized EMI in HE alongside the national lingua franca, Putonghua, for internationalization, as well as to maintain “Chineseness” in HE (Fang, 2018a). In Taiwan, EMI began to be strongly promoted by the government around 2013 as a way to both attract international students to Taiwan and raise the ranking of local universities (Tsou, 2021). In 2018 the Taiwanese Ministry of Education further expanded the role of English to bilingual compulsory education programs (Tsou, 2021). Likewise, in Japan MEXT (Ministry of Education, Culture, Sport, Science and Technology) has introduced a number of policies to promote internationalization through “high quality” EMI programs (Suzuki et al., 2018). The benefits of increasing English language education as a means to link societies to globalization and the desired accompanying economic and cultural development may seem obvious. Although earlier concerns of English becoming a “killer” language that replaced national languages (Phillipson, 1992) have proved unfounded, there are a number of problems with this rapidly increasing role for English at all education levels. While English may not have replaced national languages, it can place an additional burden on students in multilingual settings where the national language is not their L1, resulting in students having to learn both the national language and English at the same time (Draper, 2012), as well as having to cope with the tension between retaining the values of the national culture and adopting EMI for a possible “alienating” identity (Fang, 2018b). Additionally, this combination of English and the national language leaves little space for local and indigenous languages, further marginalizing them (Kirkpatrick, 2012). For instance, in the case of Thailand, Draper’s (2012) study of rural and semirural communities showed the potential for an expansion of English to become an increasingly

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significant barrier to both academia and work. This was due to a complex range of factors including the national L1 (Thai) often being the L2 of these communities, generational differences in literacy in both the national language and English, and underfunded rural education. This becomes even more of a concern when English is not just taught as a subject in itself but also used as the medium of instruction for other subjects, as in bilingual programs. Without an adequate foundation in English, this can lead to difficulties in understanding the content of curricula and a loss of literacy in the national language, which is typically of more importance than literacy in English (Kirkpatrick, 2012). As Kirkpatrick (2012) vividly illustrates in the case of Malaysia, the seriousness of such concerns resulted in a rare instance of reversing an earlier policy of expanding subjects taught through English, and returning to more L1 medium classes at primary level. A similar concern is the rapid rise in CLIL and EMI, which appears to be based mainly on political priorities rather than established educational research and principles. The increase in such programs has far outstripped the available research and, while CLIL and EMI can be very effective educational approaches, without sufficient preparation and support the results are at best mixed (Hüttner, 2018; Macaro et al., 2018; Jenkins & Mauranen, 2019). Of particular interest to this chapter is how English in English language education policy and practice is conceptualized. As previously discussed, English use in Asia has its own characteristics and features, which are not the same as those in Anglophone settings, including nativized varieties of English and extensive use of English as a lingua franca. Most importantly, English use in Asia is typically in multilingual settings with other languages almost always present. This means that English must be understood as a variable resource adapted to local contexts and needs, for multilingual communication, often as part of translanguaging and transcultural communication processes (García & Li, 2014). However, this is a very different perspective to that normally adopted in English language policy and practice, which is still underpinned by a standard English language ideology that is also conflated with native speakerism (Houghton et al., 2018). Following this ideology, Anglophone varieties of English such as British and US English are viewed as the most prestigious and legitimate with other varieties and uses of English seen as less prestigious and even erroneous. This is reflected in teaching materials, which feature Anglophone varieties of English and contain extensive references to Anglophone cultures and norms regardless of relevance. Galloway (2018), for instance, in an overview of both international and locally produced ELT materials, including in Asia, noted that there was still a strong orientation to native English speakers in terms of norms and subject matter. This, as Galloway (2018) notes, fails to either reflect the diverse reality of English use or provide meaningful targets and models for learners who do not wish to become “native speakers” of the language. It is also seen in teaching practices where local teachers’ English use is often perceived as inferior to that of native English speaking (NES) teachers and the aim is to mimic the English of monolingual Anglophone speakers of English (Llurda, 2018), despite being largely unachievable and of questionable relevance to multilingual Asian contexts (Kirkpatrick, 2012). For example, an examination of the content of the National English Curriculum

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(NEC) in China revealed that despite claims to a more Global Englishes perspective, Anglophone cultural references and native speaker pronunciation norms remained, undermining local English teachers as potential role models (Liu & Fang, 2022). Linked to this, NES teachers are regarded as preferable and frequently receive higher salaries and greater job opportunities regardless of qualifications and experience (Mahboob & Golden, 2013). The growing use of standardized international tests of English (e.g., IELTS, TOEFL) for internal purposes, such as university entrance exams, is also of concern since these are based on Anglophone Englishes (Jenkins & Leung, 2019) and do not reflect the manner in which English is used in most Asian settings. Similarly, the influence of Euro-centric frameworks such as the CEFR (Common European Framework of Reference for Languages) on language policy in Asia is also problematic due to its lack of relevance to Asia. While the most recent version of the CEFR has taken greater account of multilingualism and intercultural communication, these aspects have not been translated into policy decisions in Asia (Savski, 2020). In sum, there currently appears to be a divergence between the multilingual and multicultural reality of English use in Asia and the monolingual, Anglophone ideology in English language education policy and practice.

Global Englishes Approaches to English Language Education Against this backdrop of increasingly diversified and fluid Englishes uses as a global lingua franca, there have been growing calls for alternative education approaches that move away from Anglophone NES ideologies. In the rest of this chapter, a number of perspectives are outlined that exemplify fluid, multilingual and intercultural approaches to English well suited to Asian settings. (There are considerably more approaches and perspectives to ELT, EMI and global Englishes than can be incorporated in a single chapter. We have, therefore, chosen those which we feel represent core features of global Englishes perspectives to pedagogy.) Yet, it is important to emphasize that there is no single approach that will be relevant in all settings and the suggestions given below are not intended as prescriptive methodologies to be strictly adhered to. Instead, they follow Kumaravadivelu’s (2001) postmethods approach that emphasizes the importance of context, teacher, and learner autonomy and agency in deciding how best to teach and learn. As such many of the features of the approaches below are not unique to global Englishes and can serve as general principles of appropriate language teaching. The first approach, which draws directly on post-methods, is Dewey’s (2012, 2015) post-normative approach. Dewey argues that it is crucial for ELT to move beyond teaching a narrow code based on the supposed norms of Anglophone native speakers, or any other single group of English speakers. In other words, we need to transcend a single method and set of norms in ELT to both post-methods and postnormative perspectives on teaching, learning, and language that recognize the sociolinguistic reality of global uses of ELF. This involves language teachers’ considering the contexts in which English will be used by the learners; giving learners increased exposure to the variable ways in which English is used globally;

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undertaking critical discussions on the place of English in globalization; introducing alternative models of English to NES forms and not “penalizing” diverse forms that are intelligible; and focusing more on communication and pragmatic strategies needed in intercultural communication (Dewey, 2012, pp. 163–166). Dewey advocates preservice and in-service teacher education as central in raising awareness of the “sociolinguistics of English, allowing teachers to better comprehend how language is always modified to fit local contextual uses” (2012, p. 167); thus, motivating and enabling them to incorporate ELF perspectives into their teaching practices. An approach that deals directly with the issue of awareness raising, is “ELF awareness” proposed as a way of integrating ELF, WE , and EIL (what we term global Englishes) into ELT (Bayyurt & Sifakis, 2015; Sifakis et al., 2018; Sifakis, 2019). It has the ambitious aim of including pedagogy, teacher education, materials development, and evaluation, policy, assessment, and testing (Sifakis, 2019). ELF awareness is defined as “the process of engaging with ELF research and developing one’s own understanding of the ways in which it can be integrated in one’s classroom context, through a continuous process of critical reflection, design, implementation and evaluation of instructional activities that reflect and localize one’s interpretation of the ELF construct” (Sifakis & Bayyurt, 2018, p. 459). Significantly, this approach does not attempt to teach ELF, since as a non-codifiable use of English there is no single version that can be taught. Rather it focuses on raising teachers’, learners’, and other ELT stakeholders’ awareness of ELF. This, as Sifakis (2019) believes, will result in a gradual transformation of attitudes as teachers become more aware of ELF and its implications for language teaching and use. This increased awareness enables teachers to make informed decisions about how to integrate ELF into their teaching context in locally relevant ways. Sifakis and Bayyurt are building up a significant body of research into how ELF awareness can be incorporated into teacher education (http://enrichproject.eu/ ) although this currently mainly focuses on Europe and has yet to be explored in detail in Asian settings. A recent perspective on ELT, EMI, ELF, and awareness that fully incorporates the multilingual aspects of global Englishes is “EMF (English as a multilingua franca) awareness” (Ishikawa, 2020, 2021; Baker & Ishikawa, 2021). Like the approaches described earlier, Ishikawa (2021) argues that ELT and EMI need to better recognize the use of English as a global language, rather than as an Anglophone one. However, in addition to the call for a more fluid perspective on English, Ishikawa (2021) underscores the multilingual, multimodal, and multicultural nature of global Englishes and the accompanying translingual, transmodal, and transcultural processes. Awareness is also considered in a wider manner than previous conceptions. It goes beyond a cognitive understanding of global Englishes, as proposed by Sifakis (2019), and aims to connect this conscious understanding to learners’ experiences and communicative practices in a positive feedback loop (Ishikawa, 2020, p. 3). In terms of pedagogy, there are two principles to an EMF approach Principle 1 (individual experience). Providing students with experiences of EMF scenarios. Principle 2 (collaborative reflection). Encouraging their critical thinking about language and culture in reference to their experiences and in reference to published research. (Baker & Ishikawa, 2021, p. 255)

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Although it may be challenging to provide students with EMF experiences, drawing on research in international universities in Japan, Ishikawa (2020, 2021) suggests a number of ways this may be possible through activities such as working on projects and modules with international students in the local environment or classes in collaboration with students abroad through digital connections (e.g., teletandem). Collaborative reflection can be achieved through classroom discussions, “mini-lectures” on ELF and other relevant research, as well as presentations and discussions based on students’ experiences (Ishikawa, 2020, 2021; Baker & Ishikawa, 2021). Global English Language Teaching (GELT) is an approach developed under the global Englishes perspective. GELT is an inclusive framework that includes WE, EIL, ELF , and translanguaging (Galloway, 2017). Here, English is positioned from a dynamic and fluid approach that goes beyond the NES ideology, thus challenges native-speakerism and the monolingual approach of ELT (Fang & Widodo, 2019; Rose & Galloway, 2019). The scope of GE extends any single lens of the abovementioned perspective to “incorporate many peripheral issues associated with the global use of English, such as globalization, linguistic imperialism, education, language policy, and planning” (Galloway & Rose, 2015, p. 224). Rose and Galloway (2019) propose six principles of GELT, including “increasing World Englishes and ELF exposure in language curricula”; “emphasizing respect for multilingualism in ELT”; “raising awareness of Global Englishes in ELT”; “raising awareness of ELF strategies in language curricula”; “emphasizing respect for diverse culture and identity in ELT”; and “changing English teacher hiring practices.” These six principles not only promote the inclusion of WE, ELF in ELT curricula and classroom practice from a multilingual perspective, but also involve GE awareness (as proposed by Sifakis, 2019 discussed above) and ELF strategies and cultural and identity diversity in this approach. The GELT approach has been applied in several contexts in Asia, for example, through introducing students to varieties of English in self-access activities at a Japanese university (Galloway & Rose, 2014), designing a course named “Introduction to English as a World Language” at a Chinese university to raise students’ awareness on GELT (Fang & Ren, 2018), implementing GE to cater for language learners’ realistic future language needs in Hong Kong (Chan, 2019), and reframing a GE-informed EMI instruction at a Japanese university (D’Angelo, 2019), to name a few. The issue of GE-informed teacher education has also been emphasized (Chen et al., 2021; Selvi & Yazan, 2021) to challenge the traditional mindset of the privilege of NES teachers in ELT. Another contemporary approach that is closely linked to GELT and EMF awareness is transcultural ELT (Baker & Ishikawa, 2021). Transcultural ELT begins from the position that learning and using an additional language is an intercultural process and this should be recognized in pedagogy. Like EMF awareness, transcultural ELT acknowledges the multilingual, multimodal, and multicultural resources and translanguaging, transmodal, and transcultural processes that ELF use, and advocates incorporating them into teaching practices. In relation to pedagogy this includes: approaching language learning and use as a process of continual adaptation rather

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than a product to be “acquired”; changing the inappropriate NES model to the intercultural speaker and intercultural citizen as the goal (see Byram et al., 2017; Baker & Fang, 2021); moving beyond NES monolingual-based communicative competence to incorporate the knowledge, skills, and attitudes needed for intercultural and transcultural communication through intercultural communicative competence (Byram, 2021) and awareness (Baker, 2015); introducing critical perspectives that challenge essentialist, nation-based discourses of “home” and “foreign” cultures and languages; including awareness of standard English language ideologies, multilingualism, and translanguaging; and offering opportunities for reflection and discussion of intercultural and transcultural experiences through global Englishes (Baker & Ishikawa, 2021). These features and how they contrast with more “traditional ELT” (Galloway & Rose, 2018) are summarized in Table 1. As stressed at the beginning of this section, how different aspects of theory and research inform ELT practices is best decided in local contexts according to the needs of teachers, students, and other stakeholders. Transcultural ELT is a new idea and further empirical studies are necessary to explore its relevance to different settings and a range of pedagogic purposes. Nonetheless, a number of the essential elements are already being investigated in relation to ELT, such as intercultural awareness (e.g., Abdzadeh & Baker, 2020; Baker, 2015; Humphreys & Baker, 2021), intercultural citizenship (e.g., Byram et al., 2017; Porto et al., 2018; Baker & Fang, 2021), global Englishes, and EMF awareness (as discussed above). Although the focus of the approaches above has been ELT, they are also relevant to EMI and CLIL educational. Most obviously, preparation and support for EMI and CLIL is typically conducted through ELT, including EAP and ESP classes. Table 1 Transcultural language education. (Adapted from Baker and Ishikawa (2021, p. 309)) Traditional English language teaching National-scale standard language ideologies with national language varieties associated with national cultural characterizations (typically UK and US)

Communicative competence with a focus on linguistic and grammatical competence of NES

NES models and goals Focus on a code consisting of linguistic products, such as a fixed range of grammar, vocabulary, and pronunciation features

Endonormative, Anglocentric methodologies, and approaches

Transcultural English language teaching A critical approach to language, culture, and identity that challenges dominant established discourses and recognizes the global role of English (e.g., English as a multilingua franca and global Englishes) for transcultural communication across and through borders Intercultural communicative competence (ICC) and awareness (ICA) including pragmatic competence and fostering positive attitudes to difference and “others” The intercultural speaker and intercultural citizen as models and goals Focus on processes of communication and adaptable use of communicative resources including awareness of multilingualism, multimodality, translanguaging, and transmodality (e.g., English as a multilingua franca (EMF) awareness) Teaching based on local contexts, knowledge, and cultures

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Incorporating elements from the approaches discussed previously will aid in preparing learners for the multilingual reality of EMI and CLIL. For students planning to undertake EMI abroad or join international programs in their home setting, the intercultural and transcultural elements are also crucial (see Fang & Baker, 2018; Baker & Fang, 2021). In all cases, the shift in perspective from Anglophone “standard” English ideologies, to recognition of multilingualism and ELF is likely to give learners more confidence in their own use of English. There are also important implications here for content lecturers too. Content lectures are not always confident in their use of English, although they may use various ELF strategies in lectures (Jiang et al., 2019) and even when they are, they would typically benefit from a greater awareness that the “E” in EMI is ELF not Anglophone English (Jenkins & Mauranen, 2019). It is also vital that lectures develop an understanding of EMI as a multilingual phenomenon involving processes of translanguaging, and in international settings, transcultural communication (Baker & Hüttner, 2019; Tsou & Baker, 2021). Moreover, these same issues apply to administrators and policy makers in how they present their programs, develop curriculum, and, crucially, their approach to English language examinations (Jenkins & Leung, 2019; Jenkins & Mauranen, 2019; Tsou & Baker, 2021).

Conclusion and Future Research As discussed throughout this chapter, English has long had an important role in Asia, and this has only grown in recent decades. This has been particularly true in education where English is typically the primary “foreign” language at all education levels. English is also increasingly used as a gatekeeper to higher education. Perhaps most significantly, has been the extension of English as a medium of instruction in bilingual, CLIL , and EM programs. Governments and their education policies often appear to unquestioningly assume that economic, political, and cultural benefits will result from this expansion of English. While the reality of global uses of English has turned out to be more diverse, multilingual, and multicultural than the monolingual, homogenizing fears of “linguistic imperialism,” there are still concerns about the way that English is approached in education. As argued here, much education policy and practice continues to adopt an ideology in which English is viewed as a monolingual language tied to the Anglophone world and cultures. As we attempt to decolonize our education systems, it is crucial that English is approached as a global lingua franca “owned” by all who use it for multilingual intercultural and transcultural communication. Without adopting such a dynamic perspective there is a danger that rather than English functioning as a language of empowerment, it remains tied to its colonial, Anglophone origins, thus, perpetuating existing power imbalances and potentially disempowering learners and users of English in Asia. In this chapter a number of approaches have been outlined, including in ELT, CLIL and EMI, which we believe have the potential to enable learners and users of English in Asia to view the language as part of their multilingual repertoire of communicative resources for communication in local, regional, and global settings.

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However, at present, research in Asian contexts is applied by a limited number of teachers/researchers mostly in east and southeast Asia – there is little research in South Asia and the Middle East (Fang & Widodo, 2019; Rose et al., 2021). Furthermore, the majority of research in Global Englishes orientated teaching practices has been carried out at the tertiary level and much more is needed in primary and secondary levels. Indeed, Global Englishes perspectives have not been widely adopted in Asian contexts due to the traditional fixed native-oriented language policies and assessments in compulsory education levels. ELT is still very much exam-oriented and there is a lack of Global Englishes informed textbooks and teaching materials even if teachers want to apply this approach. Therefore, further research is needed to explore the various bottom-up needs as well as the effectiveness of applying Global Englishes for the many stakeholders in different contexts in Asia and beyond.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Publication Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research Foci . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on Perceptions of EMI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on EMI Impacts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on EMI Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on EMI Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on EMI Challenges and Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on EMI Instructor Professional Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on the Roles of English and Other Languages in EMI . . . . . . . . . . . . . . . . . . . . . . . . . . . Research on Support Systems for EMI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges and Issues in EMI Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

The Asia-Pacific region has seen an exponential growth of English-medium instruction (EMI) over the past two decades or so. In response to the rapid spread of EMI, there is increased research attention to this form of pedagogy. This chapter seeks to explore the trends and foci of research on EMI in the AsiaPacific and offer useful implications for dealing with challenges and capitalizing on opportunities in EMI. Drawing on 133 journal articles retrieved systematically

J. Lei (*) Ningbo University, Ningbo, China e-mail: [email protected] G. Hu The Hong Kong Polytechnic University, Hong Kong SAR, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_23

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from the Web of Science, it shows that the literature on EMI in the Asia-Pacific region has grown rapidly over the past decade, covering a wide range of issues and concerns, including both well-trodden ones (e.g., stakeholder perceptions of EMI, EMI practices, and EMI impacts) and emerging ones (e.g., professional development for EMI instructors, roles of English and other languages in EMI, and support systems for EMI). It identifies three salient challenges reported in the literature, namely, misalignments between monolingual ideologies in EMI policies and multilingual realities in EMI practices, non-EMI/EMI transition either from high school to university contexts or in cross-border/transnational contexts, and the professional development of EMI instructors. This chapter concludes by summarizing insights derived from the extant research and outlining directions for future research. Keywords

English-medium instruction · EMI policies · Professional development · Translanguaging · Content learning · Language learning

Introduction English-medium instruction (EMI) is defined as “the use of the English language to teach academic subjects (other than English itself) in countries or jurisdictions where the first language of the majority of the population is not English” (Macaro, 2018, p. 19). Over the past two decades or so, EMI has grown exponentially across the world, especially in Europe and the Asia-Pacific (Dearden, 2015; Fenton-Smith et al., 2017). The literature has suggested a multitude of forces propelling the rapid expansion of EMI, such as perceived needs and motivations to internationalize higher education (De Costa et al., 2020; Macaro et al., 2018), boost institutional competitiveness in international league tables (Piller & Cho, 2013; Song, 2019), develop students’ English proficiency (Lei & Hu, 2014; Xie & Curle, 2020), enhance students’ job prospects and opportunities for studying abroad (Hu et al., 2014; Rose et al., 2019), and facilitate faculty members’ career development and mobility (Dafouz, 2018; Hu & Lei, 2014). In response to the rapid growth of EMI, there is increased research attention to this form of pedagogy. For example, the Asia-Pacific region alone has seen edited volumes and monographs on EMI in mainland China (Zhao & Dixon, 2017), Japan (Toh, 2016), Taiwan (Tsou & Kao, 2017), and the whole region (Fenton-Smith et al., 2017). In addition, one meta-analysis (Peng & Xie, 2021) and several systematic reviews (Coleman, 2006; Graham & Eslami, 2019; Macaro et al., 2018; Tong et al., 2020) have been conducted on EMI research. Tong et al.’s (2020) systematic review of studies published in both English and Chinese on bilingual instruction (aka EMI) in Chinese higher education found a dearth of evidence regarding its effectiveness. Similarly, in a systematic review of 83 studies on EMI in higher education across the

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world, Macaro et al. (2018) also identified inadequate evidence of the expected beneficial effects of EMI on language learning and the supposed nondetrimental effects on content learning. The authors attributed these inconclusive findings to “research methodology problems both at the micro and macro level” (Macaro et al., 2018, p. 36). The review also revealed that stakeholders tended to be concerned about the introduction and implementation of EMI. However, in their meta-analysis of 36 studies on EMI in the Chinese mainland context, Peng and Xie (2021) compared differences in content and language learning between EMI and Chinese medium instruction (CMI), and found that EMI students outperformed their CMI counterparts, though the effect on content learning was statistically significant only for students from medical disciplines. Against the backdrop of such inconsistent and even contradictory findings, this chapter seeks to explore trends and foci in EMI research in the Asia-Pacific region and offer useful implications for dealing with challenges and capitalizing on opportunities in EMI. To identify trends in EMI research in the Asia-Pacific, we searched the Web of Science, an authoritative and comprehensive indexing database of research publications, using the query strategy of “key terms” AND “country/ region.” The key terms included “English medium instruction” OR “Englishmedium instruction” OR “EMI” OR “English as a medium of instruction” OR “English as the medium of instruction.” The countries/regions included in the search were based on the Regional Groups of Member States from the United Nations (https://www.un.org/dgacm/en/content/regional-groups), with the addition of Hong Kong, Macau, Taiwan, Asia, and the Asia-Pacific. Hong Kong, Macau, and Taiwan were added to the search terms because their educational systems differ substantially from that of mainland China. Asia and the Asia-Pacific were included to retrieve publications that deal with the region as a whole. Only articles published in English were included, no time limits were set, and the search was completed in early September 2021. The initial search generated 492 hits. We first scanned the titles of these entries to check their relevance, which led to the removal of 290 entries. Then we read the abstracts and, if necessary, the full texts of the remaining 202 entries to filter out articles that do not deal with tertiary education or countries/regions in the Asia-Pacific. As a result, 133 articles were retained for subsequent analysis. We then explored the publication trends by tallying the included articles by country/region, year of publication, journal, type of research design, and research theme/topic, respectively. Following that, we read the full texts of the 133 articles to identify the research trends in the literature, paying particular attention to challenges reported in the literature and strategies that can be derived therein. We acknowledge that there may well be other important sources that have not been included in our analysis due to our focus on only journal articles in the Web of Science database. Nevertheless, we believe that a close reading of this rigorous body of literature could provide a glimpse into the trends in the EMI literature and offer useful implications for EMI in the Asia-Pacific region.

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Publication Trends The number of publications focusing on individual countries/regions reflects, among other things, the relative policy and research attention EMI has attracted as well as the extent to which EMI has been implemented in the higher education sector of these polities. Table 1 displays a summary of the literature by country/region. As can be seen from the table, 21 countries/regions were represented in the literature with 11 countries/regions having two or more publications. Five countries/regions had 10 or more publications, with mainland China garnering the highest number of publications, followed in order by South Korea, Taiwan, Japan, and Turkey. Ten countries each had one publication. Notably, there were three articles that dealt with the Asia or the Asia-Pacific region as a whole. Eight publications took a comparative approach and covered EMI in two or more countries/regions. Figure 1 presents the distribution of the articles by year of publication. As shown in the figure, the number of publications started to pick up in 2014 and remained below 10 articles per year till 2017. Then the number started to increase drastically in 2018, and the upward trend has continued ever since. As the data were last updated in early September 2021, it is very likely that the number of publications in 2021 will Table 1 Distribution of the publications by country/ region

Country/region Mainland China South Korea Taiwan Japan Turkey Hong Kong Bangladesh Vietnam United Arab Emirates Thailand Macau Indonesia Iraq Kazakhstan Lebanon Mongolia Nepal Pakistan Qatar Saudi Arabia Singapore Asia or Asia-Pacific Multiple countries/regions Total

Number 37 21 12 11 10 6 4 4 3 2 2 1 1 1 1 1 1 1 1 1 1 3 8 133

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Fig. 1 Distribution of the publications by year of publication Table 2 Distribution of the publications by journal No. of articles 11 8 6 5 4

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Journal name Journal of Multilingual and Multicultural Development; International Journal of Bilingual Education and Bilingualism Higher Education; System Journal of Asia TEFL English Today; RELC Journal Journal of English for Academic Purposes; Journal of Studies in International Education; Sustainability; Teaching in Higher Education; TESOL Quarterly Current Issues in Language Planning; Educational Studies; Higher Education Research & Development; Language Policy; Linguistics and Education; World Englishes Asia Pacific Journal of Education; English for Specific Purposes; Expert Systems with Applications; IRAL; Journal of Education for Teaching; Journal of Language, Identity and Education; Language and Intercultural Communication; Language Teaching Research; Lingua Not listed here

No. of journals 2 2 1 2 5

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surpass that in 2020. The sharp increases witnessed in the last four years suggest that EMI has gained considerably more traction and is likely to remain a hot educational issue in the next few years in the Asia-Pacific. Table 2 summarizes the number of articles by journal. As shown in the table, the 133 articles appeared in 50 journals. In total, 7 journals had 5 or more articles, 12 journals had 4 or more, 18 journals had 3 or more, and 27 journals had 2 or more. The remaining 23 journals each published one article on EMI. Although the articles appeared in a wide range of journals and each journal had an average of just more

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Fig. 2 Distribution of the publications by type of research design

than two articles, over half of the articles (74) were published in 12 journals. In particular, Journal of Multilingual and Multicultural Development and International Journal of Bilingual Education and Bilingualism each contributed 11 articles, followed by Higher Education and System both with 8 articles. The concentration of the publications in these journals is understandable because they specialize in either bilingual/multilingual education or (language) teaching/learning in higher education. Notably, the Journal of AsiaTEFL as a regionally based journal published six articles on EMI in the region. English Today and RELC Journal – another regionally based journal – each accounted for five articles on EMI in the AsiaPacific region. These journals were favored by researchers studying EMI in the region probably because they served predominantly an Asian-Pacific readership, for whom the EMI issues investigated were particularly relevant. Figure 2 displays the distribution of the articles by type of research design. The great majority of the articles (125 out of 133) reported empirical studies. This is an encouraging pattern because empirical research is needed to find out “how EMI impacts on language and subject learning, to what extent the optimistically envisioned goals of EMI have been achieved in the classroom, and how current EMI programs/ courses can be improved and made more effective” (Hu, 2021, p. 7). As for nonempirical studies, there was one meta-analysis (Peng & Xie, 2021), three systematic reviews (Graham & Eslami, 2019; Macaro et al., 2018; Tong et al., 2020), and four conceptual/opinion pieces (Aslan, 2018; Hu, 2019; Kedzierski, 2016; Yuan, 2020). Of the empirical studies, about 46% employed qualitative designs, one-third adopted quantitative designs, and approximately one-fifth employed a mixed-methods design.

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Perceptions

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Impacts

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Fig. 3 Distribution of the publications by theme/topic

The stronger presence of qualitative research was largely due to the popularity of small-scale case studies. While mixed-methods studies were in the minority, they were better equipped to combine particularity with generality and develop more nuanced and comprehensive understanding. Finally, Fig. 3 presents the distribution of the articles by theme/topic. Clearly, stakeholder perceptions of EMI, EMI practices, and EMI impacts received the greatest attention in the publications, each garnering 27–30 publications. EMI policies and challenges and strategies related to EMI also received considerable attention from the researchers. Apart from these relatively well-trodden topics in the literature, several emerging topics have garnered increased attention, including professional development for EMI instructors, roles of English and other languages in EMI, and support systems for EMI. It should be noted that because some studies examined more than one topic, there are inevitable overlaps in the above categorization. For example, although only two publications were devoted explicitly and primarily to support programs, a sizeable number of studies that dealt principally with other topics also touched on this topic (e.g., Dai & Wu, 2021; Kim et al., 2021b; Rakhshandehroo & Ivanova, 2020). In the next section, we present the research trends emerging for each of these topics.

Research Foci Research on Perceptions of EMI Research examining perceptions of EMI covered various issues, including students’ attitudes toward (Graham & Eslami, 2019; Kong & Wei, 2019), motivations for (Graham & Eslami, 2019; Hengsadeekul et al., 2014; Jon et al., 2014; Kong & Wei, 2019), and satisfaction with EMI (Lee & Davis, 2020; Rakhshandehroo & Ivanova, 2020), international students’ views on local non-native English-speaking (NNES)

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lecturers (Murdoch, 2019), local students’ and instructors’ perceptions of their engagement with international students (Han et al., 2020), instructor perspectives on EMI (Belhiah & Elhami, 2015; Kim et al., 2018), and resistance to EMI (Selvi, 2020; Tai & Tang, 2021). One noteworthy trend in this strand of research was the increased attention to international students (e.g., Botha, 2016; Chu et al., 2018; Han et al., 2020). Murdoch (2019), for example, investigated international students’ perceptions of English-medium courses taught by Korean NNES instructors at a university in South Korea, and found that although they expressed overall satisfaction with and enjoyment of the courses, the international students expressed a preference for non-Korean instructors because they felt that Korean instructors had problems understanding and answering their questions. In a similar vein, Rakhshandehroo and Ivanova (2020) investigated international graduate students’ satisfaction with EMI at two top Japanese universities. The study revealed general satisfaction with the EMI courses but dissatisfaction with the university support system, especially the monolingual and monocultural administrative infrastructure. In light of these findings, the study called for more systematic and formal support for international students in EMI programs at Japanese universities. Furthermore, Han et al. (2020) examined local students’ and instructors’ perceptions of their engagement with international students at three universities in mainland China and found that both the students and the instructors were dissatisfied with their engagement with international students. On the one hand, the students raised concerns about international students’ academic abilities, which they attributed to national or institutional enrolment policies and which, according to them, resulted in the dumbing down of the EMI courses. On the other hand, the instructors expressed concerns about international students’ learning attitudes, academic progress, and participation in class. These valuable findings notwithstanding, what seems to need more attention in this line of research is a comparison of international and local students’ perceptions and the distinct factors shaping their perceptions.

Research on EMI Impacts Research in this strand focused primarily on the effects of EMI on content learning (Alhamami, 2021; Curle et al., 2020; Lin & Lei, 2021), language learning (Abouzeid, 2021; Bowen & Nanni, 2021; Hu & Wu, 2020), and affective changes (Chou, 2018; Ding & Stapleton, 2016; Jang & Wood, 2019). Regarding language learning, researchers increasingly paid more attention to discipline-specific language proficiency in EMI (Xie & Curle, 2020) and its development (Zhang & PladevallBallester, 2021). Xie and Curle (2020), for example, found discipline-specific or content-related English proficiency to be the strongest predictor of students’ academic achievement in EMI. Zhang and Pladevall-Ballester (2021) investigated the effect of EMI on English proficiency in two EMI programs in mainland China and found significant improvements in discipline-specific proficiency but not in general

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English proficiency. The study indicated that higher prior English proficiency, more use of English, and more attention to language by the instructor tended to contribute to students’ greater improvements in discipline-specific English proficiency. Compared with research on language gains, research on content learning in EMI was still relatively scarce. Notably, however, several studies attempted to explore EMI success, which was defined in terms of not only content learning but also other outcomes, such as long-term career advancement (Rose et al., 2020). In particular, Xie and Curle (2020) investigated academic success in EMI at a university in China with a focus on students’ perceptions or understandings of success in EMI and factors influencing academic success in EMI. The study found that students associated success in EMI not only with content and language learning, but also with knowledge application and transformation, and formation of new modes of thinking. Moreover, this body of research showed that EMI success hinged not only on English proficiency, but also on academic skills (Lin & Lei, 2021), perceived teaching quality (Li, 2018), and preparatory course performance and self-efficacy (Thompson et al., 2022). As for affective changes, the reviewed research examined students’ autonomy, motivation, confidence, and identity construction. Ding and Stapleton (2016), for example, investigated how nine mainland Chinese first-year students developed their autonomy in learning and using English in their transitioning to the multilingual Hong Kong context. The study found that “the participants developed autonomy by changing their strategies for both learning and using English during their first year of study,” which was “mediated by the local multilingual context” (Ding & Stapleton, 2016, p. 12). In an investigation into the role of non-native English-speaking teachers (NNESTs) and native English-speaking teachers (NESTs) in improving South Korean university students’ motivation for English learning in the EMI context, Jang and Wood (2019) found that the class taught by the NNEST teacher had higher levels of confidence, interest, and extrinsic motivation than that taught by the NEST teacher after one semester, though their intrinsic motivation remained the same and the motivational changes were not found to have any direct effect on the students’ satisfaction with the course/class. Moving into new affective territories, Gu and Lee (2020) investigated nine students’ learner identity construction in an EMI program at a comprehensive university in mainland China and found that the students experienced uncertainty and ambivalence in their identity construction. Also focusing on identity but drawing on the Foucauldian ethico-political axes of self-formation, Song (2020) examined master’s students’ understandings and practices of critical selves as well as their influencing factors at an international EMI university in mainland China. The study revealed that the students understood their selves not from an Asian/Western essentialist perspective but from a constructivist perspective that saw critical selves as emergent and shaped by students’ life trajectories and the sociocultural contexts. Although much has been revealed about the impacts of EMI, there is still a need for more rigorous research on the effects of EMI on content learning and long-term educational and professional outcomes.

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Research on EMI Practices This line of research centered primarily on classroom interaction (Duran et al., 2022; Duran & Sert, 2019; Hu & Duan, 2019; Lin, 2018; Sahan, 2020), teaching practice (Chen et al., 2020), and learning experience (Wang et al., 2018). With regard to classroom interaction, Sahan (2020) examined teacher–student interactions in EMI engineering classes at a university in Turkey, and found that teachers and students placed greater emphasis on communicative efficiency than on monolingual native speaker norms. Jacknick and Duran (2021) explored teacher follow-up turns that introduced specialized terms to teachers-in-training in an EMI university in Turkey. The study showed how the teacher follow-up turns were utilized to introduce new terminology to the teachers-in-training and to “socialize them into thinking and talking like professionals, i.e., like teachers” (p. 1). Chen et al. (2020) analyzed the linguistic and pedagogical features of 20 Chinese university teachers’ EMI interactions at a mainland Chinese university. The study found that the teachers’ language use in EMI was characterized by Chinese influences and translanguaging practices, and that their pedagogical practices were more topic-centered than problem-centered. Notably, this body of research paid increasing attention to translanguaging in EMI (Ou & Gu, 2021; Ou et al., 2020; Song & Lin, 2020; Wang & Curdt-Christiansen, 2019). Wang and Curdt-Christiansen (2019), for example, explored the translanguaging practices of a bilingual program at a Chinese university and identified four types of translanguaging practices, including bilingual label quest, simultaneous code-mixing, cross-language recapping, and dual-language substantiation. The study also revealed that the national and institutional policies recognized bilingual education, which in turn spurred the translanguaging practices. The findings of the study raised questions about the monolingual conceptualization of EMI. Research focusing on learning experience examined cross-border/transnational experiences (Ou et al., 2020; Wang et al., 2018; Yao et al., 2022) and experiences of transitioning from high school to EMI at university (Aizawa & Rose, 2020; Evans & Morrison, 2018; Li & Ruan, 2015). As for cross-border/transnational experiences, Ou et al. (2020) zoomed in on intercultural communication among a group of multilingual students at an EMI transnational university in mainland China. Focusing on the students’ repertoires, language beliefs and spatial relations in their moment-to-moment interaction, the study revealed that the students perceived and engaged in interaction as a translanguaging act and that their communicative practices and language development deviated from the monolithic and monolingual EMI policy. Regarding transition from high school to EMI at university, Aizawa and Rose (2020) addressed challenges faced by Japanese students and reported that students having attended English-language classes conducted through English in Japanesemedium high schools had a greater English academic vocabulary and met fewer language-related challenges in university-level EMI than those having studied English through Japanese. Despite these insights into EMI practices, there is still a long way to go in our efforts to fully understand EMI practices and to theorize the

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intertwining of L1 and English in translanguaging practices, and the complex interplay between language and content learning.

Research on EMI Policies This strand of research dealt principally with stakeholders’ views on EMI policies and gaps between policy envisions and ground realities (Aizawa & Rose, 2019; Hu & Lei, 2014; Hu et al., 2014). Research taking a language policy perspective found that English and EMI were generally perceived to be beneficial to individuals’ academic study and career development, institutions’ reputation, ranking and revenues, and nations’ economic development (Bradford, 2016; Evans & Morrison, 2018; Karim et al., 2021; Rahman & Singh, 2020). However, there were also reservations about and even resistance to EMI policies. For example, in an examination of an undergraduate EMI business program at a university in Taiwan, Huang (2018) found that most students resisted the EMI curriculum, pedagogy, and context, which they deemed rather unhelpful. Their resistance was attributed to the “nonchallenging and non-relevant content” (p. 441) of the curriculum, the influence of the Confucian Heritage Culture on learning, and a combination of unconducive contextual factors (e.g., instructors’ suboptimal English proficiency, large class sizes, and limited peer interactions). Similarly, in a questionnaire-based survey of the effects of EMI policy on undergraduate computer science programs in Saudi Arabian public universities, Alhamami (2021) found a misalignment between faculty and student attitudes toward EMI. While the instructors held generally positive attitudes toward EMI, the students reported their preference to learn in Arabic. In a study of the implementation of EMI policies at a Japanese university, Aizawa and Rose (2019) also found gaps between envisioned policies at the meso level and enacted policies at the ground or micro level. Notably, several studies (Hu & Lei, 2014; Hu et al., 2014; Yuan & Li, 2021; Zhang, 2018) drew on Spolsky’s tripartite language policy framework to examine ideologies, practices, and management measures related to EMI and possible gaps between envisioned policies and enacted practices. For example, Hu et al. (2014) explored the implementation of EMI policy at a university in mainland China and uncovered discrepancies between language beliefs, language practices in the classroom, and support measures. One particularly noteworthy finding is that “institutional measures intended to enhance the quality of English-medium instruction were found to function as gate-keepers of access to English and potential benefits accruing from English proficiency” (Hu et al., 2014, p. 21). Also drawing on Spolsky’s framework, Zhang (2018) examined striking features of China’s EMI policies and the challenges in implementing them. The study found that the EMI policies were intended to help both outbound Chinese students and inbound international students, which was characteristic of bidirectional internationalization of higher education. The study, however, also revealed two main problems with China’s EMI policies, namely, the insufficiency of EMI courses/programs and the great imbalance of inbound international and outbound Chinese students. These issues, along with

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other potential repercussions of EMI policies, definitely warrant closer scrutiny and further research.

Research on EMI Challenges and Strategies The reviewed research identified a multitude of challenges in EMI from both student and lecturer perspectives, including language difficulties, increased teaching and learning workload, extra time required to prepare lectures, and additional time needed for studying (He & Chiang, 2016; Hu et al., 2014; Kamasak et al., 2021). Kamasak et al. (2021), for instance, examined the linguistic challenges faced by students at an EMI university in Turkey and showed that the students found writing and speaking most challenging among the four macrolanguage skills and that the challenges faced by them differed in relation to their academic discipline, L1 background, and prior EMI experience. In particular, recent research also noted the challenge of not sharing L1s with international students faced by local students and instructors. He and Chiang (2016), for example, investigated 60 international students’ challenges in EMI at a major university in southern China and reported that the students found their Chinese instructors’ teaching styles and practices problematic, and ascribed their language difficulties to their instructors. Furthermore, there was some evidence that instructors may not be fully aware of their students’ linguistic challenges or adequately equipped with EMI instructional strategies (Abouzeid, 2021; Alhamami, 2021). Abouzeid (2021), for example, examined four psychology professors’ perceptions of the challenges faced by their EMI students in academic writing and the extent to which their perceptions aligned with the challenges present in students’ actual written work. The professors perceived three major challenges in their Lebanese students’ English academic writing: “lexico-grammatical structure and accuracy, interference of another language and a lack of specialized terminology” (Abouzeid, 2021, p. 55). While alignment was found between the first and third perceived challenges, there was no evidence of cross-linguistic interference in the written work. Apart from frequently documented language difficulties faced by EMI students and instructors, several studies (Bradford, 2016; Leong, 2017) examined other challenges encountered in the processes of implementing EMI. Bradford (2016), for example, examined the implementation challenges faced by three Japanese higher education institutions in their adoption of EMI and proposed a typology of such challenges that consisted of linguistic, cultural, administrative and managerial, and institutional ones. Similarly, Leong (2017) explored micro actors’ efforts to implement EMI at four Japanese universities and the factors that undermined their efforts. The study identified several efforts made by the actors, including managing the English program, designing a placement test, and dealing with top-level management, among others. The study also found that the actors’ implementation efforts were primarily constrained by unavailability of qualified teachers, students’ inadequate English proficiency and motivation in learning the language, and a less than desirable sociolinguistic environment for English learning. Compared with insights

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into challenges related to EMI, the extant research has revealed much less about strategies adopted by various stakeholders to address the challenges.

Research on EMI Instructor Professional Development The extant research explored professional development from EMI instructors’ perspectives (Kim et al., 2021a; Macaro et al., 2020; Macaro & Han, 2020), the practices and effectiveness of individual professional development programs (Chen & Peng, 2019; Lee & Lee, 2018), and the impact of interdisciplinary collaboration on EMI instructors’ professional development (Lu, 2020). As an example, Macaro and Han (2020) examined Chinese university instructors’ perspectives on competencies, certification, and professional development for EMI. The study found that while the instructors were generally positive about certification and professional development for EMI, few institutions embraced these ideas, let alone implemented them. The study also pointed to the importance of government and institutional involvement in implementing EMI professional development and certification. In contrast, in a study of EMI professional development for Korean professors in the science and engineering schools of three Korean universities, Kim, Kweon, et al. (2021a) found generally negative attitudes toward EMI-related professional development programs. These negative views were attributed primarily to institutional policies that prioritized research over teaching. The study also revealed that most of the 117 surveyed faculty members had not participated in any EMI-related professional development. Lee and Lee (2018) described and evaluated an English-for-specific-purpose program geared toward graduate students’ professional and English needs in an EMI context in South Korea. The study revealed that the students faced challenges and had unmet needs in advanced academic and professional communication. The study also showed that the students found the program helpful in addressing those needs and expected more sessions tailored to their particular needs. Similarly, Chen and Peng (2019) examined a professional development program for EMI teachers at a mainland Chinese university. The study reported that the program enhanced their understanding of the nature of EMI and its role in content learning, and that the trainer provided a supportive learning community through modeling, microteaching, and feedback. As a whole, the participants reported improvements in their selfefficacy. In addition, Lu (2020) examined the impact of interdisciplinary teacher collaboration on EMI teachers’ professional development at a private university in Taiwan. The study found that interdisciplinary teacher collaboration not only led to content teachers’ more positive attitudes toward EMI but also supported their effective use of the instructional language and language teaching strategies. Several studies also tried to identify the EMI competencies that professional development should aim to cultivate and enhance. The study by Macaro and Han (2020), mentioned above, proposed that professional development programs for EMI teachers should target at least four broad types of competencies: national context competencies, internationally transferable competencies, generic language

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and teaching skills, and discipline-specific language and teaching skills. Similarly, Yuan (2020) drew on his teaching and research experience as an EMI teacher educator to critically analyze the emotional, pedagogical, and social barriers faced by university EMI instructors in China. Based on the analysis, he proposed an EMI teacher development framework that focused on the fostering of EMI teachers’ sense of ownership of English as a lingua franca, language skills for classroom instruction, and discipline-specific pedagogical competencies in a community of practice. The proposed framework was expected “to cognitively, socially and emotionally prepare and develop EMI teachers to meet university students’ complex learning needs in different subjects” (Yuan, 2020, p. 317). There is obviously a need for more research on EMI instructor professional development, especially the pre- and in-service cultivation of the requisite competencies for effective EMI.

Research on the Roles of English and Other Languages in EMI Although the use of students’ first language (L1) goes against the English-only tenet often assumed in EMI policies, this strand of research showed that EMI lecturers and students tended to hold positive attitudes toward L1 use in EMI because it could facilitate content teaching/learning and alleviate language difficulties faced by lecturers and students (Graham et al., 2021; Kim et al., 2018; Kim & Tatar, 2017). As an illustration, Graham et al. (2021) investigated the attitudes toward the use of Arabic in EMI held by 57 engineering students on an international branch campus in Qatar. The study found that the students held a positive attitude toward the use of Arabic and preferred to have English as a medium rather than the sole medium of instruction. However, EMI lecturers’ attitudes become more complex when there are cross-border/international students in their classes as the use of L1 may exclude or alienate them. Gardner and Lau (2019), for example, investigated the roles of English perceived by Hong Kong and mainland Chinese students in their institutional experience at an English-medium university in Hong Kong. The study found that while both groups of students saw English as an academic lingua franca, there were diverse views regarding the role of English as a social lingua franca, showing a disconnect between academic and social lingua francas in their institutional experience and its potential repercussions on cross-border students’ full integration into institutional life and their sense of social inclusivity/exclusivity. Likewise, Kim and Tatar (2017) examined nonnative-English-speaking professors’ perceptions of an EMI policy and the roles of the local language in EMI at a South Korean university, and found that the local language played an important role in the professors’ social interaction, instruction, and time management, which were connected to their identities as instructors and researchers situated in the local context. Notably, several studies (e.g., Baker & Huttner, 2017; Bezborodova & Radjabzade, 2021) applied Dafouz and Smit’s (2016) ROADMAPPING framework to explore the roles of English and other languages. In this framework, while RO and AD refer to Roles of English in relation to other languages and Academic Disciplines, M, A, PP, and ING refer to (language) Management, Agents, Practices

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and Processes, and Internationalization and Glocalization, respectively. Focusing on the RO in three EMI programs in Thailand, Austria, and the United Kingdom, Baker and Huttner (2017) demonstrated that while English was adopted and accepted as the dominant discipline-specific lingua franca in the classroom, multilingualism was prevalent outside the classroom in all sites. The study also revealed that participants in different contexts held different views about whether and to what extent English should be a goal of learning alongside content learning: participants in Thailand saw English learning as an additional goal, but their counterparts in Austria considered content learning to be the sole desideratum. In addition, Bezborodova and Radjabzade (2021) inquired into the roles of English in higher education institutions in the Kyrgyz Republic, Tajikistan, and Uzbekistan, finding that English played a variety of societal, institutional, pedagogical, and communicational roles in these contexts. Although the ROADMAPPING framework and related research have shed much light on the roles of L1 and English, more research and theorizing are needed to better understand how L1 and English can be leveraged synergistically in EMI.

Research on Support Systems for EMI As noted above, only two articles (i.e., Chang et al., 2017; Galloway & Ruegg, 2020) focused explicitly and primarily on support systems for EMI. However, a sizeable body of the reviewed research touched on this topic, highlighting the dearth of support available (McKinley et al., 2021; Rakhshandehroo & Ivanova, 2020) and calling for more measures of assistance (Dai & Wu, 2021; Kim et al., 2021b). McKinley et al. (2021) compared policymaking concerning admissions requirements, language support, and language use for EMI between two transnational universities and six other universities in mainland China. They uncovered both commonalities and differences between the transnational and local universities. The stakeholders at both transnational and local universities believed that despite the English-only policy Chinese could be used in EMI. However, while the transnational universities provided preparatory language courses during the foundation year to help students transition to EMI, the local universities relied mostly on the national entrance exam to ensure that students had adequate English proficiency for EMI. Of the research focusing predominantly on support systems for EMI, Chang et al. (2017) reported on the development and evaluation of an EMI language support program, coming to the conclusion that a tailor-made language support program could alleviate language challenges faced by students taking EMI courses in the South Korean context. In an analysis of language and academic skills support in Japanese and Chinese EMI contexts, Galloway and Ruegg (2020) found “a range of support on offer,” which “varie[d] in nature, availability, duration, and content” (p. 11). EAP and content instructors were found to differ in attitudes toward the provision of support and lack cross-disciplinary collaboration therein. Furthermore, the study also revealed “differences in attitudes, and needs, of international and domestic students” (Galloway & Ruegg, 2020, p. 12). Galloway and Ruegg (2020)

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also grappled with the question of whether content experts or language specialists should be put in charge of providing language support for students. These findings highlighted the necessity of providing context-specific support tailored to students’ particular needs. Given that support systems for EMI have been treated only tangentially in the literature, there is a clear and urgent need to investigate them more systematically.

Challenges and Issues in EMI Research One prominent challenge documented in the literature concerns misalignments between monolingual ideologies in EMI policies and multilingual realities in EMI practices. Doubt has been cast on monolingual EMI policies, whose prescriptions both ignored and contradicted the local linguistic reality and the actual practice on the ground (Graham et al., 2021). Specifically, there were concerns about the specifications of EMI policies, particularly with regard to the use of students’ mother tongue and/or translanguaging (Galloway et al., 2020). On the one hand, L1 was frequently reported to be useful in assisting and facilitating content delivery and content learning (Hu & Lei, 2014; Lei & Hu, 2014). On the other hand, the use of students’ mother tongue and translanguaging would go against the English-only assumption in EMI policies. Moreover, there is also the issue of international students who do not understand home students’ mother tongue. EMI should not be conceptualized as a monolingual endeavor. Research on classroom interaction tended to lend support to the use of L1 and translanguaging (Galloway et al., 2020). Therefore, the misalignment of policy and reality created a dilemma for university administrators and policymakers. As Graham et al. (2021) pointed out, while encouraging translanguaging may isolate students and hamper intercultural communication, ignoring the multilingual reality and implementing a monolingual EMI may undermine local languages and cultures, perpetuating the hegemonic power of English and Western culture. Another salient challenge emerging from the literature relates to transitioning from non-EMI to EMI, either from high school to university contexts or in crossborder/transnational contexts. The research we have reviewed showed that although English was designated as the academic lingua franca in the EMI context, it had not only academic but also societal, institutional, pedagogical, and communicational roles (Bezborodova & Radjabzade, 2021; Gardner & Lau, 2019). In addition to difficulties with English as an academic lingua franca, EMI students, especially cross-border and international students, could also encounter challenges due to the lack or weak presence of a social lingua franca (Gardner & Lau, 2019). This disconnect may lead to the isolation and exclusion of cross-border and international students. Therefore, it raises concerns about institutional policies that promulgate English as the medium of instruction but neglect the multilingual reality and the complex roles played by English and other languages in the EMI context. Research has suggested that the use of L1 and/or translanguaging (Wang et al., 2018; Yu et al., 2021), taking some courses in L1 (Curle et al., 2020), and provision of language

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support (Aizawa et al., 2020) could help alleviate language difficulties faced by students. A third acute challenge increasingly discussed in the literature has to do with the professional development of EMI instructors. The most pressing concern stemmed from the paucity of professional development programs and the small number of EMI instructors having received any professional development. Macaro et al. (2020) also observed that to make professional development successful it would be imperative to have a clear understanding of EMI teaching competencies and incentivize EMI instructors to undertake professional development (perhaps through certification or other types of official recognition). Researchers (e.g., Macaro et al., 2020; Yuan, 2020) have attempted to conceptualize EMI instructional competencies. Yuan (2020), for example, proposed a framework aimed at fostering ownership of English as a global language, developing effective classroom language in EMI classrooms, developing discipline-specific pedagogical competence in EMI teaching, and creating a community of practice focused on EMI teaching.

Conclusion This chapter began with an observation of the growing presence of EMI in the AsiaPacific and the rest of the world, and the accompanying surge of EMI research. Analysis of the publication trends indicates that research on EMI in the Asia-Pacific has grown exponentially over the last five years or so and that it has focused on both well-trodden and emerging issues and concerns. In particular, of the well-trodden issues, stakeholder perceptions of EMI, EMI practices, and EMI impacts have garnered the greatest research attention, followed by EMI policies, and challenges and strategies related to EMI. Issues that have received increasing attention in the literature include professional development for EMI instructors, roles of English and other languages in EMI, and support systems for EMI. Several insights can be derived from the critical reading and analysis of the literature. To begin with, while the extant research foci reveal the continued research attention to EMI, the emerging research foci point to the continuing evolvement of both EMI practice and research. In addition, the extant research reviewed in this chapter has challenged a monolithic view of English as the academic lingua franca and recognized its multitude of roles in the Asia-Pacific contexts. Collectively, it has pointed to the need to acknowledge the multilingual reality and called for a reconceptualization of EMI policies and practices. Moreover, the reviewed research has underscored the need to formalize and strengthen tailored support for both students and faculty members, including the development of language support programs and the offering of professional development program for faculty members. In particular, more support should be provided to assist students’ transition from non-EMI in high schools to EMI in universities. Finally, the reviewed research has also revealed that we are just beginning to understand what EMI teaching competencies are prerequisites for effective EMI in the diverse Asia-Pacific contexts.

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These insights notwithstanding, there are still issues that warrant further research. First, as discussed above, misalignments between monolingual ideologies in EMI policies and multilingual realities in EMI practices have been noted as a challenge in many EMI contexts. This raises the questions of what roles students’ first languages may play in EMI classrooms and how to theorize the relationship between first languages and English. Relatedly, this would be even more complex in programs that adopt languages other than or along with English as a medium of instruction. Second, regarding the switch from non-EMI to EMI, it would be imperative to investigate factors that may facilitate or inhibit learners’ (and lecturers’) transition as well as factors that may affect interculturality in EMI contexts that involve crossborder and international students. Finally, as for the professional development of EMI lecturers, we should continue to explore how EMI teaching competence can be more effectively fostered and what can be done to better support EMI instructors.

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Task-Based Language Teaching (TBLT) in Japanese EFL Contexts

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Paul J. Moore

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . English Language Learning and Teaching in Japan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Task-Based Language Teaching (TBLT) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research into TBLT in Japan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Recent Developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TBLT and the Multilingual Turn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Technology-Mediation and TBLT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Issues in the Implementation of TBLT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

As with many countries across Asia, the English language is seen as an essential feature of globalization policy in Japan. The Japanese government has sought to promote communicative approaches to language teaching throughout its education system, in an effort to improve its citizens’ English language proficiency. Task-based language teaching (TBLT) is a principled approach to second language teaching, strongly linked with international theory and research into second language acquisition (SLA). This chapter explores successes and challenges in researching and implementing TBLT in Japanese contexts, from macro-level policy to micro-level classroom teaching. Japan has long been a center for innovative research into SLA, and more recently TBLT, with emerging research contributing to new knowledge related to the role of learners’ linguistic resources in developing EFL skills and in the mediational roles of emerging technologies. At the policy level, a major challenge is breaking from an examination-focused educational culture. In addition, a shift in approaches to classroom practice is P. J. Moore (*) School of Languages and Cultures, The University of Queensland, Brisbane, QLD, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_151

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called for, from a strong focus on the development of explicit linguistic knowledge, to the development of language-for-use. Acknowledging such educational cultural challenges, recent proposals include the need for a modular approach, involving classroom development of explicit linguistic knowledge in tandem with the development of language skills which reflect language use in the “real world” outside the classroom. It is concluded that, while explicit and implicit approaches to SLA may be incompatible theoretically, the successful implementation of TBLT is dependent on a recognition of the educational and cultural realities of classroom contexts in Japan. Keywords

Task-based language teaching · TBLT · Task-supported language teaching · TSLT · Japan · EFL

Introduction Task-based language teaching (TBLT) is a principled approach to second and foreign language teaching which is commonly seen as an extension of communicative language teaching (CLT). It is underpinned by an experiential educational philosophy, where learners learn to communicate in a foreign language through purposeful interaction (Samuda & Bygate, 2008). Like CLT and the teaching of English-as-amedium-of-instruction (EMI), TBLT has increased in popularity across Asia, as the governments of various countries have embraced globalization agendas, with the recognition of English as an international language (Tollefson, 2015). Macro-level decisions to “borrow” or adopt educational policies or practices, however, are often constrained by existing educational and cultural practices at the macro- (national policy), meso- (institutional), or the micro-level of classroom practice (Butler, 2011, 2021; Okuda, 2019). This chapter explores the implementation and adaptation of TBLT in the context of English-as-a-foreign-language in Japan. After a brief introduction of the context, a definition of task is presented along with two major theoretical approaches to TBLT – cognitive interactionist (e.g., Long, 2015) and sociocultural (e.g., Lantolf & Thorne, 2006) perspectives. Following this, the chapter presents a review of research in Japanese contexts over the past two decades, highlighting major research areas and the challenges in implementing TBLT in Japanese EFL classrooms. The chapter concludes by outlining recent developments and future research directions in the field and outlining how borrowed TBLT methodologies might be best adapted for Japanese EFL contexts.

English Language Learning and Teaching in Japan While the history of language teaching can be traced back over millennia (Curtis, 2017), Japan itself has a long history in terms of modern English language teaching (Howatt & Widdowson, 2004), more recently informed by national government

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discourses of internationalization and globalization, with the hope of developing gurōbaru jinzai, or global human resources to drive Japan’s economy forward (Kubota, 2019; Moore, 2017). Nonetheless, English language proficiency among the general population proves elusive, with Japan recently rated as “low” and “declining” in comparison with other Asian countries (Hashimoto & Glasgow, 2021, p. 33). Despite several attempts by the Japanese government – via its Ministry of Education, Culture, Sports, Science and Technology (MEXT) – to promote communicative English language curricula in primary, secondary, and tertiary education, grammar-translation teaching methods and a traditional examination-oriented system have proven resistant (Hashimoto & Glasgow, 2021).

Task-Based Language Teaching (TBLT) TBLT is an approach to language teaching and language teaching research which uses task (defined below) as the unit of analysis, as opposed to grammatical items, for example, which remain the basic units for many language learning textbooks (Ellis, 2018; Long & Crookes, 1992). TBLT grew out of CLT, particularly in reaction to more traditional approaches which were/are strongly focused on the presentation of discrete grammatical items, functions, or lexis. In an early article, Long & Crookes (1992) argued for a non-interventionist, analytical approach to language learning, rather than synthetic approaches based on teaching discrete items. Long & Crookes’ (1992) “strong” version of TBLT has raised issues in Asian EFL contexts which, as noted above, are traditionally driven by grammar-based syllabuses and examination-oriented educational cultures (Adams & Newton, 2009; Carless, 2004; Littlewood, 2007, 2014). Taking such contextual features into account, various researchers have presented weak variations of TBLT, including task-supported and task-referenced language teaching (e.g., Bygate, 2020; Samuda & Bygate, 2008). Definitions of “task” in the research literature range from broad, everyday interpretations, to specific, technical interpretations. From a broad perspective, a task has been defined as any purposeful activity in which people might engage in the course of their daily lives, including the classroom (Long, 2015; Ellis et al., 2020; inter alia), or “an activity in which a person engages in order to attain an objective, and which necessitates the use of language” (Van den Branden, 2006, p. 4). At the specific end of the spectrum, Long (2015) provides a list of specific attributes of a task, based on the distinction between real-world, or target, tasks and pedagogic tasks, or “the activities and materials that teachers and/or students work on in the classroom or other instructional environment” (Long, 2015, p. 6). The main condition informing the development of pedagogic tasks is that, while they cannot retain the situational authenticity of real-world tasks, they should retain interactional authenticity, drawing on real-world language use (Ellis et al. 2020, p. 12). Several attempts have been made to review the many available interpretations of “task” and draw together the defining features of a task in TBLT (e.g., Ellis, 2003; Samuda & Bygate, 2008; Skehan, 1998; Van den Branden, 2006). First, an important distinction has been made between “task-as-workplan,” the task rubric as designed

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and implemented by a teacher or researcher, and “task-in-process,” which refers to the contextualized activity that arises when learners engage in tasks (Breen, 1987, 1989; see also Moore, 2018). This distinction underscores two major approaches to second language acquisition (SLA) and TBLT, with cognitive interactionist perspectives foregrounding task design features and implementation conditions, and sociocultural/ecological perspectives foregrounding the roles of learner agency and contextualized activity in language learning outcomes (Moore, 2018). Across perspectives, there is general agreement that a task-as-workplan, as distinguished from any other language learning exercise (Lambert, 2018), includes the following four characteristics (see also Ellis, 2003, 2018; Ellis & Shintani, 2014; Moore, 2018; Samuda & Bygate, 2008): A task involves a primary focus on meaning Tasks are designed for learning through meaning-focused communication (Samuda & Bygate, 2008). In contrast with grammatical syllabuses and popular PPP (present, practice, produce) communicative lessons, which involve a focus on pre-determined grammatical forms, a focus on form is often incorporated through corrective feedback during task-based interaction (though see Ellis, 2019, discussed below). A task involves some kind of gap Communication is required to resolve an information, reasoning, or opinion gap between or among learners. A task requires learners to rely mainly on their own resources Rather than presenting learners with forms to be drawn on during tasks, learners are required to draw on their existing linguistic and non-linguistic resources in performing tasks. A task has a stated communicative outcome Regardless of underlying language development, the aims of a task should include a communicative end-point: “for example, a story, a list of differences, etc.” (Ellis, 2003, p. 8). As can be seen above, TBLT has extended communicative language teaching (CLT), by providing a clearly defined unit of analysis for both teaching and research: the task. Research into TBLT conducted in Japan has been at the forefront of theoretical and pedagogical developments, from both sociocultural and cognitive interactionist theoretical perspectives. It has also revealed challenges resulting from tensions between innovative national language policy and existing educational systems and practices.

Research into TBLT in Japan The popularity and promotion of TBLT in Japan have led to several avenues of research, which have not only benefited classroom practitioners but also contributed to development in current knowledge in the field of SLA, as evidenced by

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contributions to the longstanding TBLT in Asia conference (https://www.tblsig.org/) and related publications. As noted above, research into language policy (e.g., Butler, 2021; Hashimoto & Glasgow, 2021) has highlighted the tenuous relationship between macro-level policy and micro-level classroom practice, and the complex and dynamic political, social, cultural, and economic conditions that mediate the implementation of policy. For example, the Ministry of Education, Culture, Sports, Science and Technology (MEXT) unsuccessfully attempted to reform the university entrance examination system to include the testing of communicative language skills, in an effort to refocus English language curricula at all levels of education. Hashimoto & Glasgow (2021) outline several educational, historical, and cultural barriers which have made it “difficult to dislodge” (p. 41) the current examination system and its influence on English language education. Nonetheless, research into TBLT has been conducted at all levels of education in Japan, including elementary (e.g., Butler, 2019; Shintani, 2016) and secondary (e.g., Ishii, 2009), with a high concentration at the tertiary level (e.g., Fotos & Ellis, 1991; Harris & Leeming, 2021; Moore, 2012; Watanabe, 2019). Research has also focused on the four major traditional skills in language teaching: vocabulary and reading (e.g., Butler, 2019; Gorsuch & Taguchi, 2010; Uchihara & Harada, 2018), listening (Cross, 2010), writing (Fogal, 2017), and speaking (Mennim, 2012). Much task-based research from a cognitive interactionist perspective, into the task-as-workplan, aims to identify the influence of task characteristics and implementation conditions on the complexity, accuracy, lexis, and fluency (CALF, e.g., Skehan, 2016) of learners’ language production. Task characteristics include such attributes as whether the task is one-way or two-way (+/ interaction requirement), the level of complexity, or the task mode. Implementation conditions include whether or not planning is allowed or whether or not there are opportunities for task repetition. In short, this research is based on the premise that second language acquisition is facilitated by the negotiation of meaning that occurs in interaction where learners are pushed to either process new or modified linguistic input (Long, 1996) or produce new or modified linguistic output (Swain, 1995; Suzuki & Itagaki, 2015). In the strong version of TBLT, a focus on linguistic form as it arises incidentally in interaction is seen to be more effective than the pre-determined focus on linguistic forms that occur in the so-called traditional textbooks and classrooms (Long, 2015). However, Ellis (2018, inter alia) has long argued that a structural grammar-based syllabus can sit beside a task-based syllabus and that input-based, grammatical “consciousness-raising” tasks can complement the productive tasks outlined by Long (2015). In other words, the development of discrete, explicit linguistic knowledge can support the development of implicit, automatically available linguistic resources for second language use and learning. Ellis’s perspectives in this regard are in part based on his own experience living and researching in Japan (Ellis, 2016). Given the debate surrounding focus on form vs. focus on forms, prominent research into the task-as-workplan has compared TBLT with structural PPP approaches. Shintani (2016), for example, found that elementary learners benefited more from input-based tasks, than from PPP, both in terms of instructional processes

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(e.g., contextualized input, opportunities for self-correction) and learning outcomes (e.g., expanded productive vocabulary, incidental grammatical acquisition). At the university level, Harris & Leeming (2021) found that both approaches led to improved speaking proficiency and that students actually preferred the pre-task explicit instruction in PPP, though this was linked to short-term benefits in task completion, as opposed to long-term benefits in second language proficiency. Other research into focus on form provided support for the corrective feedback that learners can provide each other in task-based interaction. For example, when Fujii & Mackey’s (2009) university-level learners engaged in corrective feedback, this did result in modified output. The study also provided contextualized insights into why Japanese learners may be hesitant to correct each other’s language production, including avoidance of potential face-threatening situations, or a preference for feedback from teachers rather than peers. It has also been found that learners need to recognize implicit feedback (recasts) as corrective feedback for it to be effective (Egi, 2010) and that training Japanese learners in providing corrective feedback can make such feedback more common and more effective (Sato & Lyster, 2007). Research into task implementation conditions, specifically task planning and task repetition (itself a form of planning; Ellis, 2018), has also been a feature of Japanbased research into the task-as-workplan. With regard to task planning, such research has found that guided planning based on a pre-taught structure can be effective in eliciting that structure in task performance (Mochizuki & Ortega, 2008); that allowing planning time before speaking tasks can lead to more syntactically complex, but less fluent, language production (Sasayama & Izumi, 2012); and that planning before paired oral test tasks can actually have a negative impact on testtakers’ performance in terms of interactional competence (Nitta & Nakatsuhara, 2014). Nitta & Nakatsuhara (2014) analyzed the task-based interaction of Japanese university students during paired decision-making tasks, under planned and unplanned conditions. The tasks were designed to test interactional abilities, including sustaining interaction, (dis)agreeing, suggesting, and reaching a decision through negotiation. Drawing on conversation analysis of the interaction data, they found that test-takers in the planning condition produced longer utterances, engaged less with their interlocutors, and that their utterances “resembled a series of monologues, often connected with the mechanical use of “How about you?”” (p. 166). With regard to task repetition, research in Japan has found that collaborative oral task repetition with an interlocutor from a different linguacultural background can generate more, and more complex, negotiation of linguistic form than with someone from the same background (Aubrey, 2018); that collaborative self-transcription and editing of a spoken task performance can enhance learners ability to negotiate form and notice and correct errors (Mennim, 2012); and that speaking task performance changes in terms of increased speech rate and decreased pausing and self-repairs across (six) repetitions (Lambert et al., 2017). Much research from a sociocultural perspective, into the task-in-process, aims to identify opportunities for (collaborative) learning in task-based interaction, with a strong focus on the roles of learner agency and social context in mediating learning. Sociocultural theory (SCT) began with Vygotsky’s (1978) contention that individual

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learning first develops in social interaction, and his concepts of mediation and regulation in the zone of proximal development, which became the basis of Leontiev’s (1981), and later Engeström’s (1993), development of activity theory. In SLA, the work of Jim Lantolf (e.g., Lantolf & Thorne, 2006) and Merrill Swain (e.g., Watanabe & Swain, 2007) and their colleagues has inspired much task-based SCT research in Japan. Drawing on Storch’s (e.g., 2002) influential work into patterns of interaction which may promote learning opportunities within collaborative dialogue, Watanabe (2019) found that university-level Japanese EFL learners working in collaborative pairs were more effective than non-collaborative pairs in providing each other learning opportunities during writing tasks. Evidence for such effectiveness comes from analysis of languaging episodes, with languaging defined as “the process of making meaning and shaping knowledge and experience through language” (Swain, 2006, p. 98). Similar findings have been made with research into speaking tasks (Moore, 2012; Mennim, 2012). Studies into task repetition have also been undertaken from a sociocultural perspective in Japan (e.g., Shintani, 2018; Kobayashi & Kobayashi, 2018), drawing on Coughlan & Duff’s (1994) assertion that the task-in-process is always different, even if the task is repeated. Kobayashi & Kobayashi (2018), for example, found that undergraduate English language learners drew on varying affordances during repeated speaking (poster carousel) tasks, in order to improve their performance each time. Some learners actively engaged with their audience to elicit feedback, while others took a more risk-averse approach to rehearsal, with the former learners successfully “revoicing” their presentations, based on audience feedback, including corrective feedback. Less research in Japan has focused on sociocultural approaches to classroom teaching, (i.e., concept-based instruction – CBI; Neguerela & Lantolf, 2006) or assessment (i.e., dynamic assessment, Poehner, 2008). In simple terms, both approaches involve staged inductive scaffolding of learners’ understanding of a new concept or the use of a concept in task performance. In one notable example of CBI research, Fogal (2015) used CBI to teach authorial voice construction to Japanese students in preparation for the TOEFL iBT independent writing task. While the approach was successful in both the use of authorial voice and learners’ overall writing performance, Fogal warns that the development of CBI materials is not straightforward, and teachers may need training and support in implementing this approach – much like TBLT itself.

Recent Developments TBLT and the Multilingual Turn CLT and TBLT have been historically aligned with the use of “English only” in the second and foreign language classroom (Moore, 2013), as has EFL policy in Japan (Glasgow, 2018). The multilingual turn in SLA (e.g., Douglas Fir Group, 2016)

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represents a theoretical, political, ideological, and pedagogical move away from this position, with “translanguaging” approaches seen as a strong alternative pedagogy (Garcia & Li, 2014). Researchers and educators familiar with EFL contexts have argued that it is rare for teachers to “still believe in the target-language-only myth” (Curtis, 2017, p. 7) and that translingual practices have long been a feature of EFL classrooms. Recent research into such translingual practices has investigated the purposes and contexts in which L1 Japanese might support L2 development (Moore, 2013, 2017); the role of L1 in pre-task planning (Lambert et al., 2021) and inputbased tasks (Shintani, 2016); and the status of non-native English-speaking teachers (NNESTs) in Japan (Glasgow, 2018). Lambert et al. (2021) found that Japanese tertiary level learners in rehearsal for monologic speaking tasks benefited from using their L1 and L2 in different ways – the L1 supported learners in conceptualizing the content of their task performance, whereas L2 rehearsal supported learners in online formulation of their utterances during performance. Pedagogically, they argue that these findings provide support for incorporating both L1 and L2 in pre-task planning. Moore (2017) found that Japanese university students working on a collaborative oral presentation task drew on their L1 for several social and cognitive purposes, including signalling engagement with each other’s utterances, negotiating meaning and form, and managing structure and content development. Learners also noted that their use of L1 was influenced by university language policy, as well as their perceptions of their own and their interlocutors’ L2 proficiency. Finally, Glasgow’s (2018) research into MEXT’s proposal to “teach English in English” compared the perspectives of native and non-native English teachers’ on team teaching in high school EFL classes. Glasgow found, unsurprisingly, that L1 use was inevitable, but also that the macro-level policy potentially reduced native Japanese teachers to the stereotypical role of “interpreters,” and native speakers to the role of input providers, or “human tape recorders” (p. 212). Based on the research into translanguaging and TBLT – notwithstanding the ongoing influence of the so-called “English only” policies – Seals et al. (2021) conclude that “it seems evident that translanguaging and TBLT are not as far apart as they first may seem, and in fact have quite a lot in common” (p. 282). As can be seen above, a growing number of TBLT studies from cognitive interactionist as well as sociocultural perspectives reflect this position.

Technology-Mediation and TBLT Research into technology-mediated TBLT in Japan has long been a feature of innovation in computer-assisted language learning (CALL), with broader CALL research dating back to work by Kenji and Kathleen Kitao (e.g., Kitao & Kitao, 2001) and Tom Robb (e.g., Robb, 2006). More recent research has been conducted into digital gaming (Butler, 2019), extended reality (XR, combining virtual reality [VR] and augmented reality [AR]; e.g., Bonner & Reinders, 2018; Moore et al., 2019), and blended approaches to language learning (Hinkelman, 2018). These studies have redefined the term “classroom” and led to a strong focus on the development of learner autonomy and lifelong learning. With a focus on primary

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school learners (ages 11–12), Butler (2019) investigated the influence of a digital game design task on learner’s classroom experience and learning. Based on the students’ evaluation of each group’s design, the research project team developed one of the games for students in a lower grade to play. Butler found that the task had a positive effect on learner motivation and engagement and enabled learners to collaboratively reflect on “what it means to learn a foreign language” (p. 86). Younger learners who played the digital vocabulary game designed by the students also responded positively, with the majority stating that it was both enjoyable and effective in helping them learn the target vocabulary items. Based on ongoing research in a Japan university, Bonner & Reinders (2018) report on the affordances of AR and VR for EFL, outlining several practical tasks for language learning. Moore et al. (2019) investigated Japanese EFL learners’ experience of Google Translate (GT), including its camera-enabled AR capabilities, during common language learning speaking (giving directions) and writing tasks (prompted descriptive writing). While it was found that learners had, at times, misplaced trust in the accuracy and appropriacy of GT output, they found GT useful and enjoyable, but at times frustrating. It was concluded that teacher input is needed to mitigate any potential mislearning of GT output and that it is important to include critical awareness-raising of the affordances of this technology. Finally, Hinkelman (2018) provides a detailed exploration of blended TBLT, drawing on his own case study research into the implementation of such an approach at two universities in Japan (Hinkelman & Gruba, 2012). Based on this research, Hinkelman outlines how a range of technologies are drawn on as background tools to enable task-based processes at each stage of a language learning task, from the provision of recorded lecture input to the synchronous development of multimedia texts. This also involves the use of a learning management system to track learners’ online interactions and progress and a blurring of physical and online spaces commonly associated with the “flipped” classroom. The recent developments in TBLT outlined in this section highlight the fact that Japan is in tune with broader international developments in SLA theory and classroom methodology, including those related to the recent social and multilingual turns in SLA theory. Research into computer-assisted language learning in Japan also reflects the changing nature of the language-learning classroom, as the integration of current and emerging technologies leads to the normalization of blended learning, and the incorporation of tasks which go beyond the physical and methodological boundaries of traditional classrooms.

Issues in the Implementation of TBLT Several researchers have written about challenges to implementing CLT and TBLT across Asia, including in Japan – some positive (e.g., Harris & Leeming, 2021; Shintani, 2016), some more measured (Adams & Newton, 2009; Carless, 2012), and

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others more critical (e.g., Swan, 2005). Butler (2011), in an often-cited article, identified three areas which can lead to difficulties in implementing TBLT: conceptual, classroom-level, and societal-institutional level constraints. Conceptual constraints relate to the fact that some of the educational principles inherent in TBLT may not represent cultural values in Japan or in Japanese educational cultures. The strong focus on oral communication in TBLT, for example, requires a shift in attitudes regarding how classroom practice should unfold. A related concern is that there may be misconceptions about the aims and implementation of TBLT – an understandable concern given the fact that there are different approaches to TBLT in the literature. Classroom constraints relate to the lack of human and material resources, large class sizes, and limited contact hours. Finally, as mentioned earlier, societal-institutional constraints relate to the broader policy context. While the national government has attempted to implement more communicative, task-based curricula, this will prove difficult as long as there is resistance to removing the ingrained examination system (Hashimoto & Glasgow, 2021). Several researchers (e.g., Butler, 2011; Curtis, 2017; Ellis, 2018) have argued in line with Carless (2012) that what is needed is “a situated task-based approach in which culture, setting and teachers’ existing beliefs and practices interact with the principles of TBLT” (p. 7). Rather than abandoning TBLT for a weaker, task-supported approach to language teaching, Ellis (2018, 2019) puts forward a modular approach, with separate, but related structural and task-based components to develop learners’ explicit and implicit language knowledge and skills.

Conclusion This chapter has provided an up-to-date account of policy, theory, research, and practice with regard to the implementation of task-based language teaching in EFL in Japan. Perhaps because of the linguistic and cultural distance between Japanese and English-speaking cultures, Japan has long been an important context for the development of SLA theory, research, and teaching practice. The chapter has highlighted the tensions between policy makers, broader society, institutions, and practitioners in bringing about the shared goal of improving the English language proficiency of its citizens, as part of its globalization efforts. TBLT research in Japan has made contributions to the broader field of SLA, with recent research into multilingual and technology-mediated TBLT aligned with emerging international theoretical perspectives on language learning. This research continues to help researchers inside and outside Japan develop an understanding of how strong task-based, weaker tasksupported, or compromising modular approaches to TBLT might best be implemented. Barriers to implementation of TBLT, like any curricular innovation, remain. A strong theme in the research into TBLT in Japan is the centrality of context (Curtis, 2017) – an elusive concept which has not always been a focus of research into SLA. In this regard, Ellis et al. (2020) pose (and respond to) the following question:

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To what extent should the choice of teaching approach be determined by psycholinguistic or cultural factors? To a very considerable extent the advocacy of TBLT has been based on the former. Opposition to TBLT has been based on the need to acknowledge the cultural realities of classroom life. (p. 24)

Taking this and other contextual features reported into this chapter into account, future research into TBLT in Japan is expected to continue to contribute to the field of SLA in three major lines of research: research replication and substantiation; expanding contexts of implementation across primary, secondary, and tertiary education; and further establishing links between emerging technologies and learner engagement. First, in line with the trend toward replication, or substantiation, studies in applied linguistics research over the past decade (Al-Hoorie et al., 2021), it is expected that studies like those above would be conducted across different contexts, in order to validate findings and enhancing the quality of inferences that can be made from the growing cumulative knowledge base. Such an approach requires more research to be conducted in primary and secondary contexts. Second, this cumulative approach to research validation across multiple and varied sites is, in Al-Hoorie et al.’s (2021) words, expected to offer “contextual, social, and cultural insights” (p. 11), which may assist teachers across primary, secondary, and tertiary contexts to successfully incorporate tasks into their existing curricula. Third, research into technological mediation in Japan is expected to contribute to research and pedagogical innovations, especially in the areas of extended reality, gamification, and learner engagement. Finally, with regard to language policy and pedagogy, research presented in this chapter suggests that the success of TBLT in Japan rests on a modular approach to understanding, as well as implementing, TBLT.

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Key Issues and Challenges Danping Wang and Alice Chik

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Conceptual Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Demographic Shifts: Expanding Communities, Diverse Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chinese as a Trade Language: Strong Policy, Weak Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . Statistics of Chinese-Language Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Colonial Legacy and Geopolitical Tensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Future Research Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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This chapter provides macro-level insights into the key issues and challenges in the development of Chinese-language education in two English-speaking countries in the Asia-Pacific region. With the massive demographic shifts since the 1990s, residents of Chinese heritage have become one of the largest and fastestgrowing non-Indigenous ethnic groups in New Zealand and Australia. Within the first two decades of the twenty-first century, China has grown rapidly into the largest Asia-Pacific economy and the largest trade partner for the two Anglophone countries in the region. Due to China’s increasing economic influence, the Australian and New Zealand governments have repeatedly identified Chinese as key for building regional strategic cooperation and one of the most important languages for school students to learn. Despite increases in population and potential impacts in the region, Chinese remains a medium-sized program in D. Wang (*) The University of Auckland, Auckland, New Zealand e-mail: [email protected] A. Chik Macquarie University, Sydney, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_33

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most educational institutions in the two oceanic countries. Informed by the notion of the transdisciplinary framework, this chapter discusses the macro-level factors that promote or impede the development of Chinese-language programs in the two countries. It concludes that Chinese-language learning will continue to be a side story to larger ideological and geopolitical interests that have shaped Anglocentric views of language learning. Future research should take a decolonial perspective to transform Chinese-language education in the Asia Pacific. Keywords

Chinese-language education · Migration · Trade · Demographic shifts · Decoloniality

Introduction Many educators and researchers know New Zealand and Australia as faraway oceanic countries in the Southern Hemisphere. Although geographically located in the Asia-Pacific, the two Anglophone countries showed little interest in regional issues concerning Asia for many decades (Johnson & Moloughney, 2006). Throughout their economic and political interactions, New Zealand and Australia had concentrated on their long-standing allies, the United Kingdom and the United States, without including any Asian countries or finding it necessary to provide government funding for any Asian-language programs (Singh, 1995). Since the 1990s, the world economy has changed drastically. In particular, the resurgence of China’s economy has prompted New Zealand and Australia to turn toward Asia. The two oceanic countries now regard themselves as an integral part of the Asia-Pacific region. Both nations have also become members of the Asia-Pacific Economic Cooperation forum and many other regional trade organizations to strengthen their economic ties with prosperous Asia-Pacific countries and maintain their geopolitical dominance in the region. China is the largest economy (by Gross Domestic Product) and the largest country by size and population in the Asia-Pacific region. In the past decade or so, China has become Australia’s (since 2009) and New Zealand’s (since 2017) largest trading partner, surpassing their long-term English-speaking trade partners. More than a decade has passed since Lo Bianco (2011) first described how the Chinese language is the “gigantic up-and-comer” in school curricula in English-speaking countries. He also predicted that “Chinese will assume the status of second or third foreign language and in some Anglophone settings as the first foreign language” (Lo Bianco, 2011, p. xxi). Though the past decade has indeed seen a sudden surge of Chinese-language programs in New Zealand and Australia for the first time in history, to date, Chinese remains a medium-sized language program in the muchanticipated “Chinese century” (Lo Bianco, 2011, p. xxiii). According to Orton (2016b), the dropout rate in Chinese programs has been alarmingly high, leaving Chinese as the smallest of the foreign-language programs in Australia. In

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New Zealand, Wang (2021b) found that although Chinese was fast-growing, it is still far less popular than French, Spanish, and Japanese. What is more concerning is the disappearing of tertiary programs majoring in Chinese due to budget cuts in language and culture teaching (Martín et al., 2016). Compared with two decades ago, many universities have fewer students taking Chinese-language courses and less than 10 students studying a Chinese major a year. It is obvious that this disappointing phenomenon belies what De Swaan (2004) asserted regarding the driving forces behind the choice of languages taught in schools. He argued that the choice of which language to teach is governed by the operation of marketplaces rather than either sentiment or any notion of rights. However, Chinese seems to be in a unique position due to its complex involvement with factors such as “realpolitik, sentiment and rights, all come together” (Lo Bianco, 2011, p. xxiii). It is imperative to find out the major driving forces pushing the Chinese language to grow rapidly and or holding it back from developing into a more significant language in the two Anglophone countries in the Asia-Pacific region. The purpose of this chapter is to provide insight into why Chinese remains a medium-sized language despite its rapid population growth and potential impacts on the region. In the following sections, we will first introduce the conceptual framework we used to approach the question that we intend to answer in this chapter and then focus on unpacking the key issues and challenges in developing Chineselanguage education in the two English-speaking countries. The similarities and differences between the two nations’ approaches to Chinese-language education in the past three decades (1990–2020) will also be highlighted. Finally, we will conclude the chapter by providing recommendations for future research into Chinese-language education in New Zealand and Australia.

The Conceptual Framework This chapter is informed by the notion of the transdisciplinary framework (Douglas Fir Group, 2016), proposed by a group of scholars in the field of applied linguistics to guide key stakeholders in the field to conceptualize their research on language teaching and learning as a complex, dynamic, and holistic system. This framework supports our efforts to show that additional language education is shaped and confined by multilevel factors at the micro, meso, and macro levels. Studies of Chinese-language education have centered on micro- and meso-level research, while a macro-level analysis seems to be marginalized in the field. For decades, there has been a general lack of interest in or understanding of macropractice among research students and researchers as they are only trained to carry out micro- and meso-level research. For example, at the micro-linguistic level, existing studies believe that the linguistic difference is the most formidable challenge for students in achieving advanced Chinese proficiency compared with studying a European language (Kane, 2006). These studies have repeatedly shown that Chinese is one of the most difficult languages for English-speaking students to learn. At the meso level of research, plenty of studies have been done to show there exist

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considerable differences between Chinese and Western ways of language teaching and educational philosophies (McDonald, 2011; Moloney & Xu, 2015a; Scrimgeour, 2014; East, 2018). Another line of meso-level research focuses on exploring new approaches to “localize” (Singh & Nguyễn, 2018), “modernize” (Moloney & Xu, 2015a, b), and “internationalize” (Wang et al., 2013) Chineselanguage teaching. Following this, many studies have been done to investigate Chinese teachers’ intercultural understanding, professional beliefs, and professional knowledge (Kennedy, 2020; Moloney & Wang, 2016; Sun, 2012) and their understanding of learners’ needs (Moloney & Saltmarsh, 2016; Orton & Scrimgeour, 2019), as well as their pedagogical adaptions to the local Australian and New Zealand context (Wang, 2018). While so many efforts have been made, no significant changes have occurred, and Chinese programs remain difficult to maintain in these two oceanic countries. We believe that there has been a lack of research to foster a “big picture” perspective that considers analyses educational issues “outside the box” (Reisch, 2017) and greater recognition of complex issues surrounding Chinese-language education. Recent studies show that various macro factors surrounding Chinese-language education have developed into a powerful influence on school policies, classroom teaching, and individual teachers and students. For instance, evidence shows that Chinese-language teaching seems to become more politicized when Australia and New Zealand’s geopolitical tensions with China increase (Weinmann et al., 2020; Wang, 2022). In public discourse, Chinese teaching has been misrepresented as a political agenda disseminating Chinese government propaganda. Deep suspicion of the fast-growing Chinese-language programs has permeated local English-language media (Wang, 2022; Weinmann et al., 2021), similar to what Duff et al. (2015) found in other Anglophone countries such as the United States, the United Kingdom, and Canada. Sometimes, Chinese teachers are perceived as spies with the intention of brainwashing local students through Chinese lessons (Wang, 2022). Recent years have seen more studies starting to pay attention to the journalistic reporting of Chinese learning and its powerful impacts on shaping public opinions about learning Chinese. Such news reporting has repeatedly indicated that Chinese migrants and international Chinese students are the “problems” complicating Chinese-language teaching. There are widespread perceptions of Chinese courses as entailing inequity and unfair treatment of students with and without Chinese backgrounds (Weinmann et al., 2020). However, most criticisms like these have ignored the increasingly large size of the Chinese communities in the two countries and students’ hugely diverse learning needs. Due to the media’s impact, it is not difficult to understand why limited efforts have been made to criticize “the failure of policy and curricula to adequately cater to these students and the skills they possess” (Lo Bianco & Slaughter, 2016, p. 309). In this chapter, we adopt an integrated and holistic perspective in understanding the complexity of language education in the context of multilingualism, globalization, and increasing geopolitical tensions among the world’s major superpowers (Leung & Valdés, 2019). We hope this chapter will deepen the profession’s understanding of the broader and more complex macro-level factors often ignored or taken

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for granted in previous research. Using a critical lens to examine the macro-level factors driving the development of Chinese-language education will provide us with a deeper understanding or an alternative perspective to find the root problems behind the issues and challenges faced by Chinese-language program leaders and teachers. Based on our experiences of living, teaching, and researching in New Zealand and Australia, we hope to provide some insiders’ insights to foster a critical awareness not only of the pedagogical matters in the classroom but also of the “dynamic and evolving role their actions play in shaping their own and others’ worlds” outside the classroom (Douglas Fir Group, 2016, p. 25). In doing so, we will draw on a range of public data such as population censuses, migration statistics, enrollment statistics, and our own experiences of teaching and researching Chinese-language education in the two contexts.

Demographic Shifts: Expanding Communities, Diverse Needs New Zealand and Australia are major Chinese immigrant-receiving countries in the Asia-Pacific region. Because of massive demographic shifts since the 1990s due to immigration policy changes, residents of Chinese heritage have become one of the largest and fastest-growing non-Indigenous ethnic groups in New Zealand and Australia only within the span of a few decades. New Zealand implemented a new immigration law from 1987 through 1988. This law has since drastically changed the source of countries for migration, shifting for the first time away from the United Kingdom and Ireland to Asia, especially China and India (Spoonley, 2020). Take Auckland, New Zealand’s largest city, as an example. In 1991, just 5% of Auckland’s residents were identified as belonging to Asian ethnicity. This proportion grew to reach 28% in 2018. By 2038, Asian people will constitute 35% of Auckland’s total population. Such rapid growth is anticipated to continue to bring vibrancy and diversity to the country. New Zealand’s population reached 5 million in 2020. The recent population census (Statistics of New Zealand, 2019) shows that the European ethnic group accounted for 70.2%, still the largest by a significant margin. The next largest ethnic group was Māori, the Indigenous people of New Zealand, representing 16.5% of the population. The Asian ethnic group remained the third largest ethnic group, which made up 15.1% of the total population. Within the Asian group, Chinese (4.9%) has replaced Indian (4.7%) to become the largest Asian group. In the 2018 Census, Chinese has become the largest non-Indigenous ethnic group in New Zealand. Yet, this fact is rarely considered an important factor in Chinese-language education research. In New Zealand, two-thirds of Chinese immigrants live in Auckland, which has made Mandarin one of the most widely spoken languages in that city. The People’s Republic of China (2.9%) has become the second-largest birthplace for New Zealand, following England (4.5%). In Australia, the recent population census showed that 1.23 million were of Chinese heritage, accounting for 5.2% of the total population. This was a continuous increase from 4.0% in 2011, 3.4% in 2006, and 3.0% in 2001. Among those who

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claimed Chinese ancestry, the China-born population made up the largest proportion. China-born people are more likely to reside in metropolitan areas, with 46% living in New South Wales and 31.5% living in Victoria. They mostly arrived in Australia between 2012 and 2016 and were under 34 years old. These demographic characteristics mean that many China-born people will have young families, and many will have aspirations of fostering and maintaining Chinese-language skills in their children. In the 2016 Australian census, Mandarin has become the second most commonly spoken language after English, with Cantonese ranking third. A total of 596,713 Australian residents spoke Mandarin at home, and 280,947 spoke Cantonese. In total, 500,469 Australians speak a dialect of Chinese, such as Cantonese, Hokkien, or Shanghainese. Transnational migration has been widely recognized as a remarkable feature among new Chinese migrants from the People’s Republic of China in New Zealand and Australia. Guo (2022) found that new Chinese immigrants in the two countries are more transnational than all the older generations who migrated to the two countries for economic and political reasons (Guo, 2022). China’s resurgence as a superpower in the Asia-Pacific region has significantly shifted world migration patterns and created a large group of frequent flyers with strong communicative skills in both English and Chinese. The economic advancement of China not only increases its emigration flow but also draws its diasporic population back home and engenders more bilateral and even multilateral movements between China and different places in and outside the Asia-Pacific region. However, their cultural and linguistic skills have not made them more valuable in the job market despite being proficient in both languages. Compared with other skilled transnational migrants in these two countries, Chinese migrants are often marginalized or discriminated against for various reasons (Dovchin & Dryden, 2022). Another demographic factor affecting the development of Chinese teaching relates to its complex nature in addressing the unique needs of different groups of learners. Unlike Japanese and European languages, Chinese teaching has to balance and address “the multiple presences of Chinese as a language of heritage, a community language and a foreign language” (Lo Bianco, 2011, p. xvii). East (2018) also believes that the huge diversity in students’ learning needs and aspirations has created dilemmas for Chinese teaching. The three domains are distinct in educational goals, learning materials, teaching approaches, assessment designs, etc. Because of the “multiple presences,” Chinese communities often found themselves unable to avoid questions such as which spoken and written form to learn, where and when to learn, to what degree the literacy skills should be maintained, and what Chinese culture is desirable, and so forth. It is unrealistic to expect any education organization to provide a highly individualized curriculum and rich resources to address such astonishing diversity in the student body. As Liu and Lo Bianco (2007) lamented, “For Chinese, it has always been problematic” (p. 98). We also noted that Chinese parents in New Zealand and Australia seem to prefer private tutoring and Chinese lessons in community schools (Akoorie et al., 2011) rather than pushing local schools and universities to allocate resources for providing bilingual/immersion programs for heritage speakers. Compared to the widespread enthusiasm for

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immersion programs in schools for students with heritage backgrounds in the States (Wang, 2020), we find no similar community demands in New Zealand or Australia.

Chinese as a Trade Language: Strong Policy, Weak Implementation By and large, the introduction of Chinese in New Zealand and Australia’s school curricula is the result of a utilitarian logic or a reductionist economic rationale in language education policymaking (Orton, 1995; Salter, 2015; Scrimgeour, 2015; Wang, 2021b). Both New Zealand and Australia are typical trade-dependent economies. For the two advanced capitalist countries, trade volumes play a driving force in determining which language to offer in mainstream education with regard to training their future workforce for the national interest. New Zealand has been actively exploring a respectful and comprehensive strategic partnership with China since the beginning of the new century (New Zealand Ministry of Foreign Affairs and Trade, 2012; Liu, 2018). In 2008, New Zealand became the first developed country with a Western liberal democratic system to engage in a free trade agreement with China. In 2014, it became the first developed country to join China’s Belt and Road Initiative and establish a relationship with the Asia Infrastructure Bank. In the same year, China and New Zealand signed a strategic partnership agreement. However, traditionally, New Zealand’s international affairs were mostly conducted in the Anglophone world, where English has been a shared language since the country was founded in the 1840s. New Zealand China Council (2014) noted with caution that “for the first time in our history, New Zealand is dependent on a non-English speaking country for our long-term economic wellbeing.” It also shows that New Zealand’s leaders are acutely aware of its lack of Chinese capacity. The former Executive Director of the New Zealand China Council, Patrick English, pointed out that “while our economic engagement with China is strong, our deeper cultural engagement is less so. In particular, our level of Chinese language acquisition is low in light of our growing export, tourism and education connections” (New Zealand China Council, 2014, p. 2). His remarks in the government report have clearly shown that the recent emergence of Chinese-language learning is closely linked to China playing a significant role in New Zealand’s economy. Chinese was not a popular language for New Zealand schools until China emerged as an economic superpower in the recent decade (New Zealand Ministry of Foreign Affairs and Trade, 2012). In the last five years in Australia, trade with China has exceeded that with its European and American partners combined. Recognizing the importance of Asia to the Australian economy, earlier Australian governments, with then Prime Ministers Julia Gillard and Kevin Rudd, pushed for the priority teaching of Asian languages (Chinese, Korean, Japanese, and Indonesian) from the early 2010s. At the same time, the implementation of Asian Literacy in the Australian Curriculum meant that all Australian children would be learning about Asia in the classroom. The Gillard Government proposed that by 2025 all children would have educational access to the

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four primary Asian languages when they graduated from secondary school (Parliament of Australia, 2012). In a relatively short time, key Asian languages came from the margins of educational provision to become the most widely taught second languages at all levels of education, replacing the historical dominance of European languages, with Australia recording the highest levels of Japanese teaching of any country in the world. However, in recent years, the Morrison Government has put a strain on the relationship with China, leading to an uncertain future for the Chinese-language education sector. Both New Zealand and Australian governments have highlighted Chineselanguage proficiency as a key literacy skill for school children to acquire and important for fostering regional strategic collaboration with China. The policy agenda to use language solutions to maintain regional hegemony has been problematized by scholars as a “neoliberal and neocolonial construct” (Salter, 2013, p. 3). As can be seen, the new passion for Mandarin learning is more embraced as a ramification of the dominance of an economic rationale in mainstream educational policy agenda. Despite this strong policy, implementation has been weak. Compared to the generous financial support for Chinese-language teaching in the United Kingdom (e.g. The Mandarin Excellence Programme) and the United States (e.g., The Language Flagship, STARTALK), there is no major government funding allocated by either of the two governments for Chinese-language teaching. Although Chinese has been repeatedly identified as one of the most important languages for school students to learn, no special attention is given to Chinese teaching accordingly. Especially in the classroom, we find that teachers and students often struggle with limited resources and learning opportunities due to a lack of funding. As a result, despite both countries’ high-profile attempts to promote Chinese-language learning, the provision and uptake of Chinese fall far short of China’s economic influence on the two nations.

Statistics of Chinese-Language Programs In the first two decades of the twenty-first century, both New Zealand and Australia have seen a significant increase in student enrollment in Chinese-language programs. Most Chinese programs in schools and universities were established during this period. Nonetheless, this growth appears to have stagnated in recent years. New Zealand had only 2013 students enrolled in a Chinese program in schools in 2000. This enrollment number increased 35 times to over 70,000 by the end of 2019 (Wang, 2021b). According to East (2018), the number of primary schools offering a Chinese program increased six times from 56 to 345 between 2008 and 2017. In 2007, New Zealand had 6303 students studying Chinese in schools, whereas, in 2017, this number increased to 70,733 (Education Counts, 2021a). It included 64,874 primary and intermediate school students and 5859 secondary school students, which accounted for 8.8% of total school students in New Zealand in 2017 (Education Counts, 2021b). Figure 1 compares the growth rate of popular language programs such as French, Japanese, and Spanish with Chinese between 2005 and

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Fig. 1 New Zealand secondary students learning a foreign language. (Image created by the New Zealand China Council, 2022)

2021 in secondary schools (New Zealand China Council, 2022), showing that Chinese is growing rather slowly, far behind the number that study French, Japanese or Spanish. In 2021, only 5773 secondary students in New Zealand studied Chinese. Enrollment numbers in New Zealand are significantly disproportionate across educational levels, with primary schools having the most Chinese students and tertiary institutes having the fewest. According to Wang (2021b), the percentage of primary school students learning Chinese has increased from 0.9% to 12.6%. In 2017, the top five languages in primary schools were Chinese (64,874 enrollments), French (23,501), Spanish (21,331), Japanese (16,761), and German (5327). Despite a large number of students being enrolled in Chinese in primary schools, only 2.0% have chosen Chinese in secondary schools. In 2017, the five largest languages in secondary schools were French (16,694), Spanish (12,124), Japanese (11,113), Chinese (5859), and German (3259). In the tertiary sector, enrollment records show a continuous decline in student interest in taking Chinese-language courses over the past decade (Education Counts, 2021c). In 2019, the top five most popular languages were Spanish (650 enrollments), Japanese (620), French (410), Chinese (310), and German (180). Compared with the high enrollment of primary school students, Wang (2021b, p. 180) found the passion for Chinese learning “has cooled off on university campuses,” which indicates that for New Zealand students, language learning might be more for cultural exploration or individual interest rather than for specialization or career enhancement, which is a similar case for Japaneselanguage learners in New Zealand (de Burgh-Hirabe, 2019). Furthermore, unlike in many other countries where the learning of a foreign language is a compulsory component for a substantial part of an individual’s education, in New Zealand, language learning is not compulsory due to a lack of a

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second language policy (East et al., 2013). Also, because of the high autonomy in curriculum decisions, all schools have different timetables, requirements, and textbook preferences. In different schools, Chinese lessons run for between 20 min to 5 h per week. Most teachers write their own teaching materials under the guidance of Chinese in the New Zealand Curriculum (New Zealand Ministry of Education, 1995). Furthermore, New Zealand does not have named postgraduate programs for Chinese-language teacher training. Except for the University of Auckland, no postgraduate courses are offered to teach core content and pedagogical knowledge for preparing teachers to teach Chinese. For the past decade, New Zealand schools have relied on Mandarin Language Assistants, who are visiting postgraduate students from Chinese universities, to provide free Chinese lessons and assist local teachers in organizing learning and cultural activities (Wang, 2022). As Eriksen (2018) argued, there is an urgent need for New Zealand to take greater ownership of its Chinese-language teaching capacity. Australia is in a similar situation. Nationally, Chinese has been the most popular language choice among Year 12 students in the past decade. In 2019, 21.9% of Year 12 language students were enrolled in Chinese (4869 enrollments), rising from 18.9% in 2006. Between 2009 and 2019, three language subjects were favored by students: Chinese, Japanese, and French. This trio has always constituted the top three most popular choices for language subjects. However, taking a closer look at Australian enrollment records, two issues require more attention. Firstly, a considerable number of students taking Chinese were of Chinese background. According to The Australia-China Relations Institute, of the 4000 students studying Chinese at high schools nationally, only 380 did not come from a Chinese-heritage background (SBS, 2019). This disproportionate number of enrolled students with and without a Chinese background has been a concerning issue noted by many educational specialists and scholars (Orton, 2016b) and has also been picked up by the media and politicians as an equity problem (Weinmann et al., 2021). Chris Bowen, a Member of Parliament, quoted from an educated estimate that there were only 130 Australians proficient in Mandarin but of non-Chinese heritage (ABC, 2019). These disappointing facts highlighted an alarming disinterest among non-Chinese-heritage-language learners in taking up Chinese. Secondly, the substantial gap between states that implemented different language education policies requires a more focused investigation (Table 1). At the state and territory level, the mandatory provision of language education in primary and secondary school varies from zero hours in Tasmania to 1203 h in Victoria. Schools are also given full autonomy in the choice of language, so there is no guarantee that Chinese will be taught and learned. The national figures for Year 12 enrollments may not indicate an equally distributed nationwide uptake of Chinese-language education in Australia. For example, in New South Wales, 20,267 primary students and 6366 secondary students were enrolled, whereas, in Victoria, 71,575 primary students and 14,310 secondary students were enrolled. The big difference in enrollment figures between the two most populated states in Australia deserves further analysis. In New South Wales, language education is not compulsory at primary school levels, and students are only required to participate in 100 h of language education through

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Table 1 Required provision of language education in Australia (kindergarten to Year 10) State/territory Australia Capital Territory New South Wales Northern Territory Queensland South Australia Tasmania Victoria Western Australia

Language education Recommended 670 h for K-10

Total 670 h

Mandated 100 h only in Years 7–10

100 h

Recommended to have 870 h for K-10, but schools can make the decision for time allocation Recommended to have 870 h for K-10 80 min per week (primary 1 to Year 7) and 128 min per week for Year 8 No language education policy Mandated to offer language education for K-10 and recommended 150 min per week Mandated 120 min per week for Years 3–8

Varied according to school decision No requirement 474 h Not applicable 1203 h 444 h

Adapted from Chik (2019), Hennebry-Leung (2021)

secondary school, which usually takes place in Years 7 and 8. In contrast, students in Victoria are mandated to attend language education from kindergarten to Year 10. This compulsory language policy explains the disproportionate enrollment of students in different areas of Australia. It also shows that without a mandatory language policy at the government level overall enrollment in Chinese may drop drastically. Schools are required to follow the Australian Curriculum with adjustments to state syllabus requirements. The Australian Curriculum provides a framework for teaching Chinese for communication and understanding. However, there are no prescribed textbooks. Currently, 23 universities offer beginner Chinese-language courses at the tertiary level, but only 18 universities offer intermediate and advanced courses. This reduction in courses means that the scope for language teacher training is limited as there are not necessarily enough candidates who are proficient in the language. Language teacher education is frequently provided at a broader level with specialization during school practicum. These enrollment statistics reveal a few issues worth further exploring. Firstly, most students learning Chinese are in primary schools, and many discontinue studying Chinese after a few years of dabbling in an Asian language. Secondly, the fast program development mainly took place in the past decade, and its momentum has shown a stagnation and even decline in recent years. Third, despite the surge in enrollment numbers, the total number of students in Chinese programs in both New Zealand and Australia has only barely made Chinese a medium-sized language program compared with other popular languages such as French, Spanish, and Japanese. French and Spanish continue to be the preferred languages in secondary and tertiary education due to both countries’ Western heritage. Japanese has been far more popular than Chinese in both countries, even though Japan’s economy has continuously declined in the past 40 years.

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Colonial Legacy and Geopolitical Tensions Both Australia and New Zealand are former British colonies, and over the past two centuries, colonial legacies still exist in many aspects of their social and educational systems. Researchers have long criticized that governments’ Euro-centric policies have continually failed to understand and reflect the linguistic and cultural diversity that constitutes modern-day New Zealand and Australia. Language educators have pointed out that the hegemonic status of English causes low interest among New Zealand students in learning foreign languages in every social and educational aspect (East, 2009). The predominant English monolingual ideology that prevails in mainstream language programs has been identified as one of the most important constraints to meaningfully engaging students in language learning (Major, 2018). In Australia, Lo Bianco and Slaughter (2016, p. 307) criticized that the government has “relied on an antiquated view of them and us, divided by distinct boundaries and languages, and failed to recognise Australia’s transformation into a multicultural and multilingual country.” Minority languages are often treated as a hindrance to English acquisition and assimilation into a Western way of being. There has been a concern that Australia should not become dependent on minorities, as exemplified by reports that Chinese-language education “is overwhelmingly a matter of teaching Chinese to Chinese” (Scrimgeour, 2015). In the recent decade, New Zealand and Australia are experiencing a worsening language learning crisis (Lanvers et al., 2021) because of the overreach of English hegemony spreading outward through economic, cultural, and political neocolonialism in the form of neoliberalism and colonialism (Macedo, 2019). The low interest in language learning at secondary school and university levels in New Zealand and Australia has a similar history. In New Zealand, Eriksen (2018, p. 2) pointed out that the growth of Chinese-language learning “comes at a time when language learning in New Zealand secondary schools has been in decline over many years.” According to Tan (2015), New Zealand’s secondary schools have seen the worst decline in foreign-language learning since the 1930s. Between 2010 and 2019, the total number of university students studying a foreign language dropped 39.6%, from 4295 to 2535 (Wang, 2021b). In Australia, although the number of Year 12 students enrolled in Chinese between 2010 and 2019 remained relatively stable at 4886 enrollments in 2010 and 4868 in 2019, the overall national uptake of languages has dropped to about 10% among the Year 12 cohort. China’s declining enrollment should not be viewed as a single case. The Chinese language’s geopolitics and changing hierarchies are evident in most Anglophone countries, such as the United Kingdom (Zhu & Li, 2014). Old Chinese migrants spoke Cantonese and a wide range of village dialects. Recent two decades have seen a noticeable language shift from Cantonese to Mandarin as the dominant language within the Chinese community. However, within the Chinese community, attitudes toward Chinese-language learning have proven complicated. Ngan (1987, p. 127) explained that the Chinese communities have been split by politics and languages associated with political ideology. He mentioned that “Mandarin was seen

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as the language of the communists” despite it also being the official language in Taiwan. The resurgence of China as a regional leader has prompted both New Zealand and Australia to recognize China as an important strategic partner. However, fundamental political ideology and national interest disparities remain an insurmountable gap between China and the two democratic capitalist countries. The recent escalation of US–China rivalry has led to a re-emergence of a cold war mentality, resulting in a world increasingly divided by geopolitics and ideology. In 2020, sentiments of skepticism toward China peaked in many parts of the world as China first reported the Covid-19 pandemic. Diplomatic tensions and political disagreements have affected the provision of Chinese-language education in many Western countries. For example, the recent closure of Confucius Institutes in Australia has shown Chinese-language teaching to have become unprecedentedly politicized. In English-language news media, Chinese-language learning is frequently reported in a provocative way that reflects and reshapes broader sociopolitical discourses and public attitudes in and beyond Anglophone countries. The ideological discourses and media representations are produced and reproduced through amplified and recurring media coverage. Popular perceptions and media rhetoric about China and the Chinese language are mostly framed in broad themes of “hope, hype and fear” (Duff et al., 2015), revealing an ambivalent attitude toward promoting Chinese-language teaching in English-speaking countries. Weinmann et al., (2021) argued that Chinese-language education would remain a side story to larger ideological and geopolitical interests that have shaped Anglocentric views of language learning. As for Chinese teachers, Wang (2022) pointed out that most native speakers of Chinese are not equipped with the knowledge and language skills to discuss political matters or sensitive topics, which are often a challenge to the development of their identity and their ability for relationship building with local students.

Conclusion Adopting the transdisciplinary framework, this chapter has discussed some of the key issues and challenges holding back the development of Chinese-language education in New Zealand and Australia. It has provided a more holistic overview of the historical background and development stages of the two countries’ Chineselanguage programs. Based on census data and government statistics, the chapter has also provided facts and figures about the developments of Chinese-language programs and the status quo of Chinese-language teaching in Australia and New Zealand. Overall, it shows that Chinese-language education experienced a surge in the first two decades of the twenty-first century, growing from a less popular language to one of the most popular in the two countries, but that its fast expansion has stagnated in recent years. It concludes that Chinese-language education is framed by economic rationale and complex geopolitical and ideological perspectives in the two English-speaking countries in the Asia-Pacific region.

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Future Research Directions We recommend that future research considers distinguishing itself in the following three areas. First, we suggest a more comprehensive survey of the status quo of both formal and informal Chinese-language programs across all educational levels in all locations and states of both countries. Using national data, programmers can better comprehend the demographic profiles of Chinese community groups and the diverse learning needs of students. For example, in Australia, Orton (2016a) produced several official reports to keep policymakers informed of the most recent data to understand the major issues challenging the overall development of language education. Whereas in New Zealand, only Japanese-language educators were funded by independent research funding bodies to carry out large-scale nationwide investigations by a group of researchers (McGee et al., 2013). Without an accurate understanding of the status quo, we believe it would be impossible to develop a consistent and sustainable plan for the success of a language program in the complex modern world. We also suggest future research considers in-depth knowledge of local education and demographic features and shows a greater awareness of the macro-level factors in conceptualizing and designing their research projects. In many aspects, there is a great level of difference between the two oceanic countries and their Anglophone counterparts in the Northern Hemisphere. Research topics should be more placebased and locally relevant rather than attempting to address all students in all English-speaking countries (Leung & Valdés, 2019). We find it crucial to point out that, because of the geographic location of New Zealand and Australia in the AsiaPacific region, it is more critical that the two countries develop a more mature and consistent language policy that prioritizes respect, relationship building, mutual understanding, and peacekeeping in its educational goals. Finally, we strongly support Kramsch (2019) in her call to adopt a decolonizing approach to transforming language education driven by neoliberal and neocolonial motives. As language educators, we believe a competency-driven instrumentalist view of language teaching has, to some extent, caused the current language learning crisis. The goal of language teaching should be set to “bring about peace and mutual understanding rather than for enhancing one’s status among the national elites or for gaining a competitive edge in the global market” (Kramsch, 2019, p. 52). Based on the Chinese-language teaching case in the past two decades, it is evident that purely economic motivation may not be enough to sustain people’s interest in learning this language. It is still necessary to explore many more to build a more holistic picture of what language learning is now, which is profound and complex like never before. More research is needed to take a decolonial perspective to explore different worldviews and epistemologies to bring more transformative language teaching and learning (Macedo, 2019; Wang, 2021a). Acknowledgments This publication was supported by the Marsden Fund Council with New Zealand Government funding, managed by Royal Society Te Apārangi. The project number is UOA1925.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Northeast Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . South Korea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Japan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Southeast Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Singapore . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Philippines, Thailand, and Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Laos and Myanmar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Oceania . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Australia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . New Zealand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter is devoted to a discussion on modern language education programs in the Asia-Pacific region. The chapter aims to provide an overview of modern language education in three regions: Northeast Asia, Southeast Asia, and Oceania. The chapter highlights that English still dominates the modern language education landscape, either as the de facto official language, as the dominant foreign language, or as the main medium of instruction in formal schooling. Teaching and learning languages other than English has just begun to draw the public attention in this region, though with variations depending on the different Y. Zheng (*) Fudan University, Shanghai, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_28

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socioeconomic development levels of the countries. However, to what extent that the attempts to diversify modern language education can achieve fruitful results still remains to be seen. Keywords

Modern language education · Asia and Pacific

Introduction The rise of English as a global language has dominated modern language education in many contexts, particularly in Asia and Pacific countries. Since English is often seen as key to the internalization of higher education in most non-Anglophone contexts, the teaching and learning of English is usually sustained as the most important part of modern foreign language in these areas. By contrast, languages other than English (LOTEs) are overshadowed (Han et al., 2019; Lanvers, 2018), not only in non-Anglophone countries in the Asia-Pacific region but also in Anglophone countries such as Australia and New Zealand. This chapter aims to answer the following questions: What modern foreign languages are generally offered at the university level in the selected countries? What are the national language policies with regard to modern foreign language education, if there is any? What are the ideological, sociocultural, and educational reasons for modern language education in these countries? Answers to these questions are believed to deepen our understanding of the language-in-education policy and planning of modern languages in the Asia-Pacific region. We adopt a geographical classification of theAsia-Pacific region and selectively focus on Northeast Asia (China, South Korea, and Japan), Southeast Asia (Singapore, the Philippines, Thailand, Vietnam, Cambodia, and Myanmar), and Oceania (Australia and New Zealand).

Northeast Asia Nearly all countries and regions in Northeast Asia have promoted English as the major language of modern language (or foreign language) education to the extent that “English” is equated with “foreign language.” With the deepening of globalization and increasing mobility, however, the language-in-education planning of modern languages is becoming more complicated. Some countries’ educational policies have started to redress the structural imbalance between English and LOTEs.

China Language education policies in China are largely determined by its national strategic priorities under the influence of the prevailing political climate. For instance,

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Russian was preferred as the main foreign language during the era of Sino-Soviet collaboration in the 1950s, whereas English has been largely promoted after the “Open door” policy to achieve modernization and internationalization (Lam, 2005). China now has the largest number of English language users in Asia with the conservative estimation of 276 million (Bolton & Bacon-Shone, 2020). This number is still increasing since English has been mandated as a compulsory subject for the National Matriculation Test. In addition to learning English as a school subject, English assumes an increasingly important role in promoting China’s internationalization of higher education. English as Medium of Instruction (EMI) programs has been adopted by Chinese universities as a major strategy to attract international students (Song, 2019), which makes China an “emerging destination” for international students from all over the world (Botha, 2016). While English has been the predominant foreign language in China, other modern languages have also been taught and learned, particularly in higher education. In 2014, 19,792 students took the College Russian Test and the Tests for Russian Majors; 17,649 students took the College German Test and the Test for German Majors; 10,741 students enrolled in the tests for French Majors; and 10,563 students were in Spanish major programs at undergraduate and postgraduate levels (Wang & Xu, 2017). From 2000 to 2017, the number of LOTEs taught in Chinese universities has increased from 33 to 98, including European languages, other Asian languages, and less commonly taught languages such as Urdu, Sinhala, and Dhivehi (Han et al., 2019). One of the driving forces behind China’s multilingual education is the “Belt and Road” initiative launched by the Chinese government in 2015 (Gao & Zheng, 2019; Liddicoat & Kirkpatrick, 2020). The initiative emphasizes socioeconomic and cultural exchanges with more than sixty countries along the Silk Road Economic Belt and the twenty-first Century Maritime Silk Road (mostly located in Central Asia and Southeast Asia), which are all non-Anglophone countries speaking more than sixty official and ethnic languages. To fulfill the mission of creating a people-topeople bond, as explicated in the policy text, English alone is not enough. In July 2016, the Chinese Ministry of Education (MOE) issued a plan for Developing Educational Cooperation along the Belt and Road. In April 2017, the MOE approved more than 20 foreign language degree programs, including Hebrew, Persian, and Serbian, in over 30 Chinese universities (Gao & Zheng, 2019). Starting from 2021, three more languages (i.e., French, German, Spanish) are added to the foreign language subject of the National Matriculation Test, in addition to the original three languages (i.e., English, Japanese, Russian). This means that high school students have more choices of LOTEs to sit in the National Matriculation Test. As most recently surveyed by Han et al. (2019), Beijing offers the largest number of LOTE degree programs, with a total of 206 in seven universities. Shanghai also offers 80 LOTE degree programs. Overall, in contrast to the growing importance of global English in the world, China has started to diversify the modern language education and the position of English is under challenge. Given the large number of language learners in this area, it is possible that the number of learners of a less commonly taught language may even surpass the population of the first-

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language speakers of this language and “may ultimately tip the balance of the multilingual education landscape around the world” (Gao & Zheng, 2019, p. 8). However, to what extent the modern language education would impact the people’s linguistic behaviors and repertoires still remains to be seen.

South Korea South Korea has generally been identified as a monolingual society in Northeast Asia for its maintenance of the Korean language after 36 years of Japanese colonization. National policies with the aim of promoting modern foreign language education, nevertheless, have never ceased in this region. Since the mid-1960s, influenced by the government’s export-driven economic development policies, foreign languages are regarded as important sources of economic development (Cho, 2013). With the rise of English as a global language, South Korea designates English as the major foreign language at all levels of formal schooling: from the third grade in primary school, to College Scholastic Ability Test (CSAT), and to foreign language programs at the tertiary level. Through reforms in the national curriculum, English language education has developed from promoting rote learning to advocating the communicative approach. For instance, in the First National Curriculum (1955–1963), English was taught by focusing on a fixed number of vocabulary and language structure, whereas English conversation was added as additional courses for developing conversational English proficiency in the Eighth National Curriculum (Jeon, 2019). As of 2014, there were 224 universities with English language departments, which attests to the prominent position of English as a representative foreign language in South Korea (Kong et al., 2018). By contrast, LOTEs have been labelled as “second foreign languages” by the Korean government. At present, eight foreign languages (i.e., Arabic, Chinese, French, German, Japanese, Russian, Spanish, Vietnamese) are on offer at public schools and included in the CSAT. However, these languages are usually treated as elective courses on the curriculum and receive less attention from students and universities. From 2001 to 2002, the number of universities that required a second foreign language test score decreased from 73 to 30 out of 180 (Jeon, 2019). As for other less commonly taught languages such as Arabic, Polish, Hindi, Thai, Swahili and so forth, they are only provided as elective language courses at the university level. Among the “second foreign languages,” Chinese has emerged as an important foreign language, only second to Japanese. The latest statistics of foreign language learning experience released by the Korean Educational Statistics Service indicate that, while 90.8% of the people who live in Seoul and Metropolitan city have learned English, 27.5% have learned Japanese, and 14.8% have learned Chinese.1 In 2016 The Act on the Promotion of Education of Critical Foreign Languages was enacted in South Korea for systematically developing language courses,

1

Retrieved from https://kess.kedi.re.kr/eng/index. Access date Oct. 10, 2021.

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Table 1 Modern language programs offered in some Korean Universities. (Adapted from Cui & Wang, 2018) Seoul National University Yonsei University Sogang University Ewha Womans University

Programs English, French, German, Spanish, Russian, Chinese, Japanese, Southeast Asia, West Asia, Hindi English, French, German, Russian, Chinese English, French, German, Chinese, Japanese, European Culture English, French, German, Chinese, Japanese

supporting institutions, and cultivating qualified professionals to teach less commonly taught languages. The Act prescribes the priority foreign language (English, Chinese, French, etc.) and other special foreign languages in the Middle East, South Asia, East Europe, and Africa. In the first 5-year (2017–2021) Master Plan for the promotion of critical foreign language education (CFL), the government designated three CFL-Specialized Educational Institutions and selected 20 target CFLs for allocating resources and funding. Modern language programs including Dutch, Mongolian, Burmese, Vietnamese, Swahili, Arabic, Uzbek, Ukrainian, Iranian, Italian, Malay-Indonesian, Kazakh, Khmer, Turkish, Thai, Portuguese, Polish, Hungarian, Hebrew, and Hindi have been offered in the selected foreign studies institutions (Park et al., 2019). To illustrate, Table 1 shows the modern language programs offered in four major comprehensive universities in South Korea: Seoul National University, Yonsei University, Sogang University, and Ewha Womans University. Universities listed in Table 1 have all improved their LOTE programs by offering 10–20 foreign languages for students from all disciplines (Cui & Wang, 2018). Most recently, the Korean government has drafted a new mid-term plan to expand the number of second foreign languages that are deemed strategically important to the nation’s international development in the next 5-year plan (2016–2021). The new plan seeks to triple the number of courses for CFLs in the K-MOOC public free online learning program to 60 by the year 2026 (Cui & Wang, 2018).

Japan Throughout Japan’s history, modern foreign language education has assumed an essential role in the modernization and internationalization of Japanese society (Ai & Zheng, 2018). In effect, the modern Japanese higher education system established in the Meiji era hinged upon its citizens’ foreign language abilities, with English as the first foreign language plus a compulsory second foreign language (Kobayashi, 2013). In today’s Japan, English is still widely recognized as an indispensable language for academic, professional, and occupational purposes in international communication (Honna & Saruhashi, 2019). For instance, some universities offer a few lower division bridge courses in English for academic purposes, so that students can successfully complete upper-division EMI content courses. In 2014,

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about 40% of Japanese universities offered EMI courses in which English is used as the medium of instruction (Aizawa & Rose, 2019; Rose & McKinley, 2018). Despite the dominant position of English on the foreign language curriculum, opportunities for students to learn LOTEs at tertiary level are available. For instance, after 2010, top-tier universities such as the University of Tokyo, Tsukuba University, and Kyoto University set up multilingual education research centers for the purpose of cultivating students’ cross-cultural communication skills. The University of Tokyo is a typical example: the foreign language teaching department, the Japanese teaching department for international students, and the Japanese national language teaching department are merged into a Center for Education of Global Communication (CEGLOC) with the main purpose of promoting modern foreign language education for international exchanges. Figure 1 shows the number of universities with foreign language courses in Japanese universities (MEXT, 2013). The establishment of language centers, however, is not ubiquitous at tertiary level. The Decree on the implementation and revision of the standards for the establishment of some universities cancelled a mandatory second foreign language in 1991 (MEXT, 1991). Concomitant to the trend of internationalization, a few initiatives including the “Global 30 project,” “Go Global Japan Project,” and the “Re-inventing Japan” have been supported by MEXT on building EMI courses in higher education (MEXT, 2014). Students in these programs are expected to develop outstanding language abilities (particularly English abilities) and cross-cultural communication skills (Rose & McKinley, 2018). In 2014, Japan’s Ministry of Education started the “Top Global University Project” (TGUP) to attract overseas students and cultivate a domestic pool of global talents in EMI courses. The TGUP has provided funding for 13 “Type A: Top Type” universities (e.g., Waseda University, Kyoto University, Osaka University, etc.), which have been identified as having the potential to become top 100 ranked world universities, and 24 “Type B: Global Traction Type” universities (e.g., Ritsumeikan University, Meiji University, International Christian University, etc.), viewed as innovative universities that can lead the internationalization of Japanese society. Currently, a total of 1046 English courses have been offered in 37 target universities. The three universities with the largest numbers of EMI programs are International Education University (98.05% of all courses offered by the

Fig. 1 Number of universities with foreign language courses in Japan

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university), Ritsumeikan Asia Pacific University (88.90%), and International Christian University (22.30%) (Qiu & Zheng, 2021). Standard English proficiency tests, such as the TOEFL and IELTS, have been included as language training courses in some university programs with the purpose of promoting students’ English language skills. However, it needs to be noted that, different from China and South Korea, Japan has not yet issued any language-planning policy documents to guide the development of multilingual education curricular reform.

Comments The above summary of modern foreign language education in Northeast Asia has highlighted several issues. First, despite the established dominance of English on the national foreign language education curriculum in this region, Northeast Asian countries have realized the strategic importance of LOTEs and begun to make efforts to diversify their modern foreign language education. China’s plan for Developing Educational Cooperation along the Belt and Road and South Korea’s Act on the Promotion of Education of Critical Foreign Languages exemplify the governments’ dedication in this regard. The increased number of LOTEs offered at schools and universities and the improved quality of modern foreign language education have laid the foundation for developing multilingual talents in these areas. With regard to the LOTEs offered by Northeast Asian countries, traditional prestigious European languages are still in prevalence, but languages from the Middle East and Southeast Asia are receiving more attention during the recent years. The traditionally dominant position of English on the modern language curriculum is being challenged. However, two issues need some further attention. First, LOTE degree programs in South Korea and China are reported to be short of experienced teachers due to the rapid growth of such programs (Gao & Zheng, 2019; Han et al., 2019; Park et al., 2019). Teachers who are doing non-English language studies are suffering from the English-first ideology in the research excellence assessment system in which their non-English publications receive relatively less value (Lee & Lee, 2013; Zheng & Guo, 2019). It needs to be cautioned that linguistic instrumentalism seems to be underlying these countries’ language planning. For instance, the 53 CFLs selected by the South Korean government are language strategically required for national economic or political development (Korea Legislation Research Institute, 2017), so do those involved in China’s “Belt and Road Initiatives.” As a result, the language programs are likely to overemphasize the instrumental value of language as a communication tool and undervalues the symbolic functions of language in knowledge dissemination, social mobility, and identity construction (Block, 2015; Blommaert, 2010). This instrumentalist ideology may even reinforce the dominant position of English in modern language education and even ultimately endanger LOTE learning, as English is still the most useful tool in international communication and thus has the highest instrumental value (Wang & Zheng, 2021; Zheng et al., 2019).

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Southeast Asia Countries in Southeast Asia mainly refer to group members that constitute the Association of Southeast Asian Nations (ASEAN), including Indonesia, Malaysia, the Philippines, Thailand, Singapore, Brunei, Vietnam, Laos and Myanmar, and Cambodia. Since most parts of this region were once colonized by Western countries, the promotion of English and the national language has become their primary objectives in language-in-education planning in order to strengthen national unity as well as to promote international communication. By contrast, less attention has been accorded to LOTE education. In this section, three clusters of countries at different income levels2 are selected as representatives to illustrate the complex picture of modern language education in Southeast Asia.

Singapore Singapore is the fastest growing economy in ASEAN. The population of 5.08 million people consists of 76% Chinese, 13% Malays, 8% Indians, and a small minority of others (Curdt-Christiansen, 2016). Such ethnic diversity makes Singapore a multilingual society with residents speaking various languages in different spheres of their lives (Siemund et al., 2014). Ever since its independence, language-in-education policy profoundly affects their people’ identity construction and the sociolinguistic realities within the speech community. The Republic of Singapore Independence Act issued in 1965 prescribed Malay, Mandarin Chinese, Tamil, and English as the four official languages, and Malay was designated as the national language. This quadrilingual policy was later translated into a bilingual education policy officially adopted in 1966 (Bokhorst-Heng & Silver, 2017). All students are required to be educated in both English and language of their ethnicity (i.e., Mandarin Chinese, Malay, Tamil), thus rendering an Englishbased bilingual model. A gradual shift to EMI within the school system took place in the 1970s. The status of English was further secured in the early 1980s when all Singaporean students start to be taught subject matters in English while the official mother tongue of the student is taught as a second language (L2) (O’Neill & Chapman, 2015). As a result, English, presumably the ethnically neutral language, serves as the people’s first language (L1) and inter-ethnic lingua franca in Singapore. Their ethnic mother tongues, by contrast, is considered only as their identity marker and L2 (Jain & Wee, 2019). Students at the primary or secondary level seldom have the opportunities to learn other modern foreign languages, and when there are any, the choices are limited to Japanese, French, or German (Wharton, 2005).

2

This is measured by the DAC List of ODA Recipients by OECD. Retrieved from https://www. oecd.org/dac/financing-sustainable-development/development-finance-standards/DAC-List-ofODA-Recipients-for-reporting-2020-flows. pdf, date of access September 15, 2021.

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Table 2 Language courses offered at language centers Name of language center NUS: Center for Language Studies NTU: Center for Modern Languages

Language courses Arabic, Bahasa Indonesia, Chinese, French, German, Hindi, Japanese, Korean, Malay, Spanish, Tamil, Thai, Vietnamese (13) Arabic, French, German, Hindi, Italian, Japanese, Korean, Latin, Malay, Russian, Singapore Sign Language, Spanish, Tamil, Thai, Vietnamese (15)

Linguistic practices in higher education in Singapore align with its English-based bilingual model. In fact, all six universities in Singapore (e.g., National University of Singapore, Nanyang Technological University, Singapore Management University, SIM University, Singapore University of Technology and Design, and Singapore Institute of Technology) use English as the only medium of instruction. The emphasis on EMI indeed contributes to Singapore’s acceleration of the internationalization of higher education. It is reported that by 2013, around 70% of faculty at NTU and 50% at NUS were from overseas (Matthews, 2013). Despite that, only five bachelor programs in language studies are offered among these six universities with an exclusive focus on the learning of English, Chinese, and Japanese. In most cases, languages are required as minors for students majoring in international and regional studies. For instance, students in the National University of Singapore majoring in Southeast Asian Studies should choose courses from Bahasa, Indonesia, Thai, or Vietnamese, whereas those majoring in European Studies need to learn French or German (Matthews, 2013). LOTEs are usually taught in language centers as elective courses for students from all disciplines. Table 2 shows the number of LOTE courses provided in the National University of Singapore and Nanyang Technological University from introductory to advanced levels. Language centers offer students opportunities to practice the language that they are learning and to accumulate cultural experiences in some immersion programs.

The Philippines, Thailand, and Vietnam The Philippines and Vietnam are classified as lower-middle income countries, and Thailand as upper-middle income countries in the DAC List of ODA Recipients. They share some features in terms of the implementation of pluralistic language education policy. The Philippines has a complicated colonial history. Spain occupied it from 1565 to 1898 and America replaced Spain afterward until 1946. During America’s occupation period, English was made the medium of instruction, leaving more than 50% Filipino English speakers in 1918. Since the Philippines’ independence in 1946 and until relatively recently, Filipino (an updated version of the local language Tagalog) was designated as the national language, whereas English enjoys the official status in education, legislation, and other social domains. In 1974, the official policy on bilingual education in the Philippines was enacted through Department of Education

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and Culture Order No. 25 entitled Implementing guidelines for the policy on bilingual education (Sibayan, 1978). The Bilingual Education Policy (BEP) prescribes that school subjects should be divided into the English and Filipino domains. English was defined as the language of instruction for the delivery of English Communication Arts, Mathematics, and Science. Filipino was the medium of instruction for all other subjects on the curriculum. This policy continued in formal education into the twenty-first century until the Mother Tongue-Based Multilingual Education (MTB-MLE) was issued to include 12 regional languages into elementary education. English, however, still assumes an important role as the primary language of instruction at the secondary level and upwards. By contrast, LOTEs are only taught as elective courses (Liddicoat & Kirkpatrick, 2020). The Department of Education launched a Special Program in Foreign Languages to promote the learning of Chinese, French, German, Japanese, and Korean, but the courses are only available to students between Grade 7 and 12 (Gavilan, 2018). Many universities have implemented language programs to help the students improve their language proficiency for instrumental purposes such as to find a wellpaid job. For instance, a “Job Enabling English Proficiency” (JEEP) Project, funded by the US Agency for International Development (USAID) and Growth with Equity in Mindanao (GEM) program, has been organized in 27 partner universities. This 2-year program consists of two stages. JEEP Start aims at developing students’ general English proficiency in speaking, listening, and reading, and JEEP Accelerate aims to develop capabilities of English for specific purposes (Bawa, 2020; Tupas & Tabiola, 2017). By contrast, other modern language programs have rarely been developed in universities. Even in the University of the Philippines Diliman, one of the top universities in the country, only three European modern languages (French, German, and Spanish) are offered. Vietnam is a multiethnic and multilingual society, with 54 different ethnic groups speaking more than 100 different languages. 85.8% of the population is ethnic Viet (or Kinh), while 14.2% is the 53 other ethnic groups. Vietnamese is the dominant and most widely spoken language. English has become the most popular foreign language, although European languages (e.g., French, Russian, German, Spanish) and Asian languages (e.g., Chinese, Japanese, and Korean) are also taught and used, though limited in scope. Under current language-in-education policies, Vietnamese is the official medium of instruction in the public school system and other educational organizations, although its status has been challenged by foreign languages, mostly English. English is promoted as the most important foreign language across all levels of Vietnamese education, upheld by the recent national project of “Teaching and learning foreign languages in the public education system from 2008 to 2020” (dubbed as Project 2020). This act stipulates that English is the foreign language to be taught and learned in public educational organizations and at tertiary level, and English can be learnt as a major or a subject. Next to English, French is the second most widely taught foreign language in Vietnam, supported by education policy makers and taught in the formal school system of Vietnam. As Vietnam’s exchange with China on economy, culture, and education is increasing, the Chinese language receives some policy attention, and many tertiary institutions have begun

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to provide courses on Chinese language and culture. Together with Chinese, Russian has also been proposed to be one of the compulsory foreign languages for school students as part of Project 2020. There is sporadic teaching of Japanese and Korean in the public school system; Arabic, German, Italian, Spanish, and Thai are also offered in universities, although less commonly. Thailand is an ethnically and linguistically diverse country in which Chinese, Malays, Cambodians, Vietnamese, and indigenous tribes live together with the majority of Thais. It is estimated that over 70 minority languages and varieties are in use today. Thai is the de facto national language and is used in education, government, law, mass media, and religion. English was made the principal foreign language in the 1999 National Education Act. The recent language policy can be inferred from the 2008 Basic Education Core Curriculum, which stresses the importance of learning multiple foreign languages, but great emphasis is still placed on the learning of English due to its importance as a language of socioeconomic development and globalization (Satienchayakorn & Grant, 2022). This prominence of English has been on the rise in recent years, increasingly associated with Thailand’s global standing and the country’s socioeconomic development in the world. According to the Basic Education Core Curriculum, English is taught all the way through primary, secondary, to tertiary education. At the university level, 12 credits are assigned to the English language. Even college graduation depends on passing English exams in universities (Baker & Jarunthawatchai, 2017). Other foreign languages mentioned in the Curriculum include Arabic, Chinese, French, German, Japanese, Pali, and languages of neighboring countries, with Chinese now widely taught. Despite its dominant position in the foreign language curriculum, English does not necessarily dampen Thai students’ interest to learn other foreign languages. They are actually interested in other Asian languages (i.e., Chinese, Japanese, Korean) due to more contact with cultural products in these languages (Siridetkoon & Dewaele, 2018). Most recently, a new language policy is to be expected as there is a draft of National Language Policy (NLP) (Liddicoat, 2019). The main objectives of the NLP are to strengthen the discourse upholding Thai as the national language, and to foster societal multilingualism of Thailand, but how this multilingual policy will be implemented is yet to be seen.

Laos and Myanmar Laos and Myanmar are the least developed countries in this region. Both countries are linguistically and ethnically diverse, have adopted language policies that support a single official language, and promoted English learning from as early as the primary school (Liddicoat & Kirkpatrick, 2020). The national languages of the two countries are respectively used as the medium of instruction in formal schooling; English is taught as the first foreign language, from the third grade of the primary school in Laos and the first grade in Myanmar. Labelled as one of the “least developed countries,” the Lao People’s Democratic Republic is a multilingual and multiethnic society, with 49 languages being spoken by

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the people. Lao is the only official language of Laos, as stated in the Lao Constitution. With the largest number of native speakers, the Lao language is dominant in government settings and policy documents and mass media and is the language for instruction and learning. However, the Lao language is under the threat from the Thai language through television and radio programs, newspapers/magazines, and social media. Foreign films shown in movie theaters and popular television soap operas from South Korea and Japan are dubbed only into Thai, but not Lao. Moreover, many university students have to buy course books in Thai as technical materials in Lao are not available (Liddicoat, 2019). Even so, Thai is not as important as English as a foreign language in education. A new primary curriculum in 2018/2019 continue to introduce English as a first foreign language from Grade 3, with French as an optional second language in lower secondary (Liddicoat, 2019). Also listed as one of “the least developed” countries, the Republic of the Union of Myanmar is the largest country in Southeast Asia and one of the most linguistically and culturally diverse societies in the world. Myanmar was once a colony of the British empire, and English was the only foreign language taught as a compulsory subject in all schools and higher education institutions. In 1948, Myanmar gained independence and Burmese was promoted to be the official language through the Constitution of the Union of Burma. Currently, Burmese, which is a Sino-Tibetan language, is the only language used in government administration and mass media and used as the legitimate medium of instruction in government schools. In practice, however, Burmese is secondary to English. Universities are allowed to choose either English or Burmese as the medium of instruction, but a majority of institutions across the country choose to use English as the sole medium of instruction and require the students to take examinations and write theses only in English. The preference for English can be seen throughout many parts of society; for example, Burmese passport, official signs, company names, and English language license plates for cars are all in English. In short, Myanmar tends to adopt one national language, Burmese, and speak only one foreign language, English.

Comments The modern foreign language education landscape in Southeast Asia is complicated, as this region consists of countries with vastly different levels of social and economic development. These three clusters of countries have demonstrated divergent patterns in modern language planning. As the most developed Southeast Asian country, Singapore has apparently established a successful modern language education system which celebrates linguistic pluralism by encouraging its citizens’ bilingual proficiency in English and an officially assigned ethnic mother tongue. However, two challenges to such a policy are (1) the neglect of multiple home languages (such as Cantonese and Hokkien) and (2) undervalue of Singlish, the local variety of English. The Singaporean model of multilingualism is confined to a limited number of bilingual profiles, such as English + Chinese and English + Malay, but not other combinations (Siemund et al., 2014). In

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addition, only top universities offer other Asian and European languages as elective courses, suggesting that Singapore’s multilingual education is still limited in scope and restricted to certain socioeconomic groups (Siemund & Leimgruber, 2020). In middle-income countries like the Philippines, Vietnam, and Thailand, although LOTEs are also mentioned in government policies, English is introduced as the de facto instructive language at all levels of formal schooling. Even if the Philippines attempt to introduce other languages within the education system, its selection is limited to students’ mother tongues rather than languages from other regions. Therefore, the gap between policy making and implementing is widened rather than diminished, and the dominant status of English in the education sector is entrenched in these countries (Baker & Jarunthawatchai, 2017). Due to these countries’ deepened economic ties with China and geopolitical vicinity, the status of Chinese in modern language education is rising. Other Asian languages, such as Korean and Japanese, are also gaining more prominence in these countries, whereas students’ interest in traditional European languages is in decline. Language policy planners in Laos and Myanmar tend to regard English as a global language, while LOTEs apart from their local ethnic languages are not given equivalent consideration in language-in-education planning. Policies targeting at LOTE education or initiatives to establish LOTE programs are rare in the tertiary level. The overemphasis on the importance of English as the only foreign language may undermine the efforts to introduce other languages to the school system, and the English-monolingual mentality is not beneficial to the development of the multilingual and multicultural societies in these countries. All in all, it seems that the extent to which the governments can consider diversifying their people’s multilingual repertoire through language education is related to the stage of economic and social development of the countries.

Oceania Both Australia and New Zealand are characterized by multilingualism as a result of colonization and mass immigration. However, as inner-circle English-speaking countries, the dominance of English threatens the existence and development of the diverse languages in both countries. It is a general trend in both countries that English continues to be dominant in higher education while other modern languages are in constant decline in terms of both the number of learners and funding.

Australia Australia is an inner-circle English-speaking country, but it has recognized the importance of modern language education. The National Language Policy (NLP) was issued in 1987 with the guiding principles to develop its people’s “competence in English, maintenance and development of LOTEs, provision of services in LOTEs, and opportunities for learning second languages” including Chinese, Indonesian/Malay,

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Japanese, French, German, Italian, Modern Greek, Arabic, and Spanish (Kaplan & Baldauf, 2003). Following this policy, in 1992, the Australian Language and Literacy Policy (ALLP) added Aboriginal languages, Russian, Korean, Thai, and Vietnamese to the list of priority languages. Two years later, in 1994, the National Asian Languages and Studies in Australian Schools (NALSAS) began to promote Japanese, Chinese, Korean, and Indonesian after establishing trade relations with Asia. This emphasis on Asian languages and the economic rationale for language learning have influenced other modern languages during the same period. Despite the advocacy on modern language learning stated in government policies, the number of students learning LOTEs has been in a decline. In 2007, only 29 languages were offered at Australian universities, compared with 66 languages in 1997 (Baldwin, 2019). The “Group of Eight” (Go8) universities laid the blame of the declining interest and enrolments in language programs on Australian government in their report entitled “Languages in crisis: A rescue plan for Australia” released in May 2007. As a result, the Languages and Cultures Network for Australian Universities (LCNAU) was established in 2009. The LCNAU Project aimed to “develop a coordinated national approach to language education and scholarship in Australian universities by building strategic leadership across disciplines and institutions through an improvement-oriented network” (Baldwin, 2019, p. 190). Table 3 shows the languages being taught in ten Australian universities to different degrees in 2011 (Baldwin, 2019). Table 3 Languages offered in Australian universities. (Adapted from Baldwin, 2019) University UAdel ANU

UMelb Lat Macq Mon

USyd UNSW UQ UWA

Language offerings French, German, Greek (ancient), Greek (modern), Indonesian, Italian, Japanese, Latin, Mandarin, Spanish Arabic, Burmese, Cantonese, French, German, Greek (Ancient), Hindi, Indonesian, Italian, Japanese, Javanese, Korea, Latin, Lao, Malay, Mandarin, Mongolian, Persian, Portuguese, Russian, Sanskrit, Spanish, Tetum, Thai, Turkish, Urdu, Vietnamese Arabic, French, German, Greek (Ancient), Hebrew, Indonesian, Italian, Japanese, Latin, Mandarin, Russian, Spanish, Swedish Catalan, French, Greek (ancient), Greek (modern), Hindi, Indonesian, Italian, Japanese, Mandarin, Portuguese, Sanskrit, Spanish Croatian, French, German, Greek (modern), Italian, Japanese, Mandarin, Polish, Russian, Spanish Arabic, Egyptian (ancient), French, German, Greek (ancient), Greek (modern), Indonesian, Italian, Japanese, Korea, Latin, Malay, Mandarin, Spanish, Ukrainian, Yiddish Akkadian, Arabic, Aramaic, French, German, Greek (modern), Hebrew, Indonesian, Italian, Japanese, Korean, Mandarin, Pali, Sanskrit, Spanish, Syrian German, Indonesian, Korean, Russian, Spanish French, German, Greek (modern), Indonesian, Japanese, Korean, Mandarin, Portuguese, Russian, Spanish Arabic, French, German, Greek (ancient), Indonesian, Italian, Japanese, Korea, Latin, Mandarin

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In October 2012, the government published Australia in the Asian Century White Paper (Commonwealth of Australia, 2012, p. 179), which recognized the importance of the Asian region to Australia, hence the need to understand Asian cultures and languages. Literacy in Asian languages has been considered strategically fundamental for the future interest of the country. More recently, Diversity Council Australia labelled language fluency as one of the key approaches to improve Australia organizations’ Asia capacity (Diversity Council Australia, 2015). Regrettably, despite all the efforts to frame LOTE proficiency especially in Asian languages as a national asset, individual students are not as much attracted to modern language learning. Between 2011 and 2014, the percentage of students studying at least one modern language at university dropped from 4.2% to 3.8% (Molla et al., 2019); the percentage of the school population that studies a language in the last 2 years of secondary school remains to be 10% (Mayfield, 2017).

New Zealand The linguistic landscape of New Zealand is similar to Australia in that English is the language of the mainstream society, but different in that the Te reo Māori and New Zealand Sign Language (NZSL) are the other two official languages stipulated by law. In addition, migrant languages brought by large numbers of immigrants make up an important component of the linguistic ecology in New Zealand. Although New Zealand is a multilingual and multicultural country, there has been no formal language planning at higher levels of government in New Zealand (Kaplan & Baldauf, 2003). New Zealand was first settled by the Maori and then discovered by the British settlers in 1769. In 1840, Britain signed the Treaty of Waitangi with the Māori Chiefs that made New Zealand a colony. As a British colony, English has been a dominant language in New Zealand through earlier policies of assimilation and integration in the education system. This prevalent use of English led to a sharp decline in the users of the Maori language (Wang, 2021). In order to revitalize the language, the Māori Language Act was enacted in 1987, which established Te reo Māori as the first official language of New Zealand. The Maori Language Commission was founded to undertake status planning, corpus planning, and acquisition planning for language revitalization, as well as a government-wide Māori language strategy (de Bres, 2015). The government supports Maori-medium education at all levels of formal schooling and advocates its use in the media. Despite these efforts, Te reo Māori has been losing its users and intergenerational transmission of the language has become a problem. According to the census in 2006, only 23.7% of the Māori population and less than 1% of non-Māori New Zealanders can speak Te reo Māori (de Bres, 2015). To reverse this language shift, there have been grassroots initiatives to revitalize the learning and teaching of Te reo Māori, including “language nests” or early childhood Māori immersion programs and creation of schools and tertiary institutions governed and run by

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Māori. Māori education strategy Ka Hikitia – Accelerating Success 2013–2017 was implemented to substantially increase the proficient speakers of Te reo Māori (Skyrme & Ker, 2020). Furthermore, a new Māori Language Act (2016) was enacted to engage the government in revitalizing Te reo Māori. NZSL was made an official language in 2006 to ensure the language rights of the deaf New Zealanders. The Act recognizes the official status of NZSL and legitimizes its use in court of law and provision of government services to NZSL users (McKee & Manning, 2015). Although the Act gives official status to NZSL, the status planning alone cannot guarantee the rights of deaf people in everyday life. It serves more like a symbolic affirmation of the deaf people: the number of NZSL users is in decline, and “the traditional community domains of NZSL use and transmission are apparently shrinking” (McKee, 2017). In addition to one de facto national language (i.e., English) and the other two official languages, community languages and additional languages are also in active use in New Zealand. A great number of immigrants from the Pacific Islands bring with them such languages as Samoan, Cook Island Māori, or Tongan. These heritage languages also face the similar problem of decreasing users. The Ministry of Education’s Pasifika Education Plan 2013–2017 sets such a target to increase the number of centers offering immersion in a Pasifika language for 50% or more of class time (Skyrme & Ker, 2020). Additionally, increasing immigrants come from East Asia and South Asia, particularly China, the Philippines, India, and South Korea, coupled with refugees from Africa and the Middle East in recent years, but their languages received less attention and support from the government and in tertiary education compared to Te reo Māori, English, and NZSL.

Comments The two English-speaking countries in theAsia-Pacific region share similarities and encounter similar challenges. First, the English-monolingual mentality may undermine the efforts to maintain the multilingual and multicultural societies in Australia and New Zealand. This can be evidenced from the above discussion about policy shifts made by different administrations in Australia, all stressing the utilitarian value of languages and the national interest of Australia in trade and commerce, defense, and national security. The “English is enough” mindset, however, seems to discourage the students from investing in LOTE learning, which may run counter to the national interest of Australia. By comparison, the monolingual belief in English is manifested in New Zealand in a quite different guise: the absence of a national policy in languages. Language policy making in New Zealand is long and fractured in history. While New Zealand is a multilingual country with diverse languages including English, Te reo Māori, and NZSL, community languages, and additional languages, there lacks language planning at the national level to better situate the country and its people in the context of internationalization, “education, social and economic mobility, identity building and cultural maintenance” (Baldwin, 2019), which signals a neglect of language by the government.

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Second, the status of LOTEs witnessed a downward slip as evidenced by the decreased number of learners, the cut of government and university funding, and the shrinking language programs on offer in tertiary education. For example, although officially recognized as national languages, both the Māori language and NZSL are undergoing a continued decrease in their learners and users, despite the attempts made to reverse this situation. The monolingual mindset is a challenge posed to not only just language educators and policy makers, but also all the stakeholders, including governments, universities, and students themselves.

Conclusion This chapter provides an overview of the modern language education in three parts of the Asia-Pacific region: Northeast Asia, Southeast Asia, and Oceania. Although these countries have vastly different sociohistorical backgrounds and socioeconomic developments, they are similar in the sense that English occupies a dominant position in the modern language curriculum, either as the de facto official language, or as the dominant (sometimes only) foreign language, or as the main medium of instruction in formal schooling. Most countries covered in the review have issued language-in-education policies or strategic plans in relation to language learning, demonstrating an inchoate awareness to diversify the modern language education in the non-Anglophone countries, or to encourage modern language learning in the Anglophone countries. Future research on modern language education in the Asia-Pacific region may take a historical-structural approach in order to better understand how the modern language education planning is related to the socioeconomic development of the country or region under investigation. The review has shown that countries and regions at different developmental stages may adopt different approaches to modern language education planning. In addition, as revealed in this chapter, there still seems to be a gap between the intended policy and implemented curriculum. So it is meaningful to investigate to what extent the language-ineducation planning at the macro level can translate into curricular initiatives at the meso level and actually shape individuals’ language profiles and language attitudes at the micro level. Policy makers need to be reminded that an instrumentalist orientation seems to be underlying many countries’ language-in-education policies; the efforts to expand multilingual education is primarily driven by the national interest of economic development and internationalization, whereas the prospect of developing the citizens’ translingual and transcultural competence is seldom mentioned. Thus, if the goal of promoting modern language education includes to foster people’s cultural open-mindedness and global perspectives, concerted efforts are expected to change the societal discourse on language learning from an instrumental and utilitarian view to a more holistic and organic approach.

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Language Education and Teacher Awareness

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Language Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teacher Language Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Subject Teachers’ Language Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Subject Teachers’ Teacher Language Awareness: An Exploratory Study . . . . . . . . . . . . . . . . . . . . . . Subject Teachers’ Language-Related Pedagogical Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Subject Teachers’ TLA and Pedagogical Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter presents teacher language awareness as a key aspect of the knowledge and disposition that are foundational to language teachers’ effective pedagogical practice. It will first document the historical development of language awareness as a critical concept underpinning significant shifts in education and will introduce teacher language awareness as a crucial construct associated with effective language-related pedagogical practices among language and subject content teachers. It will then elaborate how relevant research has contributed to our evolving understanding of teacher language awareness, particularly in terms of: (1) teachers’ explicit knowledge of language as a system, (2) their (critical) knowledge and understanding of language use in context, and (3) learners’ language learning and development. Against the background of the rise of content-integrated language education and the use of English as the medium of instruction, the chapter draws on a recently completed study on the importance of subject teachers’ language awareness in promoting the effective learning of subject content through English as the medium of instruction. Relevant findings X. A. Gao (*) School of Education, University of New South Wales, Sydney, NSW, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_30

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highlight how subject teachers concentrate on form-focused processing and the facilitation of language learning strategies in their language-related pedagogical practices. An identified lack of language-related pedagogical practices among the subject content teachers was also found to be associated with their awareness of the roles of language in teaching, their understanding of the demands of the language used for learning, and their knowledge of EFL/ESL pedagogy. The chapter concludes with a discussion of how teacher education programs can support language and subject content teachers to develop this critical knowledge and disposition for effective pedagogical practice. Keywords

Language awareness · Teacher language awareness · Language teachers · Subject content teachers · Medium of instruction · Professional development

Introduction Teacher language awareness (TLA) is conceptualized as language teachers’ “explicit knowledge about language, and conscious perception and sensitivity in language learning, language teaching and language use” (ALA, n.d.). Due to its profound impact on language teachers’ pedagogical practice, language education researchers and teacher educators have increasingly recognized the need to promote TLA development in language teacher education programs. It is well documented that teachers’ teaching is mediated by a host of factors and processes, such as their prior experiences, identity aspirations, ideological beliefs, knowledge, and cognition (Burgess, 2016; Parba, 2018; also see Borg, 2012 for a review). Among all these factors, language teacher cognition, that is, what language teachers think, know, and believe (Borg, 2006), has emerged as one of the most significant factors, profoundly mediating language teachers’ professional practice (Borg, 2005). The recognition of TLA as “an essential attribute of any competent L2 teacher” (Andrews, 2007, p. ix) reflects a shift to broaden the focus of research on language teachers’ knowledge about language to include their cognition in language teacher education (Andrews, 2008). Language teachers’ TLA refers to three overlapping categories of knowledge and beliefs, namely: (1) why and how the language should be used (e.g., attitudes towards and beliefs about the language, knowledge about learners’ language use), (2) knowledge of the language system (e.g., metalinguistic awareness, language varieties, the linguistic demands and features of a given spoken or written text), and (3) how to teach the language. Knowledge and cognition related to these domains help to define the disciplinary foundation of language teachers’ practice as language users, language analysts, and language teachers in teaching (Edge, 1988; Hu & Gao, 2021; Lindahl & Baecher, 2016; Wright, 2002). Due to the rising numbers of students who need to learn subject content through the medium of languages other than their first (most often English), it is also

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necessary to recognize the significant role of TLA for teachers in these contexts. Students may be required to learn their subject content in Content-Language Integrated Learning (CLIL) classes, or in contexts where languages other than their first are used as the medium of instruction (MOI), such as in Taiwan and Vietnam. Whether they are teaching English as an additional language (EAL) to migrant students in Australian schools or EAL students in a Hong Kong schools that use English as the MOI, subject teachers are expected and required to address language and literacy issues that could potentially undermine these students’ learning of the subject content. For this reason, TLA relates to the teaching of both languages and subject content, and it should be promoted as a crucial component of teachers’ professional knowledge and cognition in teacher education programs (e.g., Andrews, 2007; Curdt-Christiansen et al., 2021; Hu & Gao, 2021; Lo, 2019). To elaborate this argument, I shall first discuss the historical development of language awareness and teacher language awareness. I shall then highlight the importance of developing subject teachers’ teacher language awareness, using data from a recently completed project on students’ experiences of medium of instruction shifts during the primary-secondary school transition in Hong Kong (see Hu & Gao, 2018, 2020, 2021).

Language Awareness Increasing emphasis on the role of language awareness in education has been associated with an educational movement in response to the challenges of teaching migrant children, because of their low English literacy, reliance on foreign languages, and their historical lack of learning success in the UK since the 1970s. Researchers have proposed and promoted the notion of language awareness as an integral part of language education in an effort to ensure that students not only learn about languages, but also learn how to learn languages (Hawkins, 1999). Language awareness is theorized as a critical means to bridge the learning of subject content and languages (i.e., first and additional) at different levels of education (ibid.). Informed by this conceptualization, research on language awareness has enabled educators to address a variety of important concerns in education. For instance, relevant studies have explored the following issues: (1) linguistic awareness, explicit L2 knowledge, or the “perception of and acquaintance with different aspects of the . . . language . . . as a system,” (2) cultural awareness in language learning, and (3) language learning (Edmondson, 2009, p. 165). Findings from these studies have helped to ensure that teachers promote “conscious reflection on language” to make students “more conscious of” language and its use in real-life contexts than before, thereby improving their language use and educational outcomes (Nicholas, 1991, p. 78). Research has also explored how language awareness operates in a variety of contexts, including those related to language pedagogy (i.e., language learning and teaching) and those to do with language use beyond language pedagogy in contexts such as multimodal exchanges, multilingual corporations, and politics. Given the

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variety of issues that have been examined in language awareness research, this chapter focuses on what has been considered the “core business” of language awareness research (van Essen, 2008, p. 3; also see Svalberg, 2007, 2009), which includes studies related to “language teaching and language learning, and with language teachers and language learners” (Garrett & Cots, 2017, p. 1). Studies on language learners’ learning explore key concepts related to language awareness such as metalinguistic constructs (e.g., metalinguistic knowledge, pragmatic knowledge, phonological awareness, and critical language awareness) (for details related to these constructs, please see Ellis, 2004; Jessner, 2008; Svalberg, 2007, 2009). Meanwhile, relevant studies on language teaching and teachers help to reveal how language awareness facilitates language teachers’ efforts to overcome challenges and develop appropriate pedagogical strategies, especially in Asian contexts. The challenges that language teachers need to address in teaching may relate to issues such as student diversity, or the adoption of new pedagogical approaches such as form-focused language teaching (e.g., Bao, 2019; Clark-Gareca & Gui, 2019; Gong et al., 2018; Liu et al., 2021). They may also relate to what language teachers usually do in teaching, such as vocabulary, writing, or assessment. Findings from these studies may help language teachers to refine their understanding of teaching for tasks such as the integration of English as a lingua franca in language teaching (e.g., Widodo et al., 2020; see also ▶ Chaps. 27, “English in General Education: Current Issues and Possible Solutions,” by Kirkpatrick and ▶ 32, “Transcending Anglocentric Ideologies of English Language Teaching in Asia: Global Englishes-Informed Policy and Practice,” by Baker and Fang, this volume). Research on language awareness also enables language teachers to promote students’ creativity in language use and develop their critical literacy skills (e.g., Hall, 2017).

Teacher Language Awareness As mentioned earlier, teacher language awareness is a crucial component of the pedagogical content and subject knowledge that is required for language teachers to be professionals in language education (e.g., Andrews, 2007; Andrews & Lin, 2017). Language awareness is not only what language teachers aim to develop in students through teaching; it also enables teachers to teach languages effectively (e.g., Garrett & Cots, 2017; Nicholas, 1991). Language teachers build on students’ current understanding of language as a system to design and implement pedagogical activities such as reading, writing, listening, and speaking, so that they develop explicit knowledge of the language for future use (e.g., Finkbeiner & Schluer, 2017; Goh, 2017; Nicholas, 1991). Critical language awareness helps language teachers to identify the valuable linguistic resources that students from diverse backgrounds bring to the classroom and use them as bridges to facilitate students’ learning (e.g., Ortega, 2019). Language teachers’ use of critical literacy activities or literaturebased tasks contributes to critical language awareness or intercultural understanding among language learners (e.g., Alim, 2010; Clark-Gareca & Gui, 2019; Gong et al.,

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2018; Hall, 2017). Teachers’ language awareness also plays an important part in mediating their role in the assessment process. These understandings related to the role of TLA in language teaching broaden the scope of language teachers’ pedagogical practice, from narrowly defined linguistic knowledge (language as a system) to issues such as intercultural understanding, critical language awareness, and metacognitive understanding of the language learning process. Consequently, research on teacher language awareness has examined language teachers’ beliefs about language, language use, language learning, and teaching to better understand how these factors impact pedagogical practice (e.g., Bao, 2019; Borg, 2017). Research on language teachers’ pedagogical decisions, design, and practice helps to reveal how TLA operates in specific contexts, since teachers’ awareness and understanding play a critical role in shaping their pedagogical practice (e.g., Andrews, 2007; Andrews & Lin, 2017; Borg, 2017; Liu et al., 2021). While TLA constitutes the backbone of the disciplinary knowledge foundation that enables language teachers to assert themselves as professional language educators (e.g., Andrews & Lin, 2017), it has also been highlighted as a critical foundation for the learning and teaching of subject content when teaching is delivered in languages other than students’ first. For this reason, teachers of subjects other than languages also benefit from developing an appropriate level of language awareness. In the context of the rising demand for subjects to be delivered in the medium of English in many Asian contexts, there is also a pressing need to understand how subject teachers respond to the language and literacy issues that students may have in learning subject content through the medium of English (e.g., CLIL), which may not be their first language and may not even be a commonly used language beyond the classroom(e.g., He & Lin, 2018; Hu & Gao, 2021; Lo, 2019). For this reason, it is necessary to broaden the discussion of TLA from language teachers to subject teachers who need to teach subject content in languages other than their students’ first.

Subject Teachers’ Language Awareness The increasing worldwide use of English as a medium of instruction in programs such as CLIL has been driven by the perceived positive impact of the use of English as medium of instruction (EMI) on students’ learning of English and subject content. Research has identified that the use of EMI provides “a more favourable context for L2 vocabulary learning than regular L2” (Lo & Murphy, 2010, p. 215), and for this reason, it contributes positively to students’ learning of English. However, research has also identified that students in EMI programs such as CLIL do not always learn English better than students in other programs (Pladevall-Ballester & Vallbona, 2016). The contradictory findings from different studies suggest that the use of English as medium of instruction alone does not determine the outcomes of students’ learning. The effectiveness of CLIL or EMI is subject to the mediation of a variety of contextual and pedagogical factors (e.g., classroom interaction, resources; see Cenoz

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& Ruiz de Zarobe, 2015; Dalton-Puffer et al., 2018). Teachers’ pedagogical practice is definitely one of the most significant factors. Consequently, it has also become necessary for teacher education researchers and educators to pay attention to subject teachers’ language awareness in relation to their teaching of subject content through English (e.g., Cenoz & Ruiz de Zarobe, 2015; Curdt-Christiansen et al., 2021; Lo, 2019; Lo & Lo, 2014). Researchers have attributed the lack of language development in some EMI studies to a popular assumption among subject teachers that language learning takes place naturally when students learn subject content through EMI (Lyster, 2007). In reality, students who have English as an additional language or dialect often find it challenging to develop sufficient language knowledge for basic interpersonal communication and discipline-related language use (e.g., writing a lab report) when learning subject content through EMI (Cummins, 1979; Lorenzo, 2017; Meyer et al., 2015). They also need to develop appropriate strategy use for self-regulated learning of both the language and subject content (Hu & Gao, 2018, 2020; Pladevall-Ballester & Vallbona, 2016). As students’ English competence is critical to their learning of subject knowledge in the context of EMI, it is important for subject teachers to address language issues, provide explicit teaching of key language forms (e.g., grammar, vocabulary, and discourse features) related to specific subjects, and empower students with strategies to promote self-regulated learning beyond the classroom (e.g., Dalton-Puffer et al., 2018; Kong, 2009; Lin, 2016). For instance, in the context of a Finnish CLIL program, Skinnari and Nikula (2017) found that teachers were aware of the language demands in specific subjects and attempted to adopt pedagogical strategies to support the students’ learning of language and subject content. In the Netherlands, CLIL teachers who believed in the importance of language proficiency for students’ learning of subject content were more willing to invest effort in dealing with language issues explicitly than those who did not (Koopman et al., 2014). Research has also identified a similar connection between CLIL teachers’ beliefs and their pedagogical responses to language issues in Spain (Lasagabaster, 2017). A study on Malaysian mathematics and science teachers also revealed that subject teachers’ engagement with language issues was associated with their self-perceptions as subject content teachers or language teachers (Tan, 2011). These studies confirm the close connection between teacher cognition (i.e., language awareness) and their practice in different contexts. Research has also explored how subject teachers support their students’ learning of language and subject content, particularly in relation to knowledge of language forms and language learning strategies (e.g., Costa, 2012; Pérez-Vidal, 2007). These studies found that subject teachers vary in terms of their focus on students’ knowledge of language forms. While some studies identified that subject teachers did address their students’ lack of knowledge in various ways (Costa, 2012; van Kampen et al., 2018), many did not find that subject teachers addressed language issues (e.g., grammatical forms) explicitly (e.g., Duran & Sert, 2019; Morton, 2010; Pérez-Vidal, 2007). In fact, it appears to be quite common for subject teachers to claim that they prefer to focus on subject content rather than language when delivering subject

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content through the medium of English in contexts such as Turkish universities (e.g., Duran & Sert, 2019). Some studies, such as de Graaff et al. (2007), did find that subject teachers implemented a variety of activities to facilitate students’ learning of language and the development of language learning strategies for learning beyond the classroom. Subject teachers in Hong Kong were found to have used translanguaging and transsemiotizing strategies in facilitating students’ learning of subject content (e.g., Tai & Wei, 2021; Wu & Lin, 2019). These studies highlight how subject teachers used the linguistic and semiotic resources that students and teachers brought to class effectively in teaching biology and mathematics in the medium of English. Nevertheless, it is still necessary for researchers and teacher educators to develop a good understanding of subject teachers’ engagement with language issues in teaching subject content through languages other than their students’ first, by exploring what teachers do and, more importantly, why they do it. In other words, further research is needed to explore how subject teachers’ TLA operates in their teaching practice. To explore subject teachers’ engagement with language issues in teaching, attempts have also been made to develop observation tools to document subject teachers’ teaching. For instance, de Graaff et al.’s (2007) tool covers different aspects of subject teachers’ pedagogical efforts to address the effective learning of subject content and language, including exposure to input, meaning-focused processing, form-focused processing, output production, and the facilitation of language learning strategy use. Exposure to input refers to how subject teachers select and adapt the language in their teaching materials and teaching. Meaning-focused processing involves subject teachers’ efforts to use the language in promoting students’ understanding of the subject content. Output production relates to subject teachers’ efforts to give students opportunities to express themselves in the target language. The facilitation of language learning strategy use means that subject teachers scaffold, elicit, and encourage students to use and develop language learning strategies. This framework can be used to examine subject teachers’ TLA in practice and identify ways to optimize their TLA through professional development (e.g., CurdtChristiansen et al., 2021). In the rest of this chapter, I shall illustrate its use to explore and understand a group of subject teachers’ TLA and its operation in Hong Kong’s secondary schools, where students need to learn mathematics and integrated sciences in the medium of English (Hu & Gao, 2021).

Subject Teachers’ Teacher Language Awareness: An Exploratory Study The following study on subject teachers’ TLA draws data from a longitudinal project on first-year secondary school students’ language and literacy challenges in learning after they switch from learning in their first language (i.e., Cantonese) at primary school to learning in the medium of English at secondary school in Hong Kong (Hu & Gao, 2018, 2020, 2021). While the project documented the challenges that these students experienced and the strategies they reported using, it also investigated

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Table 1 Teachers’ profiles Name Mr. Lo

School A

Mr. Chan

A

Ms. Cheng Mr. Lee

B B

Subject Integrated science Integrated science Mathematics Mathematics

Student academic level low

Teaching subject content through English 7 years

high

7 years

low high

7 years 7 years

their subject teachers’ pedagogical practice in facilitating the students’ learning of subject content (i.e., math and integrated sciences) through the medium of English (Hu & Gao, 2021). The relevant findings help us to make the case that teacher educators should promote subject content teachers’ TLA in facilitating students’ learning of subject content through the medium of languages other than their first. As can be seen in Table 1, two teachers from School A taught integrated science and two teachers from School B taught math in the medium of English. These teachers were quite experienced, having taught for more than 15 years which included teaching subject content through English for 7 years in their respective schools. None of them had received any training related to how to address language and literacy issues when teaching subject content in the medium of English. Mr. Lo and Mr. Chan in School A had both worked with English teachers to support students’ learning of subject content in English. Such collaboration may include co-teaching a few units with the English teachers providing language and literature support to the students. In School B, however, the two math teachers had never worked with English teachers to develop pedagogical support to address the students’ language and literacy issues in learning. Using de Graaff et al.’s (2007) tool, the inquiry focused on identifying how the teachers teach language forms and facilitate the use of language learning strategies in their teaching, as well as what mediates their language-related pedagogical practices. A variety of data were gathered through lesson observations, semi-structured interviews, stimulated recall interviews, and collecting pedagogical materials (e.g., textbooks and worksheets) to document the teachers’ pedagogical practices and TLA for analysis. Transcripts of the observed lessons, together with observation notes, were analyzed to identify the teachers’ teaching of language forms and language learning strategy use. The identified language-related pedagogical practices were then corroborated with those identified in our analysis of the teachers’ semistructured interview data, through which their explanations related to their language-related pedagogical practices were also examined. Detailed information about our data collection and analysis procedures can be found in Hu and Gao (2021). The analysis revealed that the teachers made a few attempts to engage with language issues (e.g., teaching language forms or language learning strategies) in their teaching, but the limited number of efforts related to the teaching of language

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forms and language learning strategies was found to be associated with their understanding of the roles of language in learning, their perceived language demands for learning, and their knowledge of language pedagogy. These findings will be elaborated with data extracts for illustration in the following.

Subject Teachers’ Language-Related Pedagogical Practice The analysis revealed that the teachers spent a limited amount of time addressing students’ language issues when teaching subject content in the medium of English. In the observed lessons, the four teachers committed 46 min (89 episodes) out of a total of 1080 min to focusing explicitly on language forms and language learning strategy use. Further examination of these observed episodes identified that the teachers often prompted students to become aware of problematic language forms, such as the following: Not ‘open’ it, ok? ‘Turn’, turn on the gas tap, ok? (Chan, IS lesson) (Hu & Gao, 2021, p. 48)

As can be seen in the extract above, Mr. Chan explicitly pointed out that it was not appropriate to use “open,” a word many Chinese students in Hong Kong would confuse with “turn on,” before teaching that “turn on” was the correct phrase in the context of describing a science experiment. Subject teachers rarely directly provided the correct language forms in teaching, but they did provide feedback to students in relation to their use of problematic language forms. Occasionally they even went to some length to explain in Cantonese why a particular word is not appropriate: Student: Lower. Teacher: Lower. 呢個寫法同头先寫法係大同小異嘅, 意思一樣. (The spelling rule of this word is similar to the previous one. They have the same meaning.) (Lo, IS lesson) (Hu & Gao, 2021, p. 49)

The analysis also revealed that the subject teachers scaffolded their students’ use of strategies in 23 episodes, but they elicited students’ use of strategies in only two episodes. For instance, Mr. Chan encouraged his students to read textbooks and underline any difficult words they encountered while they were reading: 我想問呢個儀器係咩名, 揾下書. (What’s the name of this apparatus? Search the book.) (Chan, IS lesson) (Hu & Gao, 2021, p. 49)

In a very rare episode, Mr. Lee told his students to use a different but more familiar word to replace a word that was more difficult, as follows: If you don’t know this word [steadily], you can write ‘slowly’. (Lee, Maths lesson) (ibid.)

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It must be noted that some teachers (i.e., Mr. Lo and Ms. Cheng) spent more time dealing with language forms and language learning strategies than other teachers, as they believed that addressing language issues enhances their students’ learning of subject content. However, the strategies they suggested that their students should adopt were quite limited. They did not focus on addressing relevant language issues sufficiently for students to develop an appropriate understanding and overcome these language obstacles to learning subject content. These teachers’ language-related pedagogical practices need to be interpreted with reference to their TLA.

Subject Teachers’ TLA and Pedagogical Practices Since the subject teachers were apparently more concerned with teaching subject content, it is not surprising that they focused on meaning more than language forms. For this reason, these teachers also looked for quick solutions to the language issues that their students experienced in the learning process. One common solution was to replace technical terms that the students might not understand (e.g., “scientific investigation”) with simpler words or expressions (e.g., “scientific methods”). Alternatively, they translated these technical terms into the students’ L1 equivalents to ensure that the students were able to understand the content as rapidly as possible. These observed features of the subject teachers’ pedagogical practices were found to be closely related to their TLA or lack of it. First, what these subject teachers know and believe about language use are crucial components of their TLA (Lindahl & Baecher, 2016). The teachers, like many subject teachers in other contexts, tended to believe that language is secondary to and serves the learning of subject content. This belief underscores their use of simplification and translation to help the students to overcome language challenges and explains the lack of explicit teaching of the language to address language issues. In many cases, teachers might not even be aware of language when they talk about the learning goals they have for their students when learning the subject content, as follows: Mathematics lessons focus on mathematics for sure. The reason why I asked them (students) to find examples in daily life when they were learning ‘percentage’ was that I wanted to increase their learning interest so that they could use what they learnt in daily life. (Lee, interview) (Hu & Gao, 2021, p. 51)

It is important to note that Mr. Lee mentioned no “language,” but he heavily stressed the importance of “mathematical concepts” and “calculation methods” throughout the discussion on this topic in the interview. Like Mr. Lee, Mr. Lo also believed that he should focus on developing the students’ understanding of scientific concepts, phenomena, and procedures – but the English language was beyond his responsibility as a science teacher:

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We want them to understand the dangers in the laboratory, but not naming possible dangers in English . . . we don’t require them to explain in English. They need to know the content, but they don’t have to explain it in English. (Lo, interview) (Hu & Gao, 2021, p. 52)

Mr. Lo apparently did not think that the students needed to learn English because “they don’t have to explain it in English,” even though English was important for the students to understand the subject content since the materials were written in English. For Mr. Lo, as long as the students understood the materials in either L1 or English, they would be able to learn the subject content successfully. Therefore, he asked his students to use Chinese-equivalent materials to better understand the subject content materials in English, instead of teaching them explicitly the language needed for learning subject content. Mr. Chan was even concerned about whether or not focusing on language might undermine the teaching of subject content, even though he believed that a good command of the language would help the students to learn subject content better in the long term: I think it (teaching in English) influences [the learning of] subject matter, but I am not sure whether the loss [of the content teaching is worth it] . . . It is worth it in general, as when you are exposed more to English, I think, even if you can’t make big progress in science knowledge at the moment, I believe the improvement of English will be helpful for your future learning of science. If not, I don’t think the sacrifice [of science knowledge] is worth it. (Chan, stimulated recall) (Hu & Gao, 2021, p. 52)

As can be seen in the data extract above, Mr. Chan also regarded language as being secondary to the learning of subject content. Such understandings and beliefs related to language and subject content learning motivated the teachers to provide explicit language-related support to the students only in situations where they realized that particular words or phrases were closely related to the subject content they were learning. In other situations, the teachers chose not to engage with language issues if possible. In the light of the subject teachers’ willingness to engage with language issues when they felt they were closely related to subject content teaching, it is important for subject teachers to know that different kinds of languages are needed for effective teaching and learning of subject content, including subject-specific language, general academic language, and language for pedagogical interaction. They should know what kinds of language cause challenges for their students in the learning process (Ball, Kelly, & Clegg, 2015). The results of our analysis suggest that subject teachers may not have an adequate understanding of the language demands that their students need to cope with in their lessons, which explains why they did not explicitly engage with language issues in their teaching. Subject teachers also tend to believe that their students’ difficulties in learning subject content are to do with the subject, not to do with the English language that is used as the medium of instruction. Mr. Lee reflected on his teaching and explained why he did not explicitly deal with language issues as follows:

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Learning mathematics in English does not affect this class much . . . The students from this class know relatively more new words, English words. Like I said just now, their English proficiency is higher than other classes. They know a lot of new words . . . Even if there are words that they don’t know, they are able to guess the meaning. (Lee, stimulated recall) (Hu & Gao, 2021, p. 53)

Other subject teachers in the inquiry, such as Mr. Chan, even regarded students’ learning attitude rather than their English language proficiency as the cause of the problems that they reported in learning. In Mr. Chan’s opinion, the students should be able to learn enough English if they work hard at memorizing English words. He did not believe that learning integrated science in English was difficult for his students, and he even argued that the students should have enough English proficiency for learning subject content after they had learnt the 26 letters in the English alphabet. Nevertheless, he did explicitly teach sentence patterns that the students were expected to use in the exams: The science for Year 1 requires description of comparison results or processes in English. It is easier if their English is good, but we know they would have problems in the exams. That’s why we teach them how to write these. If we don’t, they won’t know how to do it. (Chan, interview) (Hu & Gao, 2021, p. 53)

As can be seen in the extract above, Mr. Chan is more concerned about whether or not his students are able to express their understanding of subject content in the exams than whether they can understand subject content during the learning process. Mr. Chan’s concern reflects an important aspect of the subject teachers’ understanding of their students’ language-related challenges. Even when they do understand that their students might encounter problems with language while they are learning subject content, they do not have enough understanding of the kind of languagerelated challenges the students experience; this is reflected in Mr. Lo’s comment on the students: They (the students) didn’t know what to look for in the textbook, and they didn’t understand the meaning of the words or sentences. They just copied them. I don’t understand why. They are hard-working . . . Some students understand the words, and they have no problem with locating answers in the textbooks or notes. But when the questions change and they need to provide answers in their own words, they often fail to make it. I don’t really understand what makes it so difficult. (Lo, stimulated recall) (Hu & Gao, 2021, p. 53)

Teachers like Mr. Lo did try to engage with language issues explicitly in teaching, because they are aware of the language-related challenges as language users themselves. As can be seen in the extract above, however, they still need to develop a much more nuanced understanding of what exactly causes the problems for the students in the learning process. Without such understanding, they are unable to provide the kind of support that would help the students to overcome languagerelated challenges when learning subject content in the medium of English. They were also less willing to engage with language issues (e.g., language forms and language learning strategies) in teaching.

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The teachers’ unwillingness to engage with language issues explicitly also draws attention to their lack of knowledge or understanding of how they can provide language-related support to their students. Teachers like Mr. Lo and Ms. Cheng did try to support their students in addressing language-related challenges, but they were not particularly successful. For instance, Mr. Lo replaced technical terms with simple words and used translations to help his students in teaching subject content largely because he did not know what else he could do: I understand that the language is a challenge . . . what I can do is to explain the parts they do not understand with simple English or Chinese, but I do not have particular methods to help them master the language. (Lo, interview) (Hu & Gao, 2021, p. 54)

Similarly, Ms. Cheng felt that she could not do much more than pointing out problematic language forms and ask her students to underline these in her attempts to engage with language issues when teaching subject content. She admitted that she did not know how to develop students’ English language to help them in learning mathematics. As a result, she could not suggest the students did “more reading” and “get more exposure to the keywords” while she did not even know what the students should read or where they might be likely to encounter the keywords. Even though Mr. Lo sought help from English teachers, like other subject teachers in the study, he was not well prepared to deal with the language issues that his students had in learning subject content. This means that these teachers could only resort to the use of a shared language they had with the students (i.e., L1), and mostly gave up on pedagogical opportunities to teach students the language they needed to learn the subject content: I did not speak Chinese in the classes before, but now I speak quite a lot of Chinese so that they will understand the content. I will not ask them to describe [scientific phenomena] in English anymore. (Lo, stimulated recall) (Hu & Gao, 2021, p. 55)

The teachers were aware of their lack of the skills and knowledge to deal with their students’ language issues while learning subject content. This explains why they avoided engaging with these language issues on most occasions. They knew that their students encountered difficulties and they made some attempts, but they also realized that their support might not be adequate. In other words, they were in need of developing appropriate TLA to enable them to provide adequate support for their students in their struggles with language issues.

Conclusion The findings reported above confirm that TLA plays a critical role in mediating subject teachers’ pedagogical practices when they are teaching subject content through languages other than their students’ first. For instance, their awareness of the role of language in the learning process should help them to decide which

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pedagogical content is appropriate for use. Even though these teachers teach in educational programs whose success builds on students’ improved language proficiency for the learning of subject content, they are still more likely to exclude language as one of their pedagogical goals most of the time, and they may not attempt to help the students to develop the relevant language skills needed to learn the subject content (Lo, 2019; Lo & Lo, 2014). The findings also suggest that subject teachers’ knowledge of their students’ needs mediates their decision to focus their teaching on subject content or language. If subject teachers were more aware of the challenges that their students need to address in the learning process, they would be more likely to explore how they could help the students to overcome these challenges, including challenges related to the language as medium of instruction. However, their awareness of the students’ language struggles was limited due to their lack of language analytic awareness. They also need to develop language pedagogy skills so that they can deploy effective strategies in supporting their struggling students. As an example, if they know which words the students need to develop better knowledge of and what resources they can use to develop such knowledge, they would be readily able to offer guidance to help students to develop critical vocabulary knowledge for the learning of subject content. In light of these findings, teacher education programs in Asia and other contexts should prepare teachers, both subject teachers and language teachers, for the need to address students’ language and literacy challenges in teaching. To achieve this, teacher education programs should promote TLA as a critical foundation for effective learning and teaching, particularly among subject teachers who are expected to teach subject content through languages other than their students’ first language (e.g., Curdt-Christiansen et al., 2021; He & Lin, 2018; Hu & Gao, 2021; Lo, 2019; Pérez-Cañado, 2016). Subject teachers learn to become aware of the language challenges that the students encounter in learning subject content. They need to develop effective analytical skills to identify the features of the language used in their subjects, and they need to develop skills and strategies to assist the students with appropriate language and literacy skills in order to learn the subject content. Therefore, teacher education programs need to achieve the following: • Subject teachers develop appropriate levels of TLA based on their students’ learning needs, after an analysis of the language knowledge and awareness they have. • Subject teachers develop solid knowledge of the language used in their subjects, an awareness of the role of language in learning and teaching subject content, and the capacity to analyze the language needed for basic and deeper levels of content learning (Ball et al., 2015; Coyle, Hood, & Marsh, 2010). They need to be empowered to shoulder the responsibility of addressing their students’ language-related needs while they are learning subject content. • Subject teachers learn about principles and practices so that they can help their students to develop subject-specific academic literacies to enable the learning of different subject content.

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• Subject teachers use the linguistic and semiotic resources available in a given classroom to adopt translanguaging and transsemiotizing strategies in facilitating students’ learning (e.g., Tai & Wei, 2021; Wu & Lin, 2019).

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Language Assessment Literacy of EFL Teachers in East Asia: From Teachers’ Conceptions of Language Assessment to Their Practices in Classrooms

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Educational Assessment in East Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Defining Language Assessment Literacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Researching Language Assessment Literacy in East Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Language Assessment Literacy: From Theoretical Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . Language Assessment Literacy in Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion and Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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English is taught as one of the most popular foreign languages in East Asia. English as a foreign language (EFL) teachers’ conceptions, knowledge, and skills in language assessment can influence their assessment practices and decisions. Teachers’ language assessment literacy (LAL) is not only an integral part of their own professional identity and development, but also a mechanism to ensure fairness and equity in their everyday assessment practices that can have a significant influence on their students’ learning. Set within the specific context of East Asia, this chapter reports our review of studies that aimed to identify different components of LAL, EFL teachers’ conceptions of language assessment, how their conceptions might affect their practices in classroom-based assessment and high-stakes examinations, the training needs of teachers, and the effectiveness of different assessment training programs. The discussions of the findings are made with reference to the interrelationships between EFL L. Fang Shantou University, Shantou, China e-mail: [email protected] G. Yu (*) University of Bristol, Bristol, UK e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_31

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teachers’ LAL, their professional growth and educational development in East Asia more broadly. We conclude the chapter by calling for the inclusion of a range of East Asia-specific factors (educational, social, cultural) in the current context of globalization and teacher professionalism in a digital age, for the conceptualization of LAL of EFL teachers in East Asia. Keywords

Language assessment literacy · Learning-oriented assessment · Educational reform · Educational development · East Asia

Introduction There is a paradigm shift in language assessment, with emphasis now increasingly being placed on assessment for learning (Gu & Yu, 2020). Teachers are required to be knowledgeable and skillful in not only designing and using high-stakes summative assessment but also conducting low-stakes classroom-based formative assessment. Yet fundamental questions, such as what teachers should know about language assessments, what language assessment literacy (LAL) means to teachers, and how to improve teachers’ LAL, remain inconclusive. Moreover, there are numerous top-down educational reforms introduced by governments in East Asia that place a high demand on language teachers as they are the people at the frontline conducting summative and learning-oriented assessments. Research findings, however, have suggested that teachers are not wellprepared for this change. For example, teacher-made language tests are questioned for their low quality (Coniam, 2009); language teachers do not have sufficient knowledge and skills in language assessment (Jin, 2010); language teachers are more likely to employ traditional assessment methods than using formative assessment in classrooms (Kim et al., 2020). This chapter reports our review of research on LAL in three exam-oriented educational systems in East Asia (China, Japan, and Korea). We will explain how teachers in East Asia conceptualize LAL, how they apply their LAL in classroom practices, and the challenges they face when conducting learning-oriented assessments.

Educational Assessment in East Asia Before we review LAL development in the three East Asian countries, it is important that we introduce briefly educational assessment in these countries. China, Korea, and Japan all have an exam-oriented educational system. Confucian philosophy that man could become better by education has considerable influence on the examination systems of these countries. Success in high-stakes standardized tests could bring individuals and their family fame and fortune.

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This belief was verified by the ancient civil service examinations and the modern college entrance exam system (Kwon et al., 2017). Scores from such tests are the key to enter prestigious universities. Teachers teach to tests, and students learn to the tests (So & Kang, 2014). Kirkpatrick and Zang (2011) described a Chinese high-school student’s daily routine incorporating tests as follows: “Chinese students have eight classes each school day. On average, each class has 3 or 4 tests per subject . . .” (p. 37). English language is one of the mandatory subjects in China. The numbers of language tests that students need to take are phenomenal. In recent years, several policies have been introduced to promote classroom assessments, with the aim to put teachers and learners at the center stage of learning and assessment (Yu & Jin, 2014). In Korea, to obtain a high score on the College Scholastic Ability Test, students are sent for private tutoring after school. A government report shows that 81.1% of elementary school students, 69.1% of middle-school students, and 49.5% of highschool students participate in shadow education (Korean Statistical Information Service, 2015). Such exam-oriented culture also impacts teachers’ teaching and testing experience (Butler, 2009). Teachers indicated that there was no point in teaching beyond the test or applying formative assessments (Ro, 2019). In Japan, 77% of universities are private, which makes the university entrance examinations complex and hard to prepare for. In the most recent educational reform in 2020, one of the changes was to add listening and speaking tests to the existing assessment of reading and writing skills in English. However, this plan was criticized by the public because of the inconsistency of test scores and inequality in test preparation. As a result, the new test system was postponed to 2024. Kuramoto and Koizumi (2018) explained that educational assessments in Japan are evaluated by how useful they are for education, and that test stakeholders usually have limited assessment literacy. China, Korea, and Japan are all undergoing significant educational reforms. While the governments are introducing learning-oriented assessment into their educational systems, summative assessment has long been the norm for assessing learners’ knowledge. The leading practitioners of the reforms, teachers themselves, are educated and selected by summative evaluations. In other words, summative evaluations are deeply ingrained in the social context, personal belief, and teachers’ educational background.

Defining Language Assessment Literacy Assessment literacy (AL) refers to teachers’ competencies in conducting educational assessment activities. According to The Standards for teachers competence in educational assessment of students (The American Federation of Teachers, National Council on Measurement in Education,, & National Education Association, 1990), AL refers to skills in “selecting, developing, applying, using, communicating, and evaluating student assessment information and student assessment practices” (p. 3). Brookhart (1999) suggested that the concept of AL should be expanded to include

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principles, knowledge, and skills for formative assessment as well. Popham (2011) defined AL as “an individual’s understandings of the fundamental assessment concepts and procedures deemed likely to influence educational decisions” (p. 267). Here, “individual” can be any stakeholders of educational assessment, for example, policymakers, score users, parents, and assessment experts. Similarly, language assessment literacy (LAL) was also defined from a componential view. Brindley (2001) listed five essential components in language assessment programs for teachers, including “the social context of assessment, Defining and describing proficiency, Constructing and evaluating language tests, Assessment in the language curriculum and Putting assessment into practice” (p. 129). InbarLourie (2008) proposed a three-element knowledgebase, namely, “why,” “what,” and “how.” The “why” refers to the rationale for language assessment, such as understanding the roles of language assessment in society. The “what” stands for the integrated aspects of knowledge, which serves as the foundation for undertaking a test, and “how” refers to the practical skills for conducting assessment-related activities. Based on an international online survey, Fulcher (2012) proposed a threelayer model of LAL, that is, “practice,” “principles of assessment,” and “context.” Fulcher considered “practice” as the most important element because it contains teachers’ knowledge, skills, and abilities in conducting assessment activities. Based on the above models, we could infer that teachers’ LAL should include teachers’ understanding of social context in which the assessments were conducted; teachers’ understanding of the assessment principles that guide assessment activities; and teachers’ knowledge, skills, and abilities in conducting assessment-related activities. In the last decade, there was a gradual shift in defining LAL from the componential view to a developmental one. Teachers’ LAL progression was no longer described dichotomously as literate vs. illiterate. Instead, it was described as a continuum. Pill and Harding (2013) illustrated LAL as a continuum with five levels, which are “illiteracy (0), nominal literacy (1), functional literacy (2), procedural and conceptual literacy (3) and multidimensional literacy (4).” Taylor (2013) identified eight essential components of LAL knowledgebase, which are “knowledge of theory,” “technical skills,” “principles and concepts,” “language pedagogy,” “sociocultural values,” “local practices,” “personal beliefs/attitudes,” and “scores and decision-making” (p. 410). The eight components she proposed were further defined as a continuum for different stakeholders whose LAL knowledge base and level vary according to their different roles and responsibilities in language assessment. For example, language teachers might not know much about assessment theories, but they are more knowledgeable about language pedagogy than other stakeholders. Theoretically, language teachers could/should be functionally literate (2) in “principles and concepts, knowledge of theory,” and “scores and decision making”; procedurally and conceptually literate (3) in “technical skills,” “sociocultural values,” “local practices,” and “personal beliefs/attitudes”; and multidimensionally literate (4) in “language pedagogy.” To verify Taylor’s (2013) theoretical model, Baker and Riches (2018) examined teachers’ and testing professionals’ experience. Participants were required to review and revise a national language examination in a workshop. By analyzing teachers’

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Table 1 Comparison between Taylor (2013) and Baker and Riches (2018) models Taylor (2013) Knowledge of theory (2) Principles and concepts (2) Technical skills (3) Language pedagogy (4) Personal beliefs/attitudes (3) Local practices (3) Scores and decision-making (2) Sociocultural values (3)

Baker and Riches (2018) Theoretical and conceptual knowledge (2) (D) Task performance (3) (P) Language pedagogy (4) (P) Awareness of personal beliefs/attitudes (4) (D) Awareness of local practices (4) (D) Decision-making (3) (P) Sociocultural values Collaboration (3) (P)

and testing professionals’ feedback on test items as well as data from a survey and interviews, they largely confirmed Taylor’s (2013) suggestion on what components and at what level that language teachers should be literate about assessment (see Table 1). Baker and Riches adopted Eraut’s (2004) progression typology to categorize the LAL components as declarative knowledge (D, what) and procedural knowledge (P, how to). They combined “knowledge of theory” and “principles and concepts” and renamed them as “theoretical and conceptual knowledge.” They changed “personal belief/attitudes” and “local practices” to “awareness of personal belief/attitudes” and “awareness of local practices.” They replaced “technical skills” with “task performance” because the latter was a broader term to include knowledge required in the assessment design, administration, and validation process. “Scores and decision-making” was changed to “decision-making,” so the procedural nature could be better reflected. “Collaboration” was added as a new component. “Sociocultural values” was considered an element that informs all the other components. Baker and Riches (2018) also suggested that teachers should have a higher level of declarative knowledge in “awareness of personal belief/attitudes” and “awareness of local practices.” Kremmel and Harding (2020) surveyed three different groups of stakeholders (645 language teachers, 198 language test developers, and 138 assessment researchers worldwide) on what they think they need to know to perform their respective function. The international survey used a five-point scale ranging from 0 to 4 (representing knowledge level from 0 to very high 4). Language teachers rated most components between 2 and 3, most of which were lower than the other two stakeholder groups (Kremmel & Harding, 2020, p. 111). In other words, teachers believed that they might not need to be as knowledgeable as other stakeholders to conduct language assessment activities. Previous studies found that “assessment theory and principle” was less needed by teachers; however, this study found that teachers rated it as “important.” “Language pedagogy,” which was considered more relevant and important to language teachers in previous studies, was however not rated by the teachers in this survey as more important than by the other two groups of stakeholders.

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Researching Language Assessment Literacy in East Asia Language Assessment Literacy: From Theoretical Perspectives In East Asia, the componential view of LAL proposed by, for example, Inbar-Lourie (2008), Fulcher (2012), and Taylor (2013), was adopted with consideration of the local educational, social, and political context. Newfields (2006) designed a test for language teachers in Japan to assess their assessment literacy. The test included four parts: terminology, procedures, test interpretation, and assessment ethics. Each question was reviewed by a panel of six testing experts to see if they were appropriate for language teachers. Yet, the selected topics covered by the test were narrow as most of the questions focused on using and interpreting statistics. That is, the test was based on only the “how” of Inbar-Lourie model or the “practice” in Fulcher model. Jin’s (2018) model was closely related to Fulcher’s three-layer model. She argued that language teachers working at different levels and types of educational institutions could be involved with different kinds of assessment activities (e.g., large-scale standardized tests, achievement tests, and classroom assessments) and would therefore require different aspects and levels of LAL. For example, in large-scale standardized tests, teachers would not take part in its design or implementation, yet they need to know the assessment purposes, test constructs, test item types, scoring methods, and use of test scores. In this case, teachers should have a comprehensive understanding of the assessment context, though they may be less skillful in test development. On the other hand, if teachers need to conduct classroom assessment, they should be proficient in its design and implementation. Jin’s (2018) model is innovative as it takes the Chinese educational context into consideration and specifies teachers’ LAL level for conducting different types of assessment. The brief review above indicated that LAL was deeply rooted in the componential view of “principle,” “knowledge,” and “skill.” Yet, a shift in the conceptualization of LAL is also evident. The definition of LAL has been expanded from a focus on ensuring validity and reliability of standardized tests, to a sociocultural model, integrated more closely with the learning and teaching process in classrooms.

Language Assessment Literacy in Practice The frameworks of LAL recommended by various scholars (as reviewed above) provide the theoretical basis for further empirical research into examining teachers’ LAL in practice. To identify the main themes from relevant studies on teachers’ LAL in practice, we searched for peer-reviewed journal articles, chapters, thesis, and academic books with the combination of search terms, “LAL,” “language teacher,” “language assessment” and “assessment competence” with the time span setting from 2000 to 2021. In total, we identified 65 journal articles, book chapters, thesis, and books. Then we used the thematic coding procedures and identified three main themes, which are “what teachers should or already know about language

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assessments”; “what the possible factors influencing teachers’ LAL are”; and “how to improve teachers’ LAL.”

What Do Teachers Know about Language Assessment? Researchers have interpreted this question from two perspectives. One is what teachers should know about language assessment. That is, ideally, what should be included in teachers’ LAL knowledgebase so that they could conduct language assessment competently. The other interpretation has to do with teachers’ perceptions and practices of language assessment in their own professional contexts. One way to understand teachers’ LAL is to survey what is covered in teacher training programs. The course contents represent what teachers should know about language assessment from the perspectives of course designers and tutors. Jin (2010) conducted a nationwide survey on language testing and assessment courses with 86 instructors, who provided training at tertiary level to pre-service language teachers. Survey data indicated that test validity, reliability, item-writing principles and techniques, item facility and discrimination, test data analysis, and score interpretations were the most taught topics in pre-service training programs for English-language teachers in China. However, understanding assessment in the social context, washback, consequential validity, test impact, and teachers’ classroom practice were less covered in these courses. Similar to Jin’s (2010) findings, Lam (2014) found that teachers in Hong Kong were not provided with sufficient training in language assessment. With data from teacher education program surveys, government documents, interviews, student assessment tasks, and teaching evaluation, Lam found that teacher training comprised topics related to classroom assessment and standardized tests; however, the contents of the training were not comprehensive enough to provide teachers with sufficient opportunities to develop their language assessment literacy. Interviewing assessment experts who wrote assessment textbooks and designed assessment training courses for teachers was another way to find out what teachers should know about language assessment. Pan (2020) conducted in-depth semistructured interviews with 10 assessment experts from 10 universities in China. Data indicated five components of teachers’ LAL. Apart from the assessment principle, knowledge, and skills, the assessment experts particularly stressed the importance of including teachers’ language proficiency as one of the key components of their LAL knowledgebase. The assessment experts argued that most language teachers in China were not native speakers, therefore being proficient in using the language would help them improve their LAL. Besides, the assessment experts believed that teachers should have the motivation and autonomy to continuously improve their LAL as part of their professional development. Matsumoto et al. (2011) investigated the content of teacher education textbooks, assessment workshops, teacher educators’ needs, and test items in teacher exams. Their findings revealed that teacher training programs in Japan did not cover essential assessment-related concepts and statistical skills. Most textbooks included the concepts of reliability, validity, and practicality, yet the topics were not fully discussed. Furthermore, only 4 out of 2096 questions in the English Teacher’s

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Employment Examinations were related to language assessment. In other words, teachers could be certified even though they had a limited assessment knowledge. They concluded that language teachers in Japan were ill-prepared for conducting assessment-related activities. Another way to understand teachers’ LAL is to observe teachers’ assessment activities. Fang (2016) observed how a group of 12 English teachers in the English Language Centre of a Chinese university designed a low-stakes summative assessment. Data included classroom observation before the test, video recordings of item designing and writing process, retrospective interviews, emails between the teachers, and focus group discussions with the teachers. The study found that teachers’ assessment knowledge and skills were intertwined with their pedagogical knowledge, knowledge of second-language acquisition, linguistic knowledge, and personal belief/attitude. Their LAL was also greatly influenced by the institutional context. On the one hand, teachers’ LAL developed while they had assessment practices. By creating, piloting, and revising test item, teachers became more skillful and knowledgeable in language assessment. On the other hand, teachers also did things against assessment principles when they confronted pressure from the local context. For example, some teachers ignored the high risk of leaking test contents; some teachers kept silent when they found the test items created by their superiors were problematic. Fang concluded that LAL is a dynamic and multidimensional concept, which was evolving in the whole test designing process. Xu (2017) found that novice teachers first planned classroom assessments carefully; after a while, they learned to connect assessment with teaching objectives, and finally, they were able to improvise classroom assessments in teacher–student interactions when they became more responsive in the dynamic classroom setting. Yan et al. (2018) found that teachers’ own experience in language testing, especially their experience in communicating with stakeholders, in item writing and analyzing students’ exam performance, and instructional adjustments can all contribute to teachers’ development of LAL. They concluded that “LAL appears to have developed from the combination of hands-on experiences of item writing, item analysis, and communication with stakeholders” (p. 165) and that “the impact of contextual factors is mediated through experiential factors” (p. 166). Other research methods, for example, conducting large-scale surveys with teachers and analyzing teacher-designed assessment tasks, were also employed to examine teachers’ attitudes and competence in language assessment. According to the responses from 891 English-language teachers in Chinese universities to the Teacher Assessment Literacy Questionnaire, Xu and Brown (2017) found that teachers had a basic level of assessment literacy in the following domains, “aligning tasks to instructional goals, objective scoring of tasks, clarity as to the purpose of assessments, engaging students in assessment practices, valid grading, and accurate interpretation of standard scale scores” (p. 147), and teachers’ assessment literacy was inadequate and less multidimensional than they had expected. Similarly, Lan and Fan (2019) conducted an online survey with 344 in-service middle school teachers to identify their training needs for classroom assessment. It was found that although teachers had a functional level of classroom-based assessment literacy

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they would like to have professional trainings to be “procedurally and conceptually literate” in conducting classroom-based assessment. Zhang and Yan (2018) analyzed teacher-made test items and interviewed the teachers to investigate their assessment skills. Unlike studies that found the poor quality of teacher-made items (Cai, 2013; Coniam, 2009, 2014), Zhang and Yan (2018) indicated that teacher-made items had explicit constructs, high internal consistency, and that the test results showed strong correlations between different language skills assessed. The tests were also developed with a certain level of standardized procedure. However, by detailed analysis of the test content, they found a few items were not written with appropriate words, which suggested that teachers might not have high English-language proficiency. Moreover, the interview data indicated that most teachers did not receive any assessment-related training and had little knowledge regarding item analysis either. Kim et al. (2020) revealed a picture of teachers’ beliefs and attitudes toward teacher-based assessment and educational reforms in Korea. Over 120 in-service English-language teachers participated in their study. The researchers noticed a significant discrepancy between teachers’ understanding and practice in language assessment. For example, teachers believed that teacher-based assessments were very important for their teaching activities, and they were willing to apply teacherbased assessment in their classes because it provided diagnostic information on learning. However, the interviews showed that teachers were hesitant to use teacher-based assessment. Instead, teachers preferred standardized tests because they provide scores of students’ understanding and knowledge more readily than teacher-based assessment. There were also differences between teachers at the elementary and secondary schools. In general, teachers in elementary schools were more familiar with teacher-based assessment tools, and they also applied them to their classroom teaching. The main reason was that they were not constrained by high-stakes standardized tests as the secondary teachers were. Based on how teachers implemented teacher-based assessment, the researchers classified teachers into three groups: adapter, negotiators, and contenders. Adapters were teachers who believed that teacher-based assessment could help students in their learning. They actively implemented different kinds of teacher-based assessments in their classes. Negotiators were teachers who passively accepted teacher-based assessment because of the request for government reform. However, negotiators’ interpretations of teacher-based assessments could be very different from adapters’. For example, one teacher believed the purpose of teacher-based assessments was to prepare students for college entrance exams. Contenders were teachers who showed strong resistance to teacher-based assessment and the reform. They felt reluctant and powerless to teacher-based assessment. Lam (2019) focused on Hong Kong EFL teachers’ classroom assessment literacy in L2 writing. The participants considered themselves as equipped with sufficient assessment knowledge and skills relating to L2 writing classroom assessment. However, Lam (2019) found that teachers could not understand formative assessment, especially some technical terms, such as “assessment as learning” and

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“assessment for learning.” He also found that teachers’ classroom assessment practices were constrained by institutional contexts. The findings from the studies reviewed above are broadly in line with those in Europe. For example, Jin (2010) in China and Matsumoto et al. (2011) in Japan, and Vogt and Tsagari (2014) in Europe all found that teachers were not well-prepared for language assessment, especially for classroom assessment. Teachers being ill-prepared for classroom assessment could also be found in other Asian countries, for example, Bangladesh (Sultana, 2019), Iraq (Muhammad & Bardakci, 2019), and Iran (Babaii & Asadnia, 2019). It seems that inadequate assessment training is prevalent in both Asia and Europe. Under the educational reforms in East Asia, teachers are encouraged to use classroom assessment, but most studies revealed that teachers were unable to conduct classroom-based assessment. Take Korea as an example, the perceptions of teaching to high-stakes standardized tests have been ingrained in secondary teachers’ minds. They either preferred teach-to-test methods or they felt they had to do so in the examination-oriented context. Teachers in other countries also have a similar experience. For example, Hidri (2016) showed that classroom evaluation in Tunisia was mainly summative. Sultana (2019) suggested that teachers in Bangladesh heavily focused on training students for tests and had no time to use classroom assessment; Seden and Švaříček (2018) revealed that teachers in Czech Republic mainly used summative assessment and rarely employed selfassessment, peer assessment, or portfolio assessment. Findings from Fang (2016), Xu (2017), and Yan et al. (2018) demonstrated that teachers’ LAL was not static, instead, it was evolving and developing in and through teachers’ assessment practice. Teachers’ experience in local context could help them to reflect and evaluate their assessment practice. This view echoed with Levi and Inbar-Lourie’s (2020) that teachers’ LAL was a process-oriented phenomenon. It also supports Scarino’s (2013) call that teachers should develop their ability to evaluate their own perceptions on language assessment, being more conscious about how they interpret their own assessment practices. In the next section, we will look at various research-informed suggestions on how to improve teachers’ LAL.

How Can Teachers Improve Their LAL? Researchers in Europe stressed diversifying training methods. For example, Harding and Kremmel (2016) suggested pre-service programs, professional development programs, in-service training, and self-study to improve language teachers’ assessment literacy. In the United States, Malone (2013) emphasized the importance of developing online tutorial materials. In East Asia, researchers have suggested offering on-the-job training opportunities and improving teacher pre-service training programs to enhance teachers’ LAL. Yan and Fan (2021) compared EFL teachers’ LAL with language testers and graduate students. They found that EFL teachers’ LAL was influenced by context and experience. Compared to other stakeholders, teachers were less familiar with

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assessment theory and concepts. However, they were more competent in conducting assessment. For example, secondary school teachers were skillful in assessment development and college English teachers were proficient in applying classroombased assessments. Yan and Fan (2021) proposed that language assessment literacy of all key stakeholders can be improved via “apprenticeship-based, experiencemediated model of LAL development’ (p. 20).” They argued that the local assessment context would provide resources and opportunities for teacher assessment practice. Through the iterative process of practicing, making mistakes, and revising, teachers could accumulate assessment experiences in the specific context that they are familiar with. The practices in context could also create opportunities for teachers to reflect and evaluate their strengths and weaknesses. Then their enhanced LAL would allow teachers to conduct new assessment practice in the local context. Teachers, however, were unwilling to take advanced training if the training courses were more than 3 days. According to Gan and Lam (2020), for example, some teachers were not interested in assessment training at all. Some teachers preferred reading books and papers or attending lectures or conferences than attending dedicated language assessment training courses due to their heavy workload and family responsibilities. In addition, they found that teachers were not supported by their universities to participate in advanced assessment training. They argued that although advanced in-service training could be an efficient way to improve teachers’ LAL institutes should offer teachers more support to guide teachers’ professional development. The research studies on teachers’ assessment practice revealed two trends of teachers’ LAL development. Firstly, LAL development is contextualized. Countries in East Asia were promoting classroom assessment in the examination-oriented context, and there were also an increasing number of studies that investigated teachers’ knowledge and skills related to classroom assessment. However, since high-stakes standardized tests still play an important role in both local and national educational systems, and after all, teachers’ LAL consists of assessment knowledge and skills from both high-stakes standardized tests and low-stakes classroom-based formative assessment, it is important to emphasize that teachers should be knowledgeable and skillful in both the standardized test development process and applying various learning-centered/oriented language assessments in classroom teaching.

Discussion and Conclusion In this chapter, we have reviewed research studies on English-language teachers’ assessment literacy in three East Asian countries (China, Korea, and Japan), with close reference to the findings of those studies conducted in other educational contexts. These studies have identified different components of LAL, teachers’ training needs, features, and effectiveness of different assessment training programs, as well as different approaches to measuring teachers’ assessment literacy. The

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importance of teachers’ assessment literacy can never be stressed enough, from the perspectives of both the teachers’ own professional development and their students’ language learning process and outcome. Language teachers’ assessment literacy affects to a great extent how they conduct assessments on a daily basis, be it formative or summative, thus influencing their students’ learning motivation, opportunities and outcomes, and consequently the views of different stakeholders (including teachers, students, parents, and policymakers) toward the fairness and equity of assessment decisions within and beyond classroom. Language teachers’ assessment literacy is not only an integral part of their professional growth and identity but also acts as the lever for change for implementing educational assessment reforms, especially in an exam-oriented educational context like China, Korea, and Japan. In this sense, East Asia is in a unique position to make a significant contribution to a better understanding of what constitutes language teachers’ assessment literacy and what roles language teachers’ assessment literacy can play in implementing educational reforms, for example, to incorporate low-stakes formative assessment with high-stakes standardized summative assessment in the traditionally exam-oriented educational systems. With reference to the remit of English-language teachers in East Asia (of whom the majority are non-native speakers of English) in terms of their own professional development and their expected roles, responsibilities and contribution to educational reform and development as the frontliners in classroom, we would make three suggestions to conclude this chapter. Firstly, a range of East Asia-specific factors (educational, social, cultural) in the current context of globalization and teacher professionalism in a digital age should be profusely reflected and included in the conceptualization of LAL of EFL teachers in East Asia. Secondly, EFL teachers’ assessment literacy must be viewed as part of the teachers’ continuous professional development. Thirdly, any educational assessment reform should take due consideration of teachers’ current assessment literacy and build into its holistic implementation several targeted training programs to improve teachers’ assessment literacy. Along the three lines of argument above, we suggest future empirical studies on teachers’ LAL in East Asia should not only explore how educational, social, and cultural factors affect different conceptualizations of LAL but also track any potential changes of the constructs of LAL across different generations of EFL teachers between East Asia and other educational assessment systems. Equally important, it would be useful to track how individual teachers develop their LAL, in relation to their personal efforts and educational reforms and policies, and how their improvement in LAL affects their own professional development and their students’ learning outcomes. At a macrolevel, such studies should look at the extent to which the globalization (or otherwise) of EFL curricula and assessment, teaching workforces, and education systems would neutralize or strengthen the effects of individual, educational, social, and cultural factors on local/institutional and national levels, on teachers’ perceptions and practices of language assessment. From the perspectives of educational development, empirical research studies should also look at the extent to which the improvement of teachers’ LAL especially in conducting classroom-based formative assessment can act as the lever for change in the exam-oriented educational systems in East Asia.

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The Association Between Educational Systems and Reading Literacy Performance in PISA Across the Asia-Pacific Region and Countries

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Andres Sandoval-Hernandez, Dan Zhao, Zhijun Chen, and Nurullah Eryilmaz

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reading Literacy in the Asia-Pacific Region and Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Individual-Level Factors Influencing Students’ Reading Literacy . . . . . . . . . . . . . . . . . . . . . . . . . Class-Level Factors Influencing Students’ Reading Literacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . School-Level Factors Influencing Students’ Reading Literacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Future Directions and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

PISA’s reading literacy test assesses an individual’s skills and competencies to understand, use, reflect on, and engage with written texts. This chapter seeks to understand how the different educational systems in the Asia-Pacific region contribute to students’ reading literacy performance in PISA. Taking the results of the latest cycle of PISA into consideration, this chapter critically reviews and analyses the current trends of reading performance across the Asia-Pacific regions and countries. Comparisons are made between high-performing countries (e.g., Singapore) and low-performing countries (e.g., Philippines) to illustrate further how the individual-level, class-level, and school-level factors contribute to countries’ reading literacy performance. Overall, the chapter argues that students from more established educational systems perform better in PISA reading literacy tests, but that the performance gap differs among nations due to varying influence variables on the three levels.

A. Sandoval-Hernandez (*) · D. Zhao · Z. Chen · N. Eryilmaz Department of Education, University of Bath, Bath, UK e-mail: [email protected]; [email protected]; [email protected]; [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_26

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Keywords

Reading literacy · Asia-Pacific region · Educational system · OECD · PISA · International Large-Scale Assessments

Introduction Developing reading literacy is one of the main goals that a sound educational system should emphasize, as it is the foundation of all subjects. In the past few years, the education sector has stressed and increased its efforts to enhance children’s literacy levels regardless of their social and economic background (Chiong & Dimmock, 2020). Research has shown that major factors influencing student performance in reading literacy can be divided into individual-level factors (e.g., socioeconomic status, gender), class-level factors (e.g., teacher qualification), and school-level factors (e.g., curriculum implementation, educational leadership). According to OECD (2019b), the noticeable difference in reading performance across the AsiaPacific region and countries has drawn the attention of educational practitioners, researchers, and policymakers. Improving reading literacy in an equitable way has become a focal point in the Asia-Pacific region’s educational reform movements in recent decades. The Asia-Pacific region has been conceptualized in different ways. So, before starting this chapter, it is necessary to set its geographical scope. For this chapter, the Asia-Pacific region has been operationalized by combining two regional groups, one of which represents the Asian component of the region and the other the Pacific component. The Asian component comprises three East-Asian countries (Japan, China, and South Korea) and member countries of the Association of Southeast Asian Nations, including Brunei, Cambodia, Indonesia, Laos, Malaysia, Myanmar, the Philippines, Thailand, Singapore, and Vietnam. The Pacific region is made up of countries that are members of the Pacific Island Forum, including the Cook Islands, Fiji, Kiribati, Republic of Marshall Islands, Federated States of Micronesia, Nauru, Niue, Palau, Papua New Guinea, Samoa, Solomon Islands, Tonga, Tuvalu, and Vanuatu (Baroutsis & Lingard, 2021). The high levels of multilingualism present in the Asia-Pacific regions and countries have been of long-standing theoretical and empirical interest across different disciplines, particularly in education. A recent review of the patterns in language-ineducation policy in the Asia-Pacific region showed that most countries in the region have adopted policies that give attention to two languages only – the national language and English – and that other languages have been marginalized in education, although there are some cases where a greater range of languages is included in educational contexts (▶ Chap. 26, “Language-in-Education Policy in the AsiaPacific Region”). Another contextual factor to consider is that most of the countries of the AsiaPacific region are former colonies and only gained their independence in the second

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half of the twentieth century. Some countries were colonized by European powers as early as the sixteenth century (e.g., the Portuguese acquisition of Malacca in 1511). Other countries have a much more recent colonial history, and in parts of the Pacific structural colonial links still persist, as in the case of Niue and the Cook Islands, and Micronesia, Palau, and the Marshall Islands, which are in “free association” with New Zealand and the USA, respectively (▶ Chap. 26, “Language-in-Education Policy in the Asia-Pacific Region” p. 3). As a result, a number of the Asia-Pacific nations have fallen behind in developing adequate education systems targeting educational effectiveness (Fowler, 2021; Suparwito, 2019). This chapter thus seeks to contribute to this endeavor by reviewing studies across the Asia-Pacific region and countries to identify patterns in the association between major factors and academic achievement in reading literacy. This chapter is divided into four sections. The first three sections review and discuss relevant papers across the Asia-Pacific that investigate the impact on reading literacy of individual factors, class-level factors, and school-level factors, respectively. The last section identifies current research gaps, discusses policy implications for the Asia-Pacific region and countries, and offers directions for future research.

Reading Literacy in the Asia-Pacific Region and Countries Reading literacy is one of the essential abilities for students as it can be seen as the foundation for all learning disciplines (Rintaningrum, 2015). The ability to read is significant as it constitutes the basis of the whole learning progress and enables students to study languages and literature, as well as understand and interpret the contents of other subjects. Research has shown a consistent association between students’ reading literacy level and their performance in other subjects. For instance, students with a high level of reading literacy tend to also perform well in science, social studies, and mathematics (Marshella, 2014). Countries in the Asia-Pacific region participate in several international large-scale assessments that include measures of reading literacy, such as PISA, PIRLS, SEA-PLM, and PILNA. PISA is the OECD’s Programme for International Student Assessment. PIRLS is the International Association for the Evaluation of Educational Achievement’s (IEA) Progress in International Reading Literacy Study. The Southeast Asia Primary Learning Metrics (SEA-PLM) is a regional learning assessment and capacity-building program organized by the Southeast Asian Ministries of Education Organization (SEAMEO) and UNICEF. PILNA is the Pacific Islands Literacy and Numeracy Assessment developed and administered by the Educational Quality and Assessment Programme. More information about PIRLS can be found at https://www.iea.nl/studies/iea/pirls, about SEA-PLM at https://www.seaplm.org, and about PILNA at https://eqap.spc.int/pilna. Although there are several assessments in the region, this chapter focuses only on PISA due to space limitations. PISA was selected as the focus of this chapter because it includes the largest number of the

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Fig. 1 PISA 2018 average scores in the Asia-Pacific region and countries, and selected comparators. (Source: Own calculations based on PISA 2018)

Asia-Pacific countries and because it is the longest-running assessment and, therefore, offers a more comprehensive overview of the issue under study. The definition of reading literacy adopted in this chapter is then based on the OECD’s PISA. According to PISA, reading literacy is an individual’s ability to comprehend, apply, and reflect on written materials in order to develop knowledge and potential, participate in society, and attain academic as well as life goals (OECD, 2019a). As shown in the reports, not only of PISA but in those of several other largescale assessments (e.g., PIRLS, SEA-PLM, and PILNA), the performance in reading literacy across the Asia-Pacific region and countries shows important variations. For example, students from countries such as Indonesia, Malaysia, Kazakhstan, and Thailand were reported to have performance levels well below the PISA international average, while students from large Chinese cities as well as those from Singapore outperformed students from OECD countries. As shown in Figs. 1 and 2, PISA results showed significant differences in reading performance across the Asia-Pacific region and countries. The results from Fig. 1 provide empirical evidence of the wide performance variations in the region. B-S-JZ China (Beijing, Shanghai, Jiangsu, and Zhejiang) was ranked the best PISA performer, not only in reading, but also in mathematics and science, and countries like Singapore, Korea, Japan, and Australia were ranked above the United States, while other countries in the region, such as Indonesia, Malaysia, and Thailand, had a performance similar to that of Mexico and Peru. Regarding the trends over the last two decades, Fig. 2 shows a slight but steady improvement in most of the countries included in the Asia-Pacific region. The exemptions are New Zealand and Australia, where the reading performance has declined over the years, and B-S-J-Z China and

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Fig. 2 PISA reading scores in the Asia-Pacific region and countries, and selected comparators from 2000 to 2018. (Source: Own calculations based on PISA 2000–2018)

Malaysia, which registered a slightly more pronounced improvement than most countries in the region. Regarding educational inequality, according to Ugwuegbula (2019), an estimated nine out of ten children (241 million) in low-income countries in the Asia-Pacific region, and three out of four children and adolescents in low-middle-income countries, are enrolled in school but do not achieve basic literacy and numeracy skills. In this context, it is clear that the education systems in the region need implementation of effective and reliable policies that would promote educational equity across and within the countries in the Asia-Pacific region. There is a body of research that has found adequate and effective teaching practices to be the most effective factors in addressing educational inequalities (see, e.g., Kemp & Hall, 1992). However, more recent research suggests that it is students’ rather than schools’ or teachers’ factors that are more strongly associated with academic achievement (Licorish et al., 2018). Similarly, scholars such as Lagravinese et al. (2020) and Shouse (2018) emphasize the role of students’ social background, including the significant issues of pervasive economic inequalities that contribute to differences in academic achievement. It is, however, important to say that most of the evidence cited in international studies refers to Western countries and that there is a need for more studies on factors associated with student performance in the context of the Asia-Pacific region and countries. This chapter contributes to this endeavor by focusing on studies in the Asia-Pacific region and countries.

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Individual-Level Factors Influencing Students’ Reading Literacy PISA results suggest that the individual factors most consistently associated with student performance in reading literacy include gender, language spoken at home, reading time, family and socioeconomic background, and affective domain factors (Magnusson et al., 2018). According to secondary analyses of PISA data in the region, girls tend to perform better than boys in reading literacy. This body of research has also found that girls tend to have higher levels of intrinsic motivation than boys, which could – at least in part – explain the gender gap in achievement (Anderson et al., 2010; Tang, 2020). The language spoken at home has also been found to be consistently associated with performance in reading literacy in PISA, with non-native speakers or those who do not speak the language of the test at home achieving considerably lower than native speakers. The poor performance of non-native speakers has attracted further research that established that this phenomenon can be explained by the fact that most non-native speakers come from immigrant families that, in the Asia-Pacific countries, tend to come from a disadvantaged socioeconomic background (Anderson et al., 2010). The low socioeconomic status of the immigrant families affects the academic performance of their children, among other reasons, because children from these families tend to have low self-esteem and lower academic expectations (Baroutsis & Lingard, 2021). Two other potential explanations for the reading literacy gap between native and non-native speakers are negative selection effects caused by immigration policies and differences in the immigrants’ home-country educational systems’ efficiency (Behr & Fugger, 2020). PISA analyses have also shown that students with high reading literacy report read for longer periods, either on their own initiative or because their teachers engage them in reading activities for more time. For instance, in Singapore (a high-achieving country), students have more reading time than in the Philippines (a country with a more modest performance). Reading time influences the motivation for learning, and those who spend more time reading develop a reading culture that is further strengthened throughout their life (Rodés et al., 2019). On the other hand, those students who spend less time reading tend to have difficulties in developing learning interests (idem). Family background has been proven to affect student reading performance in a significant way. According to PISA’s secondary analyses, students from families with higher socioeconomic status (SES) tend to perform better than their more socially disadvantaged peers (Deng & Gopinathan, 2016). Research indicates that children from low-SES families and communities tend to develop academic skills slower than children from higher SES groups (Morgan et al., 2009). For example, low SES in childhood has been found to be related to poor cognitive development and poor language, memory, and socio-emotional processing and consequently have lower performance in reading literacy tests. At an aggregated level, schools in low-SES communities are often under-resourced, which negatively affects students’ performance (Aikens & Barbarin, 2008; Morgan, 2013). Lauermann et al. (2020) report that students from Singapore perform better in PISA’s reading literacy than

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those from the Philippines, in part because families in the first country tend to have better family resources. Moreover, PISA data also reveal that students from families with a high socioeconomic background have access to more and better-quality information and communications technology (ICT) resources than students from poor socioeconomic backgrounds. In turn, this allows socially advantaged students to accumulate more knowledge and hold higher levels of motivation to learn. Authors like McCardle (2016) have found that the use of ICT resources by the students improves their intellectual capacity, which facilitates their acquisition of new knowledge. Other than the individual factors influencing students’ reading literacy, PISA data suggest that class-level factors (e.g., teaching practices, instructional time) and school-level factors (e.g., school type, school population size) are also significant in explaining reading literacy differences across and within the Asian-pacific countries (OECD, 2019a).

Class-Level Factors Influencing Students’ Reading Literacy Research on class-level factors based on PISA data gives special importance to teaching and learning processes. The variables used to operationalize these concepts encompass both student- and class-level variables related to school climate, teaching methodologies, the learning time in and out of the school, or teacher support (Kuger & Klieme, 2016). While there is some consensus on the positive association between student reading performance and process variables such as classroom climate, learning time, or teacher support (She et al., 2019), the study of other factors, like inquiry-based teaching practices, yields mixed results (Gil-Flores & García-Gómez, 2017). In the Asia-Pacific region, teachers play an essential role in the social and intellectual development of students. Positive interactions between students and their teachers play a crucial role in students’ learning and their feelings toward school. Students need to feel that their teachers care about them and their achievements to fully engage in learning activities and perform at their best (Federici & Skaalvik, 2014). Positive interactions with teachers and perception of support do not only have an influence on reading scores but also on better behavioral outcomes in students, such as engagement in learning, academic enjoyment, and self-efficacy, all of which lead to greater effort and perseverance (Lee, 2012; Deng & Gopinathan, 2016). The emotional connection between the teachers and students ensures that they all enjoy the learning process (Bodily et al., 2017). Through these positive effects on students’ attitudes, support from teachers has also been found to be linked to academic achievement. Students who benefit from a supportive environment are more engaged in school activities, which, in turn, allows them to perform at higher levels. Relatedly, authors like Lee (2012) suggest that constructive teacher–student relations have a positive influence on students’ reading achievement, both directly and indirectly through a greater sense of belonging at school (OECD, 2019b;

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Melville-Ross, 2010). On the contrary, when the teacher is emotionally and psychologically absent, students tend to lack academic goals and to be relaxed and unbothered about learning (Alsubaie, 2020; Violita & Ena, 2021). According to results from PISA 2018, on average across the Asia-Pacific countries, students who perceived greater support from language-of-instruction teachers scored higher in reading, also after accounting for the socioeconomic profile of students and schools (OECD, 2019b). On average, one-unit increase in the index of teacher support was associated with an increase of 5 score points in reading performance and, in Malaysia, with an increase of 18 score points. In some countries, however, this relationship varied depending on what specific actions were taken by the teacher. For instance, in Indonesia, New Zealand, and Singapore, students scored the same whether or not they reported that their teacher frequently continued teaching until the students understood (idem). On a similar note, Kim’s research (2018) showed that when students had longer instructional time and were provided with more opportunities to interact with the teachers, they tended to perform better in reading. Teachers’ instructional time not only sheds light on students’ reading literacy directly but also by strengthening students’ self-concept. According to different scholars, self-concept is inherent to the reading literacy of students as it supports the students’ self-confidence and motivates them to put more effort into their studies. A positive self-concept also enables the students to master their way of handling the challenges they face and to invent ways to improve their grades (Heejung, 2015). According to PISA results, teacher qualifications and professional development are also essential for teachers to be able to motivate students and take personal accountability for their performance. Teachers from high-performing schools tend to be perceived as good motivators and able to inspire students to achieve their academic goals. Teachers who have no access to professional development are more likely to use ineffective teaching methods or methods that are not relevant to their contexts. For example, teachers in the Philippines were reported to cover only about 10% of the syllabus, and to do so by talking throughout the lesson while the students listened without being actively involved (Deng & Gopinathan, 2016). According to the author, such a teaching method cannot foster high thinking skills, as students are left to analyze, evaluate, and synthesize information without support. This, in turn, encourages the perception that students are not being supported (Kendall Theado, 2013). As a result, most of these students become unmotivated and lose interest in reading (Santos-Hermosa et al., 2017). Finally, in some Asia-Pacific countries, interactive approaches to teaching have been shown to help students in developing high-order thinking skills (Rodés et al., 2019). In Singapore, for example, teachers were reported to encourage students to collaborate with each other as well as with the teachers in ensuring that they understood the concepts taught in class. Students were also encouraged to study individually in order to build self-confidence to enable them to identify their strengths and weaknesses and to work on them accordingly (Violita & Ena, 2021). At least in Singapore, these methods have proved to boost students’ enthusiasm to be better problem solvers (Erb, 2000).

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School-Level Factors Influencing Students’ Reading Literacy While there are many components of an ideal school, when parents are asked, some of the factors that are more commonly mentioned are safety, a good reputation, and a friendly environment. A safe, supportive, and healthy school climate can make a great difference in students’ lives. A positive school climate, for example, is positively associated with students’ reading literacy performance and emotional well-being (Hoge et al., 1990; MacNeil et al., 2009; Way et al., 2007). Schools with a safe and respectful environment can protect students from engaging in antisocial behaviors, such as truancy, smoking, drinking, using drugs, and other deviant and risky activities (Catalano et al., 2004; Gase et al., 2017; LaRusso et al., 2008). A positive school climate can even contribute to closing achievement gaps related to socioeconomic status, not only related to reading literacy but also related to other academic subjects (Berkowitz et al., 2017). More generally, teachers too can benefit from a positive school climate. For example, teachers in disciplined and supportive schools tend to report higher job satisfaction (Aldridge & Fraser, 2016; Berg & Cornell, 2016; Mostafa & Pál, 2018). In other words, children are more likely to reach their social, emotional, and academic potential in a safe, supportive, and collaborative school environment. One of the school factors often discussed in the Asia-Pacific countries, and which has been aggressively pursued (in political terms) but passively debated, is decentralization (Kameshwara et al., 2020). The OECD defines decentralization as measures that transfer a range of powers, responsibilities, and resources from central government to subnational governments, defined as legal entities elected by universal suffrage and having some degree of autonomy (OECD, 2019c). In the field of education, decentralization refers to the transmission of power from higher authorities to lower educational authorities, so that they can make decisions by themselves without having to look to higher authorities for direction (Melville-Ross, 2010). Decentralization is a major trend globally, especially in the education sector (Magnusson et al., 2018). Different education systems achieve or establish decentralization at different levels. According to analyses of PISA 2015 data (Kameshwara et al., 2020), decentralization is close to complete in some countries, with schools participating in most decision-making processes (e.g., Japan or Australia), while in some other countries, higher-level authorities oversee activities like budgeting or curriculum development (e.g., Thailand or China). Regarding the association between decentralization and reading achievement, some studies have found that decentralization works best in countries where families tend to have more resources available to finance education (e.g., Singapore). In contrast, the same body of research suggests that decentralization does not have positive results in countries where resources are not available to cover the needs of the education system (e.g., Philippines) (Lee, 2018). Authors like Magnusson et al. (2018) and Rodés et al. (2019) propose that the reason why decentralization seems to report positive results in countries like Singapore is that giving more autonomy to school actors helps decision making in places

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where local knowledge is needed. Following this logic, in a big country where there are many students with very diverse needs, decentralization would be beneficial. In this context, decentralized education governance systems, where decisionmaking power is delegated to the regional administrators, school actors have the authority over and responsibility for the students’ performance (Rodés et al., 2019). On the other hand, the Philippines has been implementing centralized education for many years, even though they have been pushing toward creating a decentralized system (Lauermann et al., 2020). However, decentralization has also been found to be disadvantageous in instances where standardization of quality is needed or where the resources required to create a better learning environment are scarce. Santos-Hermosa et al. (2017) have found that, in these contexts, when the education system is centralized, teachers tend to have lower levels of motivation and job satisfaction (Fitrawati, 2012). In highly centralized systems, the school actors lack accountability for their results, and they also do not get to make tailored decisions on issues that might affect them as a school because they all work under the same policy (Turgut, 2013; Nakata, 2019). There are also other factors such as school type and school population size that have shown an impact on students’ reading literacy. Secondary analyses of PISA data indicate that there is a significant difference in reading performance between public and private schools, whereby students enrolled in private schools tend to perform better than those attending public schools (Santos-Hermosa et al., 2017). School size, in terms of the number of students, has also been found to be associated with performance in reading literacy in the Asia-Pacific countries. According to Ness (2011), schools with fewer students tend to offer a better environment for the development of metacognitive reading comprehension skills. This can be explained, because in small schools it is easier to distribute resources in an equitable manner since the administration can easily account for all people and activities in the school, while bigger schools tend to be characterized by an uneven distribution of resources and lower levels of academic accountability. Another factor that has been found to be associated with reading achievement in the countries of the Asia-Pacific region is the sense of belonging to the school community. In the PISA framework, sense of belonging is understood as the “need to form and maintain at least a minimum number of interpersonal relationships” based on trust, acceptance, love, and support (Maslow, 1943). Previous research has made considerable progress in understanding why some students show a greater sense of belonging at school than others. A positive disciplinary climate at school (OECD, 2017), participation in extracurricular activities (Dotterer et al., 2007), and teacher and parent support (Allen et al., 2018) have all been positively associated with students’ sense of belonging at school. Furthermore, students from socioeconomically advantaged families have been found to report greater connectedness at school than students from disadvantaged families in the education systems that participated in PISA 2015 (OECD, 2017). Apart from the reasons listed above, policymakers, teachers, and parents should care about students’ sense of belonging at school because the most recent results of PISA have found that it is positively associated with reading performance in most

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Asia-Pacific countries that participated in the study. On average, across OECD countries, a one-unit increase in the index of sense of belonging at school was associated with an increase of four score points in reading, after accounting for the socioeconomic profile of students and schools. However, in countries like Malaysia and the Philippines, this increase was greater than 20 score points, and in countries like New Zealand and Japan, this association did not reach statistical significance (OECD, 2019b). As mentioned above, parental involvement in school activities is important to encourage a positive learning environment. By getting involved in school activities, parents learn how to navigate the education system, set academic expectations for their children, and influence their behavior by establishing consistent norms (Cohen et al., 2009). Previous research has found that parental involvement is positively associated with student outcomes, and the analysis of PISA data confirms these findings. In PISA 2018, the average score in reading was higher in those countries where higher proportions of parents discussed their children’s progress on the initiative of teachers. This positive association remained even after accounting for per capita GDP and for other forms of parental involvement in school-related activities. Specifically, for every ten percentage-point increase in the proportion of parents who discussed their child’s progress, the average reading score increased by ten points, on average across the 74 countries with available data (OECD, 2019b). Finally, bullying is another of the variables most consistently associated with reading performance in the Asia-Pacific countries. In both PISA 2015 and PISA 2018, a larger proportion of low-achieving than high-achieving students reported having experienced bullying at least a few times a month, with the Philippines, Brunei, and Indonesia being among the top five countries reporting the highest proportion of bullying (all of them above 40%).

Future Directions and Conclusions International large-scale assessments such as PISA are powerful tools for understanding and empirically analyzing patterns in education systems in the Asia-Pacific region and beyond. This chapter reviewed, discussed, and commented on secondary analyses of PISA data to understand how different education systems in the AsiaPacific region contribute to students’ reading literacy performance. To do that, some of the main context characteristics of the education systems in the region were analyzed. Then, in line with the PISA framework, the factors that have been found to be associated with reading literacy were organized into three groups: individual, classroom, and school factors. Within the first group, previous literature, which focused on the analysis of PISA data, indicated that gender (in favor of girls), the language that is spoken at home (with an advantage for those students who speak the language of the test), the time students spend reading, and the family background are the variables that are most consistently associated with reading literacy in the Asia-Pacific countries.

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Among classroom factors, teaching practices, instructional time, and teacher support were the factors that best explain the observed differences in reading literacy performance across and within the countries of the region. Confirming the importance of a positive school climate, the school factors identified in the secondary analyses of PISA data included the students’ sense of belonging to the school and the level of involvement of the parents in school activities. The level of decentralization of the education systems in the region and other characteristics, such as the school size (in terms of the number of students), also proved to be important predictors of reading literacy. There are also some important limitations that must be considered in understanding, reporting, and utilizing data drawn from PISA and other international large-scale assessments in education. Firstly, it is important to remember that PISA is a crosssectional study. This means that it measures educational outcomes and the context in which learning occurs at one point in time and for a specific population. Although PISA is carried out every 3 years and reports trends over time, it does not follow individual students. For this reason, no causal conclusions can be drawn about student achievement and the factors associated with it. Secondly, while international large-scale assessments are designed to draw comparisons among countries on a variety of topics in education, it is important to consider that research has shown that the assumption of equivalent background scales (e.g., teaching support, socioeconomic status, sense of belonging) does not always hold. Some efforts have been made to develop methods to empirically test the comparability of these background scales (see, e.g., Sandoval-Hernandez et al., 2019), but these are not yet applied widely. So, interpretations have to be made with care, especially when making comparisons across countries. Despite limitations, assessments like PISA are extremely useful tools for improving education systems. The assessments are unique in that the information they provide can be used to monitor systems over time within a robust international framework (Rocher & Hastedt, 2020). Furthermore, international large-scale assessments fall outside the governance of any one country, thus being largely independent of any single political system. Finally, the data are freely available to the public, allowing researchers from around the world to use them to answer the research questions relevant to particular regions, countries, or groups within countries.

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Section V The Future of Education, Employability, and Labor Markets in the Asia-Pacific Phillip Brown

The expansion of education systems in the Asia-Pacific has been driven by the idea that economic development and regional competitiveness depend on upgrading the knowledge and skills of the workforce. This has resulted in the rapid expansion of tertiary education throughout the Asia-Pacific also justified by claims it would increase individual opportunity and social mobility. Such ideas have informed thinking about the future of education, employability, and work, in what is commonly described as the “fourth industrial revolution.” Here, advances in digital innovation, including artificial intelligence (AI), robotics, and the internet of things (IoT), are seen to result in the automation of routine job tasks requiring extensive (re) training in meeting the anticipated growth in high-skilled work. Brown and Sadik describe the above as the “labor scarcity” theory of the fourth industrial revolution, because it assumes a shortage of people with the right skills to meet the changing needs of a digital economy. To address what is then seen as an “alignment” problem, there is a focus on supply side initiatives, such as educational reforms aimed at improving individual employability skills and meeting the changing “needs” of industry. As a result, the human capital mantra of “learning equals earning” is being reformulated as policy analysts claim that much of what is taught in education systems may not contribute to the employability skills required in today’s labor market. This has led to a renewed focus on “applied” education and the future role of vocational education and training. Xu and Po investigate recent policy initiatives in China to increase the supply of graduates studying more vocationally oriented courses as a way of improving the labor market prospects of graduates from lower-ranked universities. But a longstanding problem with attempts to make education more “applied” or “vocational” is the widely held perception that the most desirable vocational prizes go to those with a university degree. Vocational education and labor market stratification is investigated in Mori and Stroud’s analysis of Technical and Vocational Education and Training (TVET) in

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Vietnam. They show how attempts to reform TVET constantly confront a rising demand from students and their parents to enter higher education, even though problems of overqualification are widely acknowledged. Mori and Stroud suggest part of the problem is that the policy rhetoric of good employment prospects for those following TVET routes does not match labor market realities, as opportunities for career progression are very limited. The chapter by Tuyet Tran also draws on research evidence from Vietnam to explore related issues around graduate employability and the labor market. It is suggested that the structure of skills development and labor market opportunities for graduates in Southeast Asia limits the value of research evidence from Western countries, including results from graduate surveys of labor market outcomes, in part because of a more significant role of the informal economy, and lack of clearly defined routes into “graduate” employment. This leads onto a discussion about how to better align graduate employability to local employment opportunities, drawing on examples of university-enterprise collaborations which are believed to offer some hope of how to improve labor market outcomes for both graduates and employers. The limited value of Western scholarship on the education-work relationship is also a core theme of Stephanie Allais’s chapter on the similarities and differences in vocational education systems in Asian and African countries. Perhaps surprisingly, given differences in economic, institutional, and cultural context, found in the six low-and-middle-income countries she surveyed, there was less evidence of the “varieties of capitalism” shaping skill formation systems found in Europe. Allais argues that the great similarities in approaches to vocation education in Asian and Africa are explained at least in part, by the role of international donors and other modes of policy diffusion. However, like many of the chapters in this section, rising participation rates in education and weak employer demand for a more highly skilled workforce may reinforce weaknesses in the vocational education systems in the Asian Pacific, when presented as an alternative to degree-level programs. The question of transitions between education and employment across the Asia Pacific is examined in the chapter by Jenny Chesters. Drawing on research evidence since the turn of the century, she describes how the education-work transition has become more complex and protracted. It’s shown how more young people are entering insecure jobs, including “gig” work, due to a lack of regular full-time employment. Early labor market experiences are also nonlinear as young people undertake various forms of both study and employment. A consequence of these trends is that young people face significant delays in securing economic independence from their parents. Therefore, despite important questions to be asked about what is now required of students to adequately do the jobs of the future, and to gain access to suitable training opportunities over their career journeys, there are equally important questions to be asked about the future of labor demand that will shape the character of labor market opportunities and the relative chances of matching academic credentials to suitable

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job openings. Brown and Sadik present a “job scarcity” rather than “labor scarcity” theory of the education-work relationship, which highlights a growing mismatch between a more educated workforce and the failed promise of the “knowledge” economy. This is resulting in increasing positional competition for a limited supply of professional and managerial “graduate” jobs. Drawing on research evidence from corporate enterprises located in Singapore, they explain why we need to study the “duality of employability,” combining both a focus on the “absolute” ability to do the job and the “relative” chances of getting a specific job, depending on how many well-qualified people are looking to enter the same position. These themes are examined by Ka Ho Mok and Yuyang Kang, in highlighting the changing character of higher education and labor market outcomes in Asia. They explain why there are growing concerns about graduate unemployment and underemployment as more people enter the labor market with a university degree. Along with other contributions they describe how the key problem is not a lack of skilled people but a lack of professional, managerial, and technical employment opportunities, making it difficult to sustain the neoliberal opportunity bargain based on “learning equals earning.” Jisun Jung also contributes to our understanding of these issues in an analysis of the expansion of postgraduate “masters” degrees and their job market consequences in East Asia. Research evidence from China, Japan, and South Korea is used to highlight a growing mismatch between HE and the world of work, as the benefits of a postgraduate qualification is losing its exchange value with employers, as more people remain in higher education in an attempt to “stand out from the crowd” in competition with other job seekers. Within Asia, studies of international students have focused more on elite universities often in wealthy economies such as Singapore, Hong Kong, and Japan, but Yasmin Ortiga investigates how less prestigious universities comprise a “hidden segment” of the higher education market. Case studies from China, Vietnam, and the Philippines reveal how institutional identities and course materials are tailored to attract overseas students and how these “unlikely destinations” are being used in the pursuit of employability outside the elite spaces widely studied in education scholarship. An implication of many of the contributions to this section of the Handbook is the undesirable consequences of educational reforms leading to a further narrowing of education for employability, rather than wider human and civic purpose. Here Michael Tan questions how new technologies are assumed to create an increasing demand for high-skilled workers, along with resolving many of today’s social and economic problems. He argues it is this kind of “technological determinism” which informs current educational reforms, including a greater emphasis on the STEM curriculum in the Asia-Pacific. While the focus on STEM has some merits, it should not be at the expense of the humanities and needs to be framed more broadly to include ethical responsibilities for how technologies are being used rather than live in the vain hope market force will sort things out.

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The chapters in the section present rich insights and research evidence from a wide range of countries in the Asia-Pacific, including both developed and emerging economies. These chapters also highlight why we need to study education and the future of employability in a context of changing labor demand, as well as supply-side issues of how to educate the future workforce. It is only by investigating the “duality of employability” that we can get a better understanding of the future prospects for individual learning, well-being, and life chances.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theoretical Understandings of Employability in the Fourth Industrial Revolution . . . . . . . . . . . Labor Scarcity View of Employability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Job Scarcity View of Employability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Employability and the Future of Work in the Asia-Pacific: Restratification of Knowledge Work? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Implications and Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Keywords

Employability · Digital transformation · Labour scarcity · Job scarcity · Fourth industrial revolution · Knowledge work · Labour market

Introduction This chapter challenges much of the theoretical and policy focus of the fourth industrial revolution, which is dominated by supply side initiatives, such as identifying “work-ready” competencies and increasing access to digital skills. While there are important questions to be asked about what is now required of students and young workers in preparing for the jobs of the future, and to gain access to suitable training opportunities over their working lives, there are equally important questions to be asked about the future of work that will shape the character of labor market P. Brown (*) School of Social Sciences, Cardiff University, Cardiff, UK e-mail: [email protected] S. Sadik Institute for Adult Learning, Singapore University of Social Sciences, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_60

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opportunities and the relative chances of matching academic credentials to suitable job openings. Within international policy circles, education’s role in preparing for the future is characterized as a mismatch, resulting from a race between education and technology as industries go through a process of restructuring driven by AI and related digital technologies (Goldin & Katz, 2008). At the same time as more people gained access to a university education, it is claimed that the education system is failing to deliver the employability skills needed to secure graduate jobs, which now have a changing profile and skills needs. This “labour scarcity” theory of employability will be contrasted to “job scarcity,” offering a different theory of the future of work. This alternative theory describes a “duality of employability” that combines both a focus on the “absolute” ability to do a specific job and the “relative” chances of getting that job, depending on how many people are looking to enter the same position (Brown & Hesketh, 2004). This chapter will explore the challenges and opportunities on both sides of this duality, raising fundamental questions about the education–work relationship, together with some of the policy implications for the Asia-Pacific countries. It draws on the authors’ ongoing interviews with leading corporations and policymakers in several sites in the Asia-Pacific, as well as individual work journeys, to understand the likely direction of travel of the education–work relationship in the Asia-Pacific.

Theoretical Understandings of Employability in the Fourth Industrial Revolution It is widely claimed that we have entered a fourth industrial revolution (Foreign Affairs, 2016). This is often characterized as a shift from advances in steam power applied to agriculture and textiles in the first industrial revolution, to factory production powered by the spread of electricity and advances in mechanisation in the second industrial revolution from the late nineteenth century to the mid-twentieth century in Western industrial nations. The early stages of digital innovation linked to electronics and information and communication technologies (ICT), accelerated the growth in services and fueled a more globally integrated economy in the third industrial revolution. Today, what is increasingly described as a fourth industrial revolution, is characterized by an exponential increase in computing power, fueling advances in artificial intelligence (AI) and machine learning, robotics, Internet of Things, blockchain, additive manufacturing (3D printing), etc., resulting in “a fusion of technologies across the physical, digital and biological worlds” (Schwab, 2016, p. 1), disrupting almost every industry in every country, transforming entire systems of production, management, and governance. In a similar fashion, Brynjolfsson and McAfee claim that today’s “technological change is both faster and more far-reaching. The steam engine, electric motor, and internal combustion engine took time for complementary innovations to develop but were not subject to anywhere near the pace seen in digital technologies” (2012, p. 6). Computers, they suggest, are thousands of times more powerful than in the early

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1990s. “Furthermore, computers are, in some sense, the ‘universal machine’ that has applications in almost all industries and tasks. In particular, digital technologies now perform mental tasks that had been the exclusive domain of humans in the past” (p. 6). Although different terms are used to describe the growing significance of digital innovation, such as the second machine age (Brynjolfsson & McAfee, 2014) or postcapitalism (Mason, 2015), knowledge economy (Drucker, 1993), as well as the fourth industrial revolution, it is widely accepted that digital technologies offer new ways of producing, working, consuming, and learning. Our purpose here is not to evaluate the veracity of claims that we have entered a fourth industrial revolution, but to underline the fact that the way we talk about these changes and the assumptions made about the direction of change, including the way we think about the future of work or the role of education, is “real in its consequences” because it informs public policy. While we believe there are fundamental shifts in the way new technologies are being applied in all areas of our lives, technology is not destiny. The same technologies can be used in different ways for different purposes as we will go onto argue. Here we focus on how the education-work relationship is defined in different ways depending on how the fourth industrial revolution is characterized. More specifically, how the future of work is understood will have wide-ranging implications for education and the development of an “employable” workforce.

Labor Scarcity View of Employability Labor scarcity theory shares much in common with the orthodox economic theory of human capital (Becker, 1992; Brown et al., 2020), where through investment in education, training, and work experience, people acquire and/or possess, “a bundle of valuable ‘human capital’ that, due to its scarcity, generates a flow of income over the career path” (Autor, 2015, p. 28). Here the fourth industrial revolution does not change the fundamental relationship between education and work – or the opportunity bargain held out to students and workers – because as in the past, new positions and professions are believed to emerge to replace any jobs lost in the current period of disruption. There will continue to be a demand for individuals with marketable skills and certified expertise. If anything, the premium attached to higher level skills is likely to increase in a more technologically complex world of work, as new areas of technological innovation (such as cyber security and quantum computing) will command a premium in the marketplace reflected in wage inequalities: There’s never been a better time to be a worker with special skills or the right education, because these people can use technology to create and capture value. However, there’s never been a worse time to be a worker with only “ordinary” skills and abilities to offer, because computers, robots, and other digital technologies are acquiring these skills and abilities at an extraordinary rate. (Brynjolfsson & McAfee, 2014, p. 11)

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Likewise, Schwab (2016) suggests that digital disruption will not only change what we do but also our identities and what it means to be educated or highly skilled. This disruption will create new opportunities but also increase the stakes if people fail to move with the times. “We are at the threshold of a radical systemic change that requires human beings to adapt continuously. As a result, we may witness an increasing degree of polarization in the world, marked by those who embrace change versus those who resist it” (Schwab, 2016, p. 92). He argues that this will give rise “to an inequality that goes beyond the societal. . .This ontological inequality will separate those who adapt from those who resist – the material winners and losers in all senses of the word” (p. 97). This account offers an important insight into the labor scarcity view of individual employability. While acknowledging the disruptive potential of the fourth industrial revolution, including problems of predicting what new positions and professions will emerge as machines become smarter, the fundamental problem remains an alignment issue rather than a capacity problem. It presents an optimistic account of the job market continuing to demand the talents of a more educated workforce, but only if people have the appropriate skills and mindsets to match the changing needs of industrial innovation. Brynjolfsson & Mcafee (2014) claim that “our skills and institutions will have to work harder and harder to keep up lest more and more of the labor force faces technological unemployment” (p. 6). In a similar vein, Autor (2015, p. 27) asserts that, “the issue is not that middle-class workers are doomed by automation and technology, but instead that human capital investment must be at the heart of any long-term strategy for producing skills that are complemented by rather than substituted for by technological change.” Schwab (2016) claims that the scarcity of a skilled workforce will remain “the crippling limit to innovation, competitiveness and growth” (p. 46). When presented in this way, the fundamental challenge is to reform education and training to prepare a future workforce where AI and machine learning reduce the demand for routine labor through automation at the same time as increasing the demand for those with non-routine cognitive skills (Autor et al., 2003). In this race between education and technology (Goldin & Katz, 2008), the policy focus is on turning these structural changes into an opportunity for all: Increasing the employability of the workforce in the face of ongoing and future structural changes can help foster innovation and the adoption of new technologies as well as boost productivity by speeding up the reallocation of labour from less-productive activities to more productive ones and improving the wellbeing of workers. Technology also provides the opportunity to expand access to new jobs and to make employment more inclusive. At the same time, it also opens opportunities for the creation of new businesses, and offers existing firms opportunities to access new markets, expand sales and create more jobs. (OECD, 2016, p. 3)

From a labor scarcity view, employability is a question of whether people have acquired the technical and social skills, personal and virtual networks, business awareness, or personal branding to translate their employability into waged work because the “acid test of employability is employment” (Brown & Hesketh, 2004,

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p. 18). Failure to secure waged work in any of the myriad forms it can now take – whether in regular employment, in gig-work, as a sole-trader, or start-up entrepreneur – is taken to indicate a mismatch between the individual and the labor market. Whether it is a lack of skills, experience, or personal agility, to respond to changing market conditions, it is interpreted as a supply-side issue. In these terms employability is defined as “the capacity to gain initial employment, maintain employment and obtain new employment if required” (Hillage & Pollard, 1998, p. 1). It may reflect a lack of appropriate investment in human capital, especially for those disadvantaged in the education system who lack access to a high-quality learning environment or who lack the digital skill viewed as part of the new basic skills. But what this labor scarcity theory fails to acknowledge is that an increasing proportion of the current and future workforce may be employable but not in employment, including those who find themselves underemployed. This is not because they lack the appropriate skills or mindset but because there’s a “scarcity” of good quality job opportunities, which we will go on to suggest is a defining feature of a nascent fourth industrial revolution.

Job Scarcity View of Employability Job scarcity theory offers a different interpretation of the education–work relationship. Rather than the fourth industrial revolution being characterized by digital technologies creating new possibilities for high-skilled, high-waged work, the theory of job scarcity points to a structural mismatch resulting from a lack of employment opportunities consistent with the knowledge, skills, and qualifications of the workforce. Therefore, regardless of how we interpret the future of work, it is difficult to avoid the conclusion that there is already a serious capacity problem at the heart of the labor market. For instance, Goldthorpe and Jackson (2007, p. 541) observe for the United Kingdom that: “the very substantial growth in demand for professional and managerial personnel [in previous decades] . . . was created by an historic shift in the scale of public administration, of health, education and social welfare provision, and of industrial and commercial organization that could scarcely be repeated.” Here, we are not suggesting an imminent collapse of waged work, despite claims that “technological unemployment” threatens vast swathes of the workforce (Frey & Osborne, 2017). There is little evidence to support the “end of work” thesis (Mason, 2015; Rifkin, 2014), but the direction of travel is toward a greater use of labor substituting technologies. There is also growing evidence showing how companies are using digital technologies to transform all aspects of business including work organization, even if jobs are not disappearing. For companies, digital technologies are enabling the development of new forms of work organization, including global platforms, crowdsourcing, gig work, etc., that do not necessarily conform to the reassuring ideas about the direction of technological change or models of skills upgrading previously discussed. Therefore, from a job scarcity view, capitalism, not technologies, drive digital innovation. It is not only a question of how complex or smart (ro)bots are becoming, but how the latest

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advances in technologies are used by companies, governments, and the wider population (Schumpeter, 1943). This is why we need to get a better understanding of how new technologies facilitate innovative techniques and new ways of making things, delivering things, processing things, organizing things, etc. This is never simply a question of “substituting” robots for human labor because it depends on what “commands a decisive cost or quality advantage” (Schumpeter, 1943, p. 84). Digital innovation will fully automate some jobs at the same time as it creates new areas of employment, but its biggest impact is on how we experience work. This is because it is transforming how products and services are made, delivered, sold, and consumed, with major implications for both public and private sectors and the relationship between them. Equally, those supporting a labor scarcity view typically assume that AI and automation will have the most impact on routine jobs, but what is “routine” and what is “high skilled” may change in the context of digital innovation. Digital innovation is transforming work at all levels of the occupational structure and many so-called “routine” or “low skilled” jobs will remain a key part of the occupational structure. A lot of routine jobs may actually involve high levels of human skill that are difficult or too expensive for machines to replicate. At the same time, rapid increases in processing power are enabling companies to “capture” large amounts of the knowledge that was assumed to remain in the heads of “knowledge” workers. This is likely to have a major impact on professional occupations such as accountants, lawyers, consultants, teachers, etc.: New technologies have increased the potential to translate knowledge work into working knowledge, leading to the standardization of an increasing proportion of technical, managerial and professional jobs that raise fundamental questions about the future of knowledge work and occupational mobility. (Brown et al., 2011, pp. 8–9)

It is therefore a mistake to assume digital innovation is “skill biased” leading routine, low skilled jobs, to be replaced by new high skilled, knowledge intensive, jobs. After all, it is those with advanced cognitive skills who are the greatest cost to employers, and this is where the greatest saving could potentially be made. The key conclusion to be drawn from a job scarcity theory of employability is that trends in technological change offer little evidence of a new jobs’ engine at the top-end of the job market. If anything, the mismatch between supply and demand is likely to grow, even if this is disguised by the fact that employers will ask for higher qualified workers just because they can, rather than because of the knowledge required of new hires. Occupational titles may tell us less about skill utilization, wages, and career prospects than was previously the case given significant changes in employment contracts, job title inflation, and labor market competition that has changed the bargaining positions of different categories of employees (Brown, 2013). In such circumstances, the competition for jobs is characterized by “supply” chasing what is demanded by employers, as firms compete for workers, far less than workers compete for firms (Murphy, 1993). This structural mismatch can also serve as a source of innovation as some people seek different ways to capitalize in non-standard employment.

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From a job scarcity view of employability, the race between education and technology is studied in reverse. This does not mean that education is no longer of central importance, but it does point toward a different understanding of education. Job scarcity highlights the “duality of employability” and a different interpretation of the education–work relationship, with a more prominent role being given to the labor market. It combines a focus on whether an individual has the necessary technical and social skills “to do the job” together with a focus on an individual’s “relative” job prospects depending on how those looking for jobs are “positioned” compared to other people applying to enter the same position. Brown and Hesketh (2004, p. 25) suggest: Employability not only depends on whether one is able to fulfil the requirements of specific jobs, but also on how one stands relative to others within a hierarchy of job seekers. It cannot be understood outside of this duality. . .the employability of individuals [is] defined as the relative chances of getting and maintaining different kinds of employment.

The labor market does not simply “match” people to jobs, based on differences in academic performance, marketable skills, or work experience. It is also a way of managing job scarcity resulting from a capacity problem in labor demand, which for us is a defining feature of the fourth industrial revolution. Invariably there are more people wanting professional jobs than job openings, as the “best” person for the job is rarely the only person for the job. There are also large numbers of “employed” people who are overqualified for the jobs they are doing and would rather be doing something else. Therefore, many people are “employable” in having what it takes to do the job, but not in suitable (or any) employment due to intense competition for jobs at the middle-to-upper reaches of the labor market. If job scarcity is defined by a mismatch between the quality of jobs on offer and the expectations of an increasingly educated workforce, it raises the question of why so many people are clamoring for the same jobs when there may be less competitive options. This, in turn, raises questions of individual agency in deciding what is an appropriate job and how people “manage” their employability, as these are intimately connected to questions of the self and self-identity. In part, this does not simply reflect a lack of market information, signaling where jobs are available and how people should adjust their skill sets to secure an available position. Although it is important to improve the quality of market information as we will go on to argue, it also reflects inherent inequalities in the division of labor, characterized in many countries by winner-takes-all job markets (Frank & Cook, 1996). How people think about their employability is shaped by the interrelationship between the structure of labor market opportunity and social aspirations that are shaped by societal values, including attitudes toward status, money, power, and personal success. Together with other things people may or may not think of as important, such as the environment, helping others, etc. From a job scarcity view, these human, cultural, and structural factors represent the field in which to study employability in the fourth industrial revolution. It questions the tendency to reduce individuals to a bundle of skills linked to

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maximizing their market power in the form of human capital returns. A way of thinking that underpins the idea of an “agile” workforce able and willing to respond to changing workplace and labor market conditions, based on reconfiguring the market value of individual skill sets. But when human agency is taken seriously, rather than as receptors of market signals, we begin to understand why the market does not clear in the way orthodox economic theory assumes. It helps us to understand why it has been so difficult to create “parity of esteem” between the so-called academic and vocational routes into the job market, and why there has been a reluctance for students and parents to treat vocational routes as of equal status with more academic routes.

Employability and the Future of Work in the Asia-Pacific: Restratification of Knowledge Work? The future of employability in the Asia-Pacific therefore must be understood within the context of the outcomes of digital-enabled corporate restructuring that is now taking place across the region, and its interaction with social aspirations. Countries in the Asia-Pacific have had a recent history of the phenomenal expansion of managerial, professional, and technical job opportunities linked to the coupling of national policies of economic growth with the expansion of higher education (HE) that have lifted many into middle-class positions, raising expectations of a similar trajectory of opportunities for the next generation (Burgess et al., 2017; Kharas, 2017). But there are already signs of the limits of the ability of labor markets in the Asia-Pacific to absorb growing numbers of university graduates into jobs that are commensurate with their qualifications. This is true of developed economies such as South Korea, Taiwan, and Singapore, as well as developing economies in China, India, Indonesia, and the Philippines (Brown, 2021; Burgess et al., 2017; He & Mai, 2015; Malik & Venkatraman, 2017; Mok & Neubauer, 2016; Sadik & Brown, 2019). Consequently, there has been a “vocational turn” in many Asia-Pacific HE systems through the provision of applied routes such as strengthening school-enterprise linkages through work-study degrees programs in Singapore, or degree-plus-skills certification pathways in applied universities in China (Tan, 2017; Li, 2012). To understand the future of employability in the Asia-Pacific therefore requires understanding the interaction of the capacity problem with the current period of technological innovation in the region. It involves identifying the patterns of job creation and job destruction in the Asia-Pacific – if the patterns suggest the creation of high-skilled jobs as assumed by the labor scarcity view of employability, or the re-stratification of knowledge work in which “permission to think” at work is limited to a relatively small category of “talent,” while others with graduate qualifications find themselves with little discretion over the use of knowledge and skills, because work is structured through digital platforms and other digital applications. Evidence of patterns of labor scarcity holds the promise that the current capacity issue could be resolved through educational reforms. On the flipside, evidence of job scarcity will point to intensifying competition for a smaller pool of jobs at the top-end of the labor

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market, requiring strategies far broader than educational reforms. There is, however, a significant time lag in how corporate restructuring activities show up in labor market data, which makes it crucial that we get “under the bonnet” of business strategies of leading employers to understand in what areas they are investing their digitalization efforts and to what end. Here we present data from ongoing interviews with several Asia-Pacific corporate leaders that shed light on the focus of their technology programs, and the likely impact on labor. In Singapore, our interviews with the Asia-Pacific heads of major corporations since 2016 have pointed to the dominance of a cost-cutting agenda, where digital technologies are being used to redesign work processes to reduce expensive labor costs associated with professional labor in advanced economies. For instance, speaking in 2016, the Asia-Pacific head of a US bank anticipated a reduction in the recruitment of high-skilled workers in Singapore, due to the high labor costs relative to the costs of qualified labor in the emerging economies of the region. She estimated that a smaller proportion of jobs would be retained locally in Singapore but that these jobs would be upgraded to require even higher skills. In her words, she anticipated that “for the people coming through in Singapore, the bar will be raised higher because we may need to recruit a smaller cohort.” Four years later, such views have become even more pronounced. For instance, the Asia-Pacific CEO of a UK bank shared with us in 2020 that while the bank was still hiring high-skilled labor currently, they would probably “need fewer people in the longer run.” The Southeast Asian head of a European technology consulting firm similarly made the observation of jobs shifting to the region where labor was three times cheaper than in Singapore. This was also the view of a rising US tech start-up with 1,000 workers globally, whose plan was to keep a small core team of AsiaPacific leadership roles in Singapore such as in HR and legal, but grow its technical base in locations such as Malaysia and India. Here, the evidence suggests that the stock of high-skilled jobs with “permission to think” associated with social mobility will shrink in advanced economies, as part of corporations’ business strategy. Offshoring high-skilled work to Asian developing economies has been a long-time strategy of Western and Asian MNCs, but the offshoring of the previous period saw the expansion of opportunities in both developed and developing economies of Asia as the region gets elevated to be a regional, if not a global hub for corporate activities (Brown et al., 2019). This historical period of expansion of opportunities appears to be coming to an end, as corporations rebalance their labor value-chains within Asia. Indeed, the jobs that remain in advanced economies of the Asia-Pacific are likely to require higher level of skills thus consistent with policy expectations of skills upgrading, but the quantity of such opportunities is reduced making jobs competition likely to get more intense. This has been well observed in South Korea where business innovation by Chaebols have propelled them to be among the global leaders in AI innovation, but without a corresponding increase in employment. A strategy of automation, subcontracting to SMEs and offshoring to lower-cost economies such as Vietnam, allow the Chaebols to strengthen their share of GDP contribution to the South Korean economy but shrink the number of workers they employ (Cooke & Jiang, 2017; Kim, 2013). There

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are few signs of a reversal of this situation. If anything, the dual labor market of jobs in Chaebols versus non-Chaebols has sharpened in recent years in terms of differences in wages, prospects and prestige, making jobs competition even more intense (Chung, 2019). Consequently, on top of graduate unemployment and underemployment, there is an emerging issue of “hidden employment” among South Korean graduates as they postpone their graduation by signing up for more education and training, to buy time to land that crucial first job with a Chaebol that pave the way for subsequent opportunities (Chung, 2019; Hwang, 2012). But the Asia-Pacific story is also that of rapid economic growth of a significant proportion of developing economies that have successfully integrated themselves into global value-chains, allowing for the lifting of their populations through rapid expansion of managerial, professional, and technical roles. It cannot be ruled out that the shift of labor from developed to developing economies may support the rebalancing of opportunities between developed and developing economies, addressing domestic capacity issues of graduate unemployment in developing countries, and reducing overall regional inequalities. However, our interviews suggest a new risk due to the trend of the casualization of high-skilled labor through platform technologies, which suggests that the increase in job flows to the region is unlikely to sustain the creation of good middle-class jobs. Here, we describe the views of the ASEAN head of a major Japanese automation company whom we spoke to in 2022. He excitedly informed us of his new talent source – on-demand workforce. Previously, the company was operating with a two-tier workforce model, namely, a core group of high-skilled workers in Singapore focusing on high-end activities, and technical workers in development centers in China, the Philippines, and India. However, the firm is now scaling back on these two categories to focus on a third category of on-demand workforce that he described as “high skill digital talent in the marketplace.” These are workers recruited from labor platforms such as Fiverr, Toptal, Catalant, and more. He enjoyed the ease with which they could be hired at short notice. This was especially because there was less organizational scrutiny as the cost of hiring such labor was factored into project costs, rather than permanent headcount cost that was harder to justify. This ASEAN head thought that these on-demand workers delivered “highquality” work, but he also described those jobs as “task-oriented,” whereas “highlevel semi-management” job roles would be kept within the company’s direct payroll. His description of a three-tier workforce suggests clear demarcations among the three categories of workers with very different organizational purposes constructed for each of them, and varying levels of discretion and development opportunities even as all were seen as high-skilled roles. In India, a voice of concern was raised by an international policymaker studying the trends of gig work. Speaking to us in 2022, she noted how large tech firms in India were cutting back on hiring, and becoming more demanding of staff to integrate technical and business knowledge. These elite teams source projects and break them into constituent components as work pieces distributed on online platforms, where solutions are crowd-sourced and then put back into multiple solutions for the clients at low cost. In her view, this was not new job creation, as organizations

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were merely engaging in labor-shifting, putting out work on platforms where previously they would have hired the workers directly. It disturbed her that the platforms were attracting qualified software engineers and computer scientists thereby “casualising the higher end” of the labor market. She expressed concern about the future careers of those working on these platforms, particularly if they would get pigeon-holed to perform certain tasks that would see their development stunted over time. She also observed that ratings and reputation had become the key to access work, such that workers in developing countries are doing work for zero cost or lowering their rates in a race to the bottom, while corporations profit from labor cost-savings. For her, the casualization of high-skilled labor in effect means a reversal of the significant progress achieved through HE in India in the last decades, with sharp words for Indian policymakers whom she thought were misdiagnosing the issue by assuming that labor platforms are a solution to the problem of unemployment. If earlier periods of offshoring have been dominated by large multinational companies, we are observing that the lower costs of digitalization of work processes have made even less well-resourced SMEs join in the current period of digital offshoring and crowdsourcing. In Singapore, SMEs have traditionally competed on price-competition strategies, creating low-quality jobs relative to the non-SME sector such that they have difficulty attracting local professionals to join them. An ongoing process is occurring right now among some SMEs to digitally reorganize their workforce. We saw at least two cases in which SME leaders were creating low-discretion job roles in sales, marketing, graphic design, and IT as permanent remote work positions targeting talent such as in the Philippines, Indonesia, and India. This was a strategy of labor arbitrage to sustain their price competition strategies in the context of a high-cost economy. In addition to labor platforms, we are seeing edtech companies coming on board to use skills training and certification process to secure pipelines of contingent talent. Depending on the edtechs’ business model, they may be servicing large companies or be focused on SME clients. These edtech firms market their activities as the “democratisation of tech skills” as their platforms seek to make tech skills training accessible to everyone, especially those underrepresented in STEM in terms of gender, ethnicity, and socioeconomic backgrounds. Less acknowledged is that those talent pipelines flow into casualized roles set up within large firms, or low-discretion permanent job roles in smaller firms, particularly as we repeatedly hear from managers that high-end roles are relational, and could not be put through platformized hiring processes or be performed fully remote. At times, the platform labor hiring process by these edtech companies is set up as a skills contest, in which everyone is claimed to be a winner. As one of the edtech companies described to us, even when their platform signees failed to cut it in the skills contest in terms of getting the job, they would have gotten new skills. Perhaps, our assessment of the ongoing process of restratification of high-skilled labor is best described through the views of the head of a Japan-based international executive search firm serving clients in the Asia-Pacific. Interviewed in 2021, he described the future of hiring as entailing a concentration of specialist talent, what he

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called a “flight to quality” as organizational policy seeks to support the pulling away of a small number of elite talent who are groomed, entrusted, and rewarded differently. Meanwhile, “everything in the middle gets mixed up. His prognosis was that it probably doesn’t end so well as a whole.” Interestingly, our interviews with individual workers in the Asia-Pacific economies typically suggested their recognition of greater intensity of job competition, while still retaining a sense of optimism that opportunities remained plentiful overall. Such optimism is not unlike those previously described of the “ant tribe” in China, referring to graduates employed in low-status occupations who maintained a sense of personal responsibility to expend effort to improve their work circumstances (He & Mai, 2015; Li, 2011). Indeed, there is a complex mix of factors that may make casualized work more attractive to high-skilled workers. For an IT engineer working remotely in Indonesia, the job was seen as less demanding, giving him more time for his personal pursuits. For a Filipino customer service manager who was also working remotely, the ability to care for her child while working from home was a crucial trade-off. This flexibility was not possible previously when she was working for business process outsourcing (BPO) companies that dominated the professional employment market concentrated in Manila that was well-known for their rigid managerial practices (Errighi et al., 2016; Thompson, 2022). She additionally shared that working remotely in the Philippines typically carried the stigma of working in the pornography industry, but that new norms arising from the Covid19 pandemic had dramatically changed those views to the extent that she no longer needed to defend her working situation. Even in advanced economies like Singapore, the trend of increasing number of remote positions was not seen as threatening as the pie was seen to have expanded. For instance, an accountant turned data analyst working in a global finance firm in Singapore suggested that if a job was offered remotely, “it meant that everybody can fight for the job.” To him, this means making it easier for Singaporeans to compete for a job from Hong Kong or New York while working remotely from Singapore. Admittedly, our interviews are still ongoing and are neither extensive nor representative of the Asia-Pacific workforce, but the optimism may also be interpreted as an early period of introduction of such hiring practices in which the full impact of such arrangements are unknown. There were emerging voices of concern that as high-skilled labor struggle to sustain their positional advantage and require greater policy support, they are taking attention away from those in the lower-end of the job market. In Singapore, the use of HE institutions to strengthen the employability of professional labor has been observed to lead to less attention for traditional VET segments such as workers with basic technical certs, or older workers. The head of a global nonprofit seeking to ameliorate the conditions of underserved communities spoke of his work in Singapore, that he is seeing less space for such workers to come through as “elite institutions” come forward to broker opportunities for their graduates. He shared that he was recently told by one employer partner that it was withdrawing its participation as it was going to take in 20 university graduates under a work-study program.

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Technology is not destiny. The current process of labor restratification arises from particular business models that seek to cost-cut by reducing high costs of professional labor. This leaves open the question of how other types of business models may interact with digital technologies to preserve or even enhance the discretion and judgment of the workforce, thereby strengthening opportunities for skill development, job quality, and meaningful careers. Our interviews with leading companies in the Asia-Pacific surface are also examples of human-centric approaches to the use of digital technologies, but these are atypical examples even by the admission of these companies. For a global engineering company with headquarters in Singapore, its business model is to compete on “value” not “volume.” It prided itself for operating with a different model of productivity based on building capabilities that would give the firm latent capacity to shift to entirely new lines of products and services to respond to changing market contexts. This business strategy almost always leads to a more empowered use of labor, including nonprofessional labor. A 100-year old Norwegian company with regional headquarters in Singapore was taking a similar approach to set itself up for the next 100 years through experimenting with 10 new business lines that by virtue of the lack of standard approaches, meant the need to empower its broad workforce by making sure that employees “have autonomy over their work and decisions that they make.” This is also true of a Singaporeheadquartered workforce analytics start-up operating globally using a distributed workforce model in which workers were engaged in close collaboration with clientsto embed firmly the organizational capabilities in customized research and solutioning in the clients’ products.

Implications and Conclusion Using a job scarcity lens does not mean that there is a reduced demand for high skills workers, but that there is now a corporate employment model leveraging different varieties of high skills workers with divergent pathways and opportunities that makes the assumed relationship between high skills and high wages more problematic. As the Singapore head of a global German SME informed us, emerging digital technologies are “very deflationary in terms of wage costs,” predicting that the Singapore government would have a “headache” in terms of how to increase citizens’ wages. For both advanced and emerging economies in the Asia-Pacific, it may be argued that the pace of economic growth in Asia could make job scarcity less of an issue than for Western countries. Within emerging Asian economies in particular, there may be more opportunity to increase the overall proportion of better jobs for highskilled workers. This is a particularly interesting opportunity for Asia because of profound changes in the global economy. HSBC’s World in 2030 projects that emerging economies will account for roughly 50% of global GDP by 2030, a sharp increase from half of that in 2000. Of these emerging economies, the top six economies are forecasted to be from Asia, namely, China, Bangladesh, India, Philippines, Pakistan, and Vietnam (Henry & Pomeroy, 2018). It remains unknown

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in terms of the implications of China’s growth for the region, especially in the context of geopolitical tensions leading to a bifurcated supply chain model, if spill-overs will sustain good job opportunities in the region. Growing global tensions may also lead to elite groups in Asia to reach out to strengthen weakening middleclass groups more decisively in a bid to stave off political instability, such as the views expressed by an Asian policymaker to us in 2022 of the political risks of “displacement of mid-collar workers.” Whatever the geopolitical impact on the economy, it is crucial that the lens for understanding the future of education, employability, and work in the fourth industrial revolution should not be restricted to a labor scarcity view, as the early evidence from our interviews strongly suggest the dominance of a corporate strategy that will lead to the strengthening of opportunities for a small elite at the expense of other high-skilled workforce groups. This makes it important to take the job scarcity view of employability very seriously to identify the policy measures needed to sustain the kind of social aspirations that have come to be expected of high-skilled labor. For the international policymaker we introduced earlier when discussing the changing highskills labor market in India, the regulation of employment rights for high-skills platform workers is crucial, but that it would look different compared to workers on low-skilled labor platforms, as traditional tools such as a minimum wage do not apply for high-skilled work. Another crucial aspect is corporate and university reforms linked to the HR strategies of many major employers that interact with national policies of university hierarchy. The declining significance of internal labor markets as a source of social mobility reflects the growth in talent management, where opportunities for career development within the firm are geared toward those defined as high potential talent, typically limited to between 5% and 20% of the workforce (Binder et al., 2016; Brown et al., 2019; Brown, 2021; Ho, 2009; Rivera, 2015; Sadik & Brown, 2019). Those not defined as organizational talent are not totally excluded from opportunities for progression, but advancement depends on chance events such as having an exceptional line manager with influence in high places. This puts a premium of getting hired into the corporate talent stream through direct recruitment from elite universities, which raises profound social equity issues. However, the positional imperatives for leading companies and elite universities converge. They both want to be associated with the “best of the best,” mutually reinforcing existing status hierarchies. At the same time, lower-tier universities are asked to get their graduates to be more work-ready through having closer school-industry linkages, a strategy that will play to priorities of corporate innovation to reduce their demand for highdiscretion knowledge work (Brown, 2021). Ultimately, there may be a need to radically adopt new social policies that fundamentally challenge the upgrading model for delivering social mobility that policies of higher education and employability have traditionally been anchored upon. In our explorations of human-centric approaches, we have been told that managerial power may be less relevant in the context of a high-skilled workforce in which employees can be entrusted to self-regulate. This manifests in societies such as Finland that we have observed to have occupational structures with fewer

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managers than most advanced economies, allowing for the preservation of highdiscretion professional and technical job roles alongside wage compression that make the broad category of middle-level jobs sustainable even in the context of high technological change (Alasoini & Toumivaara, 2022). Therefore, a new opportunity bargain needs to include close scrutiny of the labor implications of different business models, with societies supporting firms that place a premium on job quality. It could also include developing multiple pathways for employment and entrepreneurial opportunities that allow for a greater proportion of the workforce to dip in and dip out meaningfully in a sustainable manner, avoiding a “winner-takes-all” approach. In conclusion, the exact character of “digital disruption” in the Asia-Pacific and elsewhere will take time to assess but becoming technologically advanced does not mean that a significant proportion of the workforce will enjoy upwardly mobile careers. Indeed, how governments and companies approach digital innovation in augmenting or automating high-skilled labor will have a significant impact on individual employability and future patterns of intergenerational social mobility.

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Massification and Privatization of Higher Education in East Asia

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Critical Reflections on Graduate Employment from the Sociological and Political Economic Perspectives Ka Ho Mok, Guo Guo Ke, and Zhen Tian

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Massification of Higher Education in East Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Graduate Employment and Underemployment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Graduate Unemployment/Underemployment: Critical Reflections . . . . . . . . . . . . . . . . . . . . . . . . . . . . Analysis from the Sociological Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Analysis from the Political Economic Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

East Asia has experienced a significant increase in higher education enrollment in recent decades, the main consequence of which was the oversupply of university graduates for local and global labor markets. Intensified competition and mismatched employability further created new challenges for university graduates. This study critically examines how the massification and privatization of higher education in East Asia affect graduate employment in a country. Additionally, this study challenges human capital theory for overpromising that individual investment in higher education would result in prosperous career development and advanced social mobility for graduates. This research used a comparative data analysis of graduate employment in selected East Asian countries/regions to highlight the impact of intergenerational inequality on graduate employment and social mobility. Moreover, this study argues that an improved understanding of graduate employment can be achieved by considering the broad political K. H. Mok (*) Lingnan University, Tuen Mun, Hong Kong SAR, China e-mail: [email protected] G. G. Ke · Z. Tian Lingnan University, Hong Kong SAR, China © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_56

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economic perspective when analyzing intergenerational inequality and youth employment dilemmas. Keywords

East Asia · Graduate employment · Higher education · Intergenerational injustice · Massification of higher education · Social mobility

Introduction In the last few decades, massification and privatization have been among the main characteristics of higher education development in East Asia (Neubauer et al., 2018; Wu & Hawkins, 2018; Mok & Marginson, 2021). Owing to strong cultural beliefs in the close connection between higher education and advanced social mobility, we witness the continuous investments of governments and individuals/families in higher education to enhance national competitiveness and individual competence in a highly globalized world (Marginson, 2016; Hou et al., 2020; Mok et al., 2021). Although we celebrate the success of Asian countries/regions in achieving a steady growth in higher education enrollment, one major concomitant consequence of this rapid growth is that the supply of university graduates exceeds the needs of labor markets (Mok, 2016; Clarke, 2018; Brown et al., 2020). Following human capital theory, indicating that more higher education investments would provide better career development opportunity and advance social mobility, numerous East Asian countries/regions have seriously engaged in higher education expansion by establishing higher education institutions in the last few decades, leading to the massification of higher education (Wu & Hawkins, 2018; Neubauer, Mok & Jiang, 2018). Nonetheless, without careful articulation between the rapid expansion of higher education with the changing labor market needs, the oversupply of university graduates among numerous East Asian higher education systems has inevitably broken the “promise” highlighted previously, thereby creating significant challenges for graduate employment (Brown et al., 2020). Graduate unemployment and underemployment have become increasingly severe in East Asia and other regions of the world, partially from skills mismatch (Goldin & Katz, 2008; Boden & Nedeva, 2010; Green & Henseke, 2020). Although the pace of higher education expansion is increasing globally, university graduates enter highly competitive races for jobs, thereby joining the intense “war of position” (Brown, 2003; Brown & Hesketh, 2004; Mok et al., 2016). Note that domestic labor markets are affected by local economic conditions and shaped considerably by “global structures and processes that condition the social organisation and social relations of youth labour within and between countries worldwide” (Fergusson & Yeates, 2021, p. 211). Given that more young university graduates enter informal sectors for new entrepreneurial ventures across East Asia, we should not simply interpret this emerging trend as a natural increase of young people eagerly embarking on entrepreneurialism. By contrast, recent research has shown that numerous young university graduates simply have no

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choice because jobs are not available in formal sectors, thereby forcing them to work in informal economy settings (Mok & Qian, 2018; Kang & Xiong, 2021). The COVID-19 pandemic, which turned into an unprecedented global health crisis, has adversely affected the global economy. Hence, youth employment is highly influenced by the world economy and trade, “the globalizing strategies of corporate enterprises and states and the institutions of global governance” (Fergusson & Yeates, 2021, p. 211). When this chapter was written, the world had yet to recover completely from the impact of the COVID-19 pandemic. Hence, a timely endeavor is to reflect the significant impact of this global health crisis on domestic, regional, and global labor markets. This study critically examines how the massification and privatization of higher education affect graduate employment in East Asia. The current research uses a comparative data analysis of East Asia as a basis for challenging the conventional wisdom of human capital theory and highlighting the impact of “intergenerational inequality” when higher education development undergoes massification and privatization. Furthermore, this study clarifies the broad political economic perspective in analyzing graduate employment-related issues (This study employs secondary data analysis, specifically the close examination of the UNESCO Institute for Statistics (UIS) data set. We obtain comparative data from selected East Asian countries/regions to critically examine how the massification and privatization of higher education affect graduate employment/underemployment. Given that we primarily use secondary data analysis, we acknowledge the limitations of our lack of first-hand data to present/analyze in this study).

Massification of Higher Education in East Asia Drawing on the experiences of Western countries, where higher education has progressed from an elite position to massification or post-massification with over 80–90% of high-school graduates enrolling in higher education (We adopt Martin Trow’s definition of “mass higher education” in discussing higher education expansion. According to Trow, higher education enrollment of over 60% would mean reaching the massification phase, whilst higher education systems having more students up to 80–90% enrollments would have entered post-massification stage, thereby reaching the universalization of higher education. See Trow (2007) for additional details), East Asia has strived for extraordinary expansion in higher education and achieved massification after 1980 (Hawkins et al., 2014). The United Nations Educational, Scientific and Cultural Organization Institute for Statistics (UIS) data set indicates that higher education gross enrollment rates globally increased steadily and accelerated from 2001 onward. The trend in East Asia is consistent with the global trend. In 2014, the region’s overall higher education enrollment rate surpassed the global level (see Fig. 1). With strong conviction to provide higher education learning opportunities for making young people more globally competitive in the knowledge-based economy context, together with the urge for preparing university graduates to engage in innovation-centric

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60.00% 50.00% 40.00% 30.00% 20.00% 10.00%

1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019

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Fig. 2 Higher education expansion in selected East Asian countries/regions. (Data source: UIS (2019) Education: Enrolment in tertiary education, all programs)

entrepreneurism, we have witnessed higher education expansion in East Asia in the last two decades. The growth of higher education institutions has rested upon state funding and increasingly relied on nongovernment sources of funding, thereby resulting in individuals and families having to pay for higher education (Wu & Hawkins, 2018; Neubauer et al., 2018). Specifically, South Korea, Japan, Taiwan, Hong Kong, and Mainland China applied privatization and marketization to higher education to increase enrollment rates and educational opportunities to satisfy pressing demands (Mok, 2016; Mok & Han, 2016; Jarvis & Mok, 2019; see Fig. 2). The trend of the five selected countries or regions demonstrates their higher education expansion. As a latecomer, China’s higher education gross enrollment rate increased from 2.97% in 1990 to 15.45% in 2003 and 54.4% in 2020, indicating the transition from elites to the masses. Compared with China, Hong Kong and Japan

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experienced massive and universal higher education. Enrollment rates in the two countries were nearly the same in 1991 and 1998, increasing from 30% to 50%. Furthermore, higher education developed early in Taiwan and Japan. South Korea’s enrollment rate reached 52.73% in 1996, and that of Taiwan increased to 50.52% in 1999. Further expansion in higher education continues in these East Asian countries, thereby enabling them to reach the stage of universal access. Although the five East Asian areas’ development rates and degrees of higher education varied, they all achieved the transition from elite to mass higher education in the early twenty-first century. As higher education systems entered the massification stage, the number of graduates increased annually. For example, the number of graduates in China increased from 614,000 to 7,533,000 (see Fig. 3). This situation is also the same in the four countries/regions. Higher education systems in East Asia have been influenced by foreign countries, particularly inherited from the ruling regimes given countries in this region are former colonies. Higher education systems in Taiwan and South Korea have been significantly influenced by Japan and more recently by the United States. Higher education systems in Hong Kong and Singapore, as former colonies of the United Kingdom, were inherited from British university practices. However, note that higher education systems in East Asia also exhibited distinctive characteristics with the influence of Confucianism (Shin, 2012). East Asian countries adopted and integrated modern university ideas into the educational and cultural traditions of the region. In contrast to state-incubated modern Western universities, East Asian higher education systems managed the accelerated development of participation and research within the scope of low-tax fiscal regimes to free up resources for capital development (Marginson, 2011). The central governments of Mainland China, South Korea, Japan, Taiwan, and Hong Kong expended under 5% of their GDP on higher education, whilst families in these regions were willing to considerably invest in education for their descendants (Asian Development Bank, 2020; Fig. 4).

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Fig. 4 Government expenditure on education (% of GDP). (Data source: The World Bank, https:// data.worldbank.org/indicator)

Corresponding to the growth of enrollment rates and traditional emphasis on higher education, the number of higher education institutions in East Asia has increased substantially since the 1980s (Hallinger & Lu, 2013; Horta & Jung, 2014). One of the unique features of massification in East Asia is the rapidly growing private sector-led higher education market. Expansion involves a series of policy initiatives aiming to increase learning opportunities rapidly and significantly to meet the development needs of what was widely described as a knowledge-based economy (Wu & Hawkins, 2018). However, the massification and privatization of higher education in East Asia show diversification in higher education funding support, with substantial state support going to public and national universities. Hence, private higher education institutions without strong endowment have difficulty in competing with those institutions either having strong state support or rich financial foundation from private funds. Therefore, the gap across institutions with different forms of funding support has inevitably led to the stratification of higher education in East Asia (Mok, 2015; Mok & Jiang, 2018; Marginson, 2018; Jarvis & Mok, 2019; Rosser, 2019). The “marriage” between massified higher education systems and privatized higher education has resulted in unintended negative social consequences. Hence, social issues related to intensified educational inequality, increasing graduate unemployment rates, and stratification and hierarchies among higher education institutions gradually attracted the attention of practitioners and policymakers with the massive expansion of higher education systems (Mok & Han, 2017; Jiang, 2018; Ye et al., 2018; Mok et al., 2020; Mok & Marginson, 2021). The increasing number of young individuals with higher education degrees will directly intensify labor market competition. Therefore, changes in the development stages of higher education present interesting instances for analyzing the influence of higher education expansion on the labor market. Moreover, East Asian countries

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have a highly Confucian-driven perspective on higher education and offer universal training in primary and early secondary school, thereby providing comparable backgrounds for analyzing changes in labor market outcomes (Mok & Jiang, 2018).

Graduate Employment and Underemployment In recent years, the labor market has experienced a massive influx of collegeeducated workers as higher education students who experienced massification sought job opportunities. As increasing numbers of higher education graduates entered the labor market, the effect of substantial changes in higher education on the labor market has emerged (Mok, 2016; Mok & Jiang, 2018). Mok and Jiang (2017) argued that the massive expansion of higher education in East Asia “unquestionably creates pressure” on graduate employment, thereby making the labor market highly competitive. Table 1 presents unemployment rates in East Asia in 2020 by educational attainment (selected countries/regions), which may not directly reflect a causal relationship between higher education massification and rising unemployment rates (Mok & Jiang, 2018). However, fresh higher education graduates were unable to obtain strong competitive employment positions during massification in recent years. By contrast, these figures can be interpreted as relatively low rates of unemployment but it raises a follow-up question on the quality of jobs graduates are entering, including those in the formal/informal labor market (such issues are discussed below). With the acceleration of globalization and transformation toward the knowledgebased economy, numerous emerging countries have expanded their higher education system to improve their global competitiveness (Mok, 2016). However, contrary to expectations of higher education systems, graduates have yet to demonstrate strong competitiveness in the labor market. Although global unemployment rates have decreased, over 170 million people remain unemployed (Goldthorpe, 1966). World Bank statistics show that the young employed population exhibited a downward trend after the start of the twenty-first century. Compared with Europe, North America, and Africa, the decline in youth employment rates in Asian countries, Table 1 Unemployment rates in East Asia in 2020 by educational attainment (selected countries/ regions) Countries/regions Hong Kong Japan South Korea Taiwan

Education levels Post-secondary education College and university University and higher University and graduate school

Unemployment rates (%) 5.1 2.9 3.5 4.92

Data source: Hong Kong SAR, https://www.statistics.gov.hk/pub/B10100062020AN20B0100.pdf; Japan, https://news.yahoo.co.jp/byline/fuwaraizo/20210325-00228342/; Korean Statistical information service, https://kosis.kr/eng/search/searchList.do; Census and Statistics Department, National Statistics, Republic of China (Taiwan), https://eng.stat.gov.tw/ct.asp?xItem¼42761& ctNode¼1609&mp¼5

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YOUTH UMEMPLOYMENT RATIO

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Fig. 5 Youth employment–population ratio. Notes: The data for 2023 (gray bar) is a forecasted statistic. The youth employment to population ratio refers to the proportion of a country’s labor force ages 15–24 that is employed. (Data source: The World Bank; http://datacatalog. worldbank.org)

particularly those in East Asia, is more pronounced (see Fig. 5). Graduate unemployment has become a serious problem in developed countries and also developing countries/regions. Data from East Asia reveal a fluctuating increase in youth unemployment rates, which intensified under the current COVID-19 pandemic recession. Moreover, higher education graduates may be “employable but not employed” (Brown et al., 2004). Recent studies have consistently suggested that new-generation higher education graduates in Western and East Asian countries have difficulty finding jobs and are confronted with underemployment or unemployment (Vedder et al., 2013; Lauder, 2014; Mok, 2016; Burgess et al., 2017). Meanwhile, higher education graduates may secure employment by accepting low-paying jobs requiring low education levels, thereby leading to the so-called “overqualification” problem in the labor market (Chan & Lin, 2016; Mok & Wu, 2016; Chan & Zhang, 2021; Mok & Zhu, 2021). The effects of overqualification and massification may lead to high unemployment rates, low monthly salary, and precarious work. Oversupply of higher education graduates reveals the “broken promise” of human capital theory, which posits that substantial investments in higher education would enhance social mobility, and also uncovers the cruel reality confronted by young university graduates the mismatch of job nature with their qualifications. Increasingly unhappy youths are on the rise,

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Youth Unemployment Rates in East Asia 14.00% 12.00% 10.00% 8.00% 6.00% 4.00% 2.00% 0.00% 2004

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Fig. 6 Youth unemployment rates in East Asia. (Data source: National Bureau of Statistics of the People’s Republic of China, http://www.stats.gov.cn; Hong Kong SAR Census and Statistics Department, http://www.censtatd.gov.hk/sc; National Statistics, ROC (Taiwan), http://www.stat. gov.tw; National Statistical Office of South Korea, http://kostat.go.kr; Statistics Bureau of Japan, http://www.stat.go.jp)

complaining about precarious work (Chan & Yang, 2015; Postiglione, 2020; Mok et al., 2021). Taking Japan, South Korea, Hong Kong, Taiwan, and Mainland China as examples, the unemployment rate of college graduates has fluctuated from 2004 to 2020 (see Fig. 6). Note that the trend toward massifying higher education has failed to address the youth unemployment issue in East Asian areas, which shows no signs of significantly abating. That is, graduates face difficulty in finding jobs even though they have obtained higher education degrees. Japan performed well in reducing unemployment rates among young graduates, although there was a minor rebound after 2018. Therefore, how higher education graduates can obtain decent job opportunities has become a common concern throughout East Asia. The quality of higher education graduates’ knowledge and skillsets should be ensured to meet the labor market’s demand for preferred skills. In response to the different demands of the labor market in the five selected countries/regions, required skills in the labor market are contrasting. Curricula not meeting economic requirements effectively and not adaptable to different areas are a growing concern (Borella, 2017; Mok, 2017; Mok & Xiong, 2022). Skills that young graduates develop from higher education institutions do not necessarily translate to employability in the labor market. Moreover, some supply-side approaches tend to lay responsibility on higher education institutions to enhance graduates’ skills. However, well-developed

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and well-executed employability provisions may not necessarily equate with graduates’ actual employment outcomes (Mok et al., 2021). The intensification of graduate unemployment and underemployment, combined with the “broken promise” made by human capital theory, resulted in the emergence of discontentment among young people. Recent studies have frequently reported crowding out self-reported unhappiness among young people across East Asia, part of the reasons is closely related to rising graduate underemployment or unemployment (Hou et al., 2020; Kuhner et al., 2021; Lam & Tang, 2021; Zhu et al., 2021). Similarly, unhappy youths in the United Kingdom and Europe have forced governments in the West to recognize the “crisis of young people.” Andy Green clearly highlighted intergenerational conflicts as unhappy young individuals reveal that the root of the problem is closely related to generational inequalities in education, work, housing, and welfare (Green, 2017).

Graduate Unemployment/Underemployment: Critical Reflections Analysis from the Sociological Perspective Numerous studies on employment inequality among graduates have been conducted to identify the gap between graduates and nongraduates in terms of job salary and further relate it to social mobility. Our critical reflections on the limitations of human capital theory clearly show that the linear relationship between higher education investment and promising career development and prospects for social mobility no longer exists within increasingly complex socioeconomic and political economic contexts. Although investments in higher education may generate reasonable returns, we must still ask the following question: Who can afford such investments? Without sufficient financial and social support, individuals from less fortunate families could be easily disadvantaged during the social production process. Another major aspect to note when reflecting on the “promise” of human capital theory is intense competitiveness in employment, thereby intensifying income disparity levels (Brown et al., 2020; Liu, 2021; Mok et al., 2021). Although human capital is an investment in individual knowledge, skills, and abilities with expected market returns, social capital is an investment in social relations and networks with expected market rewards. Social capital theory states that the purpose of higher education investment is to form social connections and accumulate social relationships that provide advantages for students’ future employment. That is, higher education graduates have numerous opportunities to obtain jobs and enter society with their social capital, hence converting human capital to employment outcomes (Sharma, 2014; Mok & Wu, 2016). Numerous studies have demonstrated that family background is one of the factors influencing graduates’ employment, with first job destinations and higher education admission closely related to family relationships. Support from family has a positive impact on graduates’ economic status and upward social mobility (Dale, 2015). Wen (2005) found that graduates from wealthy families have better employment

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prospects than those from nonaffluent families. Relationship (guanxi network) in Mainland China is influential and boosts competitive advantages to gain the resource, particularly for higher middle-class families (Huang, 2008; Li, 2020). Moreover, the gap between students from transnational higher education institutions (i.e., enrolling in academic programs run by overseas universities in China) and those from regular higher education institutions in China is evident, clearly revealing that students with better social capital and family support (particularly with financial support) would relatively succeed in the highly competitive labor market (Mok & Jiang, 2017). Young people from socially and financially advantageous families can maintain their advantages by attaining more access to academic colleges than others (Yeung, 2013). This pattern of education and labor market reproduction is found throughout Southeast Asia, regardless of whether emerging or developed economies. Edwards and Pasquale (2003) found that whether or not Japanese women can go to college depends on their family background and economic factors. Furthermore, family background and employment equality laws have a significant impact on the employment of young Japanese individuals, particularly women. In South Korea, supporting studies by Byun (2018) explored the association between family background and the school-to-work transition framework, and revealed that family background plays an important role in preparing young people for the labor market. However, the influence of family background on salary in Taiwan is significant in the private sector but not in the public sector (Liu et al., 2000). Collins (2019) used the concept of reproduction to test the correlation between education and social stratification. To effectively discuss these concepts, Li (2006) introduced a cultural reproduction model, emphasizing that cultural reproduction has an impact on higher education (Bourdieu, 1986). Parents with high cultural and educational backgrounds can influence their children’s access to higher education opportunities, which can ultimately help them enter the labor market. Children’s motivation and higher education performance are also influenced by their parents’ expectations, cultural capital, and human capital. That is, parents’ social expectations and cultural assets can be passed on to their children, thereby reflecting the process of cultural reproduction and can be applied to the employment situation. That is, inheriting different forms of capital from their families will entail diverse experiences for different individuals. Therefore, educational biographies and labor market outcomes will reflect inequalities in the intergenerational transfer of capital, disadvantaging those from family backgrounds that lack the forms of capital valued in the competition for education and jobs. When analyzing the massification of higher education in East Asia, a further point that must be highlighted is intensified educational inequality resulting from the privatization of higher education. Strongly espousing the Confucian-oriented belief that higher education can promote social mobility, parents and families with sufficient economic means are keen to provide higher education opportunities to their children as an investment. However, not all young people enjoy the same level of financial support from their families. According to the Great Gatsby curve, which shows the relationship between wealth concentration in one generation and the capacity of the following generation to rise up the economic ladder, transmission

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of wealth and human capital from parents to children is a crucial determinant of employment and earning ability. The higher the level of social inequity in a country, the greater the influence of the income level of parents on the income level of the next generation, and the higher the probability that the children will be in the economic class of the parents. In East Asia, the rapid increase in higher education enrollment rates is significantly influenced by the privatization of higher education, particularly when elite universities are privately funded (Mok, 2016; Mok & Jiang, 2018). Parents from wealthy families in some East Asian countries/regions, such as South Korea, Japan, and Taiwan, are able to send their children to such universities. Hence, the marketization and privatization of higher education in China and East Asia have intensified educational inequality. We must recognize that “transgenerational inequality” has become increasingly worrying, particularly when intergenerational transfers are not confined to assets and resources (not necessarily in monetary terms), but also other resources (nonmonetary support such as social capital and cultural capital). The widening gap between those benefitting from the transfers and those without has created an increasing number of unhappy young people during the transition from education to work. This situation also explains why youth unemployment/underemployment has turned into major global governance issues (i.e. governance for youth, trust, and intergenerational justice) (OECD, 2021, see also Green, 2017; Brown et al., 2020; Kang & Mok, 2022; Jin et al., 2021; Araki, 2021; Araki & Kariya, 2022).

Analysis from the Political Economic Perspective Apart from the sociological perspective highlighted previously, graduate employment/underemployment is increasingly shaped by the global economy. Regardless of how we assess the impact of the global economy on domestic markets, we cannot deny the significant effects of the global economy and international trade on the needs of local labor markets. The COVID-19 pandemic in 2020 clearly revealed how the lockdown of national borders can adversely affect international trade and global marketplaces. New geopolitics, exhibited by the rivalry between major world powers, such as the United States and its allies and China, can affect economic recovery at the global and regional levels. In an age of disruption, how to renew the “broken promise” of human capital theory is challenging countries across the globe (Brown et al., 2020). Our discussion of the graduate employment/underemployment issues confronting East Asian countries/regions is closely connected to the new geopolitics shaped by major world powers. Whether or not the United States and its allies will continue to “contain” the rise of China through different economic and geopolitical means would affect economic relationships and international trade across countries and regions. Although young people in East Asia have benefited in terms of educational attainment and health outcomes over the past few decades, their transition to independence has become extremely difficult. The recent “Governance for Youth,

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Trust and Intergenerational Justice” report by OECD showed that “young people are 2.5 times more likely to be unemployed than people aged 25–64, have less disposable income than previous young generations, find it more challenging to afford housing and are more likely to work in insecure jobs” (OECD, 2021). The report also indicated the uncertainties that young people and unborn children will face in the future resulting from the repercussions of the global financial crisis and climate change in the late 2000s as the COVID-19 pandemic worsened situations and predicting when and how the global economy will recover is difficult. In view of the emergence of the aging population, widening digital divide and intensified inequalities across the globe, young people’s dissatisfaction when faced with intergenerational inequality and injustice is understandable (Green, 2017; OECD, 2021). Fergusson and Yeates (2021) realized the increasing complexity of youth employment and suggested that global youth employment issues be analyzed through a broad political economic lens. The considerable influence of world economy and trade, globalized strengths of corporate enterprises and states and global governance institutions can significantly shape global youth employment conditions. Departing from this vantage point, a holistic approach should be adopted when analyzing youth employment in East Asia from comparative and international perspectives. The reason is that youth transition from education to employment has become a unique challenge in East Asia and a global social phenomenon. The COVID-19 pandemic has led to an unprecedented global health crisis. Thus, governments across the globe must critically review the role of higher education and the impact of its massification and graduate/youth employment in the post-COVID-19 era. Since 2008, endemic youth unemployment after the global financial crisis has become increasingly extensive and normalized worldwide. Underemployment, or what some call overqualification, is also important along with issues of unemployment (Fergusson & Yeates, 2021). Hence, “jobless young people are a major and critical element of an evolving new international division of youth labour and of a global youth labour force that is notable for its mobility, adaptability, exploitability and impermanence” (Fergusson & Yeates, 2021, p. 215). Intergenerational injustice has become an increasingly popular discourse among youths in Europe and East Asia. Thus, numerous unhappy young people attempt to air their grievances through social movements, petitioning for improved understanding of how young people perceive the modern world (Tozer, 2014; Green, 2017; Liou & Literat, 2020).

Conclusion Our analysis clearly shows that the “oversupply” of university graduates in East Asia can be analyzed as a consequence of the massification and privatization of higher education. “Membership” in the “jobless youth club” forces some graduates to venture into start-up businesses and innovation-centric entrepreneurship. Nonetheless, whether or not such ventures can help restore the “broken promise” of human capital theory remains unknown. Our research on the massification and privatization

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of higher education and their impact on graduate employment in East Asia, together with our research in the United Kingdom and Europe, clearly reveals the challenges faced by young people in a globalized world. When young people in Asia embark on their entrepreneurship journey, many lack options in the formal labor market, thereby forcing them to resort to the informal market (Mok & Qian, 2018; Mok et al., 2020). How to renew failed promises in an age of disruption against the increasingly complex political economic and geopolitical contexts currently experienced in East Asia during the COVID-19 pandemic remains a crucial research question. The current study contributes to the analysis of graduate employment in East Asia from the sociological and political economic perspectives. However, increased research on youth transition and youth employment issues should be conducted by comparative and international studies in the future.

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Transitions Between Education and Employment in the Twenty-First Century: A View from the Asia-Pacific

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Expansion of Education in Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Employment Across the Asia-Pacific Region . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Implications of the Increasing Complexity of Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Since the turn of the century, the restructuring of labor markets has intensified, and pathways between education and employment have become more complex. Rather than completing a linear transition between full-time education and fulltime employment, young people are now more likely to experience protracted, non-linear transitions as they undertake various forms of both study and employment. Due to the emergence of the gig economy and the scarcity of opportunities for full-time employment, young people face lengthy delays in securing economic independence from their parents. This chapter provides an overview of how young people across the Asia-Pacific region negotiated the transition between education and employment during the twenty-first century. Keywords

Asia-Pacific · Youth transitions · Educational expansion · Precarious employment

J. Chesters (*) Melbourne Graduate School of Education, The University of Melbourne, Melbourne, VIC, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_66

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Introduction The transition between education and employment is one of the most significant transitions that young people need to negotiate; however, transitions between fulltime education and full-time employment have become more complex in recent decades (Brzinsky-Fay, 2007; Cuervo & Wyn, 2011; Furlong et al., 2017; Kalleberg, 2011; Mills et al., 2005). In previous generations, young people typically completed their education and engaged in full-time employment in entrylevel jobs before establishing long-term partnerships and independent households (Nahar et al., 2013). The social and economic circumstances that underpinned these traditional transitions no longer exist; therefore young people are negotiating this difficult transition without the certainty that previous generations may have experienced. Prolonged and non-linear transitions between education and employment are one of the consequences of the contraction in full-time employment opportunities and expansion of opportunities for tertiary study (Chesters & Wyn, 2019). In some countries, young people are encouraged to undertake post-school study to improve their chances in the labor market and to simultaneously engage in part-time employment to partially support their studies (ILO, 2020a). Therefore, transition pathways include various combinations of education (secondary full time; tertiary full time; tertiary part time) and employment statuses (full time; part time; casual; short-term contract; unemployment). According to the International Labour Organization (ILO, 2009, p. 7), an individual “has not ‘transited’ until settled in a job that meets the basic criterion of ‘decency,’ namely a permanency that can provide the worker with a sense of security (e.g., permanent contract).” Researchers tend to agree that the success, or otherwise, of the transition into employment has social and financial implications, such as achieving economic independence, developing social networks, and making longterm commitments (Cuervo & Wyn, 2011; Furlong et al., 2017; Kalleberg, 2011; Mills et al. 2005). The current economic crisis related to the COVID-19 pandemic playing out across the world has heightened concerns for the ability of young people to successfully transition from education into employment. Although some trends in school-to-work transitions are similar across the world, in this chapter, I focus on the Asia-Pacific region, the fastest-growing region (ILO, 2020b). The Asia-Pacific is characterized by a patchwork of countries experiencing various stages of development (Chang & Zach, 2018), from post-industrial economies to newly industrializing ones, from densely urbanized cities to sparsely populated rural areas, and from workforces dominated by the highly educated to workforces dominated by those with just primary school levels of education. Countries that industrialized early such as Australia, New Zealand, and Japan are now in the post-industrial phase. The East Asian Tigers, South Korea, Hong Kong, Taiwan, and Singapore, are also focusing more on services than manufacturing, whereas Thailand, Malaysia, China, and Vietnam are more dependent on their manufacturing and, in some cases, their agricultural industries (Chang & Zach, 2018; Kalleberg & Hewison, 2013; Nayyar, 2021).

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In the most developed countries across the Asia-Pacific region, such as Australia, Japan, South Korea, New Zealand, and Singapore, transitions between education and employment have become prolonged and more complex as opportunities for full-time employment contracted. One of the drivers of this trend has been the offshoring of manufacturing industries to lower-cost Asian countries, such as China, Vietnam, and Cambodia, where the development of large manufacturing sectors generated rapid growth (Chang & Zach, 2018; Chesters, 2019; Nayyer, 2021). In 2019, China was the world leader, generating 29% of global manufacturing output (Nayyar, 2021). Currently, the Asia-Pacific region is characterized by high rates of growth and development in newly industrialized countries and relatively lower rates of growth in postindustrial countries (Chesters, 2016; Chesters, 2019; Nayyer, 2021). Even within countries experiencing high rates of growth, there is no guarantee that employment opportunities will move out of the informal sector and into the formal sector (Kalleberg & Hewison, 2013) or that jobs will generate an income that will sustain the worker. In post-industrial countries, the growing services sector is generating highly skilled full-time jobs and low-skilled part-time jobs essentially polarizing the labor market (Kalleberg, 2011). Young people seeking careers in the services sector are encouraged to prolong their educational careers and complete 4–5 years of university studies before entering the labor market. Young people who lack adequate financial support from their families tend to combine tertiary study with low-paid part-time work in the retail or hospitality sectors. The rapid expansion of higher education has resulted in a growing proportion of graduates being underemployed in terms of being employed in jobs for which they are overqualified and/or being employed for fewer hours than they would like (Chesters & Cuervo, 2019; Chesters & Wyn, 2019; Furlong et al., 2017). The drive for labor flexibility was sparked by the adoption of neoliberal economic policies, which culminated in the restructuring of traditional labor markets and generated the gig economy (Chesters & Wyn, 2019; Furlong et al., 2017; Kalleberg & Hewison, 2013). Since the late 1970s, the balance of power between employers and employees has shifted as governments have prioritized the needs of employers over those of employees by reducing employment protections, increasing flexibility, and inhibiting wage growth (Furlong et al., 2017). When employers seek to employ skills rather than workers, full-time employment declines, and short-term contracting gains momentum (Brown et al., 2011; Lazar & Ruan, 2018). The restructuring of labor markets has created a new class of workers who are neither unemployed nor fully employed. These workers, caught in the liminal space between unemployment and full-time employment, are encouraged to accept gigs, that is, compete via online platforms for fee-for-service opportunities, or accept short-term contracts or zero-hour contracts (Brown et al., 2011; Furlong et al., 2017; Lazar & Ruan, 2018). One of the features of the gig economy is that employers have outsourced the costs associated with employing labor to the workers themselves (Kalleberg & Hewison, 2013). Therefore, as Foucault (2010, p. 226) foreshadowed in his 1979 lecture series, the worker has become an enterprise, “being for himself, his own capital; being for himself, his own producer; being for himself, the source of his earnings.”

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Outsourcing and short-term contract work undermine the stability of employment (Kalleberg, 2012) and create a sense of being for sale rather than being employed (Chesters & Wyn, 2019). The inability to engage in secure meaningful work impacts on the ability “to create a life narrative out of work” (Kalleberg, 2011, p. 85). Social and economic conditions determine whether these gig economy experiences are short-lived and workers transition into more stable employment. During periods of economic expansion, underemployment may be a short-term condition; however, during periods of economic contraction, underemployment may scar the employment trajectory over the longer term. In some countries in the Asia-Pacific region, such as Australia and New Zealand, welfare payments may prevent the unemployed and underemployed from falling into absolute poverty. However, social safety nets are the exception rather than the rule in this region. Research shows that transitions between education and employment play out differently according to socioeconomic and cultural contexts (Choi & Bae, 2020) and the sociodemographic characteristics of individuals (Hulliger & Thu, 2019; Tran, 2018). Having family support can buffer young people from harsh economic conditions (Alberti et al., 2018; Antonucci, 2018) but may delay their ability to achieve recognized markers of adulthood, such as being engaged in full-time employment that generates a living wage. This chapter examines how differences in socioeconomic conditions across the Asia-Pacific region impact on the ability of young people to negotiate the transition between full-time education and full-time employment. The remainder of this chapter is structured as follows: after providing an overview of the expansion of education in selected countries in the Asia-Pacific region, I focus on the labor market conditions for young people aged 15–24 years. This is followed by a discussion of the effects of prolonged and complex transitions on young people located in various Asia-Pacific countries and the conclusions.

Expansion of Education in Asia This section provides an indication of how education systems across the region expanded during the twenty-first century. According to Mok (2016), over the past few decades, countries in the Asia-Pacific region have experienced unprecedented growth in higher education due to the development of policies aimed at improving national competitiveness. Japan, South Korea, and Taiwan have among the highest tertiary education enrolment rates in the world (Yeung & Alipio, 2013). As demand outstripped supply, many countries including South Korea, Japan, Taiwan, Hong Kong, and China partially privatized higher education to ensure that growth was not constrained by government investments. One of the unfortunate outcomes of these high enrolment rates has been that graduates are experiencing difficulties finding jobs that align with their knowledge and skill sets (ILO, 2020a; Mok & Jiang, 2018). As Furlong et al., (2017) noted, the expansion of post-secondary education generated credential inflation as large cohorts of graduates flooded onto labor markets. Credential inflation occurs when the proportion of potential workers with

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high-level educational credentials exceeds demand for these workers. Employers believe that highly educated employees are more productive than lower-educated employees (Becker, 1964; Spence, 1973) and therefore try to recruit the most highly educated applicants regardless of the level of education and/or skills required for the job. When the supply of graduates exceeds the demand for highly educated workers, employers are able to select highly credentialled applicants for jobs that do not necessarily require high levels of education and/or skills (Elias & Purcell, 2004; van de Werfhorst, 2009). The recruitment of overqualified workers results in high levels of underemployment of the highly educated and high levels of unemployment of the lower educated as young people are “crowded out” across the labor market (Kuhner et al., 2021; Mok & Jiang, 2018). The highly educated accept jobs lower down the occupational scale at the expense of their peers with intermediate levels of education and skills, who in turn take the jobs suitable for their low educated/skilled peers (Elias & Purcell, 2004). Across the Asia-Pacific region, rates of secondary school completion are very high, and rates of tertiary study are increasing. In Australia, there are two main tertiary education pathways: higher education through universities and vocational education and training through registered training organizations. The Australian higher education sector is dominated by public universities funded by the Commonwealth Government. The vocational education and training sector includes public institutions funded by the state/territory governments and private institutions. The majority of tertiary students are eligible for loans from the Commonwealth Government. These loans are repaid via the tax system once the individual earns above a designated threshold (Chesters & Watson, 2013). This scheme is designed to ensure that potential students are not discouraged from furthering their education due to their current financial situation. In 2019, there were 1.09 million domestic students across all age groups enrolled in the higher education sector and 4.2 million domestic students across all age groups enrolled in the vocational education and training sector (National Skills Commission, 2021). According to the Australian Bureau of Statistics (ABS) (2020), in 2004, 43% of young adults aged 20–24 years had completed a post-secondary educational qualification. By 2020, this percentage had increased to 46.5%. Furthermore, the proportion of young adults aged 20–24 years who were studying increased from 36% in 2004 to 44% in 2020. Between 2004 and 2020, the percentage of young adults aged between 25 and 29 years who had completed a post-secondary qualification increased from 63.4% to 74.5%. The proportion of young adults aged 25–29 years who were studying increased from 15% in 2004 to 19% in 2020. These figures indicated that the enrolment and completion rates for tertiary education have continued to gradually increase in Australia. South Korea, Japan, Taiwan, Hong Kong, and China also experienced high levels of expansion in higher education (Mok & Jiang, 2018). The enrolment rates in China increased from 3% to 26% between 1999 and 2013 due to the expansion of government tertiary sector and the introduction of private colleges. Over 80% of young people in South Korea and Taiwan and 60% of young people in Japan and Hong Kong were enrolled in higher education in 2013 (Mok & Jiang, 2018).

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Consequently, major proportions of young people in Asian labor forces are tertiaryqualified. For example, in South Korea, 60% of those aged between 25 and 34 years are college graduates, and in Japan, more than 50% of those aged between 25 and 34 years hold a tertiary-level credential (Mok & Jiang, 2018). Unfortunately, not all labor markets are generating suitable employment opportunities leading to situations where college students are encouraged to delay their graduation until they are able to secure a suitable position rather than enter into unemployment upon graduation (Choi & Bae, 2020; ILO, 2020a). Despite, or perhaps due to, the rapid expansion of tertiary education across Asia, graduates are no longer guaranteed better employment outcomes, higher earnings, or social mobility (ILO, 2020a; Mok, 2016). Australian data analyzed by Chesters and Wyn (2019) shows that even when young people complete multiple degrees, they are not necessarily employed in full-time permanent jobs and/or jobs that they find meaningful (see also Chesters, 2020).

Employment Across the Asia-Pacific Region The International Labour Organisation (ILO) (2020a) estimates that the youth unemployment rate across the South East Asia and Pacific region was relatively stable between 2000 and 2020 at around 10–11%. Between 2010 and 2020, the NEET (not in employment, education, or training) rate declined marginally from 19.2% to 18.4%. Research conducted by Yeung and Yang (2020) links the high rates of non-employment among young people to a series of financial crises including the 1997 Asian Financial Crisis, the Global Financial Crisis of 2008–2009, and the financial crisis sparked by the COVID-19 pandemic. Due to the impact of these crises on youth unemployment, young people are vulnerable to becoming trapped in an unemployment-underemployment cycle, churning between precarious employment and unemployment (Furlong et al., 2017). As Cebulla and Whetton (2018, p. 305) noted, the “hollowing out” of the fulltime employment market for young adults has increased rates of underemployment with some segments of the youth labor force regarding insecure work as being a normal part of the employment landscape (Alberti et al., 2018; Cuervo & Chesters, 2019; Kreitz-Sandberg, 2008). Increased levels of underemployment in its various forms including reduced hours (workers seeking to work additional hours), reduced remuneration (workers being paid less than expected given their levels of education/ skills), and overqualification of workers (those with high levels of skills working in semi-skilled jobs) have become a feature of post-industrial labor markets (Heyes et al., 2017). Even young people with high levels of education are being left behind as successive waves of university graduates experience underemployment related to both a lack of full-time jobs and a lack of jobs requiring university-level qualifications. Young graduates are increasingly likely to be employed in non-graduate jobs or in high-skill, low-wage jobs (Brown et al., 2011). According to Mok (2016), around three million college graduates in South Korea were unemployed, and 38% of graduates in Japan were inactive due to the “massification” of higher education

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and the inability of the labor market to generate enough high-skilled jobs to accommodate them. Precarious employment includes various forms of work designed to reduce labor costs by increasing flexibility and reducing the capacity of workers to organize and demand better wages and conditions (Kalleberg & Hewison, 2013). Precarious employment typically involves jobs with short-term contracts or no contracts, irregular hours, and variable earnings. Even highly skilled workers are being recruited as consultants and contractors rather than being offered permanent fulltime employment (Chesters & Wyn, 2019; Kalleberg, 2012). Workers engaged in precarious employment do not know when they will be working, how many hours they will be working, and how much money they will earn. Thus, it is not surprising that precarious employment is associated with lower levels of job satisfaction, autonomy, and well-being (Chesters & Cuervo, 2019; Cuervo & Chesters, 2019; Furlong et al., 2017). Some researchers argue that young people from relatively wealthy families are less vulnerable than their peers from relatively poor families; therefore, the impact of precarious employment can be exacerbated or ameliorated by family circumstances (Alberti et al., 2018; Antonucci, 2018). In some countries, such as Australia and New Zealand, governments are able to lessen the impact of the negative effects of being engaged in precarious employment by providing economic support such as subsidizing wages and/or providing affordable housing and healthcare. However, in the majority of countries in the Asia-Pacific region, governments provide little or no protection for workers and deliberately prioritize the needs of employers over those of employees by maintaining a “reserve army” of labor, thus ensuring that employees remain willing to accept their exploitation as a condition of their employment (Kalleberg, 2020; Kalleberg & Hewison, 2013). Precarious employment is particularly problematic in youth labor markets because entry-level jobs are concentrated in sectors with high rates of precarious jobs, those with irregular and non-standard hours, no certainty with regard to earnings, and no leave entitlements. In post-industrial countries like Australia, labor markets are dominated by the service sectors. According to the ABS (2021a), the service sectors account for over 70% of all jobs, whereas manufacturing provides just 5.6% of all jobs. Young workers are concentrated in sectors dominated by part-time employment such as the retail and hospitality sectors. Workers aged 15–24 years account for 31% of employees in retail and 45% of employees in hospitality. On the other hand, in sectors where full-time jobs are dominant, young workers account for small percentages of the workforce. Workers aged 15–24 years account for 11% of employees in manufacturing and 15% of employees in construction (National Skills Commission, 2021). For young Australians, rates of full-time employment have declined over the past two decades from 58.6% in 2000 to 42.2% in 2021 (ABS, 2021b). Although the unemployment rate declined from 12.1% in 2000 to 10.3% in 2021, there was an increase in the underutilization rate from 23.1% to 26.5%. The underutilization rate reflects the percentage of young people who are either unemployed or who are employed on a part-time basis but seeking to work more hours. High rates of underutilization have significant impacts on the levels of well-being

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and career trajectories (Aronson et al., 2015). Between 2004 and 2020, the percentage of young university-educated people who were employed on a full-time basis declined from 56% to 46% (ABS, 2020) (see Fig. 1). Furthermore, the percentage of young people with university degrees who were not engaged in employment, education, or training (NEET) increased from 5.2% in 2004 to 11.6% in 2020 (ABS, 2020) (see Fig. 1). Research conducted by Chesters (2020) showed that the level of education was not associated with the likelihood of being engaged in fulltime employment or with having high levels of job satisfaction. Although the unemployment rate for young people in New Zealand is relatively high, those with university credentials have very low rates of unemployment. In 2020, across all age groups, just 2.6% of those with a post-graduate degree and 3.2% of those with a bachelor degree were unemployed (NZG, 2021). Data published by New Zealand Statistics (NZS) (2021) indicates that in 2021, 19.2% of young people aged 15–19 years were unemployed, up from 17.5% in 2000. The rate for those aged 20–24 years declined from 10.7% in 2000 to 9.1% in 2021. Furthermore, research conducted by Sanders et al. (2020) showed that in 2018, 12.5% of young people aged 15 to 24 years were NEET. Despite these relatively high rates of NEET, and of unemployment young New Zealanders continued to regard being employed as a high priority in life due to their desire for financial independence, their need to belong, and to contribute to society (Sanders et al., 2020). The rapid urbanization of many parts of China created high rates of unemployment as subsistence farmers who were forced off their land migrated to cities in search of low-skilled work (Hung, 2012). The closure of formerly state-owned enterprises also contributed to increasing rates of unemployment (Zhang, 2017) as did the rapid expansion of tertiary education. Research conducted by Mok and Qian (2018) shows that the unemployment rate for college graduates in China increased from 7.5% in 2008 to 25.5% in 2013. In 2013, there were 6.39 million graduates

Young graduates: 2004- 2020 70 60 per cent

50 40 30 20 10 0

% F/T employed

% NEET

Fig. 1 Employment status of Australian graduates aged less than 24 years 2004–2020. (Source: Derived by Author from data published by ABS (2020))

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competing for employment in highly skilled occupations in the Chinese labor market. In Hong Kong, half of young college graduates were employed in low-skilled jobs, indicating that the expansion of higher education had not necessarily improved the employment outcomes of young people (Kuhner et al., 2021). According to Choi and Bae (2020), there have been dramatic changes in the South Korean labour market, particularly in entry-level opportunities, due to the twin forces of globalization and advances in technology. Technological advances in telecommunications revolutionized the banking and finance sectors exacerbating the reach of globalization. The Asian Financial Crisis of 1997 added to the momentum of the flexible labor regime, increasing levels of precarious employment. Since the early part of the twenty-first century, unemployment rates have continued to increase. Choi and Bae’s (2020) research shows that the unemployment rate for those aged 20–29 years in South Korea increased from 6.6% to 9.8% between 2002 and 2016. Furthermore, college graduates had higher levels of unemployment than their lower-educated peers. Of particular concern is the hyper-competitive nature of the higher education sector where students compete to gain entry into the most prestigious universities in the hope of enhancing their employment prospects after graduation (Choi & Bae, 2020). The proliferation of precarious employment in South Korea, particularly since the turn of the century, has increased the levels of economic inequality and poverty (Choi & Bae, 2020; Kalleberg & Hewison, 2013). Although the youth unemployment rates in Japan have declined during the past two decades, the levels of precarious employment have increased. World Bank (2021) figures indicate that between 2000 and 2019, the percentage of young people aged 15 to 24 years who were unemployed declined from 9.1% to 3.9% (see Fig. 2). However, opportunities to engage in traditional salaried positions that guaranteed a job for life have diminished, and an increasing proportion of young Japanese

Youth unemployment: 2000-2019 per cent

20 15 10 5

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Cambodia

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South Korea

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2015

2014

2012

2013

2011

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2009

2008

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2004

2003

2002

2001

2000

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Vietnam Fig. 2 Youth unemployment rates for selected the Asia-Pacific countries: 2000–2019. (Source: Derived by Author from data published by World Bank (2021))

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workers are employed in secondary jobs (Kreitz-Sandberg, 2008). Social insurance is only granted to salaried workers in primary jobs; therefore, secondary workers employed on non-standard contracts are not protected (Choi & Bae, 2020; Kalleberg & Hewison, 2013; Kreitz-Sandberg, 2008). In the quest to cut their overall costs and remain globally competitive, employers have cut their labor costs by hiring temporary workers, thus negating the need to provide standard employment benefits such as social protection (Kalleberg & Hewison, 2013). Workers engaged in precarious employment are also denied access to paid holiday and sick leave adding to their financial stress (Kreitz-Sandberg, 2008). Therefore, despite declining unemployment rates, young workers in Japan are not necessarily financially independent from their parents and are continuing to delay marriage and family formation (Kalleberg & Hewison 2013; Kreitz-Sandberg 2008). There is also evidence of high levels of precarious employment in Vietnam where 50% of waged employees have no paid leave, pension insurance, or social security benefits (Tran, 2018). Furthermore, 37% of employed young people are engaged in self-employment or unpaid family work. According to the World Bank (2021), the youth unemployment rate increased from 4.5% in 2000 to 6.6% in 2019 (see Fig. 2). Although these unemployment rates are relatively low, college graduates are more likely to be unemployed than low-educated youth in Vietnam, indicating that the investments in human capital via higher levels of education are not necessarily rewarded in the labor market (Tran, 2018). Despite the exceptionally low rate of unemployment in Cambodia of between 0.4% and 2% since 2000 (World Bank, 2021), the rates of precarious employment are high due to employment opportunities being concentrated in the agricultural and services sectors where 68% of young women and 64% of young men are engaged in vulnerable employment (McKay et al., 2018). Overall, across the Asia-Pacific region, even young people with high levels of education are entering labor markets characterized by precarious jobs. In some countries, the highly educated are less likely to be employed than their lowereducated peers, and in other countries, the highly educated are employed in jobs for which they are overqualified outcompeting their lower-educated peers. The ILO (2020b) suggests that these trends will continue throughout the 2020s. Thus, preparing young people for employment is also problematic as investment in human capital no longer guarantees strong labor market outcomes (Brown et al., 2020). As Kalleberg (2009, p. 10) noted, “growth in precarious work has made educational decisions more precarious. The unpredictability of future work opportunities makes it hard for students to plan their education.”

Implications of the Increasing Complexity of Transitions Transitions between full-time education and full-time employment are important because, securing a permanent, full-time job is regarded as a crucial requirement for making other important life commitments such as marriage, home ownership, and parenthood (Cuervo & Chesters, 2019; Cuervo & Wyn, 2011; Kalleberg, 2011; Mills

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et al., 2005; Yeung & Yang, 2020). The inability of young people to complete the transition from full-time education to full-time employment in a timely manner results in young people experiencing prolonged periods of liminality, unable to fully transition. Their ability to complete this transition is constrained or facilitated according to the prevailing social and economic circumstances (Nahar et al., 2013). For example, attempting to enter the labor market during an economic recession when unemployment rates are relatively high is very different from entering the labor market when unemployment rates are relatively low (Bell & Blanchflower, 2011; Blossfeld et al., 2005). The scarring effect of experiencing unemployment during the transition and/or early in the work career has been documented in several countries (Aronson et al., 2015; Bell & Blanchflower, 2011; Blossfeld et al., 2005; Chesters et al., 2020; Cuervo & Wyn, 2016). The inability to achieve successful transitions from education to employment has implications for the wider society due to young people delaying marriage and parenthood. For example, today’s declining birth rates equate to smaller labor forces in the future and thus lower ratios of employed persons to retirees. Yeung and Alipio’s (2013) claim that Japan, Taiwan, and South Korea have the lowest rates of fertility in the world is supported by recent data from the World Bank (2021). The most recent World Bank figures show that in 2019, the fertility rate was 0.9 in South Korea; 1.4 in Japan; 1.7 in Australia, China, and New Zealand; and 2.1 in Vietnam. In Australia, the fertility rate has been below 2.0 (the replacement rate) since 1978 (ABS, 2019). One of the drivers of low fertility rates is the age at first birth. In 2017, the average age at first birth was 32 in Japan and 33 in South Korea (OECD, 2021). In Australia, the average age at first birth increased from 26 in 1978 to 31 in 2015 (ABS, 2019) and remained at 31 years until 2019 (OECD, 2021). Consequently, many countries in the Asia-Pacific region are reliant upon immigration to bolster their populations and improve their productivity and economic growth. In countries like Australia, immigration policies are designed to attract highly skilled migrants. Potential migrants who have secured a sponsorship from their potential employers are given the highest priority, crowding out young graduates who have little or no work experience in their field of study. In other words, immigration policies further undermine the ability of young people, particularly those who have invested in their human capital by completing tertiary level credentials, from securing full-time employment in permanent jobs.

Conclusions Across the Asia-Pacific region, social and economic changes have impacted heavily on young people transitioning from full-time education into full-time employment. Although education systems have expanded and increasing proportions of the population invested in their human capital via engaging in tertiary education, fulltime employment opportunities contracted. In some countries in the region, young people with high levels of education struggle to find employment commensurate with their level of education and skills and are more likely to be unemployed, or

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underemployed, than their lower-educated peers. Consequently, seamless transitions between full-time education and full-time employment are no longer reliant on the ability and willingness of youth to invest in their education. Although Tran (2018) noted that successful transitions between education and employment are also dependent upon the socio-demographic and personal characteristics of young people, the widespread labor market issues facing young people across the Asia-Pacific region indicate that individual young people cannot overcome the barriers to finding secure full-time jobs. In other words, this is a demand issue (lack of jobs) rather than a supply issue (lack of workers). As Sanders et al. (2020) noted, despite having supportive parents and positive peers and living in a good neighborhood, young people are not necessarily able to overcome the structural constraints of twenty-first century labor markets. Growing levels of informal employment in countries like China and Australia (Kalleberg & Hewison, 2013) indicate that young people are willing to accept precarious employment rather than accept being unemployed. However, by doing so, they are at risk of becoming trapped in a cycle of poor employment-no employment as they churn between insecure employment opportunities (Furlong et al., 2017).

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The Expansion of Postgraduate Degrees and Its Labor Market Consequences in East Asia

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Expansion of Postgraduate Degrees: Theoretical Lens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Master’s Education and the Labor Market in East Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Mismatch Between Postgraduate Education and the Labor Market . . . . . . . . . . . . . . . . . . . . . . The Future World of Work and Master’s Degrees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Higher education in East Asia has made notable progress in student enrolment, knowledge production, and global rankings in the last three decades. Postgraduate education has been part of this rapid expansion, particularly at the Master’s level. Although the expansion in postgraduate degrees has primarily been driven by efforts to accelerate national economic development, it is also associated with intense competition in the labor market among university graduates. This chapter examines the expansion of postgraduate education in East Asia, particularly at the Master’s level, and its implications for the labor market. It consists of four parts. First, the growth of Master’s degrees is explained from sociological perspectives, namely, positional consensus and positional conflict theories. Second, the expansion of Master’s degrees in selected higher education systems in East Asia (including China, Japan, South Korea, and Taiwan) is illustrated. The sociocultural environments that encourage public and private investment in advanced degrees are briefly discussed. Third, potential implications for the labor market are projected, such as a (mis)match between Master’s education and the world of work in terms of skills, identities, and qualifications. Fourth, the discussion regarding labor market implications is broadened to address the future of work J. Jung (*) Faculty of Education, The University of Hong Kong, Hong Kong SAR, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_62

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for higher education degree holders and issues such as globalization, the threat from automation to job opportunities, and the rise of new business models. Keywords

Postgraduate degree · Master’s degree · Labor market · Positional competition theory · Qualification mismatch · East Asia

Introduction Higher education enrolment has increased globally, with the total number of higher education students growing from 32.6 million in 1970 to 250.8 million in 2020; this figure is expected to reach nearly 594.1 million by 2040 (Calderon, 2018). Access rates to higher education, however, vary widely by region. Until 2002, more higher education students were enrolled in North America and Europe than in any other part of the world. Since then, East Asia (In this chapter, most examples and discussions focus on mainland China, Japan, South Korea, and Taiwan. In the United Nation’s geosphere, other jurisdictions such as Mongolia, Macau, Hong Kong, and North Korea are classified as in East Asia, although their systems are smaller than those of the other four) has consistently recorded the highest number of enrolments. Although this change is mainly the result of a large school-age population in mainland China (hereafter, China), the overall development of higher education in East Asia has been spotlighted globally for the last two decades. For example, higher education studies have widely discussed Japan’s leading role in research and postgraduate education in East Asia, the tertiary education enrolment rate of over 90% in Taiwan and South Korea (hereafter, Korea), and China’s rapidly growing higher education sector (Marginson, 2018). The most critical issue in the initial development stages of this region was meeting the demand for higher education by increasing the scale of the system, which relied on public and private investment; subsequently, improving the quality of higher education and building its research capacity building became more important (Asian Development Bank, 2012). In particular, as competition for knowledge production, internationalization, and global rankings have intensified, postgraduate education has become ever more important in East Asia (Shin et al., 2018). For a long time, doctoral training in East Asian countries heavily relied on English-speaking countries; Japan was the notable exception, as it had already established a domestic doctoral training system (Ushiogi, 1997). Because research capacity to train academics was not strong enough before the 1990s in China, Korea, and Taiwan, most academics in research universities in these countries obtained their doctoral degrees from overseas universities, especially those in the United States (Jung, 2018). However, the quality of postsecondary education in China, Korea, and Taiwan has improved substantially, including at the Master’s and doctoral levels. Consequently, these countries have become attractive study destinations for Asian students seeking postgraduate degrees today.

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Postgraduate education is crucial to understanding the development of research and innovation across higher education systems. It is directly associated with the knowledge economy, industrial structure, and labor markets (Aarrevaara et al., 2021). However, most studies on postgraduate education have overwhelmingly focused on the doctoral rather than the Master’s level. Master’s education has never been as strong a policy focus as doctoral education despite the exponential growth of Master’s education around the world. Additionally, it is difficult to obtain precise figures on programs and students at the Master’s level because of program diversity across countries and institutions (Jung, 2020b). A Master’s degree is equivalent to level 7 of the International Standard Classification of Education (ISCED). The degree is designed to provide students with more advanced academic and professional knowledge, skills, and competencies higher than those obtainable at ISCED level 6 (equivalent to a Bachelor’s degree) but lower than what is provided at ISCED level 8 (equivalent to a doctoral degree). Master’s programs include a substantial research component but do not lead to the award of a doctoral qualification. Master’s programs are theoretical but may include practical elements through the requirement of a research project or thesis (UNESCO, 2011). The duration of a Master’s program varies from one to four years according to the program type and the postgraduate education tradition of a given country. For example, some countries (including the United Kingdom) clearly distinguish between a research-oriented Master’s degree (MPhil) and a coursework-based Master’s degree, which is widely referred to as a “taught postgraduate” (TPG) program (Knight, 1997). Many TPG programs are designed to be completed in a single year. In some continental European countries, a Master’s degree is an extension of a Bachelor’s degree and provides an additional qualification in a specific field. The combination of Bachelor’s and Master’s degrees in Europe has been popular since the Bologna Process (Sin, 2014). In most East Asian countries (except Hong Kong, which was heavily influenced by the UK higher education model), Master’s programs combine a research orientation with coursework. The overall expansion of higher education has increased the demand for faculty positions and doctoral education, and a Master’s degree has long been a minimum qualification to teach in universities and a prerequisite for PhD programs. Master’s programs in East Asian countries contain both coursework and substantial research requirements and are regarded as crucial foundations for the doctoral degree. The duration of studies is between two and three years. However, as Master’s programs have expanded, they have evolved into different types: researchoriented programs, professional training, and awarding qualifications for specific occupations. Duration of study and graduation requirements have also become much less standardized. For individuals, a Master’s degree offers a potential advantage for job opportunities, employment status, wage premium, and cultural enrichment (Gallagher, 2016). Studies have shown that a Master’s degree provides a “positional good” in the labor market (Yang & Chan, 2020). However, the expansion of Master’s programs has raised concerns about “overeducation” or “credential inflation” in the labor market for university graduates (Baker, 2011). Blagg (2018, p. 1) describes

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today’s Master’s degree as “the new Bachelor’s degree” for university graduates, that is, a tool needed to merely survive in the competitive job market. Many Master’s students pursue the degree because they believe that “all others have one” (Jung & Li, 2021, p. 327). Some graduates pursue multiple Master’s degrees, believing that having more degrees will enhance their job prospects (Jung & Li, 2021). These phenomena raise questions about the value of a Master’s degree and its implications in today’s labor market. This chapter focuses on East Asia, which has experienced a massive expansion and the most sweeping changes in postgraduate education, to address the following questions. What are the sociological theories that explain the growth of Master’s programs? How have Master’s programs been expanded in East Asia, particularly in China, Japan, Korea, and Taiwan? What are the labor market implications of the expansion of Master’s programs? How will the future world of work affect education at the Master’s level?

Expansion of Postgraduate Degrees: Theoretical Lens The expansion of postgraduate education, particularly at the Master’s level, has been a global trend in higher education systems in many advanced economies. Sociological theories can explain why postgraduate education has expanded and how that expansion may affect university graduates in their transition to the labor market. This section frames the discussion and contrasts two theories of education and the labor market: positional consensus theory and positional competition theory. Under positional consensus theory, the expanding opportunity for education is a normal process of social evolution that enables people to fill jobs that require more knowledge and skills (Brown, 2003). The transformation to the knowledge economy (Drucker, 1993) has been the main driver of the expansion of postgraduate education. The evolution of knowledge industries and technological development require more in-depth disciplinary knowledge and the professionalization of workplaces (Conrad et al., 1993; Glazer-Raymo, 2005). Advanced degree programs are expected to help learners gain higher-order thinking skills and a wider variety of competencies (Klein, 2001; Manathunga et al., 2006). At the Master’s level, students seek to deepen the disciplinary knowledge obtained from a Bachelor’s degree or integrate their knowledge in related fields to become more professional and specialized (Gantogtokh & Quinlan, 2017). Positional competition theory interprets the expansion of higher education differently. Positional competition refers to a person’s position relative to others within an occupational hierarchy (Hirsch, 1977). When most competitors have a Bachelor’s degree, having a Master’s degree can give the degree holder a higher position even when their tasks are the same. Having a Master’s degree does not necessarily mean that the degree holder’s ability is greater than that of Bachelor’s degree holders; instead, obtaining a Master’s degree has a symbolic and legitimized value as a cultural currency to demonstrate qualification. A Master’s degree can be a screening device in the labor market (Collins, 1979), although it can also hinder opportunities for applicants with employers who are reluctant to hire overqualified applicants.

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Increased educational credentialing can lead to qualification inflation in a society. This phenomenon does not refer to overall skill upgrading; instead, it is within-job educational qualification upgrading (Hunter & Leiper, 1993). Wakeling and Laurison (2017) explain that the demand for a Master’s degree is mainly driven by the need for status and rewarding positions rather than the need to upgrade skills. Wright and Horta (2018) add that as the expansion of higher education has led to uncertainty regarding graduate employment outcomes, students seek greater credentials mainly for entry into the labor market. In addition, the competition does not end with obtaining initial employment. Brown (2003) describes the growing importance of educational credentials as the “opportunity trap,” which symbolizes the tightening link between education, jobs, and lifelong rewards. The entire socioeconomic system justifies “more schooling” as an efficient and reliable way to allocate status. Most people continue to improve their credentials after first becoming employed to get or stay ahead of the competition. This phenomenon ends with an educational arms race (Bills, 2003), in which potential employees invest in schooling to protect their credentials and avoid downward mobility. People pay more attention to their relative positions and chances for their next job than their current rank or salary. For example, Thurow’s (1975) job competition model highlights that an “individual’s relative position concerning background characteristics becomes more important than his absolute position” (Thurow, 1975, p. 95). Similarly, according to career mobility theory (McGuinness & Wooden, 2009; Sicherman, 1991), which analyses the job mobility of people with different qualifications, over-skilled workers tend to be more mobile than others. People are motivated to improve their level of education because they are eager to increase their chances of changing professions and expand their choices in terms of job mobility.

Master’s Education and the Labor Market in East Asia Based on the theoretical lenses outlined above, this section describes the expansion of Master’s education and its relation to East Asian labor markets. According to positional consensus theory, economic growth and the development of knowledge industries in this region can explain why more workers with advanced knowledge and skills, such as Master’s degree holders, were required. Except for Japan, which has been one of the world’s largest economies since 1960, East Asian countries relied heavily on the manufacturing industry and inexpensive labor during their initial periods of rapid economic development. However, they have all recently succeeded in transforming key parts of their industrial structure into knowledgeand technology-based models (Jung, 2020a; Yang & Chan, 2020). Postgraduate education is strongly encouraged in innovation and entrepreneurship and functions as a tool to train emerging professionals in high-tech industries. It is undeniable that significant governmental investment in industry and education played a critical role in East Asian’s economic development. In that process, educational qualifications were frequently used to measure human capital and a country’s position in mastering

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specific skills. Governments were encouraged to match human capital and employers’ needs (Lauder et al., 2020). However, recent studies have criticized the traditional belief in a positive correlation between more education and better jobs, mainly due to today’s industrial structure and its scarcity of jobs; there are simply not enough good jobs for qualified people (Brown, 2003). Positional competition theory paints a more realistic picture. It holds that the intense competition for university graduates in the labor market because of massification explains the expansion of Master’s degrees in East Asia. Most East Asian countries reached the universal stage of higher education enrolment in a short period. For example, 90% of secondary school graduates in Korea and Taiwan proceed to the tertiary level (Asian Development Bank, 2012). As competition in the labor market among university graduates intensifies, graduates face difficulty in finding suitable jobs that match their qualifications. Graduates take a long time to secure their first job, with many of them taking precarious work as a last resort (Jung & Lee, 2016). Mok et al. (2021) describe the job market competition for university graduates as a race because the supply of university graduates exceeds the demand in labor markets. Using the Korean case, Shin (2020) uses the expression “second college entrance exam” (184) to describe the severity of the competition for university graduates making the transition to the labor market. As holding a Bachelor’s degree has become nearly universal, university graduates need further academic credentials, including a Master’s degree, to improve their career prospects (Van de Werfhorst & Anderson, 2005). Specifically, when a country experiences an economic downturn, enrolment in a Master’s program offers university graduates an alternative to unemployment (Syverson, 1996). Using the Korean case, Jung and Lee (2019) explain that many students, upon completing their Bachelor’s studies, decide to obtain a Master’s degree when there is no suitable employment opportunity. According to a 2013 survey conducted by the Korean magazine Career, the main reason (35.9%) why many of the participants began a Master’s program was to improve their credentials in the labor market (Youn, 2015). East Asian countries have experienced rapid growth in enrolment in Master’s degrees, which has outpaced the rate for undergraduate degrees. Between 1970 and 2012, the number of undergraduate students in Korea increased 15-fold, while the total number of postgraduate students has increased approximately 50-fold over the last 50 years (Lee et al., 2020). Japan experienced a similar phenomenon, although the increase there was more noticeable in science, technology, engineering, and mathematics (STEM) fields than in non-STEM fields. In 2018, of the 163,100 students enrolled in Master’s programs in Japan, 66,496 (40.8%) were in engineering-related areas, a much higher percentage than in other OECD countries (e.g., 11.1% in the United States, 17.2% in Germany; Shimauchi & Kim, 2020). The number of Master’s students enrolled in China reached 2.28 million by 2017, with the proportion of female Master’s students (54.2%) surpassing males (Yang & Shen, 2020). In Taiwan, Master’s degree students increased sixfold, with 48% of citizens aged 25 to 64 holding postgraduate degrees (Chan & Lin, 2015). Yang and Chan (2020) explain that the purpose of Master’s education in Taiwan changed from developing students’ research and academic abilities and supplying potential

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doctoral students for the academic job market to becoming more practice-oriented for the transition to the labor market. The distinctive cultural background in many East Asian countries has also contributed to the expansion of Master’s education. Sociocultural environments, which are described as Confucianism with higher education aspirations, tend to encourage public and private investment in advanced degrees in East Asia. Historically, the education systems in East Asia developed social systems based on academic merit, in which people’s education was the primary determinant of their social status and social resource allocation (Shin et al., 2015). In Confucian societies, examination and selection for higher education have long been considered a fair and reasonable measure of individual merit and ability. Educational achievement based on fair competition is institutionalized as the core social system for determining people’s social status in modern society (Marginson, 2011). Confucian culture also emphasizes social reward systems that allocate valuable resources to people according to their levels of education. Thus, students and parents are willing to pay tuition fees for additional degrees because they believe that investing in education will provide a positive reward through long-term job prospects. Examining the relationship between Master’s education and the labor market in East Asia must consider the social context because several social factors interact with employment in the university-to-work transition in this part of the world. In this regard, positional competition appears to be socially contextualized. First, positional competition is gendered in East Asia. For example, Jung and Lee’s (2016) study showed that an elite university degree had a greater positive effect on employment outcomes among male graduates than female graduates. Interestingly, more female students are enrolled in Master’s programs than male students in most East Asian systems, but the ratio is reversed at the doctoral level (Jung & Lee, 2019; Yang & Shen, 2020). Jung and Lee (2019) posit that this trend exists because female students are disadvantaged in the job market after graduation compared with their male counterparts; therefore, female graduates pursue extra credentials such as a Master’s degree. Although more empirical analyses are required to measure the direct and indirect effects of gender, it is worth considering how the gender dimension works in the labor market for Master’s degree holders. Second, obtaining a Master’s degree from an overseas university provides an extra credential for graduates. The number of Master’s degree students from East Asian countries is heavily underestimated because many East Asian students pursue a Master’s degree abroad, especially in English-speaking countries, before returning to their home country. Yang and Chan (2020) argued that the proportion of Master’s degree holders would be twice as large as current domestic estimates if students pursuing Master’s degrees abroad were included. In East Asia, having an overseas educational experience can be vital for both employability and wage level. Studies have reported that overseas educational experience enhances students’ English skills, networks, and global cultural capital, which increase their chances of accessing better job opportunities, particularly with multinational companies (Waters & Leung, 2017). This trend obviously favors students from higher socioeconomic family backgrounds, because these families can more readily afford to

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send their children overseas for further study; it also shows that family background effects continue to matter for the labor market transition for university graduates (Kim, 2016). Third, the power of institutional reputation is worth investigating further in the East Asian context. It is well known that higher education in East Asia is based on a robust hierarchical system, particularly at the Bachelor’s level. Graduation from a prestigious Bachelor’s program is generally considered an essential qualification for an individual (Shin, 2020). The alumni-based social network extends to postgraduate studies and job entry by creating school cliques in both the private and public sectors (Shimauchi & Kim, 2020). Jung and Lee (2016) investigated the influence of institutional prestige in the Korean labor market for university graduates. They found that university prestige functions as a critical advantage in the job market through positive effects on initial job stability and current income. Graduates of prestigious universities can begin the job search process immediately, including internship opportunities, while students who attend less selective universities attempt to distinguish themselves through their academic performance and extra efforts such as unpaid internships, extracurricular activities, and community service. In a study of Master’s education in Hong Kong, many respondents reported pursuing that degree to improve their institutional reputation because the institutions where they had earned their initial degrees were not prestigious enough to help them secure the jobs they wanted (Jung & Li, 2021). These studies all show how the positional competition for institutional prestige has moved to the Master’s level.

The Mismatch Between Postgraduate Education and the Labor Market Past studies have shown that having a Master’s degree positively correlates with employment outcomes such as low unemployment, higher initial wages, and average wages (Tamborini et al., 2015). Lindley and Machin (2016) note that Master’s graduates in the United Kingdom have better outcomes because they have more specialized jobs and more nonroutine tasks than less educated employees. In Japan, Masayuki (2013) found that the employment earnings of postgraduate degree holders were an average of 30% higher than those of Bachelor’s degree holders. However, other research shows that higher credentials no longer guarantee high salaries. Naess (2020) found that only specialized education in Master’s programs helps students improve their labor outcomes; general education does not. Britton et al.’s (2020) research has shown that returns for postgraduate degrees are considerably smaller than previous estimates and that their effect varies with age, socioeconomic status, and disciplinary background. Waite (2017) also found that the wage premium among master’s degree holders was significantly lower in the humanities and much higher in business, management, and public administration. This finding was echoed in a Korean case study reported by Lee et al. (2020). The

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authors focused only on graduates of general Master’s programs, excluding specialized programs for professional training. They found no positive relationship between Master’s degrees and wages. Yang et al. (2011) showed similar results in Taiwan. Based on an analysis of panel data from 1990 and 2004, the authors found that the wage premium of Master’s degree holders decreased sharply in 2004, attributing the results to the rapid expansion of Master’s education. The expansion of Master’s education and the corresponding decline in or even disappearance of a labor market premium raise the question of whether this expansion constitutes an oversupply of Master’s degree holders. The surplus of degree holders makes the labor market for these individuals increasingly competitive, especially during periods of economic recession. This surplus also causes multiple types of mismatch in the transition from school to the labor market. Specifically, East Asian countries have supported mass higher education development over the last two decades. However, economic growth is approaching a plateau in developed economic systems, raising concerns about whether the future labor market can hire the same number of employees as it absorbed in previous decades. The number of people with higher education, including postgraduate degrees, continues to expand; however, the demand for skilled labor has weakened. Accordingly, the quality of employment and rates of return from educational investment have become unclear (Lauder et al., 2020). Susskind (2020) lists the most critical mismatches between education and work for university graduates: skills, identity, qualification, and place. Skill mismatch refers to a situation in which the supply of and demand for skill levels are not aligned, which causes a polarized labor market with two extremes: only a few people with highly paid, high-skilled work at the top, and most people with low-paying, low-skilled jobs at the bottom. Two scenarios for Master’s education are possible in this projection. Emerging industries, which are mainly connected to high tech, will require more advanced knowledge and skills, and Master’s level education will become more popular and important primarily because professional training programs at the Master’s level have been launched to meet the increased demands from emerging industries. However, this scenario will only be feasible if there are enough job opportunities in those emerging areas. Most high-tech enterprises hire fewer staff than traditional manufacturing firms (Brown, 2000). It is also doubtful whether degree programs can provide a high enough level of knowledge to suffice for existing industries or to spur new ones. In most cases, the development of the knowledge industry will outpace what students learn in Master’s programs; in this case, qualification mismatch will be more likely. When young people cannot secure jobs that require specific skills and education, they are likely to experience a qualification mismatch that generally leads to underemployment. Many jobs that only required a high school diploma in the past are now targeted to those with Bachelor’s degrees (Ford, 2015). Similarly, most Master’s degree holders now take jobs that only required a Bachelor’s degree in the past. Overqualification, in this context, is a growing social problem whereby a recent graduate is employed in a position that most incumbent job holders accessed with

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lower qualifications. This phenomenon has led to negative descriptors, such as individuals holding “hollow credentials” and colleges as mere “diploma mills.” Hartog (2000) suggested that “the strong expansion of participation has outpaced the increased demanded levels of education” (p. 134). Mok and Montgomery (2021) note that overeducation is more severe in East Asia because most systems in that region have experienced a rapid expansion of tertiary and postgraduate education, with a lack of time and consideration given to the skills match between education and the world of work. Kim et al. (2017) also note that the proportion of overqualified people in Korea is approaching 70%. This leads to identity mismatch, which refers to a situation in which people who cannot obtain highly paid, high-skilled jobs resort to accepting low-skilled jobs. Many university graduates who aim for good jobs have been forced to lower their expectations, with some choosing to remain unemployed (Dunlop, 2016). Finally, a geographic mismatch is an issue in the global labor environment: People may have the skills to succeed in a new type of employment but cannot relocate to where these new opportunities are available. As university graduates experience different types of mismatches between higher education and the world of work, we find interesting sociocultural reactions among university graduates in East Asia. The entire learning experience serves as a process to improve their positional competitiveness in the job market, and students use multiple strategies to maximize their positional advantages. Wright et al. (2021) describe how university graduates react to competition in the labor market in Asia: repeating the same courses to improve their grade point average, investing resources in private tutoring to obtain additional certificates, using consulting agencies to enter postgraduate programs at prestigious universities, or overly concentrating on the public sector, which relies on standardized test results. Jung and Li (2021) note that learning experiences at the Master’s level also excessively focus on “satisfying the deficiencies” for the job market, with an absence of interest in meaningful learning experiences. The competition has also led to institutional competition, such as graduate employability rankings or institutional evaluation based on the graduates’ employment rate.

The Future World of Work and Master’s Degrees Having advanced degrees has long been synonymous with receiving higher wages and greater prestige in the occupational hierarchy. However, the relevance of educational credentials has diminished across many occupations; educational credentials have become supplement for the labor market at best. Over the last two to three decades, the global economy has experienced reduced job creation, longer jobless recoveries, and soaring long-term unemployment (Susskind, 2020). Wages for new college graduates have been declining over the last decade, and up to 50% of recent graduates are forced to take jobs that do not require a college degree (Ford,

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2015). Wright and Mulvey (2021) report that new graduates cannot find jobs that use their education and offer access to the crucial initial rung on the career ladder. Despite uncertainty about the advantages of a Master’s degree, more students are entering Master’s programs, and competition for Master’s programs at prestigious East Asian universities has actually intensified. For individuals, investing in a Master’s degree seems a reasonable choice to increase their competitiveness in the labor market; however, there is a lack of scholarly discussion on how the world of work will change and how these changes will affect the labor market. For example, it is projected that technology will transform the entire economic system, including the industrial structure and labor market. Evan as people invest more resources to improve their educational credentials, the jobs they expect to get simply may not be available. This section briefly reviews the discussion on the future world of work and explores how those changes might affect higher education. Above all, globalization and extensive offshoring practices have affected many jobs that were once filled by university graduates. Knowledge-based jobs for higher degree holders are outsourced to foreign labor and threatened by low-wage offshore competitors. Brown (2000) notes that globalization has completely transformed positional competition among people. The relative advantage of holding credentials in the domestic competition for employment may be worthless when global talent dominates elite occupations based on their absolute advantages in knowledge, skills, and resources. In addition, more education will not necessarily offer adequate protection against future automation. Large-scale automation in industries has caused/led to fewer jobs and even eliminated some jobs altogether because machines can perform many tasks that once required humans. These replacements occur in both physically arduous jobs and white-collar positions because machines and software algorithms can perform sophisticated analysis and engage in reliable decision-making (Brynjolfsson & McAfee, 2016). In the past, when automation took over low-skilled jobs, further education and retraining was the solution for the affected employees, some of whom could become high-skilled workers. However, this solution is not feasible in many sectors today because technological development is moving far more rapidly than retraining or additional education. Additionally, there remains the fundamental question of whether enough jobs will be available and of how many workers will be capable of adapting (Susskind & Susskind, 2015). It seems unlikely that new labor-intensive employment sectors will absorb the millions of workers displaced from existing industries as technology continues to advance. Tech giants like Google and Facebook have achieved massive market valuations while employing comparatively few people, given their size and influence (Ford, 2015). There are now fewer vacancies in the professional, technical, and managerial jobs that most graduates pursue. These changes will polarize the labor market (Autor et al., 2006; Goos et al., 2014); jobs requiring flexibility and creativity will remain, while those involving routine tasks will dwindle and perhaps disappear. The potential returns to highly skilled and more adaptable workers are increasing (UBS, 2016), while low-skilled employment is likely to shrink further.

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Conclusion This chapter has described the expansion of postgraduate degrees in East Asia, particularly at the Master’s level, and the potential implications for the labor market based on the sociological conceptual frameworks. It has also discussed how the future world of work will affect the expansion of postgraduate degrees. East Asia, especially economically advanced systems such as China, Japan, Korea, and Taiwan, has experienced a rapid expansion of Master’s education over the last two to three decades. The expansion rate has been much faster than that of undergraduate degrees. The development of Master’s degrees is related to those countries’ economic growth and demand for a more skilled workforce and, above all, to the massification of higher education and intense competition in the labor market among university graduates. The chapter has noted that the fierce competition for job opportunities among university graduates helped drive the expansion of Master’s degrees, with graduates aiming to increase their credentials in the labor market and improve their positional competitiveness. The trend was further strengthened by East Asia’s distinctive social and cultural characteristics, which include pronounced aspirations for advanced degrees and a strong preference for white-collar jobs in managerial positions. The chapter has also highlighted several aspects to consider in expanding postgraduate education in East Asia, namely, disadvantages for female graduates in the labor market, a robust hierarchical system in terms of institutional reputation, and the social recognition of overseas degrees. The chapter further noted that the expansion of postgraduate education is an interesting phenomenon, as its relative advantage for graduates in the labor market has been diminishing. In particular, the chapter highlighted the need to understand the emerging issues in the future world of work, such as globalization and offshoring, automation and shrinking job creation, and labor market polarization. A Master’s degree has long been regarded as a positional advantage in the labor market; however, this advantage must be refined in the changing working environments of today and tomorrow. Positional competition does not come from the degree itself; it refers to a more adaptable attitude in career aspirations and career mobility. In other words, obtaining a master’s degree does not directly lead to higher occupational status or income; instead, the learning experiences during the degree programs can enable students to develop the knowledge, skills, and attitudes that will be more critical in the future world of work. Attention should be paid to ensure that students have a meaningful learning experience during their postgraduate degree programs and integrate their learning experiences to develop the professional knowledge and skills essential for career development. Most rhetoric in today’s higher education is heavily focused on job skills; however, we need to raise a critical question about the role of universities: whether the university should be a place only for skill development and job-seeking. The higher learning has multiple other functions, such as providing students with knowing how to learn, how to think, and how to be an engaged citizen. Finally, the expansion of postgraduate education should not be understood only as resulting from individual choices or specific (dis)advantages in the job market;

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instead, postgraduate education issues should be addressed in light of the social, economic, and cultural contexts across higher education and industrial sectors. As projected in the above sections, the mismatch between labor supply and demand is not temporary; by contrast, the pattern is projected to be exacerbated during periods of economic recession and with the technological transformations that will emerge in the years to come. Advocating more education without corresponding job opportunities will result in unnecessary and wasteful positional competition among individuals (Lauder et al., 2020). Policymaking at the governmental and institutional levels should consider the fundamental changes in the industrial structure and economic conditions at global and regional levels in establishing the framework of graduate employment and designing the postgraduate programs.

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The Future of “Applied” Education, Employability, and the Labor Market in China

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theories on the Duality of Employability and Overeducation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . National Context: Industrial Structures and Segmented Labor Markets . . . . . . . . . . . . . . . . . . . . . . . The Growing of Tertiary Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Rise of Flexible Employment in Commercial and Service Industries . . . . . . . . . . . . . . . . . Divergent Employment Destinations Among College Graduates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Contrasting Patterns of Employment Between Different Tiers of Graduates . . . . . . . . . . . . . . An Explanation for the Divergent Choice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Policy Reform and the Shift Toward Applied Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . National Policy Guidelines for Developing Applied Education at Provincial Level . . . . . . The Advantages of Elite Universities in Collaborating with Leading Employers . . . . . . . . . Institutional Constraints on Applied Colleges in Setting Up Modern Industrial Academies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

838 839 840 841 842 843 844 848 848 850 851 852 853 854

Abstract

This chapter investigates China’s recent higher education reform by developing applied education to addressing the issue of underemployment and unemployment of college graduates. Reviewing China’s highly segmented labor market and the growth of flexible employment, we suggest that the negative effect of overeducation is mainly on those college graduates employed in the informal sector. Our analysis identifies a restructuring process of HE system aiming to break down the homogeneity among the elite and non-elite universities by making a dual process of differentiation. We conclude that it is difficult to achieve J. Xu (*) Center for Vocational Education Development, Ministry of Education, Beijing, China e-mail: [email protected] Y. Po Institute of Economics of Education, Peking University, Beijing, China © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_57

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the “parity of esteem” between academic and applied education within a steeply stratified HE system and suggest that the relationship between HE system and cooperate employers deserves an in-depth investigation to turn around the fortunes of graduates from lower-tier universities. Keywords

Higher education · Applied education · Graduate employability · Overqualified

Introduction Since the turn of this century when higher education (HE) was rapidly expanded in China, it has become increasingly difficult for a growing proportion of college graduates to find suitable jobs in the formal labor markets. The underemployment and unemployment of college graduates has become a big concern for HE policy makers in China. HE providers might be blamed for failing to improve the employability of their graduates. But this neglects the fact there is an insufficient supply of good jobs which has resulted in the underemployment and unemployment of college graduates. In the Chinese context, applied education refers to a type of HE with an applied orientation as opposed to research-oriented or academic orientation. The shift to applied education has been considered as a major policy reform to restructure the HE system. The main body of HE providers for piloting applied education are mainly targeted at those 4-year colleges under the jurisdiction of local governments (Dong, 2014, p. 67). This group of HE providers plays a very important role in the hierarchical structure of HE system. In China, there is a strong heterogeneity within the large number of HE providers. All the 4-year colleges strive to obtain the title of “universities,” and all parents would like to send their children to a “university.” This reflects the widely held view that the reputational resources of HE providers has a direct impact on their graduates’ destination of employment in the labor markets. This chapter draws key policy documents and findings from a national survey of the employment of college graduates. As institutions of higher vocational education, as distinct from universities, play a major role in the achievement of HE expansion, major policies in relation to vocational education are also covered. Our focus on national education policy analysis involves clarifying the varieties of HE providers. All the various types of HE providers are differentiated according to their status as approved educational authorities. It consists of five parts. Following a brief introduction to the “duality of employability” and our understanding of “overqualification,” in part two, we describe the changes to the industrial structure and forms of employment in China’s segmented labor market. In part three, we draw on survey data to show the different patterns of employment of graduates from different tiers of universities and colleges. Part four deals with the “technical fix” of the central government in promoting the shift to applied education, in an attempt to address the underemployment and unemployment of college graduates. Here we highlight the institutional constraints confronting local colleges seeking to deliver applied education programs relevant to local employers. In conclusion, we are concerned about

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whether the “parity of esteem” between academic and applied talents could be achieved within a steeply stratified HE system.

Theories on the Duality of Employability and Overeducation The theme of employability dominates the policies of HE reforms in promoting the type of applied education. The concept of employability needs to be clarified first of all. HE expansion for over two decades has led to a massive influx of college graduates onto the labor markets. However, the Western experience has shown that college education may do little to secure a relative advantage of getting employed in the formal labor markets due to credential inflation (Collins, 1979). The state of being employable does not necessarily mean the fact of being employed. Some job applicants may be employable in terms of individual skills or characteristics but not offered posts because there are simply not enough vacancies. Therefore, it is important to highlight the duality of employability, which has two dimensions – the relative and the absolute (Brown & Hesketh, 2004, p. 24). It is the relative value of educational credentials and qualifications that really counts in both formal and informal sectors (Hirsch, 1977). The relative value is judged by the comparison among different competitors. As a result, if more applicants compete for the same position, the relative chances for each applicant being offered the post declines. This is because individual employability not only depends on whether one is able to fulfill the requirements of specific jobs, but also on how one stands relative to others within a hierarchy of job seekers (Brown & Hesketh, 2004, p. 25). The outcome of any positional competition in job markets are determined by more structural factors than merely individuals being qualified to do the specific job. There are therefore two chains of the suppliers. One is the chain of capital which determines the source and nature of job slots. The other chain is the supply of labors (refers to the college graduates seeking for an initial job) representing the human resources. Even if in perfect labor market conditioned with information symmetry, the trading position of college-educated job seekers is threatened by more candidates entering job markets, when the supply of good-quality jobs is limited. There is a hidden competition for good jobs as the labor market functions as a mechanism for rationing as well as allocating job opportunities. The aggregate demand for different categories of workers and the supply of potential recruits, differentiated according to their credentials, skills, experiences, sex, or age, form the opportunity structure within which individual employability is cast (Brown & Hesketh, 2004, pp. 23–25). As a result, opportunities for people to find suitable jobs may be more limit that often assumed in policy accounts limited to supply-side explanation of overqualification. The relative scarcity of the opportunities for a good job increases in the labor markets during economic downturns, leading to the aggregate provision of highwage job slots being reduced as more companies may lay off workers. But even in a robust economy, a sharp increase of highly educated graduates as experienced in China has resulted in more intense positional competition to enter elite universities

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perceived to offer the best job prospects with higher salaries. Evidence from the American experiences shows that graduate wages tend to work as a forward auction for those at the top and as a reverse auction for those in the middle or near the bottom of the occupational hierarchy (Brown et al., 2010, p. 119). The bargaining position of those in second- or third-tier universities is weakened by the rankings of their education qualifications. As a result, some highly educated graduates may well be forced into lower-paying jobs for which a college education is not a requirement. Empirical studies have also shown relatively declining income for those overqualified college graduates (Wen, 2005, p. 29; Fan & Ding, 2013, p. 13; Li, 2016, p. 82; Li & Yao, 2021, p. 83). For those college graduates being employed under such conditions, their employment is described as a mismatch between education and job. In other words, they are overqualified as far as less-skilled entry-level job slots are concerned.

National Context: Industrial Structures and Segmented Labor Markets A large number of empirical studies reflect the distinctive segmentations of labor markets for workers in China (Li, 2002; Wen, 2005; Wu, 2007b; Zhang & Shen, 2019). The labor market is segmented in multiple ways. For example, there are rural and urban labor markets and the primary (or formal) and the secondary (or the auxiliary) labor markets. The segmentation between primary and secondary urban labor markets has mostly resulted from institutional factors rather than functional consideration (Li, 2002, pp. 1–2; Wu, 2011, p. 123). In particular, household registration, the work unit system, and the university entrance examination system are regarded as the three significant institutional factors shaping social stratification in China (Li, 2008). It also reflects changes in the industrial structure of the Chinese economy (see the Fig. 1). According to the data on the National Bureau Statistic website, 60% of workers were employed in the urban area in 2019 (source: the website of National Bureau of Statistics. https://data.stats.gov.cn/easyquery.htm? cn¼C01 (accessed on 2022-05-04)). Among the urban workers, approximately 32.19% of which were employed by private companies and 25.84% self-employed. Only 12.1% workers employed by the public formal sector including state-owned enterprises (SOEs), and the rest employed in other forms. In Chinese society formal HE qualifications have become the most important criterion for access to the formal labor market. The resulting polarization in labor market outcomes highlights the key role HE plays in shaping the patterns of social stratification (Wu, 2011, p. 123). But it also reflects how government agencies and state-owned enterprises tend to employ “contract workers” so that workers holding the same job are actually classified into formal staff members and temporary workers. This implies that no matter whether graduates are employed in primary or secondary labor markets, their employment status and economic returns will depend on whether they are highly qualified workers. Hence, China’s labor markets

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TREND OF CHANGE ON PROPORTIONS OF EMPLOYED PERSONS IN THREE STRATA OF INDUSTRY (1978-2020) Primary Industry

Secondary Industry

Terary Industry

80 70 60 50 40 30 20 10 0 1975

1980

1985

1990

1995

2000

2005

2010

2015

2020

2025

Fig. 1 Trend of change on proportions of employed persons in three strata of industry (1978–2020). (Source: The website of National Bureau of Statistics (NBS) of China, [O/L] (Obtained on 2022-05-03) http://www.stats.gov.cn/tjsj/ndsj/2021/indexch.htm)

are distinctively segmented by one’s educational qualifications especially for their initial jobs.

The Growing of Tertiary Industry China has witnessed a constant growth of its tertiary industry in the three strata of industry. As shown in Fig. 1, since the mid-1990s, more workers have been employed in the tertiary industry than secondary industry (manufacturing). Around 2010, the tertiary industry outstripped the primary industry (agriculture) for the first time in absorbing employed persons. The orders of three strata of the Chinese industry have been turned upside down in terms of the proportions of the employed persons from 1978 to 2020 (see Fig. 1). According to the first national survey of the tertiary industry conducted in 1993, the total number of workers employed by the end of 1992 in the tertiary industry was 114.8 million, among which 76.17% employed by the formal sectors and 23.83% by the informal sectors (including the self-employed) (source: The website of National Bureau of Statistics (NBS) of China, [O/L] Accessed on 2022-05-03. http://www.stats.gov.cn/tjsj/pcsj/scpc/ dycscpc/200308/t20030826_42499.html). In comparison, in 2020 the number of workers employed in the tertiary industry amounted to 358 million, representing 47.7% of the total number of employed persons across the Chinese industry (see Fig. 1). This implies that the growth of tertiary industry of the Chinese economy has been synchronized with the increase of the college graduates since late 1990s (Fig. 2). In another words, there are more possibilities for the college graduates to get employed in the tertiary industry. However, it is also widely recognized that the massification of HE may lead to an oversupply of college graduates forcing them to find jobs in the informal sector in the urban labor market (Mok, 2016; Mok & Qian, 2018; Mok

842

J. Xu and Y. Po THE GROWTH OF COLLEGE GRADUATES IN CHINA (1998-2021, MILLIONS)

2021 2020 2019 2018 2017 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998

9.09 8.74 8.34 8.2 7.95 7.65 7.49 7.27 6.99 6.8 6.6 6.31 6.11 5.59 4.95 4.13 3.38 2.8 1.88 1.34 1.04 0.95 0.85 0.83 0

1

2

3

4

5

6

7

8

9

10

Fig. 2 The growth of college graduates in china (1998–2021, millions). Source: China Education Statistics Yearbook (1998–2021). Note: The number includes three-year college and four-year university graduates

et al., 2016; Mok & Wu, 2015). Over the past two decades, the expansion of HE has produced a large stock of college graduates. The following chart shows that the number of college graduates jumped to 2.8 million in 2004 and was almost tripled by 2019 (8.34 million) and amounted to 9.09 million in 2021 (see Fig. 2).

The Rise of Flexible Employment in Commercial and Service Industries Occupations are the major conveyors of social mobility and social stratification in the modern societies. The occupational structure provides an institutional framework for individuals’ social mobility across the stratified pyramid of social class and status. The trends identified above are associated with significant changes in the Chinese occupation structure and patterns of social stratification over the period since 1978 (Lu et al., 2008). In 2015, the overall number of specialized professionals (including teachers, doctors, lawyers) amounted to over 50 million, accounting for about 12.5% of all the employed persons in 2015 (compared to only 4% in 1978) (Li et al., 2018, p. 5). And the owners of private small- and medium-sized enterprises (SMEs) accounted for 87.4% of all the numbers of legal economic entities in 2015. Among these owners of private SMEs, 31.8% had completed a 3-year college education, 28.7% holding a bachelor’s or master’s degree, and about 40%

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completing only upper secondary or even lower levels of education (Li et al., 2018, pp. 6–7). It implies that a substantial number of college graduates were engaged in self-employed forms of employment. Since the mid-1990s, more people have been found to get employed in those non-formal sectors. This form of employment is called the informal or flexible employment (Cai & Wang, 2004, p. 25; Du & Wan, 2014, p. 88). By 2004, the proportion of workers in the informal employment accounted for 58.69% of the total workers employed in China, significantly higher than the share of formal employment (28.3%) (Hu & Zhao, 2006, p. 111). One of the most distinctive features of the recent development of the tertiary industry is that there is a quick expansion of workers employed in the commercial business and services industrial sectors. But, over 80% of workers in commercial and service industries are employed by private-owned companies or very small individual-owned entity. Given the diversified occupations within the service sector, the majority of workers from the commercial and service industries are engaged in lower level of economic activities (Li et al., 2018, p. 51). More recently, the rapid development of Internet-based economy has resulted in new forms of employment in the service sector (Zhang, 2016, p. 89), with a new generation of flexible workers. The informal economy has become more diversified beyond those traditional rural migrant workers making a living in the informal sector. The new form of flexible employment based on the Internet platforms includes different groups of workers employed in the informal sector (Zhan et al., 2018: 144). Highly educated workers are more likely to benefit from the Internetbased flexible employment than those poorly educated workers. As a result, the Internet economy is providing new sources of employment for college graduates in the informal sector.

Divergent Employment Destinations Among College Graduates Due to the pressure and failure in finding suitable jobs in the formal sectors, some graduates may choose to upgrade their formal education upon graduation. Along with the constant expansion of HE, the destinations of college graduates tend to be more diversified than entering the labor markets right away after graduation. According to an empirical study based on a national survey on the employment of Chinese college graduates during the period 2003 to 2017 (Yue & Zhou, 2017, p. 91), it shows that a high proportion of college graduates became employed or continued their full-time education upon graduation (see Table 1). (This survey was conducted by Research Institute of Education Economics, Peking University. The total respondents of about 160,000 were collected from 257 different tiers of universities and colleges over the period from 2003 to 2017.) In the meantime, the share of graduates entering postgraduate and doctoral programs upon graduation ranged from 16.3% in 2011 to 26.3% in 2017 (see Table 1). Although the rate of unemployment declined over the period, the informal sector accommodates an increasing share of graduates. According to another empirical study, among the graduates working in the informal sectors, those choosing to become flexible workers amounted for 63.5% in 2015,

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Table 1 Destinations for China’s college graduates’ employment (2003–2017) Being employed Attending domestic graduate schools Attending overseas graduate schools Freelancing Being self-employed Other informal employment Searching for employment Preparing graduate school examination Other temporary unemployment Others

2003 40.7 15.1

2007 40.4 14.1

2009 34.5 18.3

2011 43.3 13.7

2.3

2.7

3.2

2.6

2.8

5.8

5.9

4

3.6

4.1 3.2 6.06

3.3 2.4 5.4

4.3 3.2 5.1

2.6 2.1 7

4.7 4.6 16.1

5 4.7 9.7

35.8 1.7

22.4 4.8

22.6 2.9

26.4 3.1

21.9 2.4

23.4 2

12.8 2.2

10.1 3

2.4

2.2

2.1

1.8

1.3

1.4

1.1

1.2

1.5

0.9

0.7

0.9

2.7

2005 47.2 16.8

3

2013 43.5 14

2015 33.3 18.6

2017 38.8 20.4

Source: Adopted from Yue and Zhou (2017), p. 91, Table 2 Note: The number includes three-year and four-year college graduates

much higher than the proportion of graduates as freelancers or doing entrepreneurship start-ups (Jiang & Wang, 2020, p. 274). Flexible employment is often seen to provide a transitional period for graduates seeking to obtain working experiences before looking for waged-work in the formal sectors. This implies that the informal sector employment seems to be a substitute for temporary unemployment for graduates in China.

Contrasting Patterns of Employment Between Different Tiers of Graduates The trend of graduates upgrading their formal education has resulted in increasing academic stratification. The role of third-party (usually those private companies specializing in data collection and educational consultancy) has become prominent in the monitoring and evaluating the employment of graduates in China’s labor markets. Here we use recent data from China’s Blue Book on employment, which is based on a national survey on 178 000 university graduates and another 189 000 graduates from three-year higher vocational colleges (MyCOS Institute, 2021a, b). Graduates from the 3-year vocational colleges are less motivated to upgrade their formal education than those from the 4-year general colleges. As shown in Figs. 3 and 4, the proportion of graduates getting employed declined, whereas the proportion of graduates upgrading their formal education increased during the period from 2016 to 2020 (MyCOS institute, 2021a, b). Before the COVID-19 epidemic, the employment rate of 3-year vocational college graduates kept over 80%, and there was a smaller gap in terms of the proportion of graduates upgrading their formal

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Fig. 3 Four-year college graduates destinations 6 months after graduation (2016–2020) (%)

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FOUR-YEAR COLLEGE GRADUATES DESTINATIONS SIX MONTHS AFTER GRADUATION (2016-2020)(%) 75.1

74.4

73.6

71.9

67.7

15.5

16.4

16.8

17.4

18

2016

2017

2018

2019

2020

Employed

Educaon upgrade

THREE-YEAR VOCATIONAL COLLEGE GRADUATES DESTINATIONS SIX MONTHS AFTERGRADUATION (2016-2020)(%) 82.6

82.8

82

80.3

4.9 2016

5.4

6.3

7.6

15.3

2017

2018

2019

2020

Employed

68.4

Educaon upgrade

Fig. 4 Three-year vocational college graduates destinations 6 months after graduation (2016–2020) (%). (Source: MyCOS Institute (2021a) Chinese 4-year college graduates’ employment annual report (2021), Social Sciences Academic Press (China), p. 12, Table 2-1; MyCOS Institute (2021b) Chinese 3-year vocational college graduates’ employment annual report (2021), Social Sciences Academic Press (China), p. 11, Table 2-1)

education between Double High-level (referring to those highly performed vocational colleges at higher education level) vocational colleges and the rest of the vocational colleges (see especially Figs. 4, 5, and 6). In other words, the majority of vocational college graduates were looking for being employed rather than upgrading their formal education. There is also a big disparity in terms of the proportions of graduates upgrading their formal education within the two tiers of 4-year (general) universities. Evidently, graduates from the Double First-rate universities are more likely to upgrade formal education (see Figs. 3, 7, and 8). For one reason, graduates from prestigious universities have a bigger chance being recruited as postgraduate candidates than those graduates from local 4-year colleges. For another reason, some of them may take education upgrading as an alternative way to achieving their employment expectation, due to the failure in finding suitable jobs in the formal sector at graduation. There has been a significant documentation of the labor market challenges of graduates from less prestigious universities (Chan & Lu, 2011, p. 157; Song, 2011, p. 32),

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Fig. 5 Double High-level vocational college graduates destination 6 months after graduation (2016–2020) (%)

DOUBLE HIGH-LEVEL VOCATIONAL COLLEGE GRADUATES DESTINATION SIX MONTHS AFTER GRADUATION (2016-2020)(%) 84.7

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Fig. 6 The other three-year vocational college graduates destination 6 months after graduation (2016–2020) (%). (Source: MyCOS Institute (2021b) Chinese 3-year vocational college graduates’ employment annual report (2021). Social Sciences Academic Press (China), pp. 11–12, Tables 2-2, 2-3)

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given an assumption that graduates from local 4-year (general) colleges are more liable to be trapped in underemployment in the informal sectors, as the majority of them entered the employment (over 70%, in Fig. 8). The challenge for those from less prestigious colleges is that many graduates are competing for good jobs in the formal sector, not just any job. Today, there are more and more graduates attempting to improve their employability by upgrading formal education. The constant rising proportion of graduates for postgraduate study has resulted in an intensive competition among the graduates from the 4-year universities since May 2020, when the expansion policies for upgrading for master’s programs and bachelor’s degree programs were initiated. (MOE. The annual expansion of 511,000 new enrollments for master’s programs and the extension for bachelor’s programs for the 3-year vocational college graduates, accessed on May 12,2022. http://www.moe.gov.cn/fbh/live/2020/51974/mtbd/ 202005/t20200513_453530.html.) It demonstrated an active policy intervention to

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Fig. 7 Double First-Rate college graduates destination six months after graduation (2016–2020) (%)

DOUBLE FIRST-RATE COLLEGE GRADUATES DESTINATION SIX MONTHS AFTER GRADUATION (2026-2020)(%) 61

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Fig. 8 The other four-year local college graduates destination six months after graduation (2016–2020) (%). (Source: MyCOS Institute (2021a) Chinese 4-year college graduates’ employment annual report (2021), Social Sciences Academic Press (China), p.13, Table 2-2, 2-3)

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alleviate the strong pressure by the COVID-19 epidemic on the college graduates’ employment. Over a half of those unemployed graduates within 6 months after graduation were preparing for the entrance examination to enter master’s programs. The proportion of graduates in preparing for such examination increased from 2.3% in 2016 to 5.8% in 2020 (MyCOS, 2021a, p. 24). In contrast, the share of graduates having not confirmed their employment destination in the following 6 months after graduation kept relatively stable, from 4.6% in 2016 to 5.2% in 2020. The major reason for the majority (over 60%) of those graduates without confirmed employment destination was the mismatch between their personal expectations and the real demands from the job offered (MyCOS, 2021a, p. 24), and the mismatch as such was also evident with those graduates from the 3-year vocational colleges (MyCOS, 2021b, p. 22). The employment quality of college graduates can be measured by the selfevaluation of respondents reporting underemployment. Another third-party national survey of the valid samples of 403 thousand graduates (including those at sub-degrees, bachelor’s, and master’s degrees) during 2015–2019 on the employment quality of college graduates identified a lack of suitable job vacancies in

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western and middle regions of the country (New Jincin Research Institute, 2020). This lack of suitable job vacancies in these areas highlights huge regional differences leading many graduates to seek employment in first-tier and second-tier cities. Moreover, where there is a lack of suitable job vacancies, some graduate job seekers are forced to lower their expectations and take less skilled, lower paid positions. In such cases, the turnover rate of 4-year (general) university graduates working in the western regions (17.22%) is higher than eastern regions (13.83%). By contrast, the turnover rate of 3-year vocational college graduates is even higher in western (29.43%) than eastern regions (27.6%) (New Jincin Research Institute, 2020). This reflects the fact that the quality of job vacancies is a significant factor in determining the incidence of overqualification and underemployment in both formal and informal labor markets.

An Explanation for the Divergent Choice China’s labor force dynamics survey (CLDS, 2014) shows that overqualification has a positive effect on the productivity of jobs as opposed to its negative effect on individual “overqualified” workers (Wu, 2007a; Li, 2016, p. 82; Zhang & Shen, 2019, p. 67). For individuals, the mismatch between education and work may also have a permanent effect on their working life (Wu & Li, 2021, p. 122; Li & Yao, 2021, p. 84). But the extent of this “scarring effect” depends on the destination of first employment. A further empirical study shows the negative effect on earnings from underemployment is temporary for workers in primary labor markets but has permanent effects for those employed in the secondary labor markets (Fan & Ding, 2013, p. 13). Moreover, earnings are only part of the overall rewards that accrue to workers, as health insurance and a decent retirement income also defined a middleclass occupation (Brown et al., 2011, p. 121; Li, 2016, p. 82; Fan & Ding, 2013, p. 1). This can explain why some highly educated graduates voluntarily accept the jobs at a relatively lower rate of earnings but attractive in other aspects. The incidence of being overqualified workers is found to be most concentrated among those individuals who attended the lower-tier universities or from economically disadvantaged families and with low level of other forms of human capitals (Li, 2016, p. 77; Li & Cao, 2018, p. 22).

Policy Reform and the Shift Toward Applied Education In the years of HE expansion since 2001, there was a rapid rise in the numbers of universities and other colleges providing specialized or vocational programs (see Fig. 9). Chinese colleges include the 4-year (general) colleges and 3-year vocational colleges. Therefore, HE system in China provides two levels of education, Level 6 and Level 5 within the UNESCO established ISCED qualification framework (UNESCO Institute for Statistics, 2012), represented by two strands of providers (see Fig. 9). However, in terms of the social status and reputational resources, this

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Number of HE providers for programmes at Level 6 and Level 5 during 1998 2020 2000 1500 1000 500 0 19981999200020012002200320042005200620072008200920102011201220132014201520162017201820192020 HE providers for programms at Level 6

HE Providers for vocaonal Programs at Level 5

Fig. 9 Number of HE providers for programmes at Level 6 and Level 5 during 1998–2020. Source: China Education Statistics Yearbook (1998–2020). The numbers of HE providers for programs at Level 6 include 21 providers for vocational programs Fig. 10 The pyramid of Chinese higher education providers

system is steeply stratified into at least six tiers (as shown in Fig. 10). On the top of the pyramid of HE providers are nine leading elite universities known as “China 9 Alliance.” Most of elite universities with the title of “Project 985” are administered by the Ministry of Education (MoE). Universities categorized at “Project 211” are leading universities at provincial level. All the three tiers of universities with distinctive reputation resources are the HE providers termed as “universities” in a strict sense. There are two tiers of 4-year local colleges approved by local governments and MoE to deliver bachelor’s degree level programs. Those colleges upgraded after 1999 are recognized as newly established providers for bachelor’s

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programs. All of the five tiers of universities and colleges are authorized providers for 4-year bachelor’s degree programs. Therefore, it is a major symbolic status to be 4-year HE providers. In 2020 the number of 4-year colleges amounted to 1270 (including 21 vocational colleges), among which 137 colleges (about 11%) approved as Double First-rate providers. The overall number of 3-year higher vocational colleges rose to 1468, among which 197 colleges (about 13%) were classified as Double High-level providers in delivering quality assured vocational programs. (The latest education bulletin by Ministry of Education, accessed on May 11, 2022. http://www.moe.gov.cn/jyb_sjzl/sjzl_fztjgb/202108/t20210827_555004. html.) By the end of September 2021, another 32 colleges were upgraded to be 4-year vocational colleges to pilot the programs of applied education (MoE, 2021). Despite the hierarchical structure of Chinese higher education system, there has been less differentiation in terms of what is taught, with a greater emphasis on theoretical knowledge rather than applied studies. This emphasis of theoretical knowledge is now seen as a major casual factor explaining the poor employability outcomes of graduates from lower-tier universities (Song, 2011, p. 32; Wu & Guo, 2018, p. 75). The shift toward applied education was formalized by the central government in May 2014 (MoE, 2014). A series of reforms that were introduced aimed at restructuring some local 4-year colleges to become applied education providers. At the same time, a small number of vocational colleges were also upgraded to enjoy the status of delivering bachelor’s degree level programs. The primary goal of applied “vocational turn” is to address the underemployment and unemployment of college graduates. Since early 2019, a more pronounced distinction between general versus vocational education is highlighted in national policies with regard to developing modern vocational education. In an overarching policy document on vocational education, it proclaimed that a large number of general 4-year universities required a more applied orientation (The State Council, 2019). And in the revised Chinese “Act on Vocational Education” (enforced from first May 2022), it is prescribed that vocational related programs would be provided by higher vocational colleges as well as 4-year universities (including both pre-1999 and post-1999 colleges in Fig. 9). (The full text of the newly revised Chinese Act on Vocational Education, accessed on May 12, 2022. http://www.moe.gov.cn/jyb_sjzl/sjzl_zcfg/zcfg_jyfl/202204/t20220421_ 620064.html.) As a result, all the local 4-year universities are required to shift toward providing applied education programs.

National Policy Guidelines for Developing Applied Education at Provincial Level Having a portion of 4-year (general) universities and colleges shifted into applied education-oriented colleges is a major policy measure to restructure the HE system. In 2015, the central government issued a guiding document where it listed the tasks, supportive measures, and working mechanisms for delivering applied education (MoE et al., 2015). Engagement from corporate employers is regarded as an

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indispensable element in delivering applied education programs. In 2017, this national policy resolution is reiterated by encouraging local 4-year universities and colleges to strengthen their linkages with local industrial sectors (The State Council, 2017). Local 4-year colleges play a major role in widening HE opportunity exclusively to their local high school graduates. Unlike graduates from national prestigious universities, graduates from local 4-year universities and colleges tend to find jobs in local labor markets within their residential household registered provinces. But leading corporations in China’s high-growth and high-wage sectors tend to operate campus recruitment in national prestigious universities rather than these local 4-year universities and colleges. As a result, graduates from elite universities have more information and reputational resources in choosing where to work, compared to their counterparts from local colleges (Brown et al., 2021). Despite the implications of imposing a distinction between academic and applied universities, financial incentives at the local level have sustained the shift toward applied education. This included encouraging competition among different provinces to develop effective models of applied education. The central government allocated a budget of 0.1 billion RMB per college over the period 2016–2020. This 5-year experimentation was funded through co-investment between central and local governments. A selection of 100 local 4-year universities and colleges (including some local universities marked with “Project 211”) as top performers recommended by provincial governments were designated to explore the effective ways to deliver applied education programs with supplementary budgets from local governments. The joint investment by the central and provincial governments has created a concerted effort to make a success of local applied education practice. It attempts to reduce the mismatch between HE and local labor market requirements through increasing the proportions of applied talents among the local university and college graduates.

The Advantages of Elite Universities in Collaborating with Leading Employers The collaboration with the industrial sectors may take different forms and with various purposes by different types and tiers of HE providers. By the end of the 1990s, the central government urged the Chinese universities to produce a larger proportion of highly rated talents with innovative capacity in the Action Plan for twenty-first century (MoE, 1998). Leading universities were pushed forward to collaborate with research institutes and enterprises in terms of technological innovation and high-tech development. At the time, over 80% of domestic large enterprise and SMEs had established some form of collaboration with universities (MoE, 2004). In order to enhance the innovation capacity of this type of universities, a national scheme was initiated jointly by the MoE and Ministry of Finance (MoF) in 2011 (hereinafter referred to as Scheme 2011). This scheme aims to produce a substantial number of applied talents with engineering technologies and innovative capacity (MoE & MoF, 2012). Under the 2011 Scheme, a group of collaborative

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innovation centers were established with financial support from the central government. In response to the challenges arising from the digital revolution and industrial restructuring, the central government adopted a new approach to reform the engineering HE programs. Most engineering-related national leading universities including Harbin Institute of Technology (HIT, a member of C 9 Alliance) are encouraged to explore new models of delivering programs with a wide range of stakeholders (employers, professional bodies, research institutes, or local government agencies) (MoE, 2020). It aims to improve the transferability and employability of graduates and meet the diversified demand for applied talents within engineering. Compared to the universities from lower-tiers or local 4-year colleges, prestigious universities have more advantages to gain the engagement of the employers from the primary labor markets in delivering their programs. This kind of linkage between elite universities and national leading corporation employers and state-owned enterprises paved a major pathway for their graduates to enter the formal labor markets. For the leading corporations engaging actively with prestigious universities, they can benefit not only from the latest scientific technology from campus-based research but also talented graduates with innovative ideas as their high potential employees.

Institutional Constraints on Applied Colleges in Setting Up Modern Industrial Academies Given the heterogeneity of resource allocation among the Chinese enterprises in terms of production scale and productivity (Gao et al., 2014, p. 131), not all the employers have the strong incentives to cooperate with HE providers. The cost and benefits by the employers from participating cooperative education depends on the characteristics of the particular employers and their purpose for the engagement (Liu et al., 2006, p. 17; Ran & Shi, 2015, p. 64). The cooperation between education providers and corporate employers has been explored for decades in both higher and vocational education systems (Zhang, 1999, p. 53–54; Li et al., 2012, p. 150). But most of the corporate employers engaged in such “cooperative education” programs are blamed for taking advantage of students as cheap labors (Chen, 2012, p. 5; Pan, 2014, p. 101). Among the diversified types of corporate employers in local labor markets, it is those employers from the private sectors being short of certain types of resources (such as financial, human, and physical locations) that have a strong interest to work with local colleges (Xu, 2007, p. 73; Zhang et al., 2008, p. 23; Ran & Shi, 2015, p. 65). Due to poor outcome in terms of enhancing the employability of graduates through greater employer participation in education, local governments in some provinces strive to address the local employers’ inactive participation by formulating local regulations (Mi & Tian, 2011, p. 25). In a sense, the need to use local regulation reflects enduring problems of engaging employers in cooperative education, which is also reflected in the “disorderly” unregulated competition in the labor markets between different types of corporate employers across industrial sectors.

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In the absence of the type of occupational labor markets characterized in Germany, most of the Chinese employers’ participation in cooperative programs are rarely based on a collective resolution among all the local employers from the same trade or occupations (Xu, 2011, p. 68). In other words, the labor markets across China are not well developed, at least as far as occupationally specific skills formation is concerned. When education providers approach any local employers for collaborative programs, they often do so as rivals rather than collaborative peers. This is because customized programs are developed between one college and one firm aimed at delivering firm-specific skills as opposed to the occupational-specific skills, which could enhance greater collaboration across local business and colleges. The increasing focus on firm-specific skills also put their graduates at greater risk of structural unemployment (Qu & Cheng, 2017, p. 118). Occupational-specific skills are transferable skills among various corporate employers recruiting similar kinds of occupational labor. It enables the graduates with occupational skills to enjoy a flexible option for suitable jobs from a wider range of employers in the local labor markets. In promoting the shift to applied education, the importance of establishing collaborative entities (referred to as “industrial academies”), between education providers and industrial sectors, has become a stated intention of state policy. Those 4-year local universities and colleges shifted into applied providers are particularly encouraged to explore effective approaches to set up modern industrial academies (MoE & MIIT, 2020). Modern industrial academies can be independent legal entities or joint ventures between universities and colleges and their industrial partners. With the policy and financial support from the provincial governments, local pilot 4-year universities and colleges are actively engaged in setting up industrial academies with suitable companies in their pilot practice (Zhu & Sun 2012, p. 20; Li et al., 2017, p. 3; Zhu & Peng, 2018, p. 32). The legal entity status of such industrial academies involves different types of state-owned organizations (colleges versus corporate companies) and different ownerships of capital input (public-owned colleges versus the private economic sector) (Yang & Yang, 2018, p. 114). However, there still exists a lot of uncertainty in terms of how to resolve the legally related division of powers and responsibilities among a wide range of stakeholders in the creation of such entities (Hu, 2018, p. 17).

Conclusion What is being imagined in the Chinese HE reform is a “party of esteem” between academic and applied talents. Here, a basic problem is that this “parity of esteem” is to be achieved within a steeply stratified HE system, where economic and symbolic resources are still disproportionately distributed to the tier one group of universities (Wu & Guo, 2018, p. 75; Brown et al., 2021, p. 5). Furthermore, it seems to be problematic to imagine the challenges of university and college graduate unemployment and underemployment are an exclusively supply-side issue. The current policy of expanding applied education aims to equip future generations with sufficient applied knowledge and skills to secure meaningful employment, but what has not

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been adequately studied are changes in labor demand, which may result in increasing positional competition for professional, managerial, and technical “graduate” jobs. “Parity of esteem” can be achieved only if leading corporate employers (including SOEs) engage in activities that develop academic and applied talents equitably. The fact that those top firms conducted aggressive campus hiring strategy in the elite universities demonstrates a kind of close symbiosis between industry and university. This kind of symbiosis is qualitatively different from the imagined customization of vocational programs to industry needs. It is precisely this symbiotic relationship between industry and university that enables elite graduates to enjoy significant labor market power relative to the rest of their peers from the lower-tier universities (Brown et al., 2021, p. 6). Therefore, more attention needs to be paid to the relationship between the HE system and corporate employers if the central government is to turn around the fortunes of graduates from lower-tier universities. Applied education providers will have to coin a new branded image as a high-quality performer in meeting the demand for applied talents in the primary labor markets (Wu & Guo, 2018, p. 81). This is the only way for their graduates to raise their employability relative to their peers from elite universities.

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Education, Vocational Training, and Labor Markets in Vietnam: Mutual Distrust and the Supply-Side Approach

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Junichi Mori and Dean Stroud

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Vietnamese TVET Policies and Underlying Assumptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . General Perceptions of Educators on Skill Mismatch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges of Current TVET Policies: Flaws in the Supply-Side Approach . . . . . . . . . . . . . . . . . . Lack of Dynamism in Skill Demand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges for Market-Based Reform Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A Consequence of the Supply-Side Approach: Mutual Distrust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

860 861 864 864 868 868 871 875 877 878

Abstract

In this chapter, we discuss technical and vocational education and training (TVET) educators’ perspectives on Vietnam’s skill needs, as a basis for questioning the country’s policy approach to skill formation. From our analysis, Vietnam’s current policies are flawed in their assumptions and as a result may fail to deliver on the needs of the country. They may also risk causing mistrust between the involved stakeholders. Previous studies of Vietnam’s skill formation system often note that its TVET offer does not deliver the intermediate level skills necessary to meet the challenges emerging from technological innovation and industrialization. To solve this problem, it has been suggested that educational establishments should more

The views expressed here are those of the author and do not necessarily reflect the view of the ILO J. Mori Skills for Prosperity Southeast Asia Programme (SfP-SEA), The International Labour Organization (ILO), Kuala Lumpur, Malaysia D. Stroud (*) School of Social Sciences, Cardiff University, Cardiff, UK e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_58

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closely align education and training programs with employers’ skill needs. What is advocated is a supply-side approach, which assumes that “skill supply will create its own demand.” As such, Vietnamese policymakers have urged TVET institutions to improve their relevance to employers, as well as pursue market-based reforms to enhance the “flexibility and adaptability” of TVET institutions. First, we challenge the narrative that informs the approach taken by Vietnam’s policy makers. The claim is that there is an increasing skill mismatch, including skill shortages, which is impeding further economic growth and industrialization in Vietnam. At present many firms do not require a large and highly skilled workforce in the sectors expected to lead industrialization. Indeed, our evidence suggests that while many educators in Vietnam may well perceive skills shortages and gaps in ways similar to policy makers, others are much more skeptical of such claims through their direct interaction with employers. And yet, this skepticism is often outweighed by a false optimism that skill demand is increasing, which gives erroneous support to the current policy direction. Second, we argue that Vietnam’s market-based reform strategy is unlikely to strengthen the flexibility and adaptability of its TVET institutions. In particular, we note that market mechanisms do not seem to function well in the Vietnamese TVET sector and ignore the wider social aspects of skill formation in Vietnam. In part, this discussion relates to the educational preferences of the Vietnamese people, which is mainly for higher education despite poor graduate job opportunities. Such choices are informed by the low social status of TVET, with its recruitment predominantly from low-income households, and related difficulties for the increase of tuition fees. The low status and support given to TVET institutions means, moreover, that they face further difficulties in improving their market offer, that is, the curricula offered. The corollary of this is increasing distrust among key actors – between educators, policymakers, and employers – and likely policy failure. Some educators feel that the government has been merely shifting the responsibility of TVET reform to educational establishments without understanding their constraints. To achieve advanced industrialization, Vietnam needs an integrated skill formation strategy which stimulates the dynamism of skill demand, while acknowledging the social aspects of skills formation to move beyond narrow and instrumental concepts of education and training. Keywords

Skills development policy · Skill formation systems, technical and vocational education and training · Vietnam

Introduction Vietnam has achieved rapid economic growth and by 2008 had become recognized as a lower middle-income country (Ohno, 2014). To promote further growth, the World Bank (2013) has long suggested that skills mismatch problems must be addressed, particularly in terms of skill shortages and gaps (see OECD, 2016;

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Goodwin et al., 2014; di Gropello, 2010). Vietnam’s skill mismatch issue is often attributed to the failure of supply-side initiatives to meet increasing (intermediate level vocational) skill demands. The current policy emphasis in Vietnam is on a “supply-side approach,” long advocated by the World Bank (2013) and others, which follows the imperatives of human capital theory (e.g., Becker, 1993) and assumes that simply expanding skill supply will create its own demand (see Wolf, 2004). There has also been encouragement for Vietnam to improve the quality of its education and training, particularly its technical and vocational education and training (TVET) programs, by adopting, or borrowing, unsuitable policy solutions originally formed in developed countries (Mori & Stroud, 2021). This chapter contends that it is questionable that adopting such approaches/ policies will adequately serve the needs of developing countries like Vietnam. The supply-side approach argument (human capital theory fused with a version of Say’s Law that production, that is, supply – in this case of skills – will create its own demand and increase economic growth), which focuses on employer perspectives, neglects to analyze educator perceptions of skill demand and supply, assuming that they should and can provide educational programs which respond to employer skill needs. But in order to obtain a holistic picture of Vietnam’s skill formation landscape, it is necessary to understand educator views, as Goodwin et al. (2014) have previously noted. This chapter explores educators’ understanding of the current and future skill demand and supply landscape and their efforts vis-à-vis skill supply. Further, contemporary skill mismatch research often ignores the perspectives and interests of students (Cappelli, 2015). It assumes that young people should make “rational” decisions to meet employer skill needs if they have sufficient labor market information and proper guidance from educators (Almeida & Robalino, 2012; World Bank, 2013; Packard & Nguyen, 2014; Musset & Kurekova, 2018). But such research often omits in-depth analysis on the extent to which educators (can) influence young people’s career and education decision-making.

Vietnamese TVET Policies and Underlying Assumptions Since the launch of the Doi Moi policy in 1986 and the adoption of an exportoriented growth strategy, the Vietnamese economy has grown rapidly (Nguyen & Truong, 2007; Ohno, 2010). The average gross domestic product (GDP) growth rate was 7.6% between 1991 and 2000 and 6.6% from 2001 to 2010, a rate that had remained constant beyond 2017 (6.3% between 2011 and 2019) till the Covid-19 pandemic (World Bank, 2018, 2020, 2022). Industrial development has been a key factor for Vietnam’s economic growth, and the manufacturing sector as the focus for this chapter has proved a particularly important driving force for growth and industrialization (World Bank, 2012a; Athukorala & Tran, 2012). Taking advantage of foreign direct investment (FDI), manufacturing value-added grew at an average of 10.5% in the period from 2001 to 2010 and between 2011 and 2019 averaged 14.3% (Manning, 2010; Ohno, 2010; Perkins & Vu, 2010; World Bank, 2018, 2016, 2022). The growth of the manufacturing sector has accelerated the economy’s

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transformation from agriculture-based to industrialized, with some subsectors, for example, automobiles, electrical equipment, and garments growing faster than others (McKinsey Global Institute, 2012). However, Vietnam’s progress and transition beyond a lower middle-income country appears to be stalling, mainly it is argued due to skills mismatch (VBF, 2010, 2014, 2017). “Skill mismatch” can refer to either a “skill deficit,” when demand exceeds supply, or “over-skilling/qualification,” when individuals have higher skill levels or qualifications than needed for their current jobs (McGuinness et al., 2018). In developing countries, like Vietnam, it often refers to the former, skill shortages (in the labor market) and gaps (skill deficits within a workforce) in particular (Almeida et al., 2012a; Martinez-Fernandez & Choi, 2012). Current theoretical discussions on skill mismatch can be roughly divided into two approaches from the viewpoints of its causes and corresponding policy focuses (Desjardins & Rubenson, 2011; Lloyd & Payne, 2002). First, there is the theoretical approach which ascribes skill mismatch to the supply-side, which evolved based on human capital theory and explains that skill mismatch occurs if there are market failures hindering skill supply from responding to the skill demand of employers (Almeida et al., 2012a; Booth & Snower, 1996). Further, and relatedly, existing research on this approach often reports that skill shortages and gaps are expanding since skill demand is increasing due to technological progress, which is an argument based on the theory of “skill-biased technological change” (Card & DiNardo, 2002; Goldin & Katz, 2008). Here, the introduction of a new technology, a change in production methods, or a change in the organization of work is argued to increase the demand for more skilled labor relative to less-skilled labor at fixed relative wages and lead to rising earning inequality. It is often assumed that developing countries which undertake trade liberalization and receive increasing FDI inflow experience skill-biased technological change (Almeida, 2010; Srour et al., 2013; Neto et al., 2021). More generally, these supply-side approaches assume that skill supply creates its own demand and that skill shortages and gaps can often be attributed to the insufficient performance of educational and training institutions (Brown et al., 2020). Therefore, the approach suggests that governments should improve education and training programs in accordance with increasing employer skill demand (ADB, 2009; Martinez-Fernandez & Choi, 2012; Reddy et al., 2016; Ashton et al., 2017). The second approach attributes skill problems not only to the supply-side but also the demand side, with a focus on employer demand and skill utilization. This “demand-side approach” emerged from research on the political economy of skill formation, which raises issues about economic competitiveness, social purpose, and social justice (Ashton et al., 1999; Brown, 1999; Gog et al., 2014). However, we might note that technological developments introduced by employers are not always orientated towards increased demand for skilled workers (and greater skill utilization), but may be aimed at the replacement of skilled workers (Ashton & Green, 1996; Brown et al., 2001). Indeed, firms are not as “progressive” as human capital theory assumes. In certain conditions, it can be perfectly “rational” for firms to pursue a low-skill strategy (Payne & Keep, 2011; Lloyd & Payne, 2016). Accordingly, they do not always require high levels of skill, in particular when they are

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Education, Vocational Training, and Labor Markets in Vietnam: Mutual. . .

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entrenched in the free market’s bias towards short-term profits, and hence, they do not always promptly invest in education and skills in response to technological changes or opportunities to move up value chains (Ashton & Green, 1996; Payne & Keep, 2011). Often, supply-side policy approaches focused on the expansion of skills supply have greater penetration within developing countries, evidenced by many countries across Asia and Africa attempting to improve TVET programs in accordance with apparent employer skill needs (Almeida et al., 2012a; Boahin & Hofman, 2014). In Vietnam, economic growth and industrialization is argued to have been hindered by skill shortages and gaps, for both professional staff and intermediate workers (Goodwin et al., 2014; World Bank, 2013). These studies have tended to attribute these shortages and gaps to the poor performance of Vietnam’s education and training system, that is, the supply-side. This argument assumes that the demand for skilled workers is increasing, in particular in foreign-invested enterprises (FIEs) and prompted by skill-biased technological changes. The Vietnamese government has, for some time, been attempting to improve TVET programs by paying closer attention to employer skill needs (Communist Party of Vietnam, 2013). In particular, it intends to meet perceived skill demand by expanding the supply of TVET graduates – from 3.7 million in 2010 (GSO, 2014, 2016) to around 34.4 million by 2020, according to the Human Resource Development Master Plan (HRDMP) 2011–2020 (Government of Vietnam, 2011a). In addition to the quantitative expansion of skill supply, the government is aware of calls to improve the quality of education and training programs – the Socio-Economic Development Master Plan (SEDP) 2011–2015, for example, suggested paying greater attention to quality improvement instead of expanding the number of educational establishments to increase supply (Government of Vietnam, 2011b). Aiming to improve the quality of TVET programs, policymakers intend to carry out market-based reforms, which in Vietnam consists of two key components (Almeida et al., 2012b, p. 61). First, the government intends to use legal/regulatory measures to increase the autonomy of TVET institutions in curriculum development (Mori, 2019; NIVT, 2019), assuming that it will enable TVET institutions to improve partnerships with firms and hence improve the economic relevance of education and training programs (World Bank, 2013). Policymakers have adopted market-based solutions because the government is likely to face financial constraints in improving the quality of education and training. Thus, they are mandating for educational establishments to be financially self-sustainable and giving them more autonomy (Government of Vietnam, 2015; NIVT, 2017). The second component of the market-based strategy is the enhancement of competition among TVET institutions. The government is planning to promote competition-based funding based on bidding (Mori, 2019, p. 258). Training institutions should submit proposals and compete with each other. This is because the ultimate objective of this market-based reform is to reduce the costs to the government of supporting TVET programs (Gekara & Snell, 2018). In parallel, the government apparently plans to restructure TVET institutions by grouping some schools, to reduce the overall number of schools, and to upgrade some colleges

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and vocational schools to universities (Mori, 2019, p. 258). The general rational of this policy direction is the apparent skill deficit perceived by policymakers (Mori & Stroud, 2021), which as will be discussed from our research is a perception that educators seems to share.

The Research This chapter draws on data from a significant research project on skill mismatch in Vietnam, which focused specifically on intermediate workers such as technicians and skilled operators, a government priority (see Mori, 2019). The research aimed to provide a comprehensive picture of Vietnam’s skill formation system by examining the perceptions of three sets of key actors: (i) national and local policymakers, (ii) employers, and (iii) educators. The study focuses on skill mismatch in the machine manufacturing industry, which includes the automobile, motorcycle, and electric and electronic sectors – these industries have high potential to increase manufacturing value-added and require skilled workers and so constitute a relevant focus for Vietnam’s economic ambitions (ILO and ADB, 2014; McKinsey Global Institute, 2012; UNIDO, 2013). The analysis of this chapter is mainly derived from qualitative data obtained through in-depth interviews with 14 people from 12 educational establishments, including technical and vocational training and education (TVET) institutions and universities which also provide TVET courses (see Table 1). Data was generated through semi-structured face-to-face interviews during the field research phase in 2016. The majority of interviews were conducted where most large assemblers in the machine manufacturing industry in Vietnam are located, that is, in the Red River Delta surrounding Hanoi in the north, the capital city, and in the south east surrounding Ho Chi Minh City. Thematic analysis was carried out to identify patterns in educator perceptions, and we also attempted to highlight cases, which are exceptions to the major patterns in order to identify elements which could help provide understandings of the potential challenges in Vietnam’s skill formation system. These cases not only broaden understanding of the pattern with alternative explanations, but also provide clues that lead in different directions (Patton, 2015).

General Perceptions of Educators on Skill Mismatch In general, educators perceive that skill demand is increasing, driven by technological progress and, as a result, expanding employment opportunities for intermediate workers. They anticipate technological development will accelerate the demand for intermediate workers with higher-level skills in the future. In particular, some of them expect the number of large firms that utilize higher technology to increase in the future, due to competition accelerated by further integration into global markets:

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Table 1 Interviewed educational establishments No 1

Region Red River Delta

Number of interviewees 1

Interviewees Vice-Rector

South East

1

Vice-Rector

South East

2

1. Vice-Rector 2. International Cooperation Staff

Red River Delta

1

Rector

Provincial Government

Red River Delta

2

1. Rector 2. Vice-Rector

National Government

Red River Delta

1

Rector

Provincial Government

Red River Delta

1

Vice-Rector

National Government

Red River Delta

1

Vice-Rector

Provincial Government

Red River Delta

1

Vice-Rector

Provincial Government

Red River Delta

1

Rector

Provincial Government

South East

1

Rector

Private Firm

South Central Coast

1

Rector

Pseudonym Public University Aa Public University Ba Private University Aa

Affiliation National Government National Government Private Owner

No of University: 3 4 Public Vocational College A 5 Public Vocational College B 6 Public Vocational College C 7 Public Vocational College D 8 Public Vocational College E 9 Public Vocational College F 10 Public Vocational College G 11 Public Vocational College H 12 Private Vocational College A No of TVET institutions: 9 Total Number of interviewed educational establishments:

No of Interviewees Provincial Government

2 3

No of Interviewees 12

10 Total number of interviewees

14

Note: aThree universities run TVET courses as well as university and professional college courses

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J. Mori and D. Stroud

In my point of view, in the future, the number of small companies will decrease, and the number of large companies will increase. So, they will have higher technologies. That’s why they will have higher skill demand. . . [The Vice Rector, Public University B]

Educators apparently anticipate two main events which will promote technological progress and increase skill demand. For one thing, increasing FDI is expected to stimulate the demand for a skilled workforce: . . .some companies which are now investing in China may divert their investment to Vietnam. Therefore, the demand for technical workers might increase. [The Vice Rector, Private University A]

In addition, several educators predict further integration into regional and global markets through participation in the Trans-Pacific Partnership (TPP) and the ASEAN Economic Community (AEC), which will also increase skill demand: . . .According to one report which assessed the impact of ASEAN integration, the demand for unskilled workers will increase by 28 per cent, while the demand for skilled workers will increase by 13 per cent. So, I think in the next few years, the demand for skilled workers will be higher. [The Rector, Public Vocational College D]

The figures quoted above indicate that the demand for skilled workers will grow slower than for unskilled workers, but it seems this is of little concern to our interviewees – more attention is focused on what is perceived to be (the smaller but nonetheless) increasing demand for skilled workers. These two factors were also recognized by the government (see Mori & Stroud, 2021). However, educators suggested two more elements which the policymakers interviewed for this research did not articulate. First, they indicated that the development of supporting industries, which comprise parts and material suppliers, is increasing the demand for intermediate workers. Several vocational college management staff members explained that parts suppliers would require more intermediate workers than large assemblers – employers concur with this analysis (see Mori & Stroud, 2021): I do not think that assemblers require highly skilled workers, but other companies, such as machinery manufacturers, may need high-skilled workers. [The Vice Rector, Public Vocational College B]

Second, the Rector of Public Vocational College D anticipated that the local government’s industrial policies would stimulate the demand for skilled workers – which again finds agreement from employers, see Mori and Stroud (2021): . . .the local government approved an industrial master plan that focuses on the shipbuilding, electric equipment, electronics, and machinery sectors. So, I think the demand for workers in those sectors will increase. [The Rector, Public Vocational College D]

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Indeed, most of these educators interviewed are working for vocational colleges under local governments which are relatively active in implementing industrial policies (see Mori, 2021). Based on the above assumption of increasing demand for intermediate workers, educators observe three kinds of skill mismatch in Vietnam. First, several educators stated that there is a significant shortage of intermediate workers as a result of employer increasing demand and insufficient supply of long-term TVET course graduates: I think in general, demand for skills is very high, but the supply cannot meet the demand. . .the number of students who want to take (professional) college courses and above has increased, whereas enterprises have greater demand for students who have taken (vocational) college and lower level courses. So, that is why we cannot supply enough. . . meet the demand of enterprises. . . I think maybe the highest mismatch is at the technician level, that means people from vocational training. [The Vice Rector, Public University A]

In particular, the Vice Rector of Public Vocational College E expressed concern that the supply of mechanical technicians has not caught up with the demand in terms of quantity, given that the machining course is unpopular among young people: The number of students in mechanical courses is the highest at this college, but every year the number of (vocational) college graduates has not met the labour market demand. We do not have enough students because not many people want to study mechanical engineering in general.

The Vice Rector of Public Vocational College D explained that this is because mechanical technician jobs are not valued by parents who have a strong influence on their children’s education and career paths: . . .their parents just say that the work in the mechanical sector is very hard and tough and they wanted their children to have easier jobs. So, they prefer that their children study electrical engineering courses. So, I think it’s also the mindset or perception that the job of mechanical technicians is always hard and difficult.

The second sort of skill mismatch is oversupply and over-qualification of university graduates, which is caused by the combination of low demand for, and poor quality of, university graduates. The Vice Rector of Private University A mentioned that since the demand for engineers is small, many of their graduates need to start their careers as technicians. Finally, educators perceive wide skill gaps. They feel that both TVET and university students do not have sufficient skills to meet employers’ requirements: Even in my university, we still cannot meet the demands of enterprises. Here I mention both in quantity and quality. . .And, many universities can provide engineering education, but companies still lack engineers. I think the point is that, even though they have graduated

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from university, students cannot meet the demands of enterprises. [The Vice Rector, Public University A]

In particular, some educators, half of whom are from universities, pointed out a lack of cognitive and social skills, which they call “soft skills,” including foreign language ability, as well as communication, teamwork, and time management skills. In summary, educators appear to perceive both skill shortages and skill gaps. Educators believe that there is a large shortage of qualified intermediate workers such as technicians who have graduated from TVET programs, while the number of university-graduated engineers exceeds the demand. As for the quality of skill supply, educators observed that their students do not have enough skills to meet employer requirements. Overall, educators interviewed for this research share very similar perceptions of skill mismatch with policymakers, and such views are also close to the findings of previous studies (e.g., Goodwin et al., 2014; World Bank, 2013). But current evidence suggests that such perspectives only find agreement with employers’ views (i.e., demand) in very limited ways (see Mori, 2021; Mori & Stroud, 2021).

Challenges of Current TVET Policies: Flaws in the Supply-Side Approach Current Vietnamese skills policy is formulated on two key assumptions. First, skills deficits are caused by the insufficient performance of the supply-side and not meeting increasing skill demand. The second assumption is that the market for TVET will work to reduce skill mismatch if the supply-side, in particular TVET institutions, improves the quality of education and training programs in accordance with employer skill needs, and that these institutions guide their students to choose their career path according to what is believed to be an increasing demand for intermediate workers. But these two assumptions are, we argue, highly questionable.

Lack of Dynamism in Skill Demand Despite optimism for increasing skills demand shared by policymakers and educators, it is hard to find firm evidence that skill demand is actually increasing, as the above argument assumes. Skilled workers still account for a small share of total employment and this employment structure has not changed drastically, despite the rising expectations of skill-biased technological change (Martins-Neto et al., 2021). According to labor force survey data, 34.5% of the workforce comprised unskilled workers in 2019 (GSO, 2021). Furthermore, the proportion of intermediate workers (i.e., technicians, skilled machine operators, production line leaders), including those in the machine manufacturing industry on which this chapter focuses, seems to have stalled (Mori, 2019). Middle-level professionals, including technicians and associate professionals, were 3.4% of the total employment population in 2019, which has

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declined from 3.8% in 2009 (GSO, 2021). In addition, the employment growth rate for mid-level professionals appears to have slowed. From 2011 to 2019, average employment growth was marginal (0.6%) and even negative in most years (see Table 2). Employment of plant and machine operator and assemblers (mostly semiskilled workers) has been growing faster (e.g., Hilal, 2018). However, these workers are likely to include low-skilled production line operators in the machine manufacturing industry, who are often upper-secondary graduates in Vietnam (Vind, 2008). Earlier studies (e.g., Martinez-Fernandez & Choi, 2012) have concluded that the stagnant employment growth of intermediate workers is due to skill shortage. However, this may not be the case due to the questionable validity of previous research findings from large employer surveys, which are often based on subjective or exaggerated views of company managers and often fail to provide compelling evidence (Cappelli, 2015; Holt et al., 2010). In fact, employers do not uniformly perceive large-scale skill shortages at the intermediate occupation level in the machine manufacturing industry – one area expected to lead Vietnam’s industrialization (Mori, 2021). This is mainly because they consider that skill demand is not increasing in volume and because skill-biased technological change is incremental. Previous studies have claimed the existence of a large skill shortage by overlooking the lack of dynamism in skill demand and failing to distinguish between quantity and quality issues perceived by employers (e.g., Goodwin et al., 2014; World Bank, 2013). Our findings caution against supply-side policies in developing countries, especially medium-sized countries which are latecomers to the global supply chain, without in-depth analysis of demand-side issues and industrial sectors (see Valiente, 2014). Furthermore, the interview data suggest that some educators hold conflicting feelings regarding the prevalent notion of growing skill demand. While indicating increasing demand for intermediate workers, they stated that the demand for unskilled production line operators is still higher than for skilled workers, mostly based on observations of nearby firms’ recruitment activities: . . .there are many industrial sectors which do not require high levels of education or skills. Firms in those sectors need just simple-skill workers. Then, they do not need to pay higher salaries for higher skilled people. Also, they can get those workers very easily. I think that is the reality in the labour market in Vietnam. [The Rector, Public Vocational College C]

Educators apparently anticipate increasing FDI will promote technological progress and increase skill demand. However, some expressed disappointment in FIEs when strong aspirations for upskilling did not transpire. The Vice Rector of Public Vocational College B found that FIEs prefer to recruit unskilled workers and are not motivated to train them: And compared with Vietnamese companies, I can see that foreign companies prefer to hire unskilled workers. Then, they do not provide them with much training. So, workers can do only very specific work. So, when they leave these companies, they can do only limited tasks.

Growth rate No Growth rate

No Growth rate No Growth rate No Growth rate No

20,430

3,529

1,779

2,679

2011 538

21,019 2.9%

6.5%

3,758

1,749
1.7%

2,810 4.9%

2012 532
1.2%

21,230
1.1%

7.3%


2.1% 21,467 2.1%

3,946

1,656
3.2%

3,262 9.4%

2014 579 4.6%

3,678

1,711
2.2%

2,982 6.1%

2013 554 4.2%

20,986
1.1%

16.7%

4,606

1,688 2.0%

3,498 7.3%

2015 574
0.8%

20,179
3.8%

9.3%

5,033

1,643
2.7%

3,637 4.0%

2016 552
3.9%

19,908
1.3%

4.8%

5,275

1,757 7.0%

3,801 4.5%

2017 606 9.8%

19,228
3.4%

4.2%

5,494

1,864 6.0%

3,813 0.3%

2018 619 2.2%

18,838
2.0%

20.2%

6,604

1,855
0.5%

4,279 12.2%

2019 522
15.8%

c

Note: a, b, dThese occupations are likely to include non-manufacturing related workers (e.g., administrative staff, sales and marketing staff, etc.) They are likely to include unskilled workers such as production line operators Source: Author’s calculation based on GSO (2021).

Unskilled occupations d

Plant and machine operator and assemblers c

Mid-level professionalsb

High-level professionalsa

Occupation Leaders/managers

Unit: Thousand persons

Table 2 Employment growth rate of machine manufacturing related occupations (2011–2019)


1.0%

8.3%

0.6%

6.1%


0.1%

Ave. growth rate

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In particular, several of them indicated that large foreign-invested assemblers usually focus on unskilled workers: As you may know, [a large Korean electronics assembler] is now recruiting a huge number of workers in Vietnam, but they use only unskilled workers. How long will they recruit that large of a labour force? After 2 or 3 years, they may release (dismiss) these workers and what will happen to them? [The Vice Rector, Public Vocational College E]

Ironically, many TVET graduates are likely to be working for those assemblers, as stated by the above Vice Rector. TVET students are often recruited as operators or assemblers when entering firms and look for an opportunity to be promoted to technician, according to the Vice Rector of Public Vocational College F. This view explains some firms’ recruitment practices (Mori, 2019) and implies that educator perceptions of increasing demand for intermediate workers are not based on convincing evidence but wishful thinking, particularly as the high employment rate does not necessarily guarantee that TVET students are working as intermediate workers. In short, most educators perceive growing skill demand at the intermediate occupation level (as the supply-side approach assumes), but at the same time they are uncertain whether firms, in particular large FIEs, require more skilled workers. This uncertainty is likely to be hidden behind the pervasiveness of current policy. In other words, the assumption that firms are requiring more skilled workers is so trusted that some educators struggle to challenge it despite not being fully convinced.

Challenges for Market-Based Reform Strategies Our research findings indicate two challenges in adapting the market-based reform strategies. First, TVET institutions have limited capacity to utilize the apparent autonomy given by the government. As mentioned above, the government has given vocational training institutions more autonomy in designing curricula to meet firms’ skill needs. However, many TVET institutions lack the internal capacity and resources to improve curricula on their own, as the Vice Rector of Public Vocational College D reported: . . .we can (now) design 100 per cent of curriculums, with approval of the rector. But I think that to design the whole curricula by ourselves, we need time and capacity. . .And the second thing is that, most of the teachers or professors here graduated from university and they came here to teach, and they don’t have practical experience. They don’t understand how enterprises operate and what enterprises really want.

On top of the capacity constraints, TVET institutions face low staff motivation. Some TVET institution management expressed the view that their instructors often lack the willingness to improve curricula according to employer skill needs. The Vice Rector of Public University A stressed the difficulty in promoting a changeoriented mind-set among the staff:

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The challenge now is how to change. . .internally change ourselves, because as I already mentioned, we are trying to move from the supply-oriented to demand-oriented education, but it is not easy to change the mind-set and behaviours of all people, all staff, to adopt the new strategy. . . Even at the higher level like the management level. Always the way of thinking is affected by the planned economy mindset. They just do what others do, but they do not have creative thinking.

Second, TVET institutions regard this market-based policy – a policy mostly borrowed from developed economies – as a serious challenge to financial sustainability (Burchill, 2001; Williams, 2003). Many interviewed educators reported that they already lack financial resources, in particular for upgrading their training equipment (to more closely reflect what firms use). One way to increase resources is to increase tuition fees, which is often the main income source. Several interviewed educators pointed out that the current tuition fees are too low to cover their training costs: . . .so, there is a big gap (between income from tuition fees and training cost). So, how can we train skilled workers if we do not have enough income to cover training costs? I think the gaps should be filled by the government. It is a big issue. Regarding the welding course, to meet the standards, each student needs to have one machine, but currently 5 students share one machine. So, there is a big gap. [The Rector, Public Vocational College A]

Nonetheless, as the Rector of Public Vocational College A stated, many TVET institutions do not dare increase tuition fees, since their students often come from lower income households and cannot afford to pay more. Thus, most TVET institution managers requested the government provide more financial support for upgrading and maintaining training facilities as well as improving wages and welfare for teachers. Another option is to secure a sufficient economy of scale by recruiting more students. The government intends to reinforce ongoing promotion activities to assist TVET institutions in attracting more students, realizing that many of them have already faced this difficulty (Mori, 2019). It is also attempting to guide young people away from university education and towards more “suitable” education and career paths, assuming that young people are prone to make “unrealistic” and “irrational” choices (Musset & Kurekova, 2018). However, TVET institutions are still facing difficulties in attracting young people. In particular, enrolments in long-term vocational courses, including at the vocational college and secondary levels, are not greatly increasing. The number of new students in vocational secondary courses declined from 199,000 in 2009 to 128,971 in 2015. Enrolments in vocational college courses decreased from 89,000 in 2009 to 81,000 in 2015. While they have increased suddenly since 2016, mainly due to the merger of the vocational and professional college courses, it will be interesting (and necessary) to observe whether this is a single upward event or a long-term trend (see Table 3). The supply-side approach explains that this problem can be solved by disseminating more labor market information, provided that TVET institutions carry out training courses which meet employer requirements (World Bank, 2013, 2012b; Rita Almeida & Robalino, 2012). Their logic is based on the human capital theory

No. % No. % No. %

Source: NIVT (2014, 2018, 2020).

Total

Unit: Thousand persons Course Vocational Primary/elementary Vocational Secondary/intermediate Vocational college

2009 1,420 83.1% 199 11.7% 89 5.2% 1,708

2010 1,468 84.1% 181 10.4% 97 5.6% 1,746

2011 1,552 87.5% 142 8.0% 80 4.5% 1,774

Table 3 Number of admitted students for TVET programs by course 2012 1,279 85.7% 129 8.7% 84 5.6% 1,493

2013 1,516 87.5% 128 7.4% 89 5.1% 1,733

2014 1,803 89.1% 133 6.6% 88 4.3% 2,023

2015 1,769 89.4% 129 6.5% 81 4.1% 1,979

2016 1,836 77.5% 290 12.3% 241 10.2% 2,368

2017 1,664 75.5% 310 14.1% 230 10.4% 2,204

2018 1,665 75.3% 316 14.3% 230 10.4% 2,210

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assumption that people will make a rational decision in a perfect labor market (Becker, 1993). In this case, they presume that the “rational decision” is choosing to join TVET due to the availability of more job opportunities rather than going to university and being unemployed/underemployed. Of course, as recruitment patterns show, young people may still not join TVET programs, even with more labor market information. To begin with, there is simply low demand for TVET-graduated intermediate workers. Furthermore, even if skill demand picked up and the labor market information indicated high demand for intermediate workers, social/parental pressure to obtain a university degree is likely to make young people hesitant to attend TVET programs. In making an education or a career decision, most young people pay attention to social factors, in addition to economic factors such as the entry level salary (Brown et al., 2001). Young people and their families are likely to care that the social status of bachelors’ degree holders is much higher than that of TVET graduates in Vietnamese society: . . .in fact in their minds, they still hope their children can go to university, but they have to accept the fact that their children cannot go to university and they become more realistic. So, they send their children to vocational training. Maybe the social image of people from universities is higher. [The Vice Rector, Public Vocational College D]

The Deputy Division Head of Government Agency B explained that in Vietnamese culture, university graduates are highly respected, regardless of job availability for them. In contrast, the social status of TVET students is much lower than that of university graduates in the Vietnamese education system, as it often the case elsewhere (see, for example, Brockmann & Laurie, 2016, p. 2; Fisher & Simmons, 2012, p. 38). Thus, the Vice Rector of Public Vocational College D stated that most young people and their families would not regard TVET as a primary choice even with the provision of more labor market information: I think it’s not only the reason of lacking information. The main reason is their parents. They would be proud if their children can enter universities. And if a neighbour’s children go to university but their kids don’t, they will be very disappointed. Therefore, they encourage their kids to pass the university entrance examination in order for them to feel proud and equal to other people.

Social value issues are linked to the low economic status of TVET graduates, which further discourages young people from joining TVET programs. Young people and their families often expect that a university degree will enable them to obtain a better job with decent working conditions (Mori, 2019, p. 248). Indeed, several policymakers and educators reported that the salaries for TVET graduates are sometimes the same as those of upper-secondary graduates and so young people’s perceptions are likely to reflect reality. In fact, some firms do not differentiate between TVET and upper secondary graduates in determining salaries. In their salary schedule, TVET graduates fall into the same grade as upper secondary graduates, because they doubt the capability of TVET graduates and assume that they join TVET programs since they failed to enter upper secondary schools or

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universities (Mori, 2019, p. 249). In such circumstances, it is highly likely that young people prefer to apply to universities if the salary level of TVET graduates is perceived to be very similar to upper secondary graduates. Therefore, educators are requesting stronger government intervention to divert young people from university to TVET programs. Hence, the government has recently implemented several policies, such as a change in the university entrance exam system, but it is uncertain if the government will strengthen its control of university student numbers. This is because some in the government believe that the restriction on university enrolment should be removed as it discourages existing universities from improving the quality of education according to student demands (e.g., World Bank and Ministry of Planning and Investment of Vietnam, 2016). The broader assessment is that educators feel that the market-based reform strategy does not fit the Vietnamese TVET sector, in which the market mechanism is not functioning. In fact, there has long been criticism that this strategy is not working even in the developed countries from which they originate and draws attention to the difficulties in applying market-based reform strategy to the TVET and higher education sectors regardless of the level of economic development (e.g., Marginson, 2013; Newman & Jahdi, 2009). As a result of pursuing this strategy, some educators feel that the government has been merely shifting the responsibility of TVET reform to educational establishments, neither understanding their constraints nor providing them with sufficient support: Actually, we do not get any specific support, except for a kind of management or administration (from the government). The government issued one document which mentioned that all universities have to improve their relationships with enterprises, but that is just a document. They do not give any money or instruction, or they do not have any program to connect universities to enterprises, no, nothing. But they give that direction and request all universities to follow it and strengthen the relationships with enterprises. [The Vice Rector, Public University A]

These findings indicate that the market-based reform strategy may cause the quality of TVET programs in Vietnam to deteriorate, which is a risk that the OECD (2016) has noted. It may also discourage TVET institutions from providing the courses requiring high levels of investment, regardless of the nation’s skill needs for industrialization. Furthermore, in order to mobilize financial or other sorts of support from firms, it may lead them to accommodate employers’ immediate skill needs rather than provide opportunities to develop transferable skills required for people’s longterm career development (Gekara & Snell, 2018).

A Consequence of the Supply-Side Approach: Mutual Distrust The above findings indicate that the foremost challenge to Vietnam’s upskilling is not large skill shortages and gaps. Instead, what we find is a lack of dynamism in skill demand. The current skills formation strategies adopted in Vietnam are formed

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and based on misaligned perceptions among key actors. The potential corollary of this is mutual distrust among key actors caused by misperceptions of the nature of skill demand. In particular, the sluggish growth of demand for intermediate workers is concerning in Vietnam, where many workers still fill elementary occupations. Indeed, the slow growth of intermediate jobs may expand job polarization between a small number of highly educated professional staff and the large number of unskilled workers, as some have predicted (Autor, 2015; Goos et al., 2009; ILO, 2017; Cedefop, 2018b). Longstanding evidence suggests that the policy direction currently adopted risks impeding social mobility for disadvantaged classes in society and makes it difficult to achieve “inclusive skill development” benefiting an entire population (Brown et al., 2020). The risk is creating an over-qualified workforce when there is no corresponding increase of demand for these skills, which is becoming common in emerging economies such as China (Mok & Qian, 2018), as well as developed ones (Eddington & Toner, 2012; Cedefop, 2018a, 2018b). Within Vietnam, Handel et al. (2016, p. 67) have reported that 70 per cent of surveyed workers are overeducated, and like their counterparts elsewhere, Vietnamese policymakers are trapped in a skill mismatch paradigm created by the supply-side approach, in particular for intermediate occupations, without compelling evidence (McGuinness et al., 2018). In short, Vietnam will not be able to achieve industrialization along with inclusive skill upgrading by means of its current policy approach, particularly without acknowledgment of the flaws we outline and effective countermeasures to fix them. Indeed, imposing a supply-side approach without understanding these flaws may not help Vietnam become a high-skilled economy, but this could lead to increasing distrust among key actors instead of forging partnerships (see Fig. 1). Figure 1 illustrates how mutual distrust between actors develops. Here, policymakers and educators tend to criticize firms for being uncooperative and irresponsible regarding the improvement of education and training, while employers claim that policymakers and educators do not understand the slow growth of skill demand and the constraints in providing precise information on their current and future skill needs (see Mori, 2019, 2021; Mori & Stroud, 2021). Moreover, some educators feel that the government has been merely shifting the responsibility for realizing the supply-side solutions, under the banner of the market-based reform without providing adequate support. In short, what disconnects key actors is the distortion caused by adopting a skill formation strategy unsuited to Vietnam’s context, not merely the lack of labor market information as previous research has concluded (e.g., World Bank, 2013). One way the government can break through this deadlock of weak employer demand and mutual distrust among key actors is to address the demand-side by integrating skill and industrial policies, as suggested by the demand-side approach and adopted by other economies in the region, for example, Singapore (Ashton & Sung, 2015; Brown et al., 2015; Sissons & Jones, 2016). Currently, the national government’s interventions in the demand-side are neither proactive nor effective (Mori & Stroud, 2021), which is a key difference from Newly Industrialized Economies (NIEs) that have adopted a “developmental skill formation model” as part of a demand-side approach (e.g., Ashton et al., 1999). Additionally, others have suggested that a country

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Fig. 1 Structure of mutual distrust among key actors. (Source: Mori (2019))

the size of Vietnam needs greater sensitivity to local and regional circumstances, with more involvement (to build trust) from local/regional governments and stakeholders in strategizing industrial policy at the local/regional level (Mori & Stroud, 2021).

Conclusion This chapter suggests that educational establishments mainly perceive three types of skill mismatch in Vietnam: (i) a skill shortage of intermediate workers who graduated from TVET programs, (ii) an oversupply or over-qualification of graduates from university engineering programs, and (iii) a gap between employer requirements and the skills of both university and TVET graduates. Educators attribute these skill mismatches to insufficient quantity and quality of skill supply in conjunction with growing skill demand accelerated by the factors such as increasing FDI inflow, regional economic integration, and technological development. In short, they share a very similar understanding of skill mismatch with government officials, mainly because their perceptions are based on government policies and reports rather than direct input from employers. Accordingly, educators are following government’s skill formation strategies which focus on supply-side solutions to improve the quantity and quality of TVET programs and encourage more young people to attend TVET programs and become intermediate workers, based on their assumption of increasing skills demand. The government’s argument relies on human capital theory assumptions that firms are willing to recruit more skilled workers once they become available, but the evidence suggests that many firms are unlikely to require a large skilled workforce at present (Mori, 2021). This casts doubt on the feasibility of current skill

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formation strategies, which some educators share, that is, they have conflicting feelings about the prospect of skill demand, expressing both high anticipation and suspicion. What educators suggest they are facing is difficulty in mobilizing support from employers to realize current skill formation strategies focused on supply. At the same time, there is optimism that skill demand will increase as a result of the current policy direction. But the government believes that supply-side solutions will work if all key actors make adequate efforts to realize them, including educators. Further, policymakers attribute current problems to a lack of labor market information and insufficient effort on the supply side (Mori, 2019). Accordingly, they intend to collect more skill needs information and adopt a market-based reform strategy to promote autonomy and competition among educational establishments, even though the effects of these strategies and models are controversial and largely unproven even in the countries from which they originate (Marginson, 2013; Payne, 2008; Keep, 2015). Indeed, such countermeasures would still not enable the reform of TVET programs in accordance with employer skill needs. The findings of this research indicate that the challenges reported by educators originate from insufficient recognition of the fundamental flaws of the supply-side approach. What is argued in this chapter is that – in the nexus of relations between policy makers, educators and employers – the current policy approach risks creating distrust among key actors, rather than creating the skill driven growth that is anticipated. In particular, educators are being put in the difficult position of implementing skills policies that increase frustration with, and distrust of, government policies. In order to overcome this and achieve better focused skill formation in Vietnam, policymakers need to reconsider current policy approaches. There is a need for more integrated policy on skills supply-demand (Ashton & Sung, 2015; Brown et al., 2015), including – as some educators have indicated – identifying ways to stimulate skills demand, through, for example, a greater focus on supporting industries and a greater emphasis on local industrial policies (see Mori & Stroud, 2021). At present, these clues are hidden behind a prevailing view which excessively (and erroneously) focuses on supply-side measures.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Graduate Employability and the Need for University-Enterprise Collaboration . . . . . . . . . . . . . . Skill Development Landscape in Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Efforts to Enhance Graduate Employability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Remaining Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Recommendations and Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Universities in South-East Asia are under tremendous pressure to enhance graduate employability and provide a skillful workforce for their country’s economic development. However, the skill development landscape in South-East Asia is different from that in the developed world. The much lower levels of development of both higher education systems and industry, a lack of social welfare for youth, and the existence of large numbers of jobs in the informal economy make the criteria measuring graduate employability in the developed world, like in the UK, US, or Australia, less relevant. The graduate surveys in many countries in the region suggest that more than 90% of university graduates could find jobs a few months after leaving university. However, these statistics do not make much sense to local stakeholders. It is not easy to categories the types of jobs graduates do, and thus, the quality element of the graduates’ jobs is often ignored in these surveys. This chapter demonstrates this situation with the case of Vietnam and suggests that local authorities need to develop their own measures to enhance the skills of university graduates as the quality of the future skilled workforce will not depend only on the education and training at university. It requires mutual effort and T. T. Tran (*) School of Management, RMIT University, Melbourne, VIC, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_61

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investment from the government, universities, and industry partners. Quality work integrated learning programs need to be developed with a more sustainable collaboration between universities and enterprises. Sustainable universityenterprise collaboration in enhancing graduate employability will likely create a win-win situation that benefits universities, industry, and the overall economy. Keywords

Graduate employability · South-East Asia · Vietnam · Informal economy · University-enterprise collaboration

Introduction Recent decades have witnessed massive changes in both higher education (HE) internal and external contexts. Mass HE has created a new landscape for HE operation where, on the one hand, universities have become much more accessible (Clarke, 2018). On the other hand, the value of a HE degree is diminishing (Australian Industry Group, 2016; Jassal & Clark, 2016). HE credentials are no longer sufficient for obtaining employment (Tran, 2016). HE institutions face increasing pressure from both neoliberal governments and students to focus more on economic outcomes (Tomusk, 2004). Moreover, in response to changes in global markets, disruptive technologies, and uncertain workforce requirements, a marketdriven model of HE has immerged (Bedford & Bell, 2019; Bridgstock, 2009; Ferns et al., 2019; Morley, 2001). The call for university responsiveness is often loud in many developed countries such as the US, UK, or Australia, where education is considered a business and students have to pay high fees to obtain a university degree. National graduate surveys such as AGS (Australian Graduate Survey) (https://www.nagcas.org.au/research/australian-graduate-survey-3), HESA (the Higher Education Statistics Agency, UK (https://www.hesa.ac.uk/about)) or NSCG (The National Survey of College Graduates, The US (https://www.census.gov/ programs-surveys/nscg.html)) have been organized annually or biennially. Indicators such as the rate of recent graduates finding jobs 4 months, 6 months, or a year after graduation have become one of the key indicators of how well universities enhance the work-readiness for their students. Universities are also annually ranked for enhancing graduate employability on many scales, nationally and globally. Similar pressure has also been evident in less developed countries in Southeast Asia. Several countries in this area, such as Vietnam, Laos, Thailand, Malaysia, and Indonesia, are all emerging markets with fast-growing economies. To sustain growth, the need for a skilled workforce and productive human capital in these countries is high (Budsayaplakorn & Sompornserm, 2021). Most countries in the region enjoy a period of a “golden” population structure where the number of working-age persons (people aged 15–65) is two-thirds of the population. However, the quality of the workforce in the region remains low and shares many characteristics of the human capital development found in emerging economies: the majority

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of the workforce is unskilled and doing simple, manual jobs. Research repeatedly indicates that skills, transport, and energy, are the top three constraints to economic growth for South and South-East Asia (Panth, 2014; World Bank, 2011). Recognizing the importance of a skilled workforce for a growing economy, governments in the region have heavily invested in HE. The HE systems in these countries have expanded rapidly in the last several decades, and the number of university graduates has increased impressively. However, the quality of university training has remained a big question mark when most university graduates cannot satisfy employers’ needs. Skill mismatching is considered a critical reason for the disappointing labor market outcomes of many university graduates in the region (Aphayvanh, 2018; Cameron et al., 2017; Dhakal et al., 2019; Nguyen et al., 2018; Priyono & Nankervis, 2019; Salleh et al., 2018). To address this challenge, nations in the regions urgently need to understand the actual gap between the skills acquired in education and those required in the labor market and find ways to bridge this gap. This is considered the only way governments can increase the efficiency of their investment in skill development and promote continuous inclusive and robust growth (OECD, 2016). Measures have been developed to encourage or force universities to focus more on graduate employability. Different policies have been issued to help governments keep a close eye on and monitor university practices that enhance work readiness for students. One of the key measures is the adoption of ASEAN University NetworkQuality Assurance (ANU-QA) (AUN-AQ provides a series of guidelines to promote the development of a quality assurance system as instruments for maintaining, improving and enhancing teaching, research and the overall academic standards of AUN member universities. See further: http://aun-qa.org/briefintroduction) and different national quality assurance schemes, where the ratio of graduates finding jobs after graduation is one of the essential indicators for the level of responsiveness of universities. However, despite the extensive complaint about the low level of workreadiness among university graduates, university surveys often show that the proportion of recent graduates who could find jobs a few months after graduation is very high, often more than 90%. The high proportion of graduates being employed after graduation is not surprising. The abundant jobs in the informal economy and the absence of social welfare for youth explain this tendency. Leaving university, young people must take some form of waged work to make ends meet. It is not hard for them to find something to do in the informal economy or in numerous small and medium enterprises (SMEs). Working in the informal economy, university graduates must accept the fact that they cannot get access to several key benefits of workers employed in the formal sector, such as social security coverage, a written contract, pay slips, or redundancy payment (Cling et al., 2012; Nguyen & Nguyen, 2020a). There are more than 70 million SMEs in Southeast Asia in 2020, which account for 99% of all businesses in the region and employ over 140 million people (Schaper, 2020). Nonetheless, it is not easy to define and capture in the graduate surveys whether the jobs they ended up with are graduate-level jobs and whether their work design and the wage they earn in such jobs are up to their level of satisfaction.

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There is a call for research investigating the issue of graduate employability in each specific national context and exploring specific graduate work-readinessrelated problems to evaluate specific solutions to tackle these problems. This study aims to study these issues in the case of Vietnam. It focuses specifically on the graduate work-readiness challenges that Vietnam faces and the loose universityenterprise-collaboration (UEC) in Vietnam, which makes it more difficult to enhance graduate employability. It will also offer suggestions to help policymakers and related stakeholders develop appropriate measures to address the existing problems in the local context and better enhance work readiness for their university graduates. The chapter is organized as follows. Section “Graduate Employability and the Need for University-Enterprise Collaboration” will briefly review the literature regarding the notion of graduate employability and the need for UEC to enhance graduate employability. This will then be followed by a discussion of the skill development landscape in Vietnam – an emerging economy with an ambitious government- and a review of the literature concerning the HE system’s challenges in training the skilled workforce for the country’s development. Recommendations and suggestions will also be provided in the last section, aimed at developing solutions to address local problems and assist Vietnam in developing its measures to enhance graduate employability.

Graduate Employability and the Need for University-Enterprise Collaboration Although accepted as a key driver and measure of university outcomes, graduate employability is not well defined and is often understood differently by different stakeholders (Cameron et al., 2018; Clarke, 2018; Tran, 2016). Common definitions in the graduate employability literature relate employability to a set of skills and personal attributes necessary for graduates to obtain and retain employment and develop their careers (Casner-Lotto & Barrington, 2006; Goldin, 2015). The skill agenda has been adopted widely in the higher education context, and such concepts as generic skills, soft skills, transferable skills, cross-disciplinary skills, graduate attributes, core skills, key skills, basic skills, cross-curricular skills, common skills, essential skills, enterprise skills, or even employability skills have been used interchangeably referring to the notion of graduate employability (Caballero et al., 2011; Cabellero & Walker, 2010; Hager & Holland, 2006; Lowden et al., 2011; Rust & Froud, 2011). Despite being widely accepted, the skill agenda is still subject to criticism. For some, the formal representations of skills (such as presentation skills, critical skills, and communication skills) cannot easily capture elements of knowledge that remain specific or tacit (Beckett & Mulcahy, 2006). Winch (2006) sees the list of generic skills as nebulous, while Cameron (2000) and Boden and Nedeva (2010) are suspicious about the extent to which these skills can be taught effectively in classroom settings and then transferred to the workplace. The skill agenda is also criticized as it fails to recognize the different skill needs in different professions and

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in different organizational and cultural contexts, thus, it also fails to recognize the different nature of work-readiness in different disciplines and different contexts (Clarke, 2018; Tran, 2016). Researchers call for an alternative and more practical approach to skill acquisition where work experience activities are integrated into the student experience (Harvey, 2005). The focus on individual skills and attributes has also been criticized as it mainly focuses on supply side factors but ignores the equally important factors affecting graduate employment propensity from the demand side: the number of job vacancies, the type and location of possible graduate employment, employers’ skills requirements, and the degree of competition in the employment market (McQuaid & Lindsay, 2005; Yorke, 2006). Many contingency factors in the external market, such as economic uncertainty, Covid-dynamic, and technological disruption, also create massive changes in the professional labor market where university students enter after graduation. Employability is widely suggested to rest on the responsibility of graduates (Rothwell & Arnold, 2007; Vanhercke et al., 2014). However, HE’s economic drivers and the need for universities to provide measurable outcomes that are necessary to satisfy key stakeholders and quality assurance criteria (Holmes, 2013; Morley, 2001) have made graduate employability a central mission of HE institutions. There is also a debate about the role of employers in enhancing graduate employability. Despite the effort of HE institutions in the last few decades and major shifts in university approaches to skill development, employers’ dissatisfaction with the work-readiness of recent graduates remains, and the claim that graduates lack necessary skills is still popular among employers (Clarke, 2018; Moore & Morton, 2017). Perhaps it is time for a meaningful discussion between universities and employers, as employers should also realize their role in advancing a realistic graduate employability agenda (Clarke, 2018). The literature also documents a mismatch between stakeholders’ perceptions of employability (i.e., HE institutions, graduates, and employers) (Handel, 2003; Sala, 2011; Tran, 2012, 2016). A good match between the skills acquired in HE institutions and those demanded in the labor market requires the collaboration of both universities and employers (Kankaraš et al., 2016). Active engagement and collaboration from industry are essential for HE institutions if they want to achieve their employability goals (Tran, 2016). Recognizing the importance of university enterprise collaboration (UEC) in enhancing graduate employability, governments have developed different UEC enhancing policies, regulations and frameworks. Universities have also been supervised to take up or create a more comprehensive learning model to work side by side with industry partners to prepare a skilled workforce for economic development (Australian Higher Education Industrial Association [AHEIA] & Price Waterhouse Coopers [PWC], 2016). A form of “harmonious combination of education and employment” is considered a response to this pressure; inclusive learning is adopted where students are stimulated through an approach to relevant learning, both to work and life after graduation (Jassal & Clark, 2016, p. 38). Partnerships between universities and industry seem to be a prerequisite for success in running this new form of

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inclusive education, as universities alone do not have the expertise and resources to achieve this outcome (Ferns et al., 2019). Different UEC initiatives to enhance graduate employability have been developed and implemented in higher education worldwide. The literature documenting this area of UEC has also been expanded and covered different initiatives facilitating the industry’s participation and involvement in universities’ teaching activities. There is also an increase in the mobility of students and academic staff from the traditional teaching and learning context at university to a new learning context at work (in the form of Project-based learning, work placement, and internship). There is also growing evidence of the UEC co-developing and co-delivery of training programs, sandwich years or practical projects that can either be school- or work-based. Table 1 briefly summarizes the key types of UEC for enhancing graduate employability found in the academic literature. It is suggested that the above forms of UEC help enhance graduate employability and create benefits for all involved stakeholders. The mobility of university academics and students to workplaces and industry partners to the university helps stakeholders better understand each other and better connect the world of the academy with the world of work. More responsive and relevant teaching syllabi are created with the involvement of industry partners in the design and delivery of the teaching curriculum; UEC also creates more experiential learning opportunities, which help and also require students to integrate theory and practice (Cooper et al., 2010; Ferns et al., 2014; Tran, 2016). It also provides students with contextual learning opportunities to apply the knowledge they learn from different sources and experiences in practices at work to solve real-world problems (Patrick et al., 2008; Weisz & Smith, 2010). The experiential learning opportunities are also considered valuable for students to learn the occupational specific knowledge and skills and the tacit knowledge at work, which is claimed to be necessary for students to adapt to the real world environment, and ultimately enhance their graduate employability (Artess et al., 2011; Helyer et al., 2011; Rust & Froud, 2011; Sternberg et al., 2000). Nonetheless, UEC benefits do not come by chance, and UEC activities themselves are not a guarantee of success (Clarke, 2018; Cooper et al., 2010). These initiatives will only be effective if they are well designed, meaningful, relevant, and pitched appropriately (Clarke, 2018). The co-design of a meaningful and relevant UEC activity requires time, effort, resources and investment from both universities and industry, and this is easier said than done. This requires both parties to step out of their comfort zones (Tran, 2016). On the one hand, it requires universities to shift university approaches, from delivering the model/program to enabling the partnership (Harvey, 2007) and place equal value on theoretical knowledge and practical knowledge (Orrell, 2011). On the other hand, it also requires employers to understand university partners’ curriculum and pedagogy to develop meaningful experiential learning opportunities for students and academics (Jackson, 2015). Then, universities and enterprises also need to negotiate how to devote quality time and resources to support students in acquiring declarative and procedural knowledge through the work-integrated learning curriculum (Tran, 2016).

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Table 1 Types of University-Enterprise Collaboration for enhancing students’ work readiness Types of UEC Industry participation and involvement in university practices

University mobility to the workplace

Universities and firms collaborate to deliver

UEC activities Industry involvement in: Curriculum development Industry Advisory Board Guest lectures Setting up labs Training academics with industryrelevant competencies Student assessment Student mentoring Sponsorships/scholarships Career Fairs Graduate recruitment Students’ involvement in different experiential learning opportunities: Student work placements Student internships Students conducting real-life projects in firms Project-based learning at university University academics/managers experience the work in firms University training for enterprises’ orders Work based learning degree programs/ sandwich years Practical projects either on university campus or in enterprises

References Orazbayeva et al. (2020) Davey et al. (2018) Plewa et al. (2015) Samuel et al. (2018) Watson-Capps and Cech (2014)

Rossano et al. (2016) Kunttu (2017) Borah et al. (2019)

Cavallone et al. (2021) Davey et al. (2018) Orazbayeva et al. (2020) Borah et al. (2019) Plewa et al. (2015) Samuel et al. (2018)

Skill Development Landscape in Vietnam Vietnam is an emerging country in South-East Asia. With an ambitious government and a clear intention to achieve international economic integration, Vietnam has achieved impressive development outcomes in the last decades and has recently become a middle-income country. Its economy ranked 77 among 140 economies in the Global Competitiveness Index 2018 (Schwab, 2018) and is considered a new

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manufacturing powerhouse in Asia (Tran et al., 2021). Nonetheless, Vietnam also faces significant challenges since the development of the economy has largely been based on manufacturing with a low skilled labor force, while productivity has been lower compared to neighboring countries (Bodewig et al., 2014). More recently, the development speed has slowed down significantly, especially during the pandemic when global supply chains have been disrupted. Skill gaps have been identified as an important factor explaining the gap between Vietnam’s economy and neighboring countries (Malay ranked 25th, Thailand: 38th, Indonesia: 45th and The Philippine: 56th) (Schwab, 2018). There are various calls for Vietnam to develop its human resources and upskill the workforce for the continual development of the economy (Bodewig et al., 2014). The Vietnamese government also understands the importance of skill development in this crucial stage of socio-economic development. They, therefore, show a strong commitment to reforming the education system, especially the HE system, to encourage collaboration between the HE system and industry, and to make sure the education and training system aligns with the needs of the economy (The World Bank, 2018). In the last two decades, many reforms created by the government policies to achieve this goal have been evidenced. The Vietnamese government has promoted HE massification to develop a skilled workforce for industrialization and a knowledge-based economy (MOET, 2021). The number of HE institutions has increased impressively. The number of students enrolled in the system has grown from 133,000 students in 1987 to 2,200,000 in 2020 (MOET, 2012, 2021). Despite this impressive growth and expansion, in 2021, only 11% of the labor force aged 15 and over have university degrees (Ministry of Labor – Invalids and Social Affairs & General Statistics Office, 2021). This proportion seems inadequate to help Vietnam achieve the ambitious goal of turning from an agriculture-based economy to a modern industrial economy. While the proportion of university holders in the labour market remains small, a steep increase in the number of unemployed graduates has emerged as a significant issue attracting the attention of all related stakeholders. In 2013, 72,000 graduates were unemployed; this number jumped to 115,400 in 2016 and 200,000 in 2018, with many redundancies being reported in economics-business related fields (e.g., business administration, banking, finance and accounting professions) (Ministry of Labor – Invalids and Social Affairs & General Statistics Office, 2016; Tran et al., 2021). A slowdown in the rate of economic growth and a significant increase in the number of job seekers leaving university are contributing factors to this trend (Bodewig et al., 2014). Much evidence in the literature also indicates disappointing employment outcomes among university graduates in Vietnam. Pham’s (2013) observation demonstrates that while the overall unemployment rate of Vietnam is decreasing, the number of unemployed university graduates increases every year. Although the professional job market in Vietnam is smaller than the job market in manufacturing, it is growing year by year. The demand for a high skilled labor force is often around

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one-third of the total labor demand. For example, according to the official figures provided by the General Statistics Office and the Ministry of Labor – Invalids and Social Affairs (2021), in the second quarter of 2021, the recruitment demand for university degree holders was 37.1%. However, the unemployment situation among tertiary degree holders remains, as in the second quarter of 2021, the unemployment rate among university and college degree holders is still the highest among all unemployment cohorts (Ministry of Labor – Invalids and Social Affairs & General Statistics Office, 2021). The professional job market in Vietnam witnesses a paradox. On the one hand, it is claimed that Vietnam lacks a skilled labor force for its development and employers loudly complain about their difficulties in finding qualified workers. On the other hand, university graduates have been struggling to find jobs and integrate into the labor market. This contrasting picture is explained by the gap between graduates’ competencies and employers’ expectations. Specifically, it is suggested that graduates lack the required skills and are poorly prepared for the workplace (Bodewig et al., 2014; Montague, 2013; Nguyen, 2017; Pham, 2008; Tran, 2013c, 2015; Tran & Swierczek, 2009; Truong, 2006). More profoundly, there is evidence for both “skills lag” and “skills shortage” problems in the professional employment market in Vietnam. According to Bodewig et al. (2014), “skills lag” is the term used to refer to those graduates having the right qualifications but lacking work-ready skills, while “skills shortage” is the lack of graduates in specific areas. “Skill lag” is evident among the cohort graduating in business-economy fields. It is reported that the number of enrolments in the business-economic fields has always outnumbered any other field (Thang & Lan, 2013). Ministry of Education and Training’s (MOET) statistics show that in the year intake 2021–2022, the number of students registering in business-related fields was highest, with 1.3 million students (Nghiem, 2021). Despite having abundant human resources, recruiters in business-related fields continue to complain about their difficulties finding graduates who can satisfy their recruitment criteria. While managerial skills are considered the core career-related skills listed in outcome quality indicators in all business and management courses in Vietnamese HE institutions (Truong & Metzger, 2007), these skills are considered by employers as the “hardestto-fill” skills when recruiting graduates (Cunningham & Pimhidzai, 2018). Similarly, 50% of graduates in hospitality were also unable to meet the recruiters’ criteria (Le & Hayden, 2017). A lack of proper human resources is also a significant problem in marketing, sales, and manufacturing (Nguyen & Robinson, 2010). After investigating the gap between business education and employers’ expectation, Tran et al. (2021, p. 149)suggested that: “The greater the amount of resources spent on business education, the harder it is to find qualified graduates, or even postgraduates, who satisfy the criteria mentioned in job descriptions and specifications.” While recruiters in business-related occupations often receive many applications for one position but still find it hard to find the right candidate with the required skills, this is even harder for recruiters in other areas with fewer potential candidates.

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Especially in the technology-related industries, recruiters are experiencing a scarcity of applications with sufficient skills (Jennings, 2017). “Skillshortage” creates even more difficulties for the vacancies in these industries to be filled. Related stakeholders, employers especially, often blame the low level of workreadiness among recent graduates on universities, who are often considered weak in capturing and keeping up-to-date with the changing demands in the labor market in Vietnam (Harman et al., 2010; Nguyen, 2016, 2017; Tran, 2013c, 2018; Vuong et al., 2013). The University curriculum is considered mainly theory-driven and focuses on book knowledge (Tran, 2013b; Truong & Metzger, 2007). Teaching methods have primarily remained traditional, with the one-way transmission of knowledge from the teacher to students (Tran, 2013a). It negates the effort to develop the skills (such as critical thinking skills, interpersonal skills, or communication skills). The decrease in government funding for HE is also considered a contributor to the scarcity of financial resources universities can draw on to enhance students’ work readiness. They have to streamline teaching courses and focus on theory at the expense of professional practices where work integrated learning, student placements and internships are removed or lifted from university supervision (Nankervis et al., 2017). A loose connection and collaboration between universities and industry are also considered a key reason for the lack of industry-driven curriculum dominated in the HE sector (Tran, 2015). This leads to calls for radical change in university practices to better prepare students for the need of an ambitious economy. Nonetheless, while employers loudly complained about universities’ lack of proper employability skills, they did not seem to see their responsibility in the skill development process. Vietnamese employers seem to keep the traditional thinking that human resource training is not their task but the task of education institutions (Le & Truong, 2005). Evidence indicates that firms are often reluctant to accept interns from universities or accept these young people but do not usually provide them with opportunities to familiarize themselves with real working environments (Tran, 2013b; Vo, 2019). Although the internship program has always been part of the university curriculum in Vietnamese universities, students often complain that they cannot learn much about the real world of work. The popular activities they are doing as interns are reading old reports and doing simple tasks such as photocopying, document typing or being observers in meetings (Tran, 2013b). While the gap between formal learning at university and actual tasks in the industry always exists, recent graduates need support and training from organizations to adapt to the requirements at work. Thus, internships, graduate programs, and induction training are often designed and provided for recent graduates to prepare them for employment in many countries. The way Vietnamese employers loudly complain about the need for them to “re-train” university graduates (Ha-Anh, 2021; Huynh, 2012) somehow did not seem reasonable. They did not seem to see their responsibility in human resource development. It also reflects the low level of development of the Vietnamese economy when few resources are allocated for staff training and human resource development (Kim et al., 2019).

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Efforts to Enhance Graduate Employability Research evidence also indicates that different universities have different responses to the pressures in increasing the work readiness of their students (Tran, 2019). In the context of reduced government funding, universities increasingly depend on student tuition fees, putting them under great pressure from students and their parents to deliver positive labor market outcomes. Several universities have taken initiatives to reform their curriculum and invested more time and effort in collaborating with industry partners to enhance the professional orientation of their teaching. Others, due to a lack of resources and experience, maybe more reluctant to seriously invest in this goal. Universities are also under pressure from the government and the Ministry of Education and Training to develop soft skills for students. However, no specific guideline on how universities should do so was provided (Tran, 2019). Thus, universities developed their ways of executing the policy. Apart from offering students opportunities to develop soft skills in extra-curricular activities run by Student Associations or the Youth Union, some universities added soft skills as part of the formal curriculum; others require teachers to integrate and teach these skills when teaching disciplinary knowledge (Tran, 2019). It is suggested that although the traditional teaching approach of one-way transmission of knowledge from the teachers to students is still dominant in the Vietnamese HE system, the introduction of the soft skills policy did trigger some changes in teacher practices (Tran et al., 2014, 2018). Enterprises have also been given an incentive to invest in education. Firms’ income from investment in or collaboration with education institutions is subject to only 10% income tax (instead of 20%) (Circular No. 96/2015/TT-BTC https:// chinhphu.vn/default.aspx?pageid¼27160&docid¼180650). Although this incentive is considered very modest, many firms recognize other benefits they could get access to when engaging in UEC. It opens up opportunities for firms to collaborate with universities, access a short-term technical labor pool at low or no cost, recruit highquality graduates, and increase their reputation and brand image (Nguyen & Nguyen, 2020a; Tran, 2016). Firms are increasingly aware and open to UEC. Universities are also increasingly aware of the role of work integrated learning and collaboration with the industry in enhancing their students’ employability and satisfying the requirements of all related stakeholders. There seems to be a strong desire among Vietnamese universities to develop UEC to enrich their teaching curriculum, to bring in resources from industry in compensation for the massive reduction in government funding, and to develop soft skills, enhancing graduate employability for students (Nguyen & Luong, 2020; Pham et al., 2019). However, effort and investment in collaboration with industry varies among universities and often depends on the goodwill of each university’s top leaders, the reputation of the university, and the networks that academic staff in each university have with industry partners (Tran, 2019). Often well-known metropolitan universities such as Hanoi University of Science & Technology, Foreign Trade University, and National Economics University can attract collaborations and support from industry better than

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regional or smaller, less well-known universities. Nonetheless, some smaller or regional universities such as Hanoi Industry University, University of Technology and Education, Ho Chi Minh City, or Can Tho University, where top leaders show firm commitments and are willing to invest in UEC, have also achieved certain success in attracting funding, support and collaboration from industry partners. Positive UEC feedback and outcomes have started to be found. Universities such as Hanoi University of Science & Technology can attract millions of dollars from industry partners for different university activities. Firms also sponsor and help universities organize students’ experiential learning activities such as Start-up Insider Talent Hunt, Creation Ideas Contest, Bach khoa Innovation or EPICS (Nguyen, 2021). Bach Khoa Innovation, for example, is an annual innovation competition organized by Hanoi University of Science & Technology and sponsored by industry partners. It provides a platform for students to challenge the norms and incubate practical, innovative solutions for a sustainable future. Students are given a chance to solve real-world problems with technical and financial support from industry partners. EPICS – The Engineering Projects in Community Service is another example of UEC, which provides practical, hands-on experience for students before entering the workforce. EPICS were initiated by BUILD-IT (Building University-Industry Learning and Development through Innovation and Technology) project, where students from IT-related universities are given chances to form multidisciplinary teams of undergraduate students and use their technical skills and innovative ideas to design and implement solutions for non-for-profit organizations or the community (https://builditvietnam.org/events/epics2018). Students have support and sponsorship from different industry partners to investigate the real problems in organizations and the community. They are also coached to enhance their teamwork skills, presentation skills, project management skills and skills in budgeting and spending their budget.

Remaining Challenges Although some positive changes have been evidenced, challenges remain. The implementation of the soft-skills policy and the collaboration with industry reveal many problems needed to be settled. After a decade of effort in soft skill teaching, positive indicators are still rare. Challenges for effective soft-skills delivery are numerous and difficult to overcome. Some of these are the class size which is often too large (50–100 students or more); lack of a suitable learning environment (table and chair design, the noise affecting classes nearby); teachers, trained traditionally and often overloaded with many other commitments, without proper training about soft-skill teaching methods, find it difficult to “teach” soft skills (Tran, 2019). Effective soft-skill development needs the active involvement of students. However, student passive participation in soft-skill development activities has been reported as prevalent. Extra-curricular activities designed by Student Associations and Youth Unions in HE institutions are suggested to be beneficial for students to develop such soft skills as communication skills, teamwork or interpersonal skills.

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However, students are generally reluctant to join these activities; university teachers also do not encourage students to participate in these activities, which, in their traditional view, are regarded as unrelated to their intellectual growth (Tran, 2015). In terms of soft-skill integrated teaching, one of the key requirements for a successful transition from the traditional transmission of theoretical knowledge to interactive teaching and learning, is the active participation of students in learning (Attard et al., 2010; Tran, 2013a; Tran et al., 2018). However, Tran’s (2019)study shows that students often hesitantly participate in curriculum-based activities to develop soft skills. This discourages teachers from putting effort into developing soft skills for students. While investigating the reasons for the low or non-participation of students in such activities, Tran (2019) found that the poor communication between different related stakeholders, the limited time spent on activities and a mismatch between the activities and their interests were the key reasons students were not engaged in these activities. Teachers, however, blamed the low engagement of students in soft-skills activities on students’ personal traits, their superficial learning attitudes and low academic abilities (Tran, 2019). It is also worth noting that after 12 years of learning at school and being familiar with the traditional learning style requiring students to be obedient in class (Tran, 2013a), it seems unrealistic to expect students to actively participate in class activities once they enter university. Changing student (and teacher) mindsets and ways of learning needs time and support to happen. While both teachers and students in the HE system do not really value the benefit of soft-skill teaching in the university context, they share the same suggestion that interactions in a real-world context, at the workplace or in life, will provide better conditions for students to develop the skills they need later at work and in life (Tran, 2015, 2018). Nonetheless, UEC initiatives in the HE also face different challenges. UEC in Vietnam seems to be at an early stage where many problems need to be settled. Research indicates that there is growing interest from both universities and enterprises in UEC; there is, however, also evidence showing both parties’ struggles as they did not know how to set up the collaboration and how to maintain the partnership effectively (Dinh, 2016; Pham, 2013). Tran (2017) surveyed 226 university representatives and 260 enterprise representatives; the findings indicate that both parties lacked experience developing interactive UEC programs. They often found difficulties in approaching, setting up and maintaining a good collaboration with UEC partners. They also experienced the scarcity of resources for UEC. The existing types of UEC in Vietnam also confirm an early stage of UEC development in the country. The dominant types of collaboration were still the traditional activities, where universities send students to enterprises to conduct internships/assignments as part of the traditional compulsory curriculum (Tran, 2017). Most other forms of UEC that help leaders and staff from two parties understand each other and thus, strengthen the quality of UEC, have remained rare. MOET also recognizes the benefits of UEC for enhancing graduate employability and welcomes projects with support from international donors, such as USAID, the UK embassy or The Netherlands Government to develop UEC in the HE system (Tran, 2017). These projects help local universities leverage UEC and produce

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graduates that better meet contemporary employers’ demands. When asked about the possibility of sustaining the partnerships after the closure of the projects, the involved universities often complain about difficulties in developing sustainable and workable collaborations with employers to enhance their students’ graduate employability and maintain the partnerships after the end of project funding. Universities often complain that the active involvement of employers in collaborations with universities is rare (Huynh, 2012). Employers also voice difficulties in communication with universities and in understanding universities’ goals when students are sent to their organizations for internships or placements (Pham, 2013). Universities complain that enterprises are predominantly economically driven when approaching universities for UEC (Le et al., 2018), while firms find it hard to negotiate collaboration plans with universities (Pham, 2013). There is clear evidence of the lack of trust and collaborative effort from both universities and enterprises when developing UEC in Vietnam. In both Pham’s (2013) and Tran’s (2017) studies, both universities and enterprises claimed that they were often the first ones who initiated the collaborations. Tran’s (2017) research also points out the reason for this confusing suggestion: universities often come to enterprises to ask for chances to send their students for internships, while enterprises approach universities when they need some sessional or short-term staff. The times both parties actively approach the other for their “instant needs” do not often match (Tran, 2017). Thus, they often complained about the lack of enthusiasm of the other partner. Moreover, while enterprises often lack resources for training new staff, universities traditionally also do not consider collaboration for graduate work readiness as their task (Tran, 2017). Thus, although university leaders are now open for UEC, lower-level management or academic staff at universities do not often consider UEC a serious task. Therefore, a sustainable collaboration between universities and enterprises has remained rare (Dinh, 2016; Tran, 2017).

Recommendations and Conclusion Employability is context-dependent (Hillage & Pollard, 1998). In Vietnam, being employed does not necessarily mean a positive employment outcome for graduates. In an emerging market with a huge informal economy that offers everyone something to do, counting the number of graduates having a job but ignoring the quality aspect of the jobs they are doing and the level of satisfaction they have with their jobs is not at all the right indicator for employability. The absence of social welfare available for graduates may force them to accept any available work but does not necessarily require the level of their skills. University graduates’ employment prospects in Vietnam seem to have more negative than positive signals: the problems created by both skills shortage and skill slag are increasingly severe. It creates difficulties for recent graduates to enter

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the professional job market (Nguyen et al., 2019). The danger of not meeting the requirements for professional jobs has become alarmingly when an increasing number of university graduates end up doing any work just to make ends meet. This is not only a big skill-waste, but it also holds the productivity in Vietnam at a very low level. There is an urgent call for Vietnam to create a radical change to bridge the gap between university training and industry needs. Increased graduate work readiness for a competitive economy is a critical problem to help Vietnam develop its economy and gain its competitive advantage in the process of regional and global economic integration. The soft skills teaching initiatives in Vietnam also confirm the existing research findings: skills taught in a formal classroom setting do not substantially impact graduate employment success (Boden & Nedeva, 2010). The soft-skill integrated curriculum has been implemented at different levels across the HE system in Vietnam for a decade. Still, little evidence indicates that a positive outcome of soft-skill teaching and development in the HE system is acknowledged by either students or employers. Teachers are still struggling with too many other commitments and have not figured out a way to enhance soft skills for students. Students themselves also do not appreciate the way of teaching soft skills in a formal classroom setting. Thus, this chapter supports the calls of Harvey (2005) for an alternative and more practical approach to skill acquisition where work experience activities are integrated into the student experience. Nonetheless, before any practical approach is employed, there is a need for both teachers and students to change their perceptions about the importance of developing soft skills. Active participation of students in class activities and extra-curricular activity is necessary for them to develop soft skills. Thus, the first thing that needs to change is the traditional approach to teaching and learning. There has been a loud call to remove spoon-fed instruction from the whole system (Tran, 2013a) and adopt a more integrative teaching and learning style where students’ voices are counted and their critical and creative ideas are acknowledged. It is observed that there is currently a strong push for more interactive student-centered learning in universities. As previously noted, after 12 years of passive learning at school, it’s not easy for students to change their learning style at university. Thus, reforms are required as children start school, rather than when they start university. While both students and teachers in the system are suspicious that soft skills taught in a formal classroom setting can be transformed into practices, they acknowledge practical learning opportunities brought about by UEC and consider these opportunities beneficial as these practical learning opportunities help students enhance skills desirable to potential recruiters. Nonetheless, the development of UEC to improve graduate employability in Vietnam seems to be at an early stage. All related stakeholders seem to understand the benefits of UEC. However, trust and an agreed sense of purpose still seem to be missing. The role of the top university leadership has also emerged as one of the decisive factors in developing and nurturing sustainable and beneficial industry partnerships. Universities in Vietnam

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are now under pressure to exercise financial autonomy. Therefore, collaboration with industry will help universities access another funding source and bridge the gap between theoretical teaching and learning at universities and applying such knowledge in practice. This will help enhance work readiness, bring more job opportunities for students, attract more incoming students, and increase tuition fees – the primary source of income for universities. Employers should also see their responsibility in enhancing work readiness for recent graduates and giving more attention to human resource development. Although more and more employers realize the benefits UEC may bring for their organizations’ human resource development, evidence indicates that firms still keep the traditional idea that human resource training is not part of their responsibility. Thus, firms are not willing to invest in providing training for the new workforce. Sufficient effort has not been forthcoming to develop sustainable partnerships with universities to enhance university students’ work readiness. Although the drive for the Vietnamese HE reform is for the country’s economic development, the HE system does not seem to be well prepared for it. All related stakeholders have realized the importance of UEC in enhancing graduate employability, however, each party still has many problems to settle before a workable solution for a sustainable collaboration can be developed. Therefore, clear incentives should be provided to ease both universities and businesses’ active collaboration and contribution. The Vietnamese government should learn from the experience of neighboring countries, such as Singapore when enterprises are clearly incentivized to get involved in the process of training and preparing work-readiness for university graduates; they also get financial incentives when employing or providing training for recent graduates (Waring et al., 2017). When there are obvious gaps between training at university and the skills required in the industry, when most teaching staff at university lack industry experience, and when the mutual trust between universities and firms has not been created, the Vietnamese government should be more active in intervening in the process of enhancing the relevance of university training and the work-ready preparation for the high-skills labor force. Clearly UEC has been proved to be a practical way to enhance graduate employability and bring benefits for all involved parties and the overall society in Vietnam. However, the remaining challenges are enormous. Only strong partnerships enabled by supportive policies and incentives from the government could help both parties to come up with innovative approaches, collaborate to design appropriate experiential learning programs and provide the proper support for students in the process of integrating theory and practice (Choy & Delahaye, 2011; Ferns et al., 2014; Peach et al., 2012). Each related party, particularly the government, universities, enterprises, and students, needs to see their responsibility in the process and invest their time, resources, and efforts to develop a win-win collaboration. Supports and guidance also need to be in place to assist university students and recent graduates in realizing the importance of skill development and actively enhancing their own work readiness.

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Student Mobility, Employability, and Unlikely Education Destinations in Asia

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Student Mobilities Within Asia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Unlikely Players in the Asian Education Market . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Capital Accumulation in Unlikely Destinations? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Diverse Pathways to Employability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Linguistic Capital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Credentials for Further Movement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

The last few decades have seen the rise of a competitive market of higher education providers, offering academic credentials to international students hoping to increase their chances of acquiring desired jobs after graduation. Within Asia, universities in wealthy cities like Singapore and Hong Kong have emerged as key players in this competition, actively pursuing world rankings to gain the same prestige as popular destinations in the West. However, often overlooked is a growing segment of low-tier colleges and universities that have also internationalized their programs, facilitating the movement of foreign students to seemingly unlikely destinations within the region. This chapter provides an overview of how less prestigious institutions with less resources comprise a hidden segment of a global higher education market. In particular, the chapter discusses how school administrators and educators alter curriculum, school structures, and institutional identities in order to market their international significance to potential students both locally and overseas. The chapter argues that an attention to these unlikely destinations reveal how the pursuit of employability, Y. Y. Ortiga (*) School of Social Sciences, Singapore Management University, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_65

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credentials, and education aspirations operate outside the elite spaces widely studied in education scholarship. Keywords

Employability · International student mobility · Unlikely destinations · Higher education

Introduction Education scholars have long argued that changing conditions in the global economy have led to widespread credentialism, largely defined by the pursuit qualifications that provide the best positional advantage in a competitive labor market (Brown, 2013; Brown et al., 2011; Collins et al., 2019). In recent decades, this pursuit for credentials has spanned national borders, with more students choosing to seek education opportunities beyond their home countries (King & Raghuram, 2013; Lipura & Collins, 2020). Joanna Waters (2005, p. 359) describes this pursuit of academic credentials as a “child-centred familial strategy of capital accumulation,” where parents allocate time and resources to their children’s overseas education, with the hope that this will lead to careers that benefit the family as a whole (see also Brooks & Waters, 2011; Waters, 2006, 2009). In a global education market, families choose among a wide array of institutions, scattered amidst a “core” of sought-after destinations like the USA and the UK, and a “periphery” of less desirable places such as China and Russia (Altbach, 2009; Kondakci et al., 2018). Based on this framework, academic credentials gain more value the closer you are to institutions at the core. As such, students move toward these places to maximize the returns they gain from their education (Ma, 2018). However, existing scholarship has largely focused on student migration from East to West, with most empirical case studies situated in Anglophone countries like the USA, UK, and Australia. Underlying these studies is the assumption that fee-paying students move toward these places because of the symbolic capital accorded to Western degrees. Yet, more recent studies have argued that student destinations are much more diverse than we had assumed. In fact, student mobility trends have indicated increasing movement toward “non-traditional destinations” such as Mexico and Turkey, places that are not widely known for international education (Kondakci et al., 2018). These countries have come to serve as important regional hubs for student migrants, thus countering the core-periphery logic of student mobility. Researchers have also argued that foreign students can be found in a broader range of educational institutions, beyond the highly ranked, research universities that dominate the current literature (Lipura & Collins, 2020; Ortiga, 2018a; Yang, 2018). As such, education scholars have continued to grapple with the question of why students move toward destinations that do not offer the status or prestige associated

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with traditional academic centers. How do such “unlikely” student mobilities help us understand how individuals attempt to build their employability through emigration? This chapter discusses academic research on unlikely student mobilities within Asia. Focusing on higher education, I provide an overview of how lower tier institutions within peripheral nations have sought to respond to growing demands for international education, creating new pathways for student migrants pursuing postsecondary degrees. While there is a growing literature on international students in Asian destinations, these studies have focused mainly on “aspiring” universities in rapidly developing education hubs such as Singapore and Hong Kong (Collins & Ho, 2014; Paul & Long, 2016; Sidhu et al., 2020). Such institutions have played the game of climbing university world rankings to attain the same prestige as those at the core (Mok, 2007; Ng, 2013; Stack, 2013). In contrast, this chapter centers on how institutions with less prestige and resources attempt to recruit foreign students, offering other forms of cultural capital to legitimize their place in the global education market. The next section reviews existing studies on student mobility and the pursuit of international education within Asia. I draw attention to the destinations and educational institutions that have been understudied in the current literature. I then discuss how “unlikely” or seemingly “undesirable” destinations can provide students with certain types of capital that help in attaining their career goals for the future. In conclusion, this chapter calls for more research on how the pursuit of employability, credentials, and education aspirations operate outside the elite spaces widely studied in education scholarship.

Student Mobilities Within Asia Student mobility within Asia had only gained recognition in recent years, as more scholars called for a broader study of the diverse pathways that define students’ migration trajectories (Ho, 2014; Phan & Fry, 2021; Sidhu & Ishikawa, 2020). In a field largely focused on “traditional” centers of knowledge in the West, student movement toward Asian universities has often been portrayed as emerging, nascent, and underdeveloped (Sidhu et al., 2020). In reality, multiple countries within the region have become major destinations for international students (Collins & Ho, 2014). The majority of these student migrants come from other nations within the region, highlighting how high rates of inter-Asian mobility fuels a regional higher education system. These trends emphasize the need to shift our scholarly attention from academic centers to the forms of student mobility that occur between the periphery and “semi-periphery” of higher education destinations (Mulvey, 2021). In many ways, the increasing prominence of student destinations within Asia had emerged alongside growing competition in the global higher education landscape. While student mobility is nothing new, scholars have distinguished contemporary student mobility as a market-driven phenomenon, defined by increasing pressure on universities to compete for fee-paying students (Altbach & Knight, 2007, p. 291). Within Asia, national governments in countries such as Singapore, China, and South Korea have embraced this competition. As Yang (2020) notes, the label of a “global

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education hub” provides nations with symbolic capital that legitimizes their place in a knowledge-based economy. In this sense, international student mobility not only permits public universities to profit from student fees, it allows governments to fulfill certain ideological goals as well (Haugen, 2013). As such, the last decade has seen increasing government efforts to encourage student mobility through credit transfer programs and bilateral agreements among countries within the region (Soejatminah, 2018). Yet, scholarship on student mobility within Asia has largely focused on research universities in East Asian cities (Collins & Ho, 2018; Ho, 2014). Countries such as Singapore, Japan, Taiwan, and South Korea have been popular subjects of study, with scholars highlighting massive state investments into enhancing institutions’ research capacity and recruiting highly qualified academics (Deem et al., 2008; Paul & Long, 2016). While these institutions are undeniably important, there remains a significant gap in our understanding of other student destinations within the region and the diverse range of institutions that have come to offer education services to would-be students.

Unlikely Players in the Asian Education Market It is undeniable that highly ranked, national research universities have catalyzed the emergence of education hubs within Asia. Yet, a growing number of international students also move toward lower tier institutions outside the region’s “global” cities (Phan & Fry, 2021; Yang, 2018). None of these institutions are well placed in world university rankings, and many are simply unconcerned with the metrics of research productivity that drive such competition for prestige (Jöns & Hoyler, 2013). While these destinations do not offer the same symbolic capital as Asia’s research universities, they continue to serve an expanding pool of students who may have less resources, yet also wish to study overseas. These “peripheral destinations” represent serious blind spots in our understanding of Asia’s international education market. Perhaps one major limitation in current scholarship is the tendency to perceive nations as either “senders” or “receivers” of international students. Following the core-periphery model of student mobility, receiving countries are often portrayed as more economically developed, with local institutions able to offer higher levels of academic rigor and prestige. In contrast, sending countries are seen as places whose limited resources provide few opportunities for international education and even less incentives for student migrants (Collins & Ho, 2018; Marginson, 2006). However, statistics on student mobility show that some sending countries outside academic centers actually receive significant numbers of international students. China is a prime example of such a case. While Chinese international students do comprise the bulk of student migrants in places like the USA and Australia, the country itself is also the third largest receiver of international students in the world (Mulvey, 2021; Yang, 2020). However, only recently have education scholars discussed the phenomenon of international student mobility to China. In Southeast Asia, Vietnam had also experienced an influx of international students in the

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mid-2000s, mainly due to the presence of “transnational campuses” established by overseas universities. Such developments had even prompted scholars such as Altbach and Knight (2007) to refer to Vietnam as an “emerging centre” for international higher education. Since then, scholars have used the Vietnam experience in examining the nature of transnational campuses (Nguyen, 2018; Pham, 2021). Yet, considerably fewer researchers have studied Vietnam as an attractive destination for foreign students (Phan, 2018). Even within “peripheral” countries, research studies have mostly focused on large, well-established universities. Often lost is the fact that there is a wide range of higher education institutions that students may choose to attend. While existing studies often reference the massive investment of state funds in Asian universities, such resources are not equally distributed among all public institutions. In China, government funds for international student scholarships are only granted to top-tier public universities. As such, second- or third-tier institutions have to compete for students in other ways, either by offering programs for lower fees (Haugen, 2013) or relying on education brokers to recruit students on their behalf (Thieme, 2017; Yang, 2018). Le Ha Phan’s (2018) study of a public rural university in Vietnam shows how university administrators worked to establish their own ties with overseas universities in an attempt to internationalize their programs. These research studies indicate that lower tier colleges and universities do attract fee-paying students in the international education market, even if they do so with less cultural and economic capital than their more prestigious counterparts. Current scholarship has also ignored the role of for-profit universities and private enterprises as destinations for student migrants. Within the broader education literature, the presence of private entities has always been controversial (Mendivil, 2002; Morey, 2004). Higher education studies, in particular, have largely portrayed for-profit universities as greedy businesses, where academic rigor and quality classroom learning is set aside to maximize monetary returns from student fees (Altbach, 2009; Chau, 2020). This stigma encompasses some forms of transnational education as well. While prominent branch campuses are affiliated with prestigious institutions in traditional academic centers like the USA, scholars have argued that these overseas campuses are more likely driven by the desire to generate profits for the parent institutions (Sidhu & Christie, 2015; Vora, 2015). As a result, most scholars view for-profit universities as occupying a different world, where they are unlikely to compete with the mainstream of non-profit colleges and universities. Beyond peripheral destinations for student migrants, for-profit institutions are even further at the margins, often ignored as part of the higher education system in general (Morey, 2004). However, much had changed in the twenty-first century. Far from being minor players in the education market, for-profit universities have come to serve a significant proportion of students pursuing postsecondary education (Denice, 2015). These universities, like many others, have also sought to take advantage of the increasing demand for overseas degrees. Given the impetus on educational institutions to become more “entrepreneurial” (Cremonini & Antonowicz, 2009), for-profit universities have been adept at finding ways to seek new markets beyond a local

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student population. For example, within Singapore, local students often regard private, for-profit institutions as “an education space for the ordinary and non-elite,” particularly when compared with the country’s globally competitive national universities (Cheng, 2018, p. 153). Yet, these same institutions have also been successful in branding themselves as cosmopolitan places for learning, establishing international partnerships with reputable universities overseas. As institutions unencumbered by research productivity or tenured faculty, for-profit institutions have been quick to transform themselves into international players in the global higher education market. It is no wonder that in places like Malaysia and the Philippines, most of the country’s international students are enrolled in private higher education institutions (Graf, 2016; Ortiga, 2018a). However, these cases are often invisible in an academic scholarship mainly focused on the experiences of large national universities. In this sense, what scholars might consider “unlikely” student destinations are far from simply being marginal actors in the global market for international education. How then do lower tier, for-profit institutions recruit foreign students and establish their place in a competitive landscape of education providers? The following sections explore existing studies on the factors that channel student migrants toward such destinations.

Capital Accumulation in Unlikely Destinations? Studies of international students within unlikely destinations are currently quite nascent, making it difficult to establish a clear demographic profile of these cohorts. Existing research on Indian and Korean students – two prominent student groups in the region – have been portrayed as mostly male, with limited financial resources to study in more desirable destinations in the West (Choi, 2021; Yang, 2018; Lipura, 2021). Yet, studies on other international students have depicted a much more diverse sample in terms of socioeconomic class and ethnicity (Ortiga, 2018b; Phan, 2018). As such, scholars have tended to explain why students study in unlikely destinations in terms of personal, non-academic reasons, beyond the simple accumulation of cultural and human capital. Some have highlighted how students seek places where they have more cultural similarities with the local population, possibly due to a fear of racial discrimination in Western societies like the USA (Graf, 2016; Sidhu et al., 2020). Others emphasize how students may move to peripheral destinations for their personal development (Lo, 2019). In particular, Phan (2017) argues that students can have “transformative” experiences even within supposedly “mediocre” learning environments. For example, Lipura’s (2021) study on Korean youth in India describes how these students saw their education as a chance to become more independent and develop a stronger understanding of multiculturalism. While these Korean students understood their Indian degrees would not offer as much symbolic capital as those obtained from the West, they believed that moving to India allowed them to be temporarily free from the rigid expectations of Korean society.

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Taking a more macro perspective, (Kondakci et al., 2018) argue that “emergent regional hubs” also attract students pushed out by political and economic problems in their home countries (p. 531). While traditional destinations attract students through “economic development and academic quality,” places like Russia, South Africa, and Turkey have supposedly benefited from instabilities in neighboring countries. In sum, scholars have used cases of unlikely student mobilities to argue against the logic of cultural capital accumulation in mainstream theories of international student mobility. While it is undeniably important to understand student motivations beyond the mere collection of academic credentials, it would be unfair to assume that peripheral student destinations simply do not provide any form of cultural or human capital. Social science research has shown that despite the low value accorded to credentials from non-elite universities, a bachelor’s degree can still provide access to opportunities that a high school diploma would not (see Denice, 2015). As argued by Waters (2009), families largely use emigration as a strategy in circumventing barriers to education access within their home country. While she had attributed such strategies to elite East Asian students who move to the West, it is not far-fetched to consider how less privileged students can also enact their own strategies in seeking opportunities outside their home countries. In the following sections, I review education scholarship on how low-tier, for-profit institutions can provide different forms of capital within peripheral student destinations.

Diverse Pathways to Employability In most studies of student mobility, scholars frame the decision to emigrate as driven by increasing pressures to develop oneself as an ideal worker. Nancy Abelmann and her colleagues (2009, p. 232) discuss such expectations as part of a neoliberal economy, where individuals are expected to take on the responsibility of transforming themselves, mainly through education and training, into desirable future employees. Yet, in studies of student mobility, the process of enhancing one’s employability is mainly described through the strategy of pursuing institutionalized cultural capital – mostly in the form of prestigious university degrees (Bourdieu, 1992). As such, international students who obtain degrees in non-traditional, non-elite destinations are often assumed to be “deficient” in some way – either lacking the resources or the academic aptitude to access the “right” type of higher education. Unfortunately, labeling these unlikely student mobilities as “irrational” or simply “deviant” to a particular norm prevents scholars from examining the full range of factors that shape students’ migration decisions (Lipura & Collins, 2020, p. 349). This is not to say that all students were fully aware of the costs and benefits of moving to peripheral destinations. Qualitative studies do reveal how many students feel uncertain and unhappy with their poor learning experiences. Many have also expressed regret in making the “blind” choice to study in a lesser-known institution, simply based on the recommendations of commercial education brokers (see Phan, 2018; Yang, 2018). However, numerous studies have also shown that even students

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in peripheral destinations can espouse clear ideas as to how overseas education can help them work toward their future plans (Haugen, 2013). As Phan and Fry (2021) note, all forms of education mobilities can lead to “great value and opportunities for learning, reflection and transformation” (p. 203). As such, it is important to investigate what forms of human and cultural capital students glean from being in “unlikely spaces and places,” beyond the research universities within core destinations. In the following sections, I discuss how peripheral institutions can provide important forms of linguistic capital, while also serving as important stepping-stones toward other destinations in students’ broader migration trajectories.

Linguistic Capital While international degrees from peripheral institutions may not possess high levels of prestige, the experience of overseas study can also provide different forms of “embodied cultural capital” or the “long-lasting dispositions of the mind and body” (Bourdieu, 1992). Beyond academic credentials, migrating beyond one’s immediate community allows students to gain more experiences that lead to a broader knowledge about the world. Existing scholarship have tended to associate embodied cultural capital as a privilege that wealthier students accumulate within prestigious Ivy League universities in the West (Lee & Wright, 2016; Ye & Nylander, 2015). However, studies have shown that even students in peripheral destinations can use overseas travel as a means of gaining embodied dispositions and behaviors that may benefit them in the future. In particular, scholars have emphasized the growing number of students who move to developing nations in order to accumulate linguistic capital or the ability to speak and understand a language that a particular society deems important and of value (Bourdieu, 1992). Lee (2019) expands this concept further, coining the term global linguistic capital, to describe how a type of capital based on learning a language “envisioned for and used in a global context” (p. 95). Within the student mobility literature, scholars have tended to associate the accumulation of linguistic capital with the teaching and learning of the English language. Detailed qualitative studies have discussed how English had become popular, not only because it is widely spoken, but also because it is often associated with an image of modernity, learnedness, and superior intelligence (Chowdhury & Phan, 2014; Phan, 2008). In many ways, it is the desire for English education that also drives the movement of individual students to anglophone countries like the USA and UK (Brooks & Waters, 2011). Yet, the teaching of English is not limited to “native speakers.” The last few decades have seen the massive growth of an English language education market, where institutions based in developing countries offer students linguistic capital for a much cheaper price. For example, Choi’s (2021) research on South Korean student migrants shows how postcolonial English study destinations like India and the Philippines have become popular among young people with less resources to study in more popular destinations in the West. Similarly, Phan (2018) notes that many of the students also come to transnational

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education campuses in Thailand in order to learn English. While she criticizes the “mediocrity” of their learning experiences within the classroom, she describes how foreign students remain determined to take ownership of their English education and use such newly acquired skills to their advantage (p. 191). At the same time, scholars have recognized that the pursuit of linguistic capital can include other languages beyond English. For some, acquiring proficiency in the “official” language of their host country can serve as an important resource for seeking employment opportunities after graduation. For example, Snodin’s (2019) recent study on international programs in Thailand found that classes in “Thai language” were especially popular among international students from China and neighboring countries like Cambodia and Myanmar. While learning English provides more opportunity in a global context, the ability to speak Thai serves as more useful linguistic capital for finding work in the Thai job market. Gracia Liu-Farrer (2011) had noted similar strategies among Chinese immigrants who had studied at lower tier universities in Japan. Students who had acquired Japanese proficiency during their studies found it easier to obtain work in Japanese companies, even if they did not graduate from the country’s top institutions. In China, the majority of international students actually enter non-degree programs focused on language acquisition (Yang, 2020). Most of these students also pay the full cost of their education, given that most Chinese language programs are housed within lower tier public universities which do not benefit from government scholarship programs (Haugen, 2013). According to Lee (2019), foreign students who enter such language programs regard the experience of living in China as having value in and of themselves. Given China’s rising influence in the global economy, foreign students perceive Mandarin as a language that may become an advantage when seeking jobs in multinational corporations. The prestige or status of the awarding institution is less of a concern. Yet, for others, linguistic capital can also signal a type of uniqueness that highlights their exposure to multicultural societies. In Lipura’s (2021) study of South Korean students in India, she describes how her interviewees describe their proficiency in Hindi as a skill that has made them more “distinct” and “special” – allowing for a more diverse experience that also allowed them to learn new languages. All of these examples indicate that while unlikely student destinations may lack the symbolic capital that institutions within academic centers are able to offer, some are able to provide a form of linguistic capital that can potentially bolster individual students’ employability in the future. As an embodied form of cultural capital, the ability to speak particular languages is accorded a particular value, regardless of the status or ranking of the institution that provided such knowledge. While postcolonial nations like India and the Philippines can continue to bank on marketing cheaper English language education to students, the rising strength of local economies within the region has also raised the status of Asian languages such as Mandarin and Thai. In many ways, this is a market of international education that lower tier, private institutions have been quick to exploit.

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Credentials for Further Movement Unlikely student destinations can also serve as important stepping-stones for people’s broader migration journeys, as students travel to multiple countries in building the resources needed to reach their desired endpoint. Most studies on student mobility have framed international education as a single, isolated event, disconnected from other migrations that students may have previously experienced or plan to pursue for the future. In reality, the pursuit of international education is often just one stop in students’ broader migration trajectories (Madge et al., 2015). Individual students can develop international career plans, no longer confined to their home or host country. They also face the expectations of family, whose investments in their education necessitate the pursuit of bigger and better opportunities elsewhere. In following these multinational, global educational pathways, student migrants are able to “leverage” on the different cultural and economic resources that they gain in each destination (Choi, 2021, p. 44). For example, Lee (2019) found that a number of foreign students in China saw their education as a “ticket to jobs that are related to China and the Chinese market” (p. 95). Such jobs need not exist within China or their country of origin. Rather, they hoped that their studies within Chinese institutions would signal a knowledge of the Chinese market that other global companies may find attractive. In my own work, I examined how private, for-profit institutions in the Philippines attempted to recruit international students by highlighting the country’s unique position as one of the top source countries for migrant labor (Ortiga, 2018a). Filipino private school owners marketed Philippine universities as the best venue to train for jobs in professional fields where Filipino overseas workers are highly represented. These fields include healthcare, seafaring, and hospitality services. In pushing this campaign, Filipino school owners promoted the belief that by entering Philippine colleges and universities, foreign students would receive the same training as the Filipino migrants who had successfully obtained lucrative jobs overseas. It is interesting to note that despite the high representation of Filipino workers abroad, the majority of Philippine’s universities fare quite poorly in world rankings of academic rigor and skills training. A significant number of the country’s higher education institutions are also concentrated in Manila, a city notorious for its overpopulated residences, crippling traffic, and lack of public safety. However, the success of Filipino migrant workers in places like the USA and Canada has served as evidence of how Philippine credentials can be recognized in desirable immigrant destinations. As such, Filipino school owners used this success to market a Philippine college degree as a means to future mobility – not only in terms of socioeconomic status, but one’s ability to move across borders in search of career opportunities. When unlikely student mobilities are contextualized in a wider pattern of lifelong migration, it is clear to see that movements to peripheral destinations are not simply irrational or poorly informed decisions that less privileged students are forced to make. Rather, they reveal the diverse ways people make use of international migration in enhancing their own life chances. Contrary to the notion of elite students

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using their resources to access elite institutions, Carolyn Choi (2021) argues that student mobility is characterized by unequal, segmented pathways. The type of pathway students take depends largely on the economic and cultural capital that they already have. In Choi’s work on Korean students in the Philippines, she found that more privileged students were likely to enter Philippine English schools in order to prepare for what they considered more “authentic” international education destinations like the USA and UK. Meanwhile, others only came to the Philippines to acquire enough English proficiency to move toward low wage jobs in Australia and New Zealand. This case emphasizes how unlikely student destinations can serve different objectives, as students with varying levels of personal resources must work to turn themselves into “ideal” workers for future employers.

Conclusion International student mobility raises new questions on how individual efforts to enhance employability can go beyond one’s country of origin. The increasing number of international students indicates that efforts to “get ahead” now occur on a global scale, as individuals pursue education credentials in a wide range of institutions located in a diverse set of nations. At present, scholarship on student mobility have highlighted how such practices reproduce class inequalities, with the assumption that only privileged students have the capacity to move across borders (Lipura & Collins, 2020). This chapter reviews a growing scholarship on student mobilities outside these elite spaces, where less privileged students have increasingly turned to peripheral destinations in seeking an international education experience. In this chapter, I argued that by examining seemingly peripheral institutions, scholars can develop a more nuanced understanding of how and why students choose to emigrate for education. While there is a growing literature on the movement toward “core” destinations like the USA, we know less about the other migration pathways that people take in the hope of enhancing their own future employability. Drawing from recent studies on unlikely student mobilities within Asia, I emphasize how lower tier, for-profit institutions can benefit international students in two ways. First, moving to these destinations can still provide opportunities for acquiring linguistic capital – whether it be a language to aid in the students’ transition to their host country’s labor market or a language for more global opportunities elsewhere. Second, student migrants can also use peripheral destinations as a means of preparing themselves for onward migration. In framing unlikely student destinations as part of students’ broader migration plans, we should recognize the types of social and cultural capital these places may provide. To date, studies of student mobility have been limited to defining the value of particular destinations in terms of institutionalized cultural capital provided by academic degrees. This chapter emphasizes how student migrants can use multiple movements to accumulate other resources, in the hope of achieving more long-term goals for the future. However, this chapter is not meant to romanticize the type of education that occurs at the margins of the higher education market. Researchers have documented

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cases of poor academic rigor and lax teaching standards within lower tier, for-profit institutions, raising concerns as to whether students may be financially exploited (Ortiga, 2018b; Yang, 2018). Yet, I argue that simply dismissing the role of these places in the higher education landscape risks ignoring the many ways they also contribute to individual students’ life trajectories. Here, Phan’s (2017) concept of “transformative mediocrity” is useful. Perhaps scholars can develop more research as to how students use the “mediocrity” of lower tier institutions as part of a broader attempt to acquire employable skill, obtain embodied cultural capital, and build networks for onward migration. Current studies have only scratched the surface of how such institutions impact the many ways students attempt to prepare themselves for future work. More broadly, the study of unlikely student mobilities should prompt deeper reflection of the biases that shape scholarly work on international student mobility. As noted by Collins and Ho (2018), it is important for scholars to recognize that producing knowledge also involves “how we know the world and how we might act within it” (p. 678). Perhaps some of the biases that shape the student mobility literature is partly due to the fact that most scholars have studied student migration from within prestigious research universities located in academic centers. In the case of Asian higher education, scholars should look beyond the experiences of “aspiring centres” (Altbach, 2009), or the fast-developing universities that are in direct competition with academic centers. As noted by Phan and Fry (2021), few studies on student mobility within Asia pay attention to Asian nations that have been less prominent in the global competition for university prestige. Therefore, more research is required to understand how non-elite higher education institutions in Asia have sought to internationalize themselves for the global market. For example, while Malaysian officials have invested heavily in improving the country’s performance in university world rankings, the country has not performed as well as other East Asian countries (Graf, 2016). As such, compared to neighboring Singapore, fewer scholars have examined the experiences of international students in Malaysia. Perhaps, it is time for both education and student migration scholars to critique our own definitions of what we consider worthy of academic attention. The case of unlikely student destinations in Asia is a call to move beyond dominant narratives of how and why students move for education opportunity. As noted by Cheng (2018), we must account for the lives of non-elite students aspiring to gain life experiences and cultural capital beyond their countries of origin. Limiting ourselves to only particular student destinations places us at risk of constructing narrow conceptions of what it means to pursue the promise of employability and the problems that may result in the process.

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Structural Similarities of Formal Vocational Education Systems in Low- and Middle-Income Countries

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Stephanie Allais

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Comparing Vocational Education and Training Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Comparative VET in Developing Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Similarities in the Formal VET Systems of the Six Countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Nature and Extent of Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Site/s of Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reforms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Explaining the Similarities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter analyses vocational education and training (VET) systems in four Asian and two African countries. Comparative research of VET systems suggests that they differ in terms of the nature and extent of specialization (when learners move from general to vocational education, how many learners move, and how narrowly specialized the vocational education is); the site/s of learning (education institutions, workplaces, or a combination); and the status of vocational education. The literature on VET in wealthy industrialized countries suggests that political, economic, and social factors dramatically shape the nature of training provided through formal education systems and workplaces. The four Asian countries in our study (Bangladesh, Cambodia, Laos, and Vietnam) and the two African countries (Ethiopia and South Africa) are substantively different in size (land size as well as population size), with very different political and economic S. Allais (*) Centre for Researching Education and Labour, University of the Witwatersrand, Parktown, South Africa e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_64

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histories, as well as cultural traditions. But in terms of the key dimensions of variation, the formal VET systems in these countries look relatively similar. The analysis suggests that the role of donors and other mechanisms for policy diffusion accounts for one aspect of the similarities – the adoption of competence-based training reforms. It further argues that there is one noticeable similarity in these countries, in terms of the nature of labor markets: very low levels of formal employment and extremely high levels of informality or unemployment. All six countries also have rapidly rising educational enrolments in general education. While human capital theory suggests that skills pay off in labor markets, the combination of widespread informality or unemployment, together with rising educational levels, is likely to shape both employer and family perceptions of qualifications and may entrench the apparently stubborn persistence of the weakness of vocational education systems. Keywords

Vocational education and training · Education and development · Labor markets · Developing countries

Introduction This chapter analyses a comparison of vocational education and training (VET) systems in six low- and middle-income countries: Bangladesh, Cambodia, Ethiopia, Laos, South Africa, and Vietnam. Like many poor and middle-income countries, the vocational education systems in these countries are a very small component of formal secondary education provision, low status, without strong linkages to employers. This study finds that they are also substantively similar in terms of a number of key dimensions along which formal VET systems differ internationally. Comparative literature predicts that economic, political, and social systems, taking account of their specific historical contexts, lead to different types of VET systems. The conundrum this chapter addresses is that despite these differences in national characteristics, their VET systems are all very similar along the dimensions that VET systems in wealthy industrialized countries differ. The role of donors and other mechanisms for policy diffusion and convergence, which have been theorized to be important in shaping systems and policies in developing countries (Cowen, 2009; Crossley, 2008; Steiner-Khamsi & Waldow, 2014), seems to explain some aspects of dominant trends in policy reform. However, it does not explain the structural similarities of the VET systems – their persistent small size, education-institution-based provision, and low status. This leads to a consideration of institutional political economy, one of the strongest traditions in theorizing differences in VET systems in wealthy capitalist countries. An institutional political economy approach suggests one commonality that seems to subsume the other political, social, and economic differences: the dominance of informality or unemployment in the labor markets of these countries or, put conversely, the small number of stable and rewarding jobs in the labor markets of all six. The question

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posed is how these labor market characteristics may shape education preferences, and the development of the VET systems in those countries more specifically, in the context of rapidly rising school and university enrolments. The analysis is based on a review of official documentation and other official data from each of the countries and international data sources. VET in this paper is understood as the formal provision of secondary-level education and training aimed at preparing learners for work in what are generally regarded as mid-level skills occupations (Oliver et al., 2019). This sometimes includes a year or two of post-secondary provision, but excludes degree-level professional education.

Comparing Vocational Education and Training Systems Vocational education has not been a strong focus within comparative education, and this is particularly the case in developing countries. Examining leading comparative journals – Compare, Comparative Education, and Comparative Education Review – over a 20-year period, found about 35 articles on VET, most focused on Europe and OECD countries; 11 on Asia and the Middle East of which 7 were on China, and a sprinkling of other countries. Papers specifically considering any of the six countries include one with reference to Vietnam (Duong & Morgan, 2001), one on South Africa (McGrath et al., 2006), and one on Bangladesh (Maurer, 2012). In Research in Comparative and International Education there is a single article, on South Africa (Wedekind, 2010). This is perhaps because national VET systems are idiosyncratic (Bosch, 2017), complex, and heterogeneous (CEDEFOP, 2017; Pilz & Li, 2020). Bosch (2017, p. 424) argues that . . . even in countries with similar levels of economic development and similar technologies, products, and services, there are astonishing differences in workers’ general and vocational education and training.

Bosch suggests (2017, p. 425) that VET systems are path dependent and unique because of “high levels of internal differentiation, the numerous institutions and actors involved and the interactions with other national institutions.” VET takes many different forms, with different boundaries, in different institutional settings, with programs of different lengths, and under different ministries. Further, terms are used differently across different countries (Clarke & Winch, 2006, 2007), which makes comparative data difficult to compile (Palmer et al., 2007; Pilz & Li, 2020). The main vehicle for comparative VET research has been “handbooks” like this one, produced by a range of publishers over the past 15 years (e.g., Guile & Unwin, 2019; McGrath et al., 2019a; Pilz & Li, 2020; Rauner & Maclean, 2008; Warhurst et al., 2017). These publications emphasize the need for comparative analysis of VET systems, the difficulties of this task given the interdisciplinarity of VET research, and the complexity of VET systems compared to general education systems. However, while there is much focus on pedagogy, as well as curriculum in

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relation to debates about knowledge, skills, occupations, and professions, there is little systemic comparison of VET in poor and middle-income countries. A strong comparative tradition draws on institutional political economy and highlights key dimensions of variation of VET systems within wealthy capitalist countries (Busemeyer & Trampusch, 2012b; Hall & Soskice, 2001; Thelen, 2004). Building initially on insights from the idea of “varieties of capitalism” proposed by Hall and Soskice (2001), work in this tradition starts not from descriptions and comparisons of education and training systems, but from the political and institutional arrangements which arise from firm interactions in national countries and economies. It foregrounds ways in which both economic factors, including labor market regulation, collective bargaining regimes, welfare policy, and industrial policy; and political factors, including degree of federalization and type of election system, shape the demand for skills and lead to specific institutional arrangements and different types of provision and programs (Busemeyer & Trampusch, 2012a; Hall & Soskice, 2001; Iverson & Stephens, 2008; Martin, 2017; Oliver et al., 2019; Thelen, 2004). Dramatic differences in the size, strength and status, and nature of vocational education systems in wealthy industrialized countries are argued to have been shaped by institutional arrangements and the roles of different actors in the process of institutionalization, as well as political and economic policies and cultural practices and values. In short, the relationships between VET systems and political, economic, and social arrangements are not coincidental, but intrinsic to different types of capitalist economies. Formal VET provision systems in wealthy countries tend to look very different from each other because they developed to meet the needs of specific economic sectors and because they are embedded in specific industrial relations as well as broader social policy (Bosch, 2017; Busemeyer & Trampusch, 2012b; Hall & Soskice, 2001; Thelen, 2004). There are various ways in which VET systems can be categorized and analyzed, but some key dimensions are consistently analyzed in the international comparative literature. One is the nature of tracking: the age of specialization/streaming, the extent of differences between vocational and general tracks, and the proportion of upper secondary learners who are in a vocational track, referred to from here as “nature and extent of specialization.” A second key dimension of variation is the role of companies and the extent and nature of workplace training – and most importantly in this regard, whether or not VET takes place through apprenticeships, that is, a combination of employment-based and education institution-based learning, or whether it takes place primarily in education providing institutions, with some practical or workplace experience. Henceforth I refer to this as “site/s of training.” A third key dimension of variation is the extent to which VET is a socially valued educational option, or a stigmatized “second-class” alternative to general education, referred to henceforth as “status.” There are other dimensions of variation, such as the relative roles of states and markets (Greinert, 2005) and comparisons of quality and function (Fischer, 2020), but most comparisons start from the three discussed above.

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Comparative VET in Developing Countries There is not much consideration of these dimensions of variation in literature on VET in developing countries. With a few exceptions (Ashton et al., 2002; Maurer, 2012), the institutionalist and political economy comparative approaches have had limited application in the developing world. The limited application to developing countries could stem from the way the original “varieties of capitalism” theorized wealthy capitalist countries, leading to a somewhat static picture which does not address the problem of development (Ashman & Fine, 2013). It is also methodologically nationalist (Lauder et al., 2017) and does not adequately account for power relations – although some authors working in the institutional political economy tradition have addressed this (e.g., Streeck, 2012). In some key examples of attempts to apply a political institutional economy approach to VET in developing countries, Ashton et al. (1999, 2002) argue that skills were successfully embedded in industrialization in the “Asian Tigers” through high-level coordination by “developmental states.” Maurer (2012) similarly looks at the importance of state policy and coordination in Bangladesh and Sri Lanka. The issues which emerge most strongly in the comparative VET literature in developing countries are low status systems; a focus on the role of VET in development; and policy borrowing. The status issue, for example, is analyzed by Lauglo and Maclean (2005) in a volume providing a comparative perspective on the vocationalization of secondary education, focused on Africa and the Asia-Pacific, showing many failures but also some successes. Their work, building partly on the important contribution of Forster (1965), explores the limitations of vocational education systems in terms of teaching people the skills required for work, enabling people to access labor markets, and shifting perceptions of learning and work. King (2020) discusses how VET systems in poor and developing countries tend to be weak VET systems. There is considerable literature published by international organizations on the relationship between VET and development, often normative and aimed at policy interventions (e.g., Martinez-Fernandez & Weyman, 2014 on Asia; Mastercard Foundation, 2020 on Africa; Palmer et al., 2007 on Africa and one Asian country). Some of this literature provides analysis of what employers want or say they want from secondary education including vocational education (e.g., Jayaram & Engmann, 2014 on Asia) or describes weaknesses and proposes solutions (e.g., Arias et al., 2019 on Africa; Panth, 2014 on Asia). There is also some coverage in economics literature considering randomized controlled trials often linked to skills programs coupled with cash transfers, and consideration of transitions to work (Cameron et al., 2018), and “skills mismatch” (Arias et al., 2019; Dobbs & Madgavkar, 2014). There is a growing body of research that is aspirational in nature, exploring what TVET could or should do for economies, communities, and individuals, drawing on the human development and capabilities work of Amartya Sen (2001). With a considerable focus on Africa, the critical capabilities approach in VET argues for

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the need to move away from a narrow focus on immediate employability and production (Dejaeghere et al., 2016; McGrath, 2018; Powell, 2012; Powell & McGrath, 2019; Tickly, 2013). McGrath et al. (2019b) argue that this literature needs to now develop a stronger multi-level analysis and a better incorporation of sustainability concerns. In terms of policy borrowing, global policy convergence, or “isomorphism” (Takayama, 2012); the creation of global policy spaces and traveling reforms (Beech, 2009; Steiner-Khamsi & Waldow, 2014); and discourse coalitions (Chisholm, 2007), Wolf (2020) talks about “imposed vocational training transfer” and says very few countries (South Korea, China, and Malaysia) have been able to escape it. While the role of donors in VET has been somewhat inconsistent historically, after the World Bank was seen to argue against it in the 1980s (World Bank, 1991), this changed in recent decades. King and Palmer (2010) discuss a number of different ways in which initially colonial powers and later national and international development agencies shaped formal VET systems as well as more informal aspects of skills systems. This builds on a body of literature on colonial education, which shows how debates about the usefulness of “native education” were intricately embedded in the extractive administrations set up by colonial powers, linked to elite education systems (Curtain, 2004; Lauglo & Maclean, 2005; Matasci et al., 2020). In sum: much comparative literature on VET in developing countries explores the complex reasons why it is persistently low status, aspires for VET to play different, broader roles in individual and social development, and considers the role of policy borrowing and donor-imposed policies in terms of recent reforms. There is not much focus on comparing and analyzing the nature of formal VET provision systems. This chapter considers what can be learnt by bringing these two bodies of comparative literature together.

Similarities in the Formal VET Systems of the Six Countries A consideration of the six countries in relation to the dimensions of variation along which VET systems differ in wealthy countries shows that they are rather similar. In terms of nature and extent of specialization, they all have very low enrolments in VET relative to general senior secondary school and university enrolments. In terms of site/s of training, they all are primarily school- or college-based provision systems with consequent perceptions of skills mismatches and VET provision that does not meet employers’ needs. They are all low status. These structural similarities are presented in this section, starting with nature and extent of specialization.

Nature and Extent of Specialization The main point here is that vocational enrolments are tiny by comparison with school enrolments. This is presented first, followed by a brief analysis of when specialization

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starts. The details of enrolments are difficult to obtain and even more difficult to compare. UNESCO keeps detailed records of school enrolments, leading to easy comparisons, but data on vocational enrolments is made complex by differences in qualification systems and how vocational enrolments are reported. Countries differ in terms of whether data collected includes public and private provision; whether short qualifications are counted as full enrolments; whether secondary VET in schools is counted as VET or school enrolments; whether all post-school non-university enrolments are counted together; and a range of other parameters. Nonetheless, an analysis of figures from official documents and research literature suggests that vocational enrolments are small. Below is a brief overview, with the details of sources and calculations in footnotes for easier reading. In Laos, the 2017–2018 TVET intake was 18,731 students, of which a mere 1734 students were enrolling in secondary-level vocational education, with 8330 in postsecondary programs, as compared with 77,471 students completing junior secondary education in 2015. (Source: Lao PDR Ministry of Education and Sport Education and Sports Sector Development Plan (2016–2020). Laos has about 78% gross enrolment rate for junior secondary school, and 45% in senior secondary school). The picture in Cambodia is similar: Yok, Chrea, and Pak (2019) state that VET enrolments constituted less than 2% of the cohort in 2017. (Based on the ADB’s 2016c project report for the “Strengthening technical and vocational education and training project,” the number of VET students between 2009 and 2010 were 55,160, including all the levels from short courses to post-graduate programs, whereas data from the National Employment Agency suggests that the enrolment in higher education in the same academic year was 195,166 (http://www.eurochamcambodia.org/uploads/9fc33-employer-skill-needs-survey-2014.pdf). According to the National technical vocational education and training policy 2017–2025, the exact number of students in all the VET levels (public, private, and NGOs) could be somewhat higher, as there are currently extensive efforts to boost student enrolments and quality in VET (http://tvetsdp.ntb.gov.kh/wp-content/uploads/ 2018/02/NTVET-Policy-2017-2025.ENG_pdf). In Ethiopia, total enrolments for all five years of the VET system (2016/2017) are slightly less than the enrolment numbers for just the last year – grade 12 – of senior secondary school. (According to the Ministry of Education’s 2017 Education Statistics, there were 302,083 students in the entire VET system, at all five levels of programs. This is less than 8% of the grade 1 enrolment for that year of 3,730,535; by contrast, the net enrolment numbers for just the last year of senior secondary school – grade 12 – is 8.4% of the grade one enrolment. This is also notable in relation to university enrolments: total undergraduate enrolments in Ethiopia were 788,033, the vast majority of which are in the public university system). And the VET enrolment numbers are the result of dramatic recent expansion of VET that may not be sustained (Zinabu, 2019) – recent figures show an increase in the 2018 enrolments and substantial decline in 2019 enrolments. Similarly in Bangladesh, the role of VET at the upper secondary level is still comparatively small – 12% of senior secondary enrolments compared to 88% in general education or madrassas. (According to Bangladesh Education Statistics

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2018, of the 1,466,423 students who passed their secondary school certificate after tenth grade in 2018, 1,290,452 were in general education or madrassas, and only 175,971 in the vocational stream. Similar shares can be found for the Higher Secondary School Certificate, as well as for the first year of tertiary education. Here, out of the 583,989 who were enrolled in 2018, only 119,612 were enrolled for a VET Diploma program). This is also following massive investment in vocationalization of upper secondary education since the 1990s (Maurer, 2012; Rafique, 1998). In South Africa, where the qualification system is particularly complex, comparing the numbers in the final year of secondary school with VET enrolments at the same level, we see 704,533 enrolments in year 12 of secondary school, on the one hand, and on the other hand, 55,302 for the “N3” (an older VET qualification) and about 31,079 for the National Certificate Vocational (a newer VET qualification). (This picture is even more complex because, while there is considerable attrition from the school system after grade 10, the bulk of learners who leave school do not progress to VET (Taylor & Shindler, 2016). Instead, the college intake consists largely of students who have finished high school. Notably, most of these students have already completed senior secondary school. According to the Department of Higher Education and Training’s Statistics on Post-School Education and Training in South Africa: 2017, total enrolments for the entire VET system in 2017 was 182,836 in terms of full-time equivalent enrolments, while total full-time equivalent in universities was 731.602) Another issue in relation to specialization is when it starts. In all six countries this is mainly after 8 or 9 years of basic education and training – after year 8 in Bangladesh, year 9 in Cambodia, Laos, South Africa, and Vietnam, and year 10 in Ethiopia. Lower-level vocational education is an option in some of the countries, but with extremely low enrolment; there are far more enrolments at a post-secondary level. What is interesting is the contrast with official policy – in all six countries there are policies suggesting that VET is, officially, the route that young people should pursue after junior secondary school and policy goals for a substantial shift in enrolments from academic to vocational education (ADB, 2016a, b; Allais, 2020b; Ethiopian Ministry of Education, 2017; Haolader et al., 2017; Krishnan & Shaorshadze, 2013; Mahmood & Akhter, 2011; Mia, 2010; Nguyen, 2016; Phoumilay, 2019; Taylor & Shindler, 2016; Thang & Quang, 2007; Tuan & Cuong, 2019; Yok et al., 2019; Zinabu, 2019). Except in Ethiopia, schooling is compulsory until year 9, with 3 years of senior secondary school afterwards. In short: it is clear that in all six countries, academic schooling is by far the preferred choice for both junior and senior secondary education, despite serious weaknesses in the school systems of all countries.

Site/s of Training Where vocational education takes place – whether they are primarily school/collegebased, or whether they are primarily apprentice-based, and the consequent

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involvement of employers in the provision systems is much more straightforward. In the six countries, the vast majority of VET enrolments are offered through education provider-based systems – schools, colleges, or institutes – with apprenticeships forming a tiny percentage of formal vocational offerings. Employers are minimally involved in offering VET. In all six countries, vocational education is seen as having weak linkages with industry with low investment and support and inadequate workplacement for students. The picture in Ethiopia is complex as formally work experience is built into vocational qualifications, but how this actually happens is complex and the relationship between the learning programs and work experience is generally found to be weak. In all six countries, policy documents and research literature describe a mismatch between what VET institutions produce and what labor markets are believed to demand: all countries have official documents suggesting that there is demand for skilled workers, but that VET institutions are not producing these – whether of sufficient quality or quantity (Allais, 2011a; Government of Bangladesh, 2013; Mia, 2010; Phoumilay, 2019; Tuan & Cuong, 2019; Yok et al., 2019).

Status The weak relationships between formal VET and employers is related to the third comparative dimension: the low status of the systems. All six countries have some kind of qualifications framework or map of qualifications which officially indicates that VET qualifications are equivalent to or an acknowledged alternative to academic schooling (Adamu, 2015; Allais, 2011a; Breitschwerdt & Sen, 2017; Mia, 2010; UNESCO, 2018, 2020). But perceptions are not changed through policy decree. The literature on Bangladesh argues that VET provision is obsolete and inadequate for the needs of the economy (Comyn, 2013; Mahmood & Akhter, 2011; Oxtoby, 1997) and that training interventions for extremely poor people had either no effect or left them worse off (Khan & Anees, 2014; Mahmud et al., 2014). In South Africa a number of studies discuss the weaknesses of TVET colleges and the small apprenticeship system (Buthelezi, 2018; Lumby, 2000; McGrath, 2010; McGrath & Akoojee, 2009; Powell, 2012; Singizi, 2020; von Maltitz, 2018; Wedekind, 2018; Zinn et al., 2019). In terms of Vietnam, a similar litany of woe is found in the limited research published, focused on skills mismatch and the low status and weaknesses of VET provision (Nguyen, 2016; Thang & Quang, 2007; Tuan & Cuong, 2019). Peou et al. (2019) emphasize the low status of VET in Cambodia, while VET in Ethiopia is also seen as not meeting the needs of industry (Krishnan & Shaorshadze, 2013). Zinabu (2019) argues that educational expansion in Ethiopia has been much faster than economic or labor market change. There is very little literature on Laos, and what there is similarly suggests that VET is of low status (Aphayvanh, 2018). This low status of VET in all six countries may date from the colonial era, when colonial and missionary administrators advocated vocational rather than academic education to politically subject peoples (Palmer et al., 2007). In both Ethiopia and

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Vietnam, upper secondary education is particularly selective and prestigious, and the school curriculum is regarded as challenging and very academic. In Bangladesh, Mahmood and Akhter (2011) argue that the highly selective educational system reproduces social stratification, which is aggravated by selective higher education opportunities and a poorly resourced vocational education system. And of course this takes us back to the first comparative dimension – low enrolments.

Reforms In all countries, the development of competency standards is presented as the major mechanism for ensuring industry involvement and coordination of the system raising status, thereby, it is hoped, raising status and enrolments in the system. However, actual involvement of industry is seen as more limited than the policy aspiration in all countries (Allais, 2011b; Chea Sathya et al., 2020; Comyn, 2009; Geleto, 2017; Viet, 2017). For example, in Bangladesh, despite extensive donor involvement in occupational standards and a qualifications framework, the ADB (2015) suggests that industry is not sufficiently involved in setting standards, development of instructional materials or testing or certification, and that courses are not designed in consultation with employers and do not reflect the standards and needs of the labor market. Instead, the competency-based standards approach seems to add further complexity to already complex institutional arrangements with a large number of ministries, labor organizations, employer organizations, and other structures playing some role; totally out of kilter with the small sizes of provision systems. Bangladesh appears particularly complex, with 19 ministries and 18 organizations involved in different kinds of VET provision. Similarly, in Laos and Cambodia, there are many ministries involved, and this is argued to make it hard to develop a comprehensive system of governance and administration (Sam et al., 2012; Un & Sok, 2018). VET in Ethiopia is described as uncoordinated, fragmented, and unregulated (Baraki & van Kemenade, 2013). South Africa has a complex set of regulatory institutions and labor market intermediaries and a number of coordinating bodies (Allais et al., 2017).

Explaining the Similarities The most obvious place to look for an explanation for the similarities of the formal provision systems across the main dimensions in which VET systems vary internationally seemed initially to be international agencies and donor organization. In all countries in our study bilateral and multilateral aid plays a significant role, and in all there are a large number of past and current donor relationships in the sphere of TVET. What this seems to explain the most is the emphasis on competency-based training reforms and stakeholder-based governance structures, as set of policies particularly amenable to policy borrowing, despite lack of evidence in its favor

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(Allais, 2016, 2017; Evans, 2020; Gessler & Peters, 2020; McGrath, 2012). This confirms some kind of developing country policy convergence: Gessler and Peters (2020) argue that donors and development agencies favor competency-based training reform because of the apparent simplicity of this approach, which they further argue is actually an over-simplification, and this same logic may explain its appeal to governments even in the absence of donor pressure. But Maurer (2012) argues that donors have not been the dominant force in TVET in Bangladesh. Further, Ethiopia and Vietnam are two countries that maintain policy autonomy and keep donors at an arm’s length. And while this policy convergence explains the prevalence of a particular approach to TVET reform, it does not explain other aspects of the similarities between countries – more specifically, why TVET remains so small and low status, given the difference in the composition of economies as well as industrialization trajectories, which should be leading to different skills requirements and different labor market rewards for TVET graduates. Remember that the key argument from institutional political economy is that in the wealthy industrialized countries, formal VET systems differ because of how they are embedded in and the product of different political, economic, and social policies and arrangements. By contrast, the formal VET provision systems in the six countries of our study are very similar when compared against the same dimensions. But the economies, political systems, and social policy are substantially different, which should be leading to different skills requirements and different labor market rewards for VET graduates. The six countries have dramatically different histories in terms of state formation. Ethiopia is the only non-colonized state in the study; South Africa is the only example of settler colonialism; Vietnam was involved in war for many hundreds of years, only ending in 1979; Cambodia, Laos, and Vietnam were all communist states, which have followed different trajectories toward becoming market-based states with varying degrees of state control. Two countries (Laos and Vietnam) are one-party states, and four are formally multi-party democracies, but only South Africa is considered to have a relatively robust democracy (https://www.btiproject.org/ accessed 7th October 2020). The six countries are dramatically different in terms of geographic and population size, both of which should affect the ability of national governments to steer or coordinate TVET systems. Bangladesh is the largest country in the study in terms of population, followed by Ethiopia and Vietnam which both have relatively large populations. South Africa is in the middle, while Cambodia and Laos are both very small countries, in terms of both population and geographical size. Table 1 below provides an overview of some economic and political statistics across the six countries, showing high degrees of variation across a number of them. It also reveals, however, some similarities – they are within a similar range of human development indicators, and they have very high levels of vulnerable employment (five of the countries) or unemployment (South Africa). These similarities seem to explain more than the differences do. The most important point seems to be that five of the countries (again with South Africa as the exception) have very low unemployment, and extremely high

181,040 24.572 70.753 USD 4354.1USD 36 1.2 146 46.4 81.7 (2016) 1.0 0.4 50.3

58.3 (2017) 4.4 11.4 54.9

Cambodia 16,249,798

147.6 274.025 USD 704,165 4364.045 USD 32.4 1.3 136 67.3

Bangladesh 161,356,039

79.5

40.8 (2017) 0.7 1.7

Laos 7,025,660 7,061,507 236,800 18.131 52,574 USD 7441.3 USD 36.4 1.6 139 77.2

85.6

82.5 (2017) * 5.2 7.4

1,104,300 84.355 220.478 USD 2018.6 USD 39.1 1.8 173 51.5

Ethiopia 109,224,559

9.7

55.2 (2018) 27.7 57.4

1,219,090 368.288 793.3 USD 13,730.3 USD 63.0 7.0 113 16.4

South Africa 57,779,622

54.0

76.3 2.1 7.0

331,230 244.948 710.312 USD 7434.68 USD 34.8 1.4 116 7.8

Vietnam 95,540,395

Sources: World Bank Open Data. Accessed 02-12-19 from https://data.worldbank.org/; Global Human Development Indicators. Accessed 02-12-19 from http:// hdr.undp.org/en/countries

Size (km2) GDP (billion) (current US$, 2018) GDP, PPP (billion) (current international $) GDP p/c PPP (current international $) GINI (2016) Palma ratio HDI rank Working poor Working poor at PPP $3.10 a day (% of total employment) Labor force participation Unemployment (%) Youth unemployment (%) (total labor force aged 15–24) (2017) Vulnerable employment (%)

Population (2018)

Table 1 Some key comparative features across the countries

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levels of informal/casual survivalist work (defined by the ILO (2018) as own-accountworkers, members of cooperatives, people working in the informal sector or in the formal sector without formal contracts and benefits such as sick leave and annual leave). The shares of informal employment, according to the ILO (Accessed 3rd March 2020), are 94.7% in Bangladesh, 93.57% in Cambodia, 82.88% in Laos, and 82.88% in Vietnam. The share is lower in South Africa (35.32%); instead, what is visible in South Africa is exceptionally high levels of unemployment, even before the devastation of the COVID-19 pandemic. Of course there are many differences in labor market dynamics. For example, in Cambodia, in general labor demand exceeds supply, and TVET graduates do find employment (Yok et al., 2019). Similarly, Vietnam has a high rate – 80% – of job placements of TVET graduates according to official sources (NIVT, 2017). In Laos similarly TVET graduates do find employment, but Phoumilay (2019) argues that most of them are employed in the public sector. And there are many differences in terms of hiring practices, regulation, collective bargaining, and so on – all factors that the comparative literature on VET suggests are important in understanding differences in formal VET provision. But what is common across the six countries is small formal sector employment and high numbers of informal, casual, employment, or unemployment. What is also consistent across the countries is that the education profile of those employed in formal sectors is substantially higher than those working in informal work or who are unemployed. For example, in Vietnam, among the segment of the labor force with professional qualifications (21% of the total labor force), 44.7% had university degrees and 15.8% college degrees, 24% intermediate degrees, 15.6% elementary certificates, and this is the bulk of formal sector employment (NIVT, 2017). And these commonalities, read in conjunction with data presented on rising education levels and educational profiles of workforces, seem to override other factors which could shape VET provision. Labor markets with very limited numbers of rewarding jobs can increase intense positional competition for credentials, particularly in the context of mass expansion of schooling (Bills, 2003; Carnoy, 2019; Collins, 1971). Positional competition for credentials tends to have negative effects on TVET as employers tend to hire potential workers with secondary education, seeing them as having more potential as they have been more successful to-date; professional and higher-level jobs are filled with graduates (Allais, 2020a, b). This can reinforce low labor market prospects for TVET graduates, even when they do find employment of some kind – as do most people in five of the six countries in our study. A massive gulf between winners and losers in labor markets, with a tiny pool of winners, also reinforces positional competition. While this phenomenon is increasingly visible internationally (Brown et al., 2020), the contrast in the six countries is much bigger, and the availability of reasonably paid formal sector jobs with benefits is very limited in all six. For example, in Ethiopia, wages for graduates are dramatically higher than for non-graduates (Zinabu, 2019) and in South Africa inequality is very high (Bhorat et al., 2016). By contrast in Laos and Vietnam wages are dramatically more

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compressed (NIVT, 2017). However, in Cambodia, Laos, and Vietnam, jobs have not expanded for technicians, and in Vietnam, wages for technicians have not grown in recent years, and wage inequality has grown. In all three countries Morlok et al. (2020) find growth at the lowest and highest occupational levels, suggesting a lack of labor market rewards for graduates of VET programs in three industrial sectors over a recent five-year period. Graduate unemployment corroborates a picture of positional competition for credentials. Unemployment in Vietnam is very low, but, according to an official report (NIVT, 2017), 39.52% of unemployed people had elementary and higher qualifications, and of these, the highest number of unemployed were those with university degrees. Ethiopia also experiences graduate unemployment (Zinabu, 2019). In summary, the failure of VET to attract students, and of VET graduates to be attractive to employers, despite numerous policy interventions to involve employers and improve coordination, suggests that the context of labor markets with small numbers of stable well-paying jobs, and dramatic educational expansion, makes building strong large VET systems very difficult.

Conclusion what emerges from our analysis is that formal VET systems seem to be shaped by one dominant aspect of labor markets in the six countries of our study, and consequently look very similar to each other, when compared against the dimensions in which VET systems in wealthy industrialized countries look very different to each other. Given that VET systems in wealthy industrialized countries are a product of political and economic arrangements it seems more likely that VET in developing countries might start to be more successful, even if at a small scale, if industrial and sectoral economic development strategies incorporated focused and customized aspects of VET. For example, where there are industrial planning processes, policy makers from education systems, educational providers, or labor market intermediaries should be involved in these as well as other processes around building the economy. This can ensure that decisions related to industrial transformation both support and are supported by skills provision. If education providers are going to be able to respond to short-term training needs, they must have ongoing and direct relationships with employers. This requires institutional capacity in both providers and employers that has not been the focus of reform to-date. Instead, current systems seem to aim at diverting the increasing number of secondary school completers from university education, while maintaining state legitimacy by offering educational options for them. Certainly, individuals and families appear to perceive VET in this way – as a second-rate educational alternative, as opposed to a preparation for skilled and rewarding work, reinforcing vicious cycles of low quality and low status vocational education provision. It seems very unlikely that this will be interrupted – the goal of mass secondary-level VET should be abandoned; instead, countries

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should focus on improving access to and the quality of school education followed by shorter, targeted niche vocational programs (as Moses Oketch, 2007, has been arguing in relation to Africa for many years). Not enough is known about how emerging nations can adopt a more contextual approach for the informal sector. Researchers in poor countries need space to test and innovate in response to the local context and possible models and innovations that might work, and research funding should enable this. Finally, research is needed that analyses skill formation systems beyond formal VET provision. This is a daunting task, as there is a lack of suitable data on training that is not part of formal VET systems, and even less about training that happens in workplaces. With more empirical evidence about the full picture of vocational skills development in the six countries, the institutional political analysis may provide additional insights about the nature of work and economies shapes the development of skills beyond formal VET provision in emerging economies. Acknowledgments Colleagues in all the countries in the study contributed to collecting the background research for this chapter, led by Hadush Berhe from the Ethiopian Institute of Technology-Mekelle, Mekelle University, Mekelle, Ethiopia; Altaf Hossain, an independent researcher from Dhaka, Bangladesh, and formally associated with BRAC university; Bounseng Khammounty, Vocational Education Development Institute, Vientiane, Laos PDR; Thanh Thuy Nguyen, Vi Hoang Dang, and Hong Van Bui from Ho Chi Minh University of Technology and Education, Ho Chi Minh City, Vietnam; Seyhah Ven and Boparath Sry from the Cambodia Development Resource Institute, Phnom Penh, Cambodia; and Markus Maurer from Zurich University of Teacher Education, Zurich, Switzerland. The research conducted was part of the Skills for Industry Project, https://phzh.ch/en/Research/ skills-for-industry/, funded by the Swiss Agency for Development and Cooperation and the Swiss National Science Foundation through the Swiss Programme for Research on Global Issues for Development. Additional support was obtained from the SARCHI Research Chair in Skills Development, funded by the South African National Research Foundation.

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Beyond Economic Goals for STEM Education Development in the Asia-Pacific

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Rhetoric of STEM for Economic Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Reality of STEM for Economic Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Side Effects of STEM and Economic Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Education and Society Through the Case of Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Technology and Schools as a Case of Technological Determinism . . . . . . . . . . . . . . . . . . . . . . . . . . . . Education for the Economy? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Embracing Utopianism: STEM as an Opportunity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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The disciplines of science, technology, engineering, and mathematics (STEM) have been rising in importance in the public imagination, especially with the numerous technological upheavals that have taken place even within living memory. In development contexts, public education can be perceived as a form of uplift and a means to prepare individuals for future economic participation. From this perspective, STEM is a highly desirable component of a curriculum which might better guarantee success for societies, especially in economic terms. While this basic narrative is not fundamentally in doubt, the experience of “developed” economies can provide lessons for education development. STEM has been used in ways to amplify the human intention, often in ways that have not been sufficiently interrogated in terms of who benefits from, and who pays for the development and deployment of these technologies. While STEM in practice is deeply enmeshed in sociopolitical considerations, school versions often ignore M. Tan (*) Policy, Curriculum, and Leadership Academic Group, National Institute of Education, Nanyang Technological University, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_59

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this aspect, treating it is “not really” STEM. Given the numerous problems that have been amplified by the use and misuses of STEM knowledge, educators should reconsider the nature of STEM and seek to accurately represent its human aspects. Doing so may involve a shift away from a celebratory stance, to take a more circumspect position about the role of STEM in society. However, doing so would also provide students with the collective wisdom in decisions on what technologies ought to be used to serve what kinds of human desires. A critical and humanistic STEM education can attend to these issues, but only if educators attend to a more holistic appreciation of the role of STEM in societies. Given the existing discourses circulating about STEM “for the economy,” there is work to be done by educators to head off the worst excesses of such unbridled visions. Keywords

STEM education development · STEM for humanity · Anticapitalist STEM · Nature of technology and engineering knowledge

Introduction STEM education has risen in significance in the recent decades, especially for English-speaking audiences of this work, for whom the dominant discourses come from the USA. Especially when one also considers the outsized influence of US-based technology corporations around the world, it can be easy to conclude that any curriculum that purports to prepare people for the foreseeable future needs to have a strong STEM component. At the same time, there have been both real and perceived changes in social organization since the recent rise of networked technologies in the last three decades (e.g., Castells, 2000; Glucksmann, 2005). To be sure, such changes have already been preceded by dramatic shifts in quality of life witnessed in the Global North, many of which have been brought about by increases in our understanding of the functioning of the natural world. At the same time, the growing urgency to attend to the possibility for environmental collapse requires that we understand the problem and devise clever solutions, for which we again appear to require STEM (Creutzig et al., 2016; McAllister et al., 2014; Morozov, 2013). While these arguments seem seductive, it can be possible to commit the error of “cargo cultism” (Worsely, 2009) when we fail to consider the totality of conditions that are required for economic prosperity. Cargo cultism is an error of misunderstanding appearances, which will be explained later. STEM is needed for education development, but its precise form requires a careful adaptation to the needs of the society where it will be taught. Crucially, versions of STEM education that neglect how societies interact with knowledge, which fail to communicate the epistemic conditions for truth, or which omit any discussion of the ethico-moral application of STEM knowledge, are not likely to be fully beneficial for economic development. To make this argument, this chapter will first survey the close association between STEM and economic development. Such a position fundamentally misrepresents the

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totality of conditions required for high economic performance, and the possible contributions of such a form of schooling to societal issues. STEM education poses an opportunity for development contexts to learn from past mistakes, but only if we can be bold enough to do so. This chapter paints a vision for STEM education, with a focus on its societal influences and effects as a necessary component of understanding how science, technologies, and societies interact. Given the numerous ways in which STEM has amplified our human intentions, leading to the contemporary problems of our times, it is imperative that we diversify models of living beyond what we already know to cause human suffering, or else face environmental and other forms of disaster such as automated warfare, economic collapse, and so on. In this regard, development contexts might pose the tantalizing potential for humanity to act differently, but only if we reject the kind of fait accompli thinking or arrogance that societies must develop toward the same goals. Education, being ultimately an act of creating the future, needs to own the normative and utopian dimensions of its practice, and not merely shy away into technocratic ambitions of cheaper and faster ways of getting to the same unimaginative ends.

The Rhetoric of STEM for Economic Development The STEM moniker was initially used by the US National Science Foundation as a means to refer to school and undergraduate science, mathematics, engineering, and technology (hence, it was initially called SMET) in the early 1990s (McComas, 2014). Due in part to its similarity to a term with a negative connotation, and to the fact that the contemporary term was easier to pronounce, the term changed to STEM in the early 2000s. The centrality of STEM to economic development already received significant recognition from the 1980s as the Japanese economy benefited from a burgeoning consumer electronics and motor transportation boom. Not long after, the Asian “Tiger economies” followed suit, bringing themselves up from lowand middle-income country (LMIC) status by paying attention to “high technology” production. Today, the highest performing countries (and cities) in international comparisons of science and mathematics are in Asia, while the world’s most profitable economy is in California, the corporate headquarters of five of the seven so-called FANGMAN “technology” corporations – Facebook/Meta, Apple, Netflix, Google/Alphabet, Microsoft, Amazon, and Nvidia – whose total market capitalization is in the order of magnitude of $7 trillion (Rexaline, 2021). The use of the term “STEM” and “STEM education,” as well as science and mathematics education prior to that, have been strongly tied to the economy and national strategic interests. Most notably for English-speaking science educators, reference is often made to the US’ “Sputnik moment” where the deployment of the former Soviet satellite captured the public imagination and sparked a space race amid political tensions, and focused the attention of schools toward science and mathematics (Bybee, 2013). Not long after, in 1983, the National Commission on Excellence in Education accused the USA of the almost poetic phrase of “unthinking, unilateral educational disarmament” in the face of economic competition

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(NCEE, 1983). It should therefore not be a surprise that contemporary calls for the expansion of STEM education efforts, at least from the USA, have been accompanied by similar rhetoric: that STEM knowledge needs to be the cornerstone of a successful economic policy; that computational thinking, now popularly considered part of STEM, will drive the future; and that data science and encryption will be the new weapons that we will need to develop to protect network infrastructure from malicious actors. In a book explicitly promoting a vision of STEM education, noted advocate Rodger Bybee (2013) suggests a rationale for STEM that does not deviate from the tested formula: an appeal to improve the global competitiveness of the US economy, threats of “the gathering storm,” and the promise for individuals of a “pathway to prosperity” (National Academy of Sciences, 2007). When authors in the world’s most prosperous nation suggest that STEM is necessary for economic reasons, it stands to reason that many other countries will also pay attention. Minimally, given the outsized nature and the portability of the global capital flows and US investments around the world, many LMICs will be eager to “plug in” these economic opportunities, and, with it, prepare their students for versions of STEM compatible with these interests. In education development, STEM is perceived to be essential to the curriculum, with the UK government’s Department for International Development publishing a report essentially recirculating the claims that STEM is vital for economies (Ismail, 2018). The same report suggests that, especially for low- and middle-income countries, a perceived path to prosperity brings economies through industrialization and manufacturing, through toward service and information economies, all of which “require of mathematics and science.” Often, some variation of the tropes made popular by Karl Fisch suggests that there will be a high degree of job churn, that many jobs will be made obsolete, and new ones made in their place. Famously, the YouTube video invites us to consider: “We are currently preparing students for jobs that don’t yet exist, using technologies that haven’t been invented, in order to solve problems we don’t even know are problems yet.” (Beers (2010) explains that although the quotation (made popular by the YouTube video – (http://www. youtube.com/watch?v¼ljbI-363A2Q) is widely attributed to the US Secretary of Education Richard Riley, its creator (Fisch) does not have a reference to Riley actually having said it. The quotation followed another that was attributed to Riley, and viewers simply assumed Riley made both statements.) Developments in STEM are easily interpreted to be drivers of social change; it does not help when the more enthusiastic versions of discourse emanating from Silicon Valley proclaim the urge to disrupt, and to cast out old patterns of business (Geiger, 2020). Coupled with claims that the rate of creative destruction is accelerating (e.g., Anthony et al., 2018), or even the notion that destruction is creative, it can be easy to suggest that education is critical to prepare students for uncertain futures. In addition, people of all ages need to commit themselves to a lifelong career of learning to keep up with changes (e.g., Biesta, 2013; Laal & Salamati, 2012). In particular reference to Cambodia,

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Thailand, and Vietnam, a related report suggests that employers consider “that the skills acquired in formal secondary schooling do not meet their demand as the schooling is too supply driven and insufficiently linked to demand from employers” (Results for Development Institute, 2012, p. 16). While employers do express the need for particular nontechnical attitudes such as generic analytical skill or cooperative and managerial abilities, technical skill and computer skills are nonetheless perceived to be in short supply. In the Asia-Pacific, education researchers have not departed from the claims of the significance of STEM for economic development. For computational thinking, a recent special issue of the academic journal The Asia-Pacific Education Researcher has its editors explain that the reasons for supporting computational thinking “cannot be understated.” Computing is “an essential component of practically all human activities, and since East Asian countries have an especial “strength in the ICT industry,” education systems have revised national curricula to add in computational thinking (So et al., 2020). Computational thinking can be considered as a special kind of technology, an applied mathematics developed as a “language” to express a particular mode of processing information (Denning & Tedre, 2019; Wing, 2006). Computational methods have pervaded almost all forms of science and technology that it makes little sense in this chapter to distinguish between them. For STEM education more broadly conceived, a separate special issue opens with the same boilerplate claim that “STEM education has been viewed as foundational to economic growth by many countries in the world, and has thus received continuous attention from ministries of education” (Lee et al., 2019, p. 1). Perhaps it should not be surprising that researchers have used economic development as rationale for STEM education, or education more generally for that matter – even a decade ago, this issue was noticed by Roschelle and associates (2011) as posing several issues for the learning sciences researcher community at large. They suggest that it is not uncommon for researchers to use the prospect of economic fear as a means to support their work, or to justify research outcomes in economic terms, and suggest that researchers reduce their reliance on economic rationales as a “rhetorical flourish” for their work. As Roschelle et al. asserts, educators, researchers, and policymakers can go too far in using an economic rationale. Yes, economic activity is important, and especially in development contexts, any argument for curriculum reform can be perceived to carry extra weight if people’s livelihoods are claimed to be dependent on it. Yet, to prefigure the argument that will follow, there are reasons to be doubtful: (i) the link between schools and economic performance may be more tenuous than the taken-for-granted perspective; (ii) if individual autonomy and national sovereignty are ideals to work toward, a purely economic argument may not be sufficient; and (iii) the experience of some economically developed nations can serve as a lesson of what costs an unbalanced emphasis on economic growth may exact on the social fabric of living in communities.

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The Reality of STEM for Economic Development Cargo cults were a curious finding after the Second World War. Separated by great distance from any other nation, the islands in the South Pacific were visited by American soldiers. The large difference in technological development resulted in some islanders creating cults which practiced elaborate rituals resembling what the soldiers performed prior to the arrival of cargo bearing vessels and aircraft. In their worldview, just as how the soldiers “caused” the cargo to arrive, so too could they do likewise (Worsley, 2009). While we might be mildly entertained, there are lessons to be learnt here. This appears to be a real-life case of Clarke’s aphorism, that “any sufficiently developed technology is indistinguishable from magic” (Clarke, 1977). But more significantly, we have to ask ourselves if we commit the same kind of error when we think about complex problems such as the relationship between (STEM) education and economic development. As with Roschelle et al. (2011), the simplistic conclusion that a higher degree of education causes economic development is certainly something that we should be critical of. Such a notion derives from human capital theory, which suggests that, as with materials and tools in the process of making things, the quality of human labor is crucial to economic success. However, studies have shown this connection to be complex. For instance, a largescale comparison of economic performance suggests that, for the USA at least, organizational changes at the level of management, and other macroeconomic policy shifts are more likely to result in better outcomes. In a case study of automobile manufacturing, Japanese-derived management practices applied in the USA achieved Japanese levels of quality and productivity standards (Lewis, 2005, in Roschelle et al., 2011). Considering innovation, Hughes (2010) is skeptical of policy which interprets US performance in research and development (R&D) as particularly worthy of emulation. As with the cargo cult metaphor, Hughes asserts the fawning attention that European (and other) economies have on the scale of US R&D investments, to the point of attributing economic success on a particular version of university-private equity funding model. While such rhetoric is not fundamentally mistaken, Hughes contends “rather that they have been greatly exaggerated to the neglect of other key factors when one considers the innovation system as a whole” (p. 2). These factors include: (i) the diffusion and use of Information and communications technologies (ICT) beyond ICT, R&D, and other high technology sectors; (ii) the dominant role played by existing firms in driving productivity as compared to new entrants; (iii) the expansive role played by universities beyond a narrow focus on commercialization and licensing of intellectual properties, to also include the creation of human capital and informal business relationships; (iv) the dominant role of “customer-supplier interactions in open innovation system rather than direct university business interactions”; and (v) the outsized role played by public procurement policy in providing capital to businesses instead of private sources. This latter factor needs to be discussed in some detail – Mariana Mazzucato (2018) has shown that, especially in the USA, the public sector provides an outsized share of the funding for “basic research,” where there is the highest risk for research

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investment to amount to zero returns. Conversely, private equity and venture capital funding tends to come in at a slightly later stage, when the research has stabilized and has shown promise of conversion into a marketable technology. It is at this stage where most of the attempts are made in manipulating the public image of the companies, to draw in investor’s interests so that the private venture capitalists can cash in on their earlier investments. In this regard, the situation must be recognized for what it is: essentially as a scheme in which there has been a transfer of wealth from public to private hands, or as what Mazzucato writes: “the most modern form of rent-seeking in the twenty-first-century knowledge economy is through the way in which risks in the innovation economy are socialised, while the rewards are privatised” (p. 178). The point here for educators is for us to question the seductive logic that education, and especially STEM education, is likely to result in economic prosperity for all societies involved. Certainly, the foundational logic is sound enough; expertise in STEM is a necessary, although insufficient condition for economic prosperity. What this perspective suggests is that many other factors must be aligned for there to be the kinds of growth of wealth that is visible in these countries, most of which are not influenced by, or attributable to, educational outcomes of formal schooling. However, the counterargument could be made that these are developed countries, which are distinctly different from development contexts. The case could be made that even literacy requirements considered foundational in developed countries are largely absent in low- and middle-income countries, and that STEM could be used as an engaging form of pedagogy to encourage students to continue schooling, and to pursue an education which gives them access to high-status knowledge. Again, this logic seems very persuasive. However, even for the USA, where the perennial problem is that of the “leaky STEM pipeline,” despite schools (and universities) oversupplying graduates in STEM fields by three times, less than a third of the employees who hold a STEM degree actually work in jobs that require such training (Roschelle et al., 2011; Xue & Larson, 2015).

Side Effects of STEM and Economic Development For development contexts, national governments may not have sufficient resources to invest in the basic research to develop its indigenous intellectual property. This might mean that these countries will be reliant on foreign capital in the form of multinational corporations to provide the jobs that STEM degree holders will work in. The past history of the export of STEM operations and careers into developing contexts, in places such as Bhopal (Broughton, 2005), or in petrochemical operations which produce highly toxic by-products (Ausili et al., 2008), have demonstrated that these corporations do not serve as charitable foundations. Instead, there is every chance that what would result is the offshoring of environmental and human risks away from developed contexts into “faraway” places out of sight of a polity which demands its convenience and prosperity, but without the hazards of pollution and associated environmental destruction. Two problems for developing contexts are

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suggested here: firstly, there is every likelihood that students will be overprepared for future careers in which they will have no part in. Contemporary STEM classrooms are filled with engaging activities, many of which are associated with electronics or the prospect of ubiquitous computing technologies (see, e.g., Blikstein, 2013; Halverson & Sheridan, 2014). Yet, what is the graduate to make out of promises of bright shiny futures of “technopreneurship” when the only careers available may be the monitoring of dirty chemical plants with embedded control systems, or some similar job which may not afford as much dignity or job satisfaction as promised? What if the only jobs are those related to businesses that destroy the environment for profit (as in the petrochemical and mining interests)? To that end, even working for contemporary “technology” firms might not be an entirely positive experience especially if one understands that many of these businesses are reliant on a model of manipulating its users and not always in ways that are ethically sound despite claims otherwise (Zuboff, 2019). Even widely reported events ostensibly attributing positive effects to social media services tend to mischaracterize their role, overemphasizing the contribution of technology, and underestimating the existing social networks (Post & Crone, 2015; Toyama, 2015). Might there be a case where individuals might use their knowledge in a rather more retributive sense to correct perceived injustices? This point will be discussed more fully below, but for now it is also important to acknowledge the second point, that economic prosperity, under conventional capitalism, comes at a cost. According to Patel and Moore (2017), the history of capitalism has been the history of capturing natural resources and degrading it into a useless form, and extracting “capital” for the privileged class in the process. Even recent forays of technology into the social sphere can be interpreted as “monetizing” social relationships of an intrinsically priceless value, and in the process changing the character of these interactions. While not quite “useless,” the commercialization of social interactions has certainly degraded it as when we wonder about the ethics of the algorithmic surveillance of our messages to serve us “targeted advertising.” Indeed, Patel and Moore assert that there has never been any “economic growth” to date that has not been accompanied by spoilage or degradation of any form. STEM, seen as useful knowledge that amplifies our abilities to extract more capital and destroy that which has intrinsic value, has been unfortunately implicated in so many environmental disasters that concerned scientists have started to plead for a distancing of STEM and “the economy” (Donovan et al., 2014). With the recent publication by the United Nations Intergovernmental Panel on Climate Change (IPCC) (2022) warning about the “unavoidable multiple climate hazards, [. . .] risks for society, [. . .] mounting loss of life” and other calamitous events, it ought to be no longer possible to think about “business as usual,” of “expanding markets” and “wealth creation.” School systems, thought of as attempts to prepare young people for work, must similarly change their practices if we are to avoid collective disaster. This can be problematic as schools are typically thought of as sites for education, and education is seldom considered in anything but positive terms. Conversely instead, the outcome of schooling may not necessarily be educative, and, in some instances, may lead to miseducative outcomes as when, for instance, social hierarchies and inequalities are legitimized through

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schooling, instead of their promise of serving as engines of social mobility (Bowles & Gintis, 1976; Cole, 1988; Sandel, 2020).

Education and Society Through the Case of Engineering Engineering programs concentrate individuals with a “need for cognitive closure” (Gambetta & Hertog, 2016, p.131) and a desire for order into a discipline that “provides concrete, unambiguous answers and recoil[s] from the open-ended project of natural science and the ambiguities of humanities and social sciences” (p. 154). Engineers are given the tools and techniques that can amplify the human intention; do we really want only a narrow subset of human intentions amplified? Certainly, engineers have been credited with more positive “habits of mind,” especially in documents whose purpose is the preparation of more engineers such as “problem finding, creative problem solving, and adaptability” (Lucas et al., 2014). Some engineers have also been known to oppose the kinds of technocratic authoritarianism that other engineers might typically have been associated with (Beltramini, 2021). But, these findings have to compete with others that claim that college and university engineering programs privilege authoritarian modes of thinking and behavior (Athanasiou, 1968), a finding that persists 40 years later (de Pillis & de Pillis, 2008). Even very recently, researchers refer to a “cultural disconnect” between engineers and decision-makers, and suggest that students and early-career engineers need “structured learning in communication and in socio-cultural and emotional intelligence [. . .and] exposure to cognitive psychology and epistemology” (Booker et al., 2021, p. 35). For STEM education, a question that emerges is the selection and training of individuals who will one day be handed the metaphorical (or even literal) keys to the running of contemporary civilization. Arguments for increasing the diversity of people who will take up careers in STEM have considered visible categories such as women and ethnic minorities (e.g., Jones, 2016; Schäfer, 2006; Smith et al., 2015). However, the notion of determining diversity via visible markers may not be as important as selecting for cognitive diversity: There is every chance that despite these diversity interventions, those trained as engineers are still going to be those that are attracted to the perception that engineering provides cognitive closure. Cognitive closure is the habit of desiring sharply defined boundaries for problems and solutions, which can cause problems when engineers encounter problems that require interaction with human preferences; the latter being especially prone to ambiguity and ethical standards divergent from that of the engineer. Traditional approaches to address this problem have been some variation of a course in ethics or local regulations. However, these courses often become oriented as a problem of change in individual behavior, or to merely inform engineers of liability concerns and compliance (Slaton, 2015). Worse, some engineering educators have pointed out that customary forms of instruction “stigmatises [. . .] critique, casting it variously as a concern of ‘do gooders’ or as simply something outside the purview of ‘real’ engineering” (Slaton, 2015, p. 179). Engineers routinely work for powerful interests,

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for whom the projects may not necessarily serve in the wider public interest. Yet, engineering education has been able to distance itself from the wider sociopolitical interests that influence its deployment, or its influence in society at large. This should not be the case, although it has to be acknowledged that as a consequence of reductionism (Reductionism has been the widely successful approach that seeks to determine root causes of phenomena as explanation. It is the reason why scientific explanations are made in terms of abstract principles rather than agentic sprites and gremlins in machines. Related to Occam’s Razor, reductionism suggests that many parts of the problem are irrelevant for consideration. When it comes to knowledge in a curriculum of study, this approach can be taken too far, as what I am arguing here.) and for the construction of “traditional” academic disciplines over the years, we seem incapable of seeing STEM as anything but as “pure” academic knowledge, and problems of its use merely contextual idiosyncrasies outside academic concerns. As for engineering, thought of as the practical application of scientific principles; so, too, for technology and the other disciplines. Why should we not consider questions of public scientific literacy and scientific controversy vital aspects of science? Herein lies one of the significant challenges of STEM education: While we would like to believe that education is predominantly involved in the transmission of knowledge from one generation to another, a significant role played by schools is also the assignment of identities and the transmission of values. If we recognize that STEM is a curriculum goal for schools, despite schools’ imperfect record of bringing about positive social change, we have to also recognize that the STEM education development project will also have consequences for countries beyond “economic growth.” How might STEM values and modes of thought influence society? To an extreme, an overreliance on STEM might lead to a technocracy, the various negative effects on societies having been detailed by Postman in the USA (1993), or Antoniou et al. in Greece (2007), or Amir in Indonesia (2008). As told by Sandel (2020), the US project of globalization over the past few decades has been underwritten by a faith in market mechanisms, narrow definitions of meritocracy, and a technocratic way of conceiving the public good. In this manner, the “technocratic approach to governance treated many public questions as matters of technical expertise beyond the reach of ordinary citizens. This narrowed the scope of democratic argument, hollowed out the terms of public discourse, and produced a growing sense of disempowerment” (p. 24). If we are to advocate STEM education as part of an education development agenda, we have the intellectual responsibility to consider its holistic effects as part of a curriculum proposal that is cognizant of the social outcomes that may develop. STEM educators need to guard against the possibility of developing an excess of technocracy. This is especially pertinent as existing political hierarchies can become upset by a new generation of experts and technologists that can shift the terms of moral and political discourse. For instance, what constitutes reasonable limits for freedom of expression can shift with the introduction of new communication technologies. The “open” nature of Internet technologies (ultimately beneficial) have been used in a manner similar to greenwashing, by proponents who mean a different kind of openness than the public inspectability of programming

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instructions. Again, it is likely the intellectual sleight of hand of contemporary discourse on STEM that associates such shifts with a sense of welcome, and any resistance as a form of Luddism. The temptation that derives from the aura of material wealth and comfort broadcast from the “developed” world can obscure their moral issues from view. For instance, contemporary interpretations of specialization, and technologically amplified versions of proletarianization have conspired to produce conditions of work that have become devoid of meaning and human dignity for large numbers of workers (Graeber, 2018). In white-collar labor, for instance, jobs have been created to make up for gaps and inconsistencies in technological systems; Graeber documents the rise of a category of job he labels as “duct tapers.” Common in the software industry, their responsibility is to make disparate code and data structures interoperable with one another. For some organizations, a human being is tasked with manually transferring data from one system onto another, instead. The purposes to which large organizations are using STEM knowledge have also to be interrogated, as when controversies such as obscured research funding surface. Curriculum scholarship has to contend with the distinction between powerful knowledge and knowledges of the powerful (Young, 2008): What ought to be communicated to students: Whatever it is that STEM practitioners say they do, or what they actually do instead? On the one hand, simply abiding by their knowledge claims risks cargo cultism as when STEM practitioners do not reveal the conditions that constrain or allow them to do their work. STEM needs funding, and its practitioners have to negotiate the ethics of their practice. On the other hand, these conditions can be highly contextual to the point of being irrelevant to foreign contexts. How reliant university researchers can be on private funding varies from country to country, and a case can be made that these contextual practices are not part of what STEM knowledge ought to be about. However these curriculum decisions are to be made, there nonetheless exists an intellectual blind spot of sorts that does not get communicated sufficiently in schools, and it is this concept that will be examined next.

Technology and Schools as a Case of Technological Determinism Engineering education has managed to build a “firewall” (Slaton, 2015) between its technical knowledge and the knowledge associated with the conditions of the social world, seemingly to dismiss the latter as irrelevant to its core concern. Scholars studying the interactions of science, technology, and societies have termed this phenomena technological determinism, and according to Wyatt (2008), two interpretations exist: firstly, technologies are believed to be developed in isolation from society. Secondly and most crucially, technologies are perceived to change society when they are ultimately released to the world. In this section, this latter interpretation of technological determinism will be exemplified through the example of (information and communications) technology (ICT) used in schools. That technological determinism is such a seductive concept that can be seen in the way we have

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labeled ages by the names of the dominant technologies of its time – from the stone age, through the various metal ages, and on to the information age that we are supposed to occupy. In both interpretations, what often goes unnoticed is that “artifacts have politics,” in that artifacts, as designed objects and systems, are designed by individuals with a particular intention in mind. It is rather the fact that we are not accustomed to “reading” these intentions that we do not sense the ways in which these intentions are expressed. Otherwise, we might readily understand that these politics, as when mechanized tomato harvesters, led to the concentration of capital to large agribusiness concerns and away from small farmers (Winner, 1980). Subsequently, any protest made on behalf of communities displaced by these technological shifts are recast as simply “anti-technology” or “anti-progress.” Importantly, there is no necessity for inputting conspiratorial thinking here, even though in some instances cases can be made for it; it is more the case that the decision to deploy or not deploy technology is never a purely technological matter, and even rationales of “increased efficiency” (for instance) must be interpreted as a non-neutral stance in relation to the other choices possible. For schools, the deployment of ICT serves as a lesson in technological determinist thinking, and how these ideas can be taken too far. By the recounting of Larry Cuban (2001), successive inventions of technologies over the years have been lauded to “transform” teaching and learning, from radio broadcasting through to motion pictures, television, and computers. More realistically, changes have been introduced to the classroom, but mostly under the terms of educators, and far more modestly than the claims of the technology promoters. With circuitry miniaturization leading to function gain at lower costs in computing technology, it was perhaps inevitable that the One Laptop Per Child (OLPC) project would come into being. Development was led by Nicholas Negroponte at the Massachusetts Institute of Technology (MIT), and the ostensible aim of the OLPC project was to develop and distribute a small and inexpensive computer that could be widely distributed in development contexts throughout the world (Ames, 2019). At one time, claims of the effectiveness of the technology went as far as Negroponte literally stating in 2011 that the machines could be air-dropped: “When I say [. . .] drop out of the helicopters, I mean it [. . .] It’s like a Coke bottle falling out of the sky” (Ames, 2019, Chap. 3); the machines would then be used by children to teach themselves how to read, and presumably mathematics and all the other pieces of knowledge that the OLPC would be packaged with. That we today do not expect children everywhere around the world to teach themselves completely independently using some variation of the OLPC is an indication of the (lack of) success of the project. By Ames’ account, the largest failure of the OLPC derived from its assumptions about the learner and the process of learning. Driven by the learning theory of constructionism attributed to Seymour Papert (1993a, b), the developers of the OLPC held the idea of the “technically precocious boy” and the MIT hacker culture as its source inspiration. Papert had spoken in his books about his early childhood experiences of playing with gears, and discovering for himself certain mathematical relations, before going on to describe the programming interface he had developed and the learning theory of

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constructionism. Central to the learning theory and underlying assumptions of the OLPC project has been the cultural imagery of self-taught individuals (usually a boy), subverting established power structures of schooling by denigrating teacherled instruction models. Papert has even made pronouncements that appear to support efforts in the USA to defund and dismantle public schooling (Ames, 2018). To an extent, this imagery resonated with the development team and its supporters as many of them would have had similar early life experiences. Unfortunately, the sociality of the process of learning has been left out; while Papert would assert that a child left in France for a year “spontaneously” learns to speak French, the “complex social motivations and interactions that constitute culture” (Ames, 2018, p. 6) are ignored as if unimportant. The lesson from the OLPC must be the avoidance of the hubris of technological determinism. Ultimately, most children are not autodidactic geniuses, and learning is a social phenomena in which individuals require instruction from mentors, as well as a peer environment and a rationale for doing the hard work of learning. The OLPC design intention was based on the presumption of independence, precocity, and subversion of the traditional school structure, to the point that deliberate decisions were made not to offer vital forms of support in developing contexts such as Paraguay (Ames, 2019). In its interactions with actual users and their context, the OLPC did not encounter a sociocultural environment compatible to its assumptions, and therefore did not succeed as well as it was intended. The point to be made here is not a critique of technology in education, even though it has been forcefully made by others (see, e.g., Selwyn, 2016a, b; Williamson, 2016). Rather, it is that we have to guard against a technological determinist manner of thinking. When we propose to teach technology to students as part of STEM, it must be in a form that correctly depicts the relationship between humans and the technologies that we use, and not one which advocates a passive acceptance, which “leaves no space for human choice or intervention and, moreover, absolves us from responsibility for the technologies we make and use” (Wyatt, 2008, p. 169). One possibility needs to be a more critical orientation toward STEM, where the educational goal is to “read” technological designs in order to deconstruct and demystify the design intention. As with any critical literacy orientation, the goal ought to be one in which reading leads to an empowered form of writing: in this case, being able to modify existing designs to customize technology for one’s purposes, or to create novel technologies, again, to assert oneself in relation to the universe of ideas and intentions.

Education for the Economy? Any talk of development for economic goals must confront the basic contention that under capitalist organization or the agenda for economic development, there has been little need for economic growth to be fair. Martha Nussbaum (2010) suggests that international development economists have had a longstanding agenda of advancement as quantified by gross national product per capita:

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The goal of a nation [. . .] should be economic growth. Never mind about distribution, social equality, [. . .] the preconditions of stable democracy, [. . .] the quality of race and gender relations, [. . .] the improvement of other aspects of a human being’s quality of life that are not well linked to economic growth [. . .] One sign of what this model leaves out is the fact that South Africa under apartheid used to shoot to the top of development indices [. . .] ignoring the staggering distributional inequalities, the brutal apartheid regime, and the health and educational deficiencies that went with it. (p. 14)

While Nussbaum suggests that most “serious development thinkers” have largely repudiated this line of thought, international aid and development agencies led by the USA have slipped back to the old model, believing that social good will necessarily accompany economic growth, even though empirical findings show otherwise: Achievements in health and education, for example, are very poorly correlated with economic growth. Nor does political liberty track growth, as we can see from the stunning success of China. So producing economic growth does not mean producing democracy. Nor does it mean producing a healthy, engaged, educated population in which opportunities for a good life are available to all social classes. (p. 15)

While there are certainly numerous possible critiques of the development model predicated on economic growth as the precursor to other social benefits, the core question that needs our attention is that of the purposes of education, which has been hinted at with the title of this chapter. When faced with education development, it can be very tempting to convince funders of the efficacy of proposed interventions based on the success of school systems such as “Finland, Canada, and Singapore” (Luke, 2011). As with the reductive methods of STEM, there can be a tendency toward the imposition of supposed standards, whose effects may not necessarily work in the service of the communities they are intended to help. Indeed, as Luke warns, these “standards in education, under the laudable auspices of fairness and access, [can] become a stalking horse for particular economic and ideological interests” (p. 370), as when the effectiveness of (physical) scientific practices are used to give a sheen of efficacy to politically motivated human practices of measurement and comparison. This can quickly be followed by the creation of competitive markets, and the introduction of corporate products such as standardized testing and textbooks. As Luke surmises, “the push for standards creates fields for capital exchange and that these are dominated by sophisticated multinational edu-businesses, redefining professional educators and students as consumers.” In other words, when we say we would like to develop education “for the economy,” we might want to be careful about whose wallets are being fattened. More significantly for the purposes of this chapter is the question of the goals of education. Harðarson (2017) provides a simple dichotomy: we can distinguish goals as either closed or open ended. For instance, we might want to go for a run or a swim if we wish to maintain our health and fitness. In this example, the physical activity would have its own closed-ended goal – for instance, we might want to finish a 5 km route in under 30 min to ensure a sufficient intensity of exercise, but as the larger, more open-ended goal is fitness, we might abandon the outdoor run and go to an

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indoor climbing gym instead if it were raining. To abandon the open-ended goal is much more serious, and not something we expect to do frequently. When we thus speak of “STEM for the economy” it can be useful to think if this goal is an open- or closed-ended one. While developing the economy can be an open-ended goal, for which a variety of close-ended tasks can serve, it does not feel sufficiently open ended to other goals such as the moral autonomy of individuals and societies, or “emancipation ‘conceived in terms of something like the promotion of critical (rational) open-mindedness’” (Harðarson, 2012). The problem, ultimately, rests on what we believe the meaning of “education” to be, and what it might mean for one to be considered educated – certainly, many people might consider the acquisition of credentials which one might exchange for a career and ultimately, goods in the marketplace, a sufficient definition. Ultimately, education is the quest for the better life: Our understanding of the purposes of education is under way because we are still searching for answers to the questions about human excellence and the good life posed by the ancient philosophers. An end to that search is not in sight. (p. 231)

Economic development is but one way in which life conditions can be improved, but seeing as how economic growth does not need to be fairly distributed (Nussbaum, 2010), or that social value often does not accompany economic value (Graeber, 2018), or that we have yet to sufficiently develop an economic system where growth is not at the expense of the destruction of our own life support systems (Stiegler, 2018), given all that we know about how “the economy” can harm individuals and societies, one should hardly find it conscionable to support such a vision for (STEM) education.

Embracing Utopianism: STEM as an Opportunity According to historian Rutger Bregman (2017), public moralizing and utopian thinking suffered severe setbacks after the Second World War. Collectively, it was deemed that authoritarian governments abused utopianism to develop cynical versions which served the whims of the state leadership instead of the people who labored. Today, the only legitimate utopias appear to be the further intensification of economic activity, even though, for the most part, we have more than enough food for everyone alive on this planet, and enough resources for a lot more people to live happy, dignified, fulfilling lives. As Bregman suggests, while a world without utopias makes us immune to ideological deception, it also makes for an exceptionally hollow future with little to live for: And driving it all is a force sometimes called “liberalism,” an ideology that has been all but hollowed out. What’s important now is to “just be yourself” and “do your thing.” Freedom may be our highest ideal, but ours has become an empty freedom. Our fear of moralizing in any form has made morality a taboo in the public debate. The public arena should be “neutral,” after all—yet never before has it been so paternalistic. On every street corner

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we’re baited to booze, binge, borrow, buy, toil, stress, and swindle. Whatever we may tell ourselves about freedom of speech, our values are suspiciously close to those touted by precisely the companies that can pay for prime-time advertising. If a political party or a religious sect had even a fraction of the influence that the advertising industry has on us and our children, we’d be up in arms. But because it’s the market, we remain “neutral.” (Bregman, 2017, p. 17)

In this regard, we as educators ought to develop a response to the question of why one ought to be educated – for what ends might we desire education to pursue? For me, any form of education will always have to attend to the reproduction of our collective cultural achievements. Yet, such a position is never going to be sufficient. As Hannah Arendt (1958/1998) suggests, every generation is born anew, bearing the possibility of escaping the politics of the old world, and inventing for themselves a world that never was. Our responsibility, as educators and custodians of an unseen world, should be to give the young every opportunity that they might surpass our own achievements. For STEM, perhaps the most pressing issue at hand concerns the continued survivability of the ecosystem given the extensive amounts of destruction brought about by the amplified means of STEM. The proverbial genie is out of the bottle, and given the ways in which contemporary lives are dependent on our current practices, there is likely no easy way in which we can abandon these practices. However, it might be possible for us to understand the goals to which we deploy STEM knowledges, in order to change them. For instance, while smartphones have become ubiquitous, it is only our collective vanity and the desire of companies to keep on providing a return to investors that we continue to design phones that are essentially not repairable or whose usable lives are severely limited. A STEM education that helps students understand the sociocultural aspects as well as its techno-scientific analog has a higher potential for students to understand these issues that affect our very existence. Despite what has been written above, the promise of STEM might actually emanate from the inclusion of technology and engineering into the precollege science and mathematics curriculum. Science and mathematics as school subjects have for a long time been taught almost as pure abstractions with no necessity for them to have any practical relationship with everyday life. Why else would we care that students can recall the electronic configuration of bromine, but not understand what to do when internal combustion engines fail to work (Barton & Osborne, 2002)? Or how to perform formal geometric proofs, but not how cryptography keeps our Internet communications safe (Lockhart, 2009)? The inclusion of technology and engineering into a precollege curriculum can actually get students to understand the societal nature and deployment of the knowledge that we have collectively developed over the years. However, it needs to do so in a way that does not assign technology and engineering a certain subsidiary status as merely the contributor of “cool gadgets” or construction activity in order to push the high-status science and mathematics. Technology and engineering are inherently and deeply social in that they involve decisions about the appropriate deployment of knowledge.

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In this sense, STEM, as a curriculum goal, helps bridge the divide between the descriptive science and mathematics, and the normative praxis of technology and engineering in deciding what it is that is appropriate to make real. And while technologists and engineers have to date been able to get away with an education that cuts out the “useless knowledge” of the humanities (Midgley, 1990), humanities educators need to come to the (curriculum) table to assert their expertise in critique, seen as an expression of the ways in which we fall short of utopia – for whoever dreams it. Therein lies the promise – that STEM can be a new school discipline that helps students understand their lives as technologically mediated organisms trying to understand the complexity of what a better life constitutes.

Conclusion It is not often that educators get to influence the shape of what might possibly be a new subject for schools. STEM as a potentially new school subject is just such an opportunity, for which educators might want to expand their sphere of consideration of what such a subject could constitute. Certainly, there is the weight of history suggesting that a subject that terms itself as STEM ought to possess knowledge forms pertinent to its individual components. Yet, as has been shown in the chapter, there are human aspects that have traditionally been relegated to the realm of “nonSTEM” that actually should be part of it. Yes, there will be costs to doing so, but in return we will gain the capacity to reconceptualize serious issues that afflict societies at large. It is not quite so much that there are problems that, in a pragmatic way, need to be solved. There are, but more importantly will be the notions of what we ought to do with the tools and knowledge that we possess. Interdisciplinary studies of science-technology-societies have made hard won gains in transcending tribal boundaries, studying what STEM practitioners do, not just what they say they do. It is about time that precollege schools take the opportunity to help more people understand ourselves so that we might think differently, and act differently. Given the urgency and how far away from this we appear to be, I sincerely hope we act soon.

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Section VI Future of Work, Adult Learning, and Design of Learning Helen Bound

The truism that the future of work is changing rapidly is one that has implications beyond employers and workers; it has profound implications on what it means to support learning. The multiplicity of reasons why work is changing includes any combination of digital disruption/transformation, changing global relations, means and organization of production (of goods or services), or global pandemics. Yet we continue to see dominant approaches to work and learning as being about knowledge reproduction, implying an unquestioning stance of accepting our lot in life. However, the future of work is something we create, to varying degrees depending on power relations, colonial legacies, race, class, gender, and our collective agency. Many of the contributors in this section seek a future invested in social justice, ecosystems (micro and macro) that support individuals and collectives to be and become their potential, to flourish, calling into question dominant paradigm about education, learning, and the ecosystems that support these activities. We are all familiar with how technology is changing people’s access to information. Several chapters highlight the need for the shift from an emphasis on technology as the solution to human-robot co-working and bioeconomy for humanistic, democratic, and just societies. But to change relations between human and machine (technology) it is necessary to practice different ways of thinking and relating. Yet at this period in time, we still operate with a dominant monologic approach to the design and enactment of learning that requires reproduction. Chatbot GBT is a recent example of technology fundamentally changing relations not only between human and machine, but between learning, educators, employers, policy makers, professional bodies, licensing bodies, and other stakeholders in a learning ecosystem. The calls in this section for a shift from monologic instructional approaches to more dialogic approaches to better equip participants employability and ability to thrive in changing circumstances are evident in most chapters. Such shifts, argue many of the contributors in this section, require working with diverse stakeholders, connecting up institutional, workplace, and online spaces. The diversity of training providers in adult and continuing education space, and employers alike, requires these members of any learning ecosystem to engage with

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each other as knowledge partners, to create jobs that develop capabilities, identity, and agency in strongly supportive workplace learning cultures. This may seem complex enough, but, as a number of contributors argue, colonialist legacies, race, class, gender, and gender identity have long histories that perpetuate unequal and unjust practices. To turn around these practices that destroy lives and deny the voices of diverse peoples, including indigenous owners of the land, we need to not only change how we prepare our educators across all sectors of the education system but to change practices within and across learning ecosystems. When we think of learning, be it “classroom,” workplace, and/or using technology, there is a lot to question as we move forward. The use of language such as acquisition of knowledge connotes reproduction of what are often dominant ways of thinking and doing that place responsibility on the learner alone, yet also limit opportunities for agency. Learning for the future of work, suggest contributors in this section, should include holistic, ecosystem perspectives that consider relations between ways of thinking about skill, for example, or how to create high-quality learning experiences for young people, or changing how we develop our educators for different purposes, to supporting capability development of and within organizations and relations between players in the ecosystem.

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Stephen Billett, Justina Tan, Calvin Chan, Wan Har Chong, and Joel Sim Chun Keat

Contents Future Work, Workers, and Innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Employee-Driven Innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Innovative Practices in Singaporean Small- to Medium-Sized Enterprise . . . . . . . . . . . . . . . . . . . . . Investigating Innovations at Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Innovations at Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Kinds of Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Zones of Innovations: Processes for Initiating, Endorsing, and Implementing . . . . . . . . . . . . . . . . Zones of Learning and Development Through Innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Employee-Driven Innovations: Engagement, Zones of Discretion, and Learning . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Future work will likely be characterized by the need for workplace innovation and workers’ continuous learning. Both can be partially or wholly addressed through work activities and interactions. Responding to changing requirements of occupational practice and workplace practices involves initiating and enacting workrelated innovations. Through these processes, employees’ work-related learning S. Billett (*) Griffith University, Brisbane, QLD, Australia e-mail: s.billett@griffith.edu.au J. Tan · J. S. C. Keat Institute for Adult Learning, Singapore, Singapore e-mail: [email protected]; [email protected] C. Chan Singapore University of Social Science, Singapore, Singapore e-mail: [email protected] W. H. Chong National Institute of Education, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_67

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will arise concurrently and interdependently. As workers initiate and enact innovations, the legacies include their learning through them. Even when innovations are initiating by others, the implementation process realizes learning through adapting them to workplace needs. Hence, these co-occurrences and interdependencies are central to both learning and processes through which occupational, workplace and work practice changes are enacted, remade and transformed. Understanding further how employee-driven innovations coalesce is, therefore, central to advancing understandings and practices for future work and working age adults to remain employable and innovative in future work. Drawing on findings from an investigation of how innovations in small to medium size Singaporean enterprises are initiated and enacted, the scope and legacies of different kinds of innovations and their developmental potential comprising workplace activities and interactions are delineated. Three kinds of innovations (i.e., Strategic, Workplace practices, and Procedural) have been identified that shape employees’ potential zones of development. Each has specific characteristics associated with their initiation, authorization, enactment and adoption, and learning potential. These three zones of potential employee-development are advanced as a means of elaborating: (i) the interdependence of innovations and employees’ learning, (ii) processes through which innovations and learning co-occur, and (iii) how such processes can be supported in workplaces through workplace practices, on the one hand, and the practices and engagement of employees, on the other. Keywords

Innovations at work · Innovations · Employee driven innovations · Innovation and learning · Zones of development · Workplace learning · Employee discretion

Future Work, Workers, and Innovations What paid work will comprise in the future is difficult to predict with any certainty. This is also the case for the kinds of occupations that will be most prized, and the composition of capacities required for occupational competence and workplace performance. We can be confident, however, that future work will be characterized by the need for workplace innovations and employees’ ongoing learning as enterprises respond to the constantly changing requirements for their goods and services. Both requirements necessitate responding to factors associated with emerging work practices, technologies, and flexibilities of activities and interactions needed to achieve these outcomes. Such activities and interactions include workplace practices and organization, and workers’ engagement and practices. This suggests that, as in the past (Epstein, 2005; Halvarsson Lundkvist & Gustavsson, 2018), much of workplace and occupational innovations and the learning associated with them are embedded in and realized through workers’ engagement in employment-related activities and interactions. This is because responding to the changing requirements

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of occupational and workplace practices comprises initiating and enacting workrelated innovations that are germane to the specific enterprise circumstances and needs and in ways generative of learning to support them (Billett, 2012). Yet, the potential here is that through these processes, employees’ learning will arise interdependently. It is their identification of potential responses to work-related problems or challenges, selecting and generating the most appropriate responses, and then enacting and monitoring them that is generative of employees’ learning and development. This comprises significant interdependencies between workplace innovations and learning. Going beyond the learning arising when employees initiate and enact innovations is the learning arising when those innovations are introduced by others. Their implementation necessitates learning as employees tailor these innovations to the requirements of workplaces and resolve issues. Together, these processes require employees to engage in problem-solving through which changes in thinking and acting arise (i.e., learning). Hence, there is a co-occurrence and interdependence between learning and innovations at work (Billett et al., 2021). It is through this co-occurrence that occupational, workplace, and work practice changes will be enacted, remade, and transformed interdependently. Importantly, without the learning arising through initiating and enacting them, there would be no innovations and, reciprocally, these innovations provide the platform for employees’ learning and development. Understanding further how employee-directed and -driven innovations coalesce, therefore, is central to advancing how key basis for future work and generating the kinds of learning required by working age adults to remain employable and innovative in current, emerging, and future work. Salient here is the concept of employee-driven innovations (EDI) (Hoyrup et al., 2012). That is, those innovations that are initiated, enacted, monitored, and evaluated by employees. Drawing on findings from a study of how innovations in Singaporean small-to medium-sized enterprises (SME) are initiated and enacted, it was possible to identify and delineate three different kinds of innovations (i.e., Strategic, Workplace practices, and Procedural), the degree by which employees are involved in the initiation and enactment of each of them, and potential for the kinds and extent of learning arising through them. Broadly, the qualities of initiation, authorization, enactment and adoption, and the learning required for and arising from each of these three kinds of innovations are held to shape potential zones of development. These three kinds of EDI in the respective zones of development are advanced as a means of elaborating. These include: (i) the interdependence of innovations and workers’ learning, (ii) processes through which those innovations and worker learning can co-occur, and (iii) how such processes can be supported within workplaces. Such support can come through processes of workplace performances (i.e., invitations to contribute) on the one hand, and the practices and engagement of the employees as innovators and learners, on the other (Halvarsson Lundkvist & Gustavsson, 2018). Zones of development identified as Procedural innovations are most central to the original concept of EDI. That is, it is only these that are initiated, enacted, and monitored wholly by employees, and afford opportunities for that range of potential learning. Through these processes, employees come to develop range of

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knowledge required for responding to changes, including evaluating the efficacy of their responses. The Strategic and Workplace practices innovations are also engaged with by all employees. However, the scope of their discretion, engagement, enactment is more limited, but nevertheless leading to different kinds of learning. Yet, and importantly, not all innovations can or will be driven by all kinds of employees, particularly the strategic kinds. So, it is important to understand the roles of and learning through all three kinds of innovations for employees, but also how employees’ engagement with all three kinds can be optimized. In making this case, the concept of EDI is discussed first within the scope of the imperatives of future work characterized by responses to changes in occupational competence and workplace requirements. Then, considerations of the three different kinds and scope of innovations are delineated, elaborated, and discussed prior to describing a practical investigation of these phenomena in seven SMEs in Singapore and discussing key findings from that study. Central here is how the different zones of learning and development are founded on the interdependence among work changes, innovations, and employees’ learning. What is proposed in the analysis is that all three kinds of innovations require and secure employee engagement and learning, interdependently. Yet, while Procedural innovations are the ones that are most faithful to the concept of EDI (Hoyrup et al., 2012), the findings emphasize the importance that employees’ engagement with discretion to and support for learning through all three kinds of innovations.

Employee-Driven Innovations The proposition that employees (i.e., workers) can and should initiate innovations in and through work is long standing and central to the evolution of both occupations and work practices. Across human history and cultures, workers have been generative of many, if not most, of the innovations that have sustained, extended, and advanced the occupational practices that serve societal, community, and personal needs (Barbieri-Low, 2021; Epstein, 2005; Gimpel, 1983): indeed, societal progress. Before the current era of schooled societies with educational institutions preparing novice practitioners, work sites were the key places for not only the initial learning and ongoing development of occupational capacities (Billett, 2012), but also innovations (Epstein, 2005). Even though many large enterprises now have developmental teams, product development processes, and strategically planned innovations, it seems that many innovations still arise through employees’ everyday work activities as they respond to challenges, problems, and work arounds (Billett et al., 2005). In relatively recent times, the value of that involvement was highlighted by the Hawthorne experiment, which among others indicated that when the workplace takes an interest in workers, they return that interest in problem-solving and greater productivity. Indeed, the absence of discretionary roles seemingly leads to the opposite outcome – low morale and productivity in Taylorist production work (Kincheloe, 1995). It is also noteworthy that in the economic and social reconstruction after the Second World War, these employee engagements were central to these

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national efforts. The two economies that emerged most strongly from that war (i.e., Japan and Germany), both engaged optimally the efforts, capacities, and energies of their workforces, albeit in different ways that led to high productivity and innovations (Sennett, 2008). While different approaches were adopted, the common feature was the optimization of the capacities and creativities of frontline workers. Hence, this evidence suggests that how employees are engaged in workplaces and able to exercise their capacities influences outcomes associated with productivity, the generation of innovations, and opportunities for learning aligned with their employability. Contemporaneously, data from the Program of International Assessment of Adult Competence (PIAAC) (Organization for Economic Co-operational and Development, 2013, 2016) indicates that the level of discretion afforded to workers differs across countries and those granted high levels of discretion enjoy productive outcomes. The data from countries with entrenched social democratic ethos and practices indicated high levels of discretion. For instance, Swedish workers reporting high levels of discretion in their ability to select and complete work tasks, compared with countries in which such discretion was not extended (OECD, 2013). In contrast, the findings from the 2015 PIAAC survey in Singapore indicated relatively low levels of discretion being reported by large parts of the workforce (Organization of Economic and Cultural Development, 2016). This led to the Singaporean government openly encouraging enterprises to afford greater discretion and openness to their workforces (Ministry of Manpower, 2016). The clear governmental imperative is that for this city nation to remain economically viable and competitive in increasingly globally competitive environment that it, like all others, requires workforces that are competent, adaptable, and able to innovate to sustain and extend the viability of their workplaces. Worker discretion, problem-solving abilities, and being innovative are all core qualities for workers now, and for the foreseeable future. The concept of employee-driven innovations (EDI) was derived from Scandinavia and popularized as a means of proposing how workers’ interests, capacities, and abilities could be most effectively deployed to achieve that workplace viability (Hoyrup et al., 2012). That is, in Scandinavian countries that history has demonstrated the worth of fostering collaboration among government, capital, and labor as directed toward differentiated, but common goals associated with working life, engaging employees in driving innovations is viewed as orthodox (Scott, 2014). The evidence from the PIAAC data suggests that workers in Sweden report higher levels of discretion in work activities than those in other countries in the Global North, and South (OECD, 2013). So, this finding raises questions about the degree by which such practices can be exercised across nation states such as the AsianPacific area that is the focus of this volume. That is, those with cultural sentiments that might be more deferential to others and whose workforces are less used to workplace discretion are yet to be fully understood. For instance, in Singapore, as perhaps in other Confucian heritage countries, there are concerns that some workers have come to view themselves as “rank-and-file” and whose roles or responsibilities as employees do not extend to suggesting and driving innovations. These are, instead, viewed as others’ roles and responsibilities.

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However, the evidence from across human history suggests that all kinds of workers have the capacities to drive innovations (Bertrand & Noyelle, 1988; Epstein, 1998, 2005; Wegener, 2017) and learn through problem-solving activities such as has been captured in the recent PIAAC data. However, there are also occupations and forms of work that may not always be seemingly well aligned to accommodating EDI. The “command and control”-based occupations of emergency services, police, and military that are highly codified and regulated may not encourage or reward innovations. Yet, even here, these kinds of workers need to quickly adapt to changing circumstances (i.e., be innovative) (Chatham, 2009). Then, there are also occupations and workplace practices in which innovations must be trialed and carefully tested prior to being adopted (e.g., healthcare, aviation, and some aspects of engineering). This is not to say that these occupations do not warrant, need, or welcome innovations being proposed by practitioners (i.e., employees). It is just that those innovations need to be authorized and those changes regulated, adopted, and implemented with care and fidelity with tested practices. This issue of initiation and authorization also arises in the kinds of innovations that are being considered by all kinds and levels of employees, including owners and managers, in their workplaces. Those innovations that have significant implications for the viability of the workplace, such as a change in the products or services, and how these are produced, are likely to require initiation and authorization from senior levels in the enterprise. Put simply, there are quite different kinds of innovations that have potentially major or quite minor implications in terms of risks, threats to viability, and potential benefits and enterprises’ direction and focuses. These qualities can also be quite different in terms of their scope and the extent of remaking or transforming practices.

Innovative Practices in Singaporean Small- to Medium-Sized Enterprise Given the salience of employee engagement in workplace innovations, it is helpful to understand the circumstances and means by which processes of EDI can be initiated and enacted across different kinds of occupations and innovations. Here, these processes are elaborated and illuminated through considering how employees can contribute to innovations in small- to medium-sized enterprises (SME) in Singapore. The reason for selecting these kinds of enterprises is that they are often the most common kind (i.e., they outnumber larger enterprises) and are key to national economic activity and employment in many countries and Singapore is no exception. Moreover, these kinds of enterprises often have distinct patterns of employees and specialisms. These range from enterprises employing predominantly highly educated workers (e.g., health, finance, law) to those addressing service provisions (cleaning, delivery work) often with employees with relatively low levels of education. Also, in reference to what has been proposed above, workers in Singaporean SMEs report lower levels of workplace discretion across four key measures than their counterparts in larger enterprises and lower levels of engagement

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in nonroutine problem solving, than counterparts in larger enterprises (OECD, 2016). These problem-solving activities require higher-order cognitive capacities and are generative of the kinds of learning required for on-going viability (Chi et al., 1982; Ericsson & Smith, 1991). These differences suggest that there are work-related factors in these kinds of Singaporean enterprises that need to be understood and, perhaps, ameliorated to promote greater engagement in workplace innovations. Also, in contrast to larger Singaporean enterprises, in which the majority of workers have an International Standard Classification of Education (ISCED) qualification of Level 3 or above (>90%), SMEs have much higher percentage of workers who have an ISCED qualification of level 2 or below, i.e. 28% for small businesses with between 1 and 10 employees, and 17% for enterprises with between 11 and 50. Additionally, approximately 64%, or more, of workers in larger enterprises hold an ISCED qualification of Level 5 or 6 in comparison to 45% of those employed by enterprises between 11 and 50 and 31% at small businesses with between 1 and 10 employees (OECD, 2016). It follows that patterning of employee profiles suggests Singaporean SMEs generally employ or are only able to employ workers with lower levels of education than those in larger enterprises (OECD, 2016). These kinds of workers may have less confidence to, abilities for and be afforded less opportunities to innovate. SMEs, especially those with between one and ten employees, are also reportedly only affording their employees limited kinds of discretion. For example, up to 39% of these small businesses reported giving their workers no or very little freedom to choose the sequence of their work, or change their main work tasks (33%), or change the pace of their work (29%). These data suggest that the kinds of discretion workers have in Singaporean SMEs are more limited than those in larger enterprises. Like problem solving, high levels of discretion require and are generative of higher order learning outcomes, hence engaging workers in them potentially has consequences for the learning. This pattern suggests that rather than the issue being about workers in SMEs, it extends to those workplace practices. This includes employees being variously invited or inhibited, encouraged, or discouraged from innovating and supported in doing so. Hence, while efforts might need to be exercised to encourage workers in SMEs to be more innovative, this might only occur if there are practices in these enterprises that promote, acknowledge, and reward such behaviors, which is what the Singaporean government aims to achieve. Invariably, workers in all kinds and sizes of SMEs must be able to respond to changing demand, products/services, and need to draw upon the capacities and interest of their employees to do so. These kinds of enterprises, as noted, are less likely to have special staff dedicated to identifying, initiating, and managing innovations. More likely, these will remain the product of workers, supervisors, and managers/owners whose close engagement can be well aligned with the adoption and implementation of innovations. Such background data emphasize the importance of understanding how EDIs can occur in these kinds of workplaces, compared with the high discretionary ones in Scandinavia from which the original concept of EDIs was derived.

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Investigating Innovations at Work The practical investigation whose findings are drawn upon here comprised a series of case studies of Singaporean SMEs in a range of industry sectors. These sectors included service provisions (i.e., removalists, maintenance, cleaning, education), food production, storage and logistics, and auditing work. The enterprises identified, approached, and agreeing to participate in this project were those that had indicated they were adopting innovative practices, had recently or were going through significant changes, and who also had recently won business awards where innovations were key criteria. Such enterprises are able to provide interviewees who are aware of these processes of change and could provide grounded data whose validity is enhanced by being able to recount and make judgments about the changes they had experienced (i.e., innovations) and how they had participated in those changes, and learning. In all, there were seven case enterprises and up to ten interviewees within each SME. These enterprises comprise (i) Peace – a removal company, family-owned business that organizes the removal and transportation of household goods both within Singapore and overseas; (ii) Forrest – a food production company that is family-owned and produces, markets, and distributes its own brand of steamed buns; (iii) Education School – a privately run educational provider for overseas school-aged children; (iv) Storage Hub – a privately run enterprise that provides warehousing and transport for Singaporean enterprises; (v) Audit central – a privately owned company that provides auditing and accounting services to both public and private sector organizations; (vi) Best Maintenance – a privately run company that provides maintenance services to a range of buildings, and (vii) Corporate Cleaning – a privately run company that provides cleaning services to offices, airports, shopping centers, and other facilities. In each enterprise, two rounds of interviews were undertaken with employeeinformants. Following requests that a vertical slice of employees be selected by the enterprise for interviews, each informant was interviewed individually and, occasionally, in pairs of peers. Across these seven enterprises, first interviews were conducted with 58 employees, and a slightly smaller number in the second due to workplace attrition/separation. In the first interview, a series of questions were asked about the informants’ workplace, its activities, their roles, and responsibilities and requested to describe innovations and changes in workplace goals, processes, and activities that had arisen over the last few years and particularly, recently. In addition, demographic information about each informant was gathered (i.e., duration of service, roles, educational levels). Informants were pressed to provide instances of how those changes (i.e., innovations) have been initiated, enacted, and evaluated and the kinds of learning associated with those innovations that was required by these employees, to provide grounded data. Because of social isolation measures, the interviews were conducted through an online platform (i.e., Zoom) that permitted them to be recorded as digital files. These files were then professionally transcribed. The researchers engaged in separate thematic analyses based broadly on a division of identified (i) personal and (ii) workplace factors shaping the innovations in each enterprise. Regularly, (i.e., fortnightly), the researchers shared and discussed their

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analyses that were then collated into summaries. In this way, the interview transcripts were subject to separate thematic analyses by research team members. Through this process, broadly consistent major themes such as workplace and personal factors and the kinds of innovations were identified and then delineated within the data analysis, which led to more nuanced and detailed categorization of the data. In the second round of interviews, the aggregated findings for each of the enterprises were presented in the form of short statements capturing what had been identified. These were presented to the informants as a set of propositions on a PowerPoint and they were requested to indicate their agreement or otherwise and provide instantiations and substantiations of their responses and discussion around them. Again, these interviews were digitally recorded and transcribed. The analysis comprised an initial thematic appraisal, and then the instantiation and illustration of data referring to those themes and quantitative analyses of the frequency in which the specific thematic issue was identified in the informants’ utterances. The analysis and findings presented and discussed in this chapter represent one specific line of focused analysis and categorization. That is, to identify the different kinds of innovations that occurred in these enterprises and the scope and possibilities for EDIs within them. So, to begin to understand how employees can initiate, enact, and evaluate innovations in workplaces, to achieve what kind of purposes and under what circumstances they are able to exercise their capacities in so doing. It also sought to delineate the different kinds of innovations and particular roles that all kinds of workers and employees exercise within their initiation, enactment, and evaluation.

Innovations at Work This section reports and discusses findings about the kinds of innovations that were identified and how these differed in terms of: (i) their scope or scale; (ii) who initiated them; (iii) who approved them, (iv) who implemented them, and (v) how they were implemented. These delineations are helpful to understand the kinds and character of the innovations conducted and the extent to which they were driven by employees.

Kinds of Innovation As foreshadowed, three distinct kinds of innovations can be delineated from the interview data with workers of different kinds and classifications within these seven enterprises, largely based on the scope and scale of the innovations that were enacted and experienced by the informants. Such a delineation seems relevant as the reported innovations are of different scope and scale. These range from those associated with Procedural changes to the goals of the enterprise, its ways of working through to refinements, and honing of its work procedures. Workplace changes have resource implications, potential risks, and impacts and benefits. Consequently, innovations

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that were identified as representing major shifts in the enterprise’s goals or processes (i.e., Strategic, Work practice) and those with positive or negative potential impacts are the ones that are most likely to be initiated by senior management and needing to be carefully considered, trialed, and carefully monitored by owners, managers, and supervisors. Then, there are those that are reported as comprising refining what already occurs, with more limited potential benefits and risks, which are perhaps most likely to be initiated by employees engaged in related tasks. It is often those employees who confront and need to find ways of addressing practical problems and emerging challenges (Hoyrup et al., 2012). As previewed, from the data analyses three distinct categories of innovations were identified in research on the changing nature of work (Billett, 2006) but labeled here as (i) Strategic, (ii) Work practice, and (iii) Procedural innovations. Each of these three kinds of innovations is quite distinct in terms of the scope or scale and patterns of how they are initiated, endorsed, and then enacted and sustained. As such, they offer helpful descriptive and explanatory categories for understanding the degree by which EDIs arise and the differentiated role of employees within these different kinds of innovations. In brief, they comprise: Strategic innovations – those innovations that shape changes in the direction, fundamental operation, and key aspects of the enterprise, including the work undertaken and how it is undertaken. These are usually reported as being initiated and endorsed by senior management. Work practice Innovations – those innovations associated with changing how work in the enterprise is undertaken, including its organization and enactment, which is usually initiated and endorsed by senior management, but enacted by operational staff. Procedural Innovations initiated by staff – these innovations comprise enhancements, improvements, or transformations of actual working practice – often initiated by operational staff but endorsed by management/supervisors/“keymen” and enacted by operational staff.

It is the Procedural innovations that constitutes the kind of EDIs that characterize the focus of the original conception proposed for Scandinavia (Hoyrup et al., 2012). These are the kinds of innovations in which the operational or “rank-and-file workers” and/or lower-level supervisors exercised their discretion to innovate as they conducted their work, solved problems, and advanced ways of working to accommodate new or emerging challenges. This set of three distinct kinds of workplace innovations and differences of kinds and levels of worker engagement and discretion stand as bases for analyzing of innovations in other workplaces, and the likely processes required for their initiation, endorsement, enactment, and monitoring. Moreover, each of these three kinds of innovations had their own Zones of Innovation – how they are initiated, endorsed, and enacted, and which can be used to predict the kinds of learning likely to arise through employees’ participation in them. It is helpful to emphasize and illuminate the qualities of these innovations. Yet, it is also important to appraise the range of innovations in these workplaces to illuminate their differences, frequencies, and scope of change and potential implications for the learning by employees that can and needs to occur through their initiation and

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enactment. While there are clearly different kinds of innovations that have distinct requirements for their initiation, endorsement enactment, and evaluation, noteworthy is that, in all, some degree of employee engagement and innovation is required in all three. That is, while not all the initiation of innovations are driven by employees, they still need to be involved, informed about, and be able to engage effectively with their enactment and adoption in practice. So, each of these separate kinds of innovations have their own zone or scope of employee discretion, enactment, and adoption. That adoption and utilization is most likely to arise when these workers become committed to them through their proven usefulness to achieve workplace goals. Earlier and classic studies indicate that workers largely adopt such initiatives, regardless of the source of initiation, only when they have developed the capacitors to utilize them effectively and they have proven utility for these workers (Mclaughlin & Marsh, 1978).

Zones of Innovations: Processes for Initiating, Endorsing, and Implementing The reported instances of innovations identified across these seven enterprises include the three kinds of innovations, each with distinct patterns of processes of initiation, endorsement, and implementation. Table 1 presents the synthesis of an analysis of the first round of interviews in the seven SMEs. The left column indicates kinds of innovations. The columns to its right, present summaries of: (i) who initiates these kinds of innovations, (ii) who approves or endorses them, (iii) who implements them, and (iv) how they are implemented. The right column indicates the number of each kind of innovations. Although not compelling or even surprising given the need for employees in each of the enterprises to respond to emerging work-related challenges, the most frequently reported kind of innovations are the Procedural, those that are initiated and enacted by employees. Table 1 Kinds of innovations: initiations, approvals, implementation Kind of innovation Strategic innovations Work practice innovations

Procedural innovations

Who initiates Executive

Who approves Executive

Who implements Top-down

Executive/ development team/ accounts team Operators, supervisors, keymen, operational staff

Executive

Top-down with consultation/feedback from supervisors, workers, technical expertise Bottom-up with consultation/operators/ supervisor

Executive/ managers/ supervisors/ operators/ innovation team

How implemented Information, sharing feedback Information, sharing feedback, trialed by supervisors and workers Bottom-up with support from workplace

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As presented in Table 1, the Strategic innovations are largely initiated by members of the executive. This is unsurprising as they usually first need to be initiated and endorsed by senior management after they have been trialed and deemed to be effective. The process of implementation is one in which operational staff are informed, consulted, and encouraged to engage, adopt, and adapt as part of their work practices. There is nothing particularly unusual about this as it is a quite common practice in both large and small enterprises and particularly those with hierarchies (e.g., government, health, command and control, public service, aviation). Technically, this is referred to as bounded agency (Shanahan & Hood, 2000). That is, the extension of the degree of agency and discretion that workers can engage in and conduct, within institutional boundaries, i.e., those associated with viability, workplace performance, and management of risk. However, central to employees’ adoption of these initiatives is premised on those at the operational level becoming committed to them, particularly when those workers are not able to be closely monitored or supervised (Mclaughlin & Marsh, 1978). That is, the degree of adoption and adaptation of these innovations and commitment to these may differ depending on whether the employees are working within a confined and observable workspace such as in Forrest, the food manufacturing company that occupies one physical space or working in supervised teams away from the direct control and observation of the managers. Hence, the zone of their discretion is limited through close surveillance. Such commitment to innovations also arises from employees’ confidence and competence in their use. For instance, with Peace removalists, these work team members’ engagement with some of the information technology applications seemed more partial, than might have been intended. Working outside of direct management surveillance and their work necessarily requiring a high degree of operational discretion, they were able to make decisions about its use. The issue was generated by some older workers’ reluctance to use, for example, the fleet management app on their phone due to their limited competence with the technology. Also, with Education School and Audit Central, employees (i.e., auditors) who enjoyed a level of professional autonomy had to be persuaded and encouraged to use new technologies. At Education School, new technologies were to support online education provisions, and at Audit Central where artificial intelligence applications as part of their auditing work, for which some of them were quite skeptical. In this kind of work, educators and auditors are held professionally accountable for the quality of their work. Thus, it is important that the employees have developed a commitment to these innovations through beliefs about and capacities to implement them effectively. Here, some of the auditing staff were very reluctant to engage with artificial intelligence applications because they were concerned about its effectiveness and whether their auditing work would be compromised by a process that was outside of their immediate control. They, as regulated auditors, have professional responsibilities, and they would have to make personal declarations about the enterprises that they audited. In this enterprise, the management had to explain and encourage the auditors to use this technology rather than simply make it mandatory. For instance, they advised their auditing staff that other auditing companies were using this technology, which was making them more competitive than Audit Central.

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Hence, they have to use persuasive arguments to encourage the auditors to take up this technology. So, even though they were working within the same physical environment, their autonomy and discretion about whether they would use artificial intelligence to aid their auditing work as professional auditors meant they were able to mediate their engagement with that technology. This discretion would not be afforded some of the other kinds of workers across the seven enterprises. Even when workers are being closely monitored, their adoption is more aligned with “mastery” than “appropriation” (Wertsch, 1998). Mastery refers to the superficial adoption of something to comply with those who are observing or monitoring them, whereas appropriation refers to the wholehearted acceptance and engagement that will be exercised regardless of the individual being monitored by others. Yet, the cases provided instances of considered and persistent efforts by management and supervisors to support employees who were reluctant to adopt innovations, and this extended to cultural sensitivities. For instance, some of these enterprises employed elderly Singaporeans (referred to affectionately as “aunties” and “uncles”), who were treated with caution and respect as long-standing employees and as mature citizens in a culture where filial piety (i.e., respect for elders) still plays a role as was the case at Forrest, Corporate Cleaning and Storage Hub. In some instances, a level of tolerance and quite generous support was extended to these “aunties” and “uncles.” Yet, it may not have been extended to migrant workers, who themselves were aware of their more precarious employment circumstance, and often expressed statements indicating compliance with innovations. However, there is always the risk that when employees are pressed do something about which they remain unconvinced, the outcome will be superficial compliance (i.e., mastery) rather than effortful engagement (i.e., appropriation) (Wertsch, 1998). Superficial compliance means that when such workers are not being directly observed and supervised, they may relinquish the innovative practice and proceed as they would prefer. Indeed, when really short on time they might not even pretend to implement the initiative, as was suggested by some informants at Audit Central. So, issues of engagement in these workplaces and the distinctions between mastery and appropriation were played out in terms of the kinds of workplace practices adopted, the standing of the workers, and their ability to exercise discretion, and the social standing of these workers (i.e., uncles and aunties versus workers). So, here we see the dualities of workplace affordances and individual engagement being exercised terms of workplace change and the take-up of innovations. The same appears to be the case with Work practice innovations, largely being initiated and endorsed by the executive or senior managers but, at Peace removalists, including consultation with workers, down to the supervisor level (i.e., “keyman”). This kind of engagement and interaction indicates a higher level of engagement at the operational level (see Table 1). This situation perhaps arises because of the need for these work practices to be engaged with and adopted within the specific circumstances in which there are nuanced understandings about the requirements for work tasks and how these might best be realized. That is, they impinge more directly upon employees’ work activities. At Peace and Best Maintenance, there are monthly meetings in which supervisors can provide feedback about the adaptation of

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innovations, and issues being faced. Because of the nature of their work, supervisors at Best Maintenance held weekly meetings, and then continually addressed and negotiated daily work tasks using electronic media (i.e., WhatsApp). Here, most likely the same kind of considerations for assisting workers engaged in innovations are likely to be relevant. That is, workers are only really appropriating and adopting these practices once they are convinced of the benefits and have developed the capacities to enact these innovations. Once more, studies on the adaptation of innovation indicate that it is less important from where or who the initiative originates (i.e., either within or outside of the workplace, for by co-workers). What was important was employees’ ability to be involved in, make decisions about, and implement the innovation in ways informed by their understandings, practices, and beliefs, and confidence in those changes. Hence, auditors working at Audit Central were cautious about adopting artificial intelligence to undertake tasks for which they would ultimately be held accountable. The Procedural innovations offer a different pattern (see Table 1). Here, the initiation of innovations is more broadly distributed across the workforce, including those at the operational level. These capture the original conception of EDIs. The initiation of these innovations is often founded in workers’ responses to problems, albeit requiring processes of consultation, evaluation, and eventual endorsement before they can be legitimately enacted. While there are instances where workers must seek endorsement to enact certain innovations, there are others when endorsements are not required due to various reasons (e.g., does not require financial investments; safety and health regulations are met). It seems that these processes are likely to be less linear and, potentially, longer than those initiated by executive. They might even be iterative, progressing, and then halting to respond to challenges and then progressing further. For example, the initiative associated with having a hydraulic tailgate to lift cumbersome or heavy items, while suggested by a supervisor at Peace, was not initially accepted or endorsed by the executive. The initial case made was based on requiring less manpower, which was not sufficiently convincing to warrant the expenditure by the enterprise’s management. Only later, when a government incentive was secured from to trial this technology, was it able to be trialed and found to be successful. So, here, different processes of initiation, evaluation, endorsement, and then implementation of Procedural innovations were evident than those for Strategic and Work practice innovations. Being innovative more generally, and in any of these three kinds of innovations, also imply the need to gather information to justify a set of changes and seek permission and support for bringing about those changes at levels beyond the procedural matters (i.e., particularly for Work practice innovations and Strategic innovations). Much of that permission-seeking is to justify and validate the worth of the innovation before it can be endorsed by the SME and enacted by its employees. For most employees, it will be seeking permission for specific Work practice innovations and having a set of understandings about proceeding with innovations at the procedural level. However, that requires a case being made to management underpinned by an appraisal of its worth. That is, engaging in a careful appraisal, constructing justifications, and being able to make a considered case. All these

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processes are inherently learning-related and developmental. In this way, the innovations arise through processes of problem-solving (i.e., innovations) which leads to learning and development, albeit associated with everyday capacity required for associated with storage, removalists, disposal, etc. The point here is that worker discretion, problem-solving, and enacting innovations operate within sets of agreed workplace principles and practices that shape the scope and kind of decision-making they connect (i.e., bounded agency).

Zones of Learning and Development Through Innovations As noted, there is a dual consideration for understanding how innovations can be encouraged and supported, and how learning arises through them and interdependence between them. Presented in summary within Table 1 are the various actors involved in these three different kinds of innovations. In all three, there is a need to involve employees who will operationalize them, which is captured most comprehensively in Procedural innovations. It is the employees’ contributions, interests, capacities, and agencies that are fundamental to these kinds of innovations. In some instances, it is quite pragmatic. That is, individuals are simply seeking to overcome barriers that inhibit their work or make that work more effective and their efforts able to be more targeted and distributed. So, for instance, the teams of furniture removal lists had to make decisions on-site and case-by-case based on factors such as access to apartments, how close they could park the trucks to the apartments, the kinds of items they had to move, and the presence or otherwise of the owners. Similarly, the cleaners in the shopping centers made decisions about at what times and how best for cleaning to occur and in ways that it was most appropriate to use robots or more manual processes. While the scope and impact of these kinds of innovations may, in many instances, be more limited than other kinds, they still play an essential role in workplace performance and workplace viability. For instance, in an earlier study, the initiative of an employee to consider how to more effectively manufacture a commercially provided scanning device led to, potentially, an entirely new line of business for that enterprise (Billett et al., 2021). What is distinct about this kind of innovation is the degree by which it encompasses problem-solving, piloting enacting, and evaluating those processes by employees. It is these elements that comprise the zone of development, albeit bounded by the requirements of the workplace and the permissions necessary that characterize this kind of innovation as being employee driven. The consequences, as discussed below, are quite distinct in terms of their potential for learning and development, and ultimately contributions to that workplace. However, it is also important to acknowledge the potential for contributions and learning from the other two kinds of innovations (i.e., Strategic and Workplace practice). Employee engagement, contributions and agency, while less comprehensive, are also essential to realize the effective implementation, enactment, and what constitutes their success. So, even in these more compartmentalized versions of EDIs such as the introduction of computerized systems in Best Storage and Peace

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removalists, or the use of robots in Corporate Cleaning, these workers still have a central and essential role. This, then indicates that the kinds of efforts reported in these data from across the seven SMEs about involving and engaging employees who are to implement and utilize these innovations, remains important. This finding also highlights the importance of understanding and supporting employees’ readiness to engage in enacting and adopting those innovations. This was commonly reported across the enterprise interviews where it was understood to be more than simple edicts about changes. There was a need to engage, consult, support, and monitor albeit in different ways and by different degrees, and in some instances to provide patience and ensuring support for workers to adopt these innovations and adapt them to their practice. Essential here is a consideration of employees’ learning. As foreshadowed, there is an interdependence between innovations and learning. That is, innovations are inherently dependent upon individuals’ learning through their thinking and acting comprising problem-solving activities when they engage in to identify and propose possible solutions, then pilot and trial them, before enacting them and evaluating them should they be endorsed by the workplace. So as indicated in the PIAAC data, Singaporean employees of all kinds and classifications engage in problem-solving in and through their work and those that are required for innovations are nonroutine problem-solving (OECD, 2016). It is these kinds of problems in which individuals are asked to extend what they know (i.e., conceptual knowledge), can do (i.e., procedural knowledge, and value (i.e., dispositional knowledge) in responding to a new challenge (Billett et al., 2018). Through this process, they extend those forms of knowledge and more than ideation (i.e., ideas, concepts). This includes developing further those specific and strategic procedural capacities that are essential for monitoring, appraising, and making judgments about the efficacy of processes, and thereby extending further individuals’ procedural and conceptual capacities (Billett et al., 2018). Also, the dispositional qualities that underpin both conceptions and procedures are supported and extended through processes that require values to be applied to outcomes, albeit the quality of goods being produced, safe work practices, care for clients, and meeting their needs and qualities of communications and interactions. In these ways, what might be seen as merely undertaking work tasks also can have significant cognitive legacies (i.e., learning and development). Learning comprises the process of change that occurs moment by moment as individuals engage in the process of experiencing (i.e., micro genetic development). However, that learning contributes to individuals’ conceptual, procedural, and dispositional knowledge, and changes to these comprises their development across working life. It is that accumulating ontogeny that individuals bring to subsequent tasks, challenges, and innovations. It follows from the above that the key premise for securing these kinds of outcomes is optimizing employees’ engagement in the thinking and acting associated with innovations, albeit those they initiate, or are initiated by others. Evident in the interview data is the dual process of affordances and engagement. Affordances comprise the ways and degrees by which people are invited to participate in a social practice and learn (Billett, 2001). This concept applies as much within provisions of

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education as what occurs in workplaces, family, community, or any other social practice. Affordances can be both positive and negative. That is, the degree by which the person is invited to participate. For instance, it is likely that at Peace removalists, an operational worker might be encouraged, and their contributions accepted to improve their work practice and productivity (e.g., work practice innovations), but suggestions about strategic innovations might be less welcome. Engagement comprises the basis by and ways in which individuals come to engage in initiating, endorsing, implementing, and adopting the initiative (Hoyrup et al., 2012). The relationship between affordances and engagement is usually relational (Billett, 2001). That is, what for one person may seem to be an attractive invitation, for another it may well be a confronting or restricting invitation. Moreover, individuals’ engagement is likely to be dependent upon whether they perceived benefits in their engagement and will exercise their intentionality, agency, and effort accordingly. For instance, it is suggested that employees who do not have permanent resident status in Singapore may not be willing to invest in high levels of loyalty, commitment, and being free with their time as much as operational staff who are citizens (Billett et al., 2021). Fundamental here is that the greater the opportunities for individuals thinking and acting, albeit through the EDIs captured by Procedural innovations, or the contributions to, enactment and evaluation of the Work practice and Strategic innovations that contribute, in different ways and extent, to employees’ ongoing learning and development.

Employee-Driven Innovations: Engagement, Zones of Discretion, and Learning In sum, the findings from the analysis of the interview data from these seven SMEs provide tentative explanatory accounts about the need to consider innovations as having different kinds and scope. Moreover, what are delineated are bases by which employees can participate variously in the processes of initiation, enacting, and appraising them as comprising zones of discretion, agency, and learning that are bounded by workplace imperatives. These boundaries are in terms of both achieving the goals of the workplace and the capacities of employees to successfully enact such innovations. In conclusion, the key findings from the analysis presented here of these seven workplaces are fourfold. Firstly, it is possible to identify different kinds of innovations that have distinct scope of change, and potential impacts, both positive and negative on the viability of business, and processes of engagement by different kinds of staff. Some offer broad discretion (i.e., Procedural innovations), whereas in others, the discretion is exercised more selectively and managed closely (i.e., Strategic innovations). So, each of these, as they stand and were illuminated, suggests that the scope and possibility for EDIs differ on these bases. Secondly, the evidence is that employees at all levels can identify a need for change and initiating, trialing, securing endorsement, and enacting innovations. For

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operative level staff, they are most able to exercise that discretion within Procedural innovations, but also necessarily contribute to the other two kinds, and particularly work practice innovations that comprise workplace tasks that they will ultimately have carriage. Importantly, in principle, this suggests that EDIs exists as a potentially productive approach to meeting changing work requirements in the future. Thirdly, the zones of potential development differ not only in terms of the three kinds of innovations, but also the circumstances in which they are enacted. Employees who either by virtue of their professional standing or physical separation from managers may exercise a level of discretion brought about by those circumstances. Most likely in these, there is a greater need to convince and to develop the capabilities of those employees to use the innovative practices effectively to secure effective adaptation and appropriation of these new practices, rather than engaging in superficial compliance (i.e., mastery). Fourthly, each of these three kinds of innovations offers zones or scope of learning and development that are quite distinct in terms of what they are affording employees, but even then, those employees can exercise discretion in terms of whether they are appropriate or merely master these innovations.

References Barbieri-Low, A. J. (2021). Artisans in early imperial China. University of Washington Press. Bertrand, O., & Noyelle, T. (1988). Human resources and corporate strategy. Technological change in banks and insurance companies: France, Germany, Japan, Sweden, United States. OECD Publications and Information Center. Billett, S. (2001). Learning through work: Workplace affordances and individual engagement. Journal of Workplace Learning, 13(5), 209–214. Billett, S. (2006). Work, change and workers (Vol. 28). Springer. Billett, S. (2012). Explaining innovation at work: A socio-personal account. In Employee-driven innovation (pp. 92–107). Palgrave Macmillan. Billett, S., Smith, R., & Barker, M. (2005). Understanding work, learning and the remaking of cultural practices. Studies in Continuing Education, 27(3), 219–237. Billett, S., Harteis, C., & Gruber, H. (2018). Developing occupational expertise through everyday work activities and interactions. In The Cambridge handbook of expertise and expert performance (pp. 105–126). Billett, S., Yang, S., Chia, A., Tai, J. F., Lee, M., & Alhadad, S. (2021). Remaking and transforming cultural practices: Exploring the co-occurrence of work, learning, innovation. In Creativity and learning (pp. 219–244). Palgrave Macmillan. Chatham, R. E. (2009). The 20th century revolution in military training. Development of professional expertise. Toward measurement of expert performance and design of optimal learning environments (pp. 27–60). Chi, M. T. H., Glaser, R., & Rees, E. (1982). Problem-solving ability. In R. J. Sternberg (Ed.), Advances in the psychology of human intelligence (Vol. 1, pp. 7–76). Erlbaum. Epstein, S. R. (1998). Craft guilds, apprenticeship, and technological change in preindustrial Europe. The Journal of Economic History, 58(3), 684–713. Epstein, S. R. (2005). Transferring Technical Knowledge and Innovating in Europe. LSE Department of Economic History Working Paper, 01–05. Ericsson, K. A., & Smith, J. (Eds.). (1991). Toward a general theory of expertise: Prospects and limits. Cambridge University Press.

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Gimpel, J. (1983). The cathedral builders. Grove Press. Høyrup, S. (2012). Employee-driven innovation: A new phenomenon, concept and mode of innovation. In Employee-driven innovation (pp. 3–33). Palgrave Macmillan. Lundkvist, A. H., & Gustavsson, M. (2018). Conditions for employee learning and innovation–interweaving competence development activities provided by a workplace development programme with everyday work activities in SMEs. Vocations and Learning, 11(1), 45–63. Mclaughlin, M. W., & Marsh, D. D. (1978). Staff development and school change. Teachers College Record, 80(1), 69–94. Ministry of Manpower. (2016). Singapore PIAAC data. Retrieved from Singapore: https://www.ial. edu.sg/content/dam/projects/tms/ial/Research-at-IAL/Research-projects/Programme-for-theInternational-Assessment-of-Adult-Competencies%2D%2DPIAAC-/PIAAC_media_release_ 20160624_FINAL_V031.pdf Organisation for Economic Co-operational and Development. (2013). OECD skills outlook 2013: First results from the Survey of Adult Skills. OECD. Organisation of Economic and Cultural Development. (2016). Skills matter: Further results from the Survey of Adult Skills. OECD. Scott, A. (2014). Northern lights: The positive policy example of Sweden, Finland, Denmark and Norway. Monash University Publishing. Sennett, R. (2008). The craftsman. Yale University Press. Shanahan, M. J., & Hood, K. E. (2000). Adolescents in changing social structures: Bounded agency in life course perspective. In L. J. Crockett & R. K. Silbereisen (Eds.), Negotiating adolescence in times of social change (pp. 123–136). Cambridge University Press. Wegener, C. (2017). Driving forces of welfare innovation: Explaining interrelations between innovation and professional development. In S. Billett, D. Dymock, & S. Choy (Eds.), Supporting learning across working life: Models, processes and practices (pp. 113–127). Springer. Wertsch, J. V. (1998). Mind as action. Oxford University Press.

Workplace Hardship: Learning Entrepreneurial Identities

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 988 Youth Work, Precarity, and Experiential Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 989 Entrepreneurial Identities and Learning in Youth Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 991 Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 993 Hardship “as” Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 994 Constructing Entrepreneurial Identities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 996 Alternative Identities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 998 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1000 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1001

Abstract

Young people pursuing employment along with their studies or soon after they complete their education in Singapore often experience hardship as a “normal” part of their work and life. This chapter focuses on how hardship serves to foster youth identity creation in line with neoliberal ideals of enterprising subjects. Our analysis is based on an ethnographic study conducted on youth experiences in Singapore. Youth work in this city-state is widespread and actively promoted by educational institutions and the state, along with dominant discourses of equal opportunity and meritocracy. We draw on focus group discussions conducted between 2017 and 2019 with 85 Malay, Chinese, and Indian young people in Singapore to explore the nature of their learning during their early career work experiences. On one hand, the state and educational institutions cast young

A. Bhutani (*) · K. Mirchandani University of Toronto, Toronto, ON, Canada e-mail: [email protected]; [email protected] © Crown 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_68

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workers as entrepreneurial, independent, and agentic. There is an aura of “experience” which is assumed to automatically lead to skill and better future prospects. However, hardship learning as part of work/learning in university or workplaces and individualization of responsibility of achievement/success leaves young workers often isolated, exhausted, and lacking agency. The experiences of young workers, in a city-state like Singapore that consists of a mix of Chinese, Malays, and Indian youth in the labor market, are impacted by race gender and class. Overall, we suggest a need for a shift in organizational and public policy towards ensuring high quality work experiences for young people. Keywords

Singapore · Youth · Internships · Work · Inequality

Introduction Two trends structure the future of work for young people. First is the emergence of low-wage, poor quality service jobs in many advanced economies around the world, many of which are filled by youth and characterized as opportunities for young people to engage in experiential learning about the labor market. Second is the diffusion of entrepreneurial education into identity creation practices for all young people even those not intending to pursue business ownership. In line with these trends, teens and young adults are encouraged to work while they are studying, or accept internships opportunities, even if they are unpaid or poorly paid, in order to gain exposure to the labor market. These early work experiences provide opportunity for the development and emergence of entrepreneurial identities. Singapore is an illustrative case study of these trends given the relatively low unemployment rate for youth, active promotion of internship and youth work, and widespread ideological and material support for entrepreneurialism and meritocracy. Youth in many countries, including in Singapore, pursuing employment along with their studies or soon after they complete their education often experience hardship as a “normal” part of their work and life. We explore how young people characterize the hardship they experience as young workers and how it serves to develop their entrepreneurial identities. Youth discuss the difficulties they face in finding their first jobs as well as their poor working conditions including stressful work, menial jobs, low wages, and harassment. We explore how this hardship serves to foster entrepreneurial identities. Overall, the focus of this chapter is on the ways in which early work experiences are sites of learning hardship and developing entrepreneurial identities. Our analysis is based on the experiences of youth in Singapore – a city-state within which early work experiences are actively promoted by both the state and educational institutions, and a multiracial country within which discourses of equal opportunity, multiracialism, and meritocracy pervade.

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Youth Work, Precarity, and Experiential Learning Young workers’ early jobs are considered necessary learning experiences that have the potential to be transformative. Youth jobs are characterized as launchpads for lifelong careers and a sign that young people are ready to become adults. Working for young people is said to lead to skill-development (Jovanovic & Nyarko, 1997; Gibbons & Waldman, 2006) and also has material (Fejes, 2006) and moral value (Sayer, 2011; Bolton, 2010). Many scholars highlight these positive impacts of internships and work-learn programs (King, 1999; Magro, 2007; Taylor, 2007). Such an approach assumes that “experience provides unmediated access to reality” and as Michelson (2015) argues, “this view neglects the complex cultural, discursive, and psychological matrix within which ‘experience’ happens” (2015, p. 64). This matrix includes a shift in many advanced economies towards the proliferation of poor quality, precarious jobs. The “standard employment model” is less dominant (ILO, 2015 (Kalleberg, 2011; Kalleberg & Vallas, 2017; Sangha et al., 2012; Smith, 2001, 2010), and this trend has a powerful impact on younger workers (Cam et al., 2003; Fenton & Dermott, 2006). Many young people are involved in service sector jobs which are temporary, part-time, nonunionized, poorly paid, and hazardous (Basso et al., 2020; MacDonald & Giazitzoglu, 2019; ILO, 2017). Work in many sectors occurs via contractors and temporary agencies where the lead firm assumes little responsibility for worker well-being (Goldman & Weil, 2021). There has also been a shift towards on-demand platform work in many countries (Goldman & Weil, 2021; Standing, 2015). Balaram et al.’s (2017) large study of 8,000 workers in the UK gig economy revealed that those involved in gig work platforms like Uber and Deliveroo (in the UK) are more likely to engage in this work between the ages of 16 and 30. For instance, over 60% of Deliveroo’s food couriers are under the age of 25 years and are mostly young men (2017, p. 18). These jobs consider workers to be self-employed independent contractors, have low barriers to entry, and low skill and training requirements. They are therefore accessible to youth who are interested in building their work experience. In the context of labor market deregulation, declining trade union power and rising unemployment in many different countries, including the USA and the UK, “gig work” has expanded to become a dominant mode of youth employment (Mac Donald, 2017; Balaram et al., 2017; Standing, 2015). At the same time, gig work and accompanying assumptions of flexibility, adaptability, and competitiveness often lead to poor quality jobs (Heyes, 2013; Bolton & Laaser, 2019). Many young people characterize their poor quality of their jobs as “temporary exploitation” faced by contract workers. In Worth’s (2016) study of millennial women, a media content developer reported, “I find a lot of the time people walk all over me because I’m really nice, because I really care about being polite and I don’t want to rock the boat. I don’t want to cause confrontation, And I think that is because I’m a contract worker – because I know that I’m disposable, so if I flip out or have strong opinions or yell at someone, they are going to be like, ‘oh, this girl is crazy’ or like ‘this girl is angry’, so I think a lot of the time I bottle, I bottle up stuff and try to hide it and be polite because I do care about being liked” (2016, p. 1307).

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Because work experience and reference letters are important for future work, many young people feel they need to learn to “bottle stuff up” even if they are “walked all over.” Not all youth are equally affected by these labor market trends. Research has shown that migrant youth face more racial discrimination than white youth. Zaami and Madibbo’s (2021) study on African immigrant youth in Canada highlight that “potential employers believed that they were unqualified and lacked the experience to take up the jobs or promotions because they did not sound like a White Canadian” (2021, p. 136). Even youth who were shortlisted were subsequently rejected after face-to-face interviews. Other researchers have noted that youth experience racism in entering the labor market due to their accents or names (Reitz, 2007; Zaami & Madibbo, 2021; Li, 2001). Also, once on the job, studies have shown that racialized youth work long, inconvenient hours and are not always paid according to their work input. Despite this systemic and pervasive discrimination, interns and young workers are often required to invest in self while they navigate uncertainty. Allan (2018) notes that young people learn to become adaptable, to overwork to “prove oneself,” and do whatever it “takes to be successful, to sell oneself as a business, in a volatile market” (2018, p. 247). Young workers experience a “crisis of agency” (Allan, 2018, p. 247), because despite being told that their hard work will determine their future success, the opacity around how one gets a good job makes them feel that one needs to be “lucky” to find meaningful work in a competitive labor market. Many young people in Allan’s study shared their lack of agency in being able to plan their time because of the never-ending continuum of being contract-tocontract or unemployed. Despite the prevalence of precarious and contract work, failure to obtain a good job is seen as an individual failure (Sayer, 2009; Bolton & Laaser, 2019). The experience of power imbalance at work also impacts the identity and wellbeing of young workers (Sayer, 2011; Bolton et al., 2012; Bolton & Laaser, 2013; Lynch & Kalaitzke, 2020). Hadjisolomou and Simone’s (2021) study on experiences of food retail frontline staff during the pandemic reveals that a top-down decisionmaking process in the company challenges the moral values of the workers and managers. Sam, a manager, recounted that workers need to oscillate between their personal morality and the organizational “profit-first” approach (2020, p. 404), and this was evident when one of the owners and directors tested positive for COVID-19. Sam recalled, “I was asked to keep the fact that he was ‘positive’ a secret because management knew that if this received publicity, we would lose customers” (2020, p. 402). Morrice (2012) in a study with refugees in the UK notes that workers’ subjective and objective well-being is dependent on what “informal moral education” (Sayer, 2011) they receive about themselves through media and other sources. Morrice noted that as refugees were obliged to find work in low skilled and casual labor markets, they suffered a loss of their sense of professional identity, loss of respect and financial independence in the efforts to assimilate in the dominant culture (2012, p. 263). The impact on participants was intense when they had to start from

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scratch as if they had no educational qualifications or skills which Morris terms as “identity deconstruction” (2012, p. 267). Despite the lower than average youth unemployment rate in Singapore and the affluence of many segments of the population, young people in Singapore are not insulated from these trends. Youth unemployment rates have increased from 9.3% to 11.5% between 2003 and 2019 (MOM, 2020) and young people were negatively affected during COVID-19 in comparison to other age groups. Nonstandard employment opportunities, contractual work, and gig work are rising along with increasing youth unemployment rates in the city-state. About four in ten youth in employment are in temporary jobs or contract work. Labour movement in Singapore has been constrained and workers face barriers in collective organizing (Yea, 2017; Bal, 2015; Hui, 2011; Lim, 2013; Piper, 2006). Youth work is actively promoted by educational institutions and the state, with multiple programs in place for skill development, job matching, and active industrial tie-ups mandated between industries and postsecondary education. Our study suggests that most of these jobs are poorly paid, sometimes not enough to sustain the workers, and at other times, these are completely unpaid, and volunteer work such as in social service agencies.

Entrepreneurial Identities and Learning in Youth Work With the emergence of rapidly changing economies and associated work precarity and insecurity, young workers are faced with a constant demand to update their knowledge and skills to stay relevant. They must be accountable, active, autonomous, self-directed, responsible, and flexible lifelong learners in order to cope with economic changes (Fejes, 2006, 2010; see also Rose, 1998; Kelly, 2006; Mahieu, 2006). Lifelong learning policies (Siivonen & Brunila, 2014) focus on developing “enterprising subjects” (2014, p. 161; Tuschling & Engemann, 2006; Thrane et al., 2016). When young people face hardship at work due to racism, low pay or poor working conditions they are encouraged to develop enterprising and entrepreneurial identities. Early workplace experiences in this sense serve as an “identity workspace” where youth “construct, revise and reconstruct their identities” (Frederiksen & Berglund, 2020, p. 274; Harmeling, 2011). Frederiksen and Berglund (2020) in a study with business students at a Scandinavian University revealed that people are not simply governed by entrepreneurial ideals. Rather, these are continually being “negotiated, circumscribed and resisted” (2020, p. 273). Accordingly, “the entrepreneurial self as a hidden curriculum condition [s] identity work through the practices of rule-setting, rule-playing and rule-breaking” (285). Youth recognize the limits to their agency and in doing so produce alternative identities through which they recognize systemic barriers. In the study, students were engaged in everyday practices of carving out entrepreneurial stories through putting their inner selves on display. However, the students engaged in “protection practices” (283) of identifying that these stories were meant to discipline feelings of uncertainty, hesitation, and immaturity among youth students. Further, exercising a position of

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judgment, ethics, and values, students posed friction to the specific entrepreneurial outcomes intended by the University. Singapore actively fosters an entrepreneurial mindset among students (Wong et al., 2007; Maysami & Ziemnowicz, 2007; Teo, 2015; Waring et al., 2018). The Global Ready Talent Programme was launched in 2019 to build a pipeline of “talented” students ready for overseas labor market exposure. Students are supposed to build “in-market knowledge” and “cross-cultural understanding” (website) as a measure of success of these internships or short and temporary work arrangements. The government invests in these “future ready talented” individuals through postsecondary institutions that arrange these programs but also through funding corporates that shape these individuals for Singapore’s economic growth. The initiative includes funding for internships for students to go overseas as well as for companies to arrange work experiences for students. Through another initiative, Workforce Singapore (WSG), the government builds coalition between adult training institutes, corporates, and public institutes for freshly graduated and unemployed youth to access upskilling and reskilling opportunities. SkillsFuture (SF), another skilling initiative, aims at creating “lifelong learners” and opportunities for individuals to pursue skills mastery and develop “fulfilling careers.” To make use of the above initiatives, the worker must register, navigate the platform, gain extra credits through short-term trainings and workshops (in addition to postsecondary education). Through counseling and coaching, workers must assess whether they want to get into professional conversion programs or rank and file programs to “upskill” or “reskill” themselves to “support industry growth” (WG website). Political speeches and media discourse craft youth as “enterprising subjects” that are forever eager for practical challenging experiences. A free 6-week intensive “Campfire programme” was organized in April 2021 by the National Youth Council of the Singapore government in collaboration with industry partners where individuals could “learn solutions to real-life problems with guidance from industry experts” (Straits Times, April, 2021). The chief executive of the council, David Chua, said at the launch, “Young people want real world relevance and impact... (They) like to learn through exposure, they want to go into zones of discomfort and exploration” (Straits Times, April, 2021). The discourse of the hardworking and skilling-seeking subject complements the discourse of meritocracy which is very prevalent across Singapore. Singapore is a multiracial society consisting of four races: 74.3% of the population are Chinese, 13.5% Malays, 9% Indians, and 3.2% Others (Singapore Department of Statistics, 2020). As the unemployment rate for residents with postsecondary qualifications continued to trend higher (MOM, 2020), the dominant discourse is that labor market needs are changing and youth is not skilled enough. Even among those employed, Malays are overrepresented in the lower income range, with 24.9% of its community earning below $2000 and trapped in a cycle of socioeconomic immobility (Lefranc and Trannoy, 2006). This inequality in outcome must be understood in the context of low educational attainment rates of Malays, a background of lower income households, lower networking opportunities, and discrimination in early experiences of work. Prime Minister Goh Chok Tong commented on this traditionally present

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income gap mentioning, “we cannot narrow the [income] gap by preventing those who can fly from flying. . .Nor can we teach everyone to fly, because most simply do not have the aptitude or ability” (Wan, 2008, p. 173). Given that youth are at the start of their careers, the twin discourses of meritocracy and entrepreneurialism deeply impacts this group. They are encouraged to learn from their work experiences in the hope of achieving individual advancement despite systemic inequalities.

Methods Our analysis is based on an ethnographic study of youth experiences in Singapore. The city-state promotes youth work through the education system and labor market policies, and claims to be based on key tenets of equal opportunity and meritocracy. We draw on focus group discussions conducted between 2017 and 2019 with 85 Malay, Chinese, and Indian young people between the ages of 16 and 29 years in Singapore. Many refer to the hardships they experienced and we trace the effect of this hardship on the development of their entrepreneurial identities. Most of the participants in this study were employed in part-time or casual contract jobs (Table 1). Most were involved in paid work, often doing two or more jobs, sometimes being employed in two jobs at the same time, to ensure they could sustain themselves as most internships and part-time jobs were poorly paid. Thirtysix people had done more than five jobs across their higher education and aftergraduation years. Male participants also completed jobs as part of their mandated national service. Although a small number of participants experienced their work experiences as meaningful and happy, about three-quarters of the sample mentioned hardship of some kind in their experiences. Even those who did describe their work experiences overall as good, learnt that hardship was necessary, that race, class, and gender privilege were a reality in the job market, and that discourses of meritocracy could not address disparities. Close to 60% of the youth participants were identified as occupying lower class positions based on factors such as the compulsion to be the sole financial support for household members, difficulty funding their education, debt to finance education, and difficulty sustaining oneself on the pay earned at work. Some of them described themselves belonging to the lower class, “lower tier,” and lower middle class (Table 2). Table 1 Employment status during study (of the total sample) Employment status Unemployed Employed in full-time job Employed in part-time casual or contract jobs Unpaid/volunteer job Total

Number of participants 13 24 31

Number of jobs held 0 1–2 3–4

Number of participants 2 19 28

17 85

5+ Total

36 85

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Table 2 Demographic profile of participants Demographic characteristic Race Chinese Malay Indian Other (Eurasian, Filipino) Total

Number 48 22 11 4 85

Age 16–20 21–24

22 31

25–29

32

Demographic characteristic Gender Female Male Total Type of higher education University ITE Polytechnic Secondary school Other (professional certification, postgrad) Total

Number 45 40 85

45 13 6 6 15 85

Using a thematic analysis based on the data from the focus groups and life maps of participants, our study indicates that the state and educational institutions cast young workers as entrepreneurial, independent, and agentic. There is an aura of “experience” which is assumed to automatically lead to skill and better future prospects. However, hardship learning as part of work/learning and the individualization of responsibility of achievement and success leaves young workers often isolated, exhausted, and lacking agency. The experiences of young workers, in a city-state like Singapore that consists of a mix of Chinese, Malays, and Indian youth in the labor market are impacted by race gender and class. We discuss the findings of the study by focusing on three themes. First, youth learn that hardship in the form of harsh working conditions and lower wages is a normal part of their work lives. Second, they develop entrepreneurial selves as a result. Third, some young people realize the impact of discrimination systems at work and the associated limits of their agency and develop alternative identities to navigate the labor market. Overall, we suggest a need for a shift in organizational and public policy towards ensuring high quality work experiences for young people.

Hardship “as” Learning Getting a job is one of the early experiences of hardship for youth in Singapore. Despite having done prearranged internships and engaging in practical skilling activities through their educational journeys, participants struggled to get their first jobs. Our findings suggest that some participants believed that those who had internships during postsecondary education had a better chance of landing jobs. Youth from working class backgrounds often opted out of internships during their higher education, because it does not pay enough to sustain their livelihood. Instead,

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they opted for (sometimes multiple) part-time jobs. Zubir, an undergrad university student, explained that not having done an internship was a disadvantage for him when he finished his education and attempted to get a full-time job. Unable to secure work, he approached employment agencies and had several bad experiences after which he eventually got a position as a tax refund officer which was in his field of study but poorly paid. He remained as a third party contract worker and part of his salary was paid to the temporary agency. It was clear that Zubir was exhausted and discouraged through the job search process. Similarly, Richa, who had done multiple internships and had pursued a graduate degree, said that she had to apply online or in person for 60 jobs and received only 5 responses. The experience was common across participants as they relied on personal networks, social media job platforms such as LinkedIn and Indeed, or approaching workplaces directly to apply for work. The continuous searching for employment which involves undergoing a cycle of applications and interviews plays a large role in youth identity formation. Navigating ambiguity of what constitutes success in getting a job gave rise to self-doubt and a diminished self-esteem. Bao, a communication studies graduate, applied to many jobs after his graduation and was disappointed that he was not successful. He said, “During the job hunt, you know, you keep asking yourself what am I doing wrong? Why am I not employed? Oh, why am I not desired?” Educational institutions emphasize the role of meritocracy in procuring jobs which further frames success in the form of individual merit. Bao added, “My organisation says, you know, they (the companies) want the best and brightest minds in the world, and then ya, you just- your self-esteem takes a hit each time you get a rejection letter from [an] interview or [an] interview that just- you thought you’re going well and then it turns up unlike what is expected.” The hardship of getting jobs combined with high cost of living in Singapore makes young workers settle for jobs that may not be directly connected to their previous skills or educational qualifications. Bao, who expressed his frustration with receiving rejection letters, finally obtained work in the supply-chain sector which he described as “dead-end.” His tasks on job were to “stare at numerous Excel spreadsheets or Word documents; or worse, Outlook emails for 6 to 8 hours a day” and he felt that it was too “mechanical” and “mindless.” Routine jobs are expected as normal paths in the employment journey of youth. Bao noted, “There’s no way for people to escape not doing work because that’s their scope.” The deterioration of quality work under market-driven economies that focus on commodification of labor is well documented (Sayer, 2011), but in the case of youth, menial work is seen as an opportunity to learn and a necessary path they must take towards better working conditions. Accordingly, Bao refers to it as young peoples’ “scope” to experience “temporary exploitation” (Worth, 2016, p. 3). Experiences of hardship at work also constitute what Sayer (2007) has referred to as “informal moral education” (Sayer, 2007) and affects both objective and subjective well-being of workers. Participants in the study shared experiences of physical, emotional, and mental stress as part of their early working lives. Nick, a Chinese male and technical college graduate, was working in his uncle’s packaging factory. He described the work as strenuous because there was a shortage of employees and a

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majority were elderly employees who could not do physically laborious work. Nick ended up performing multiple roles which included delivery, lifting heavy boxes, and managing the shop. He said “every time I go home I feel like dying, so it’s not a really good- the environment is ok, the people there are nice, I realised that they are having fun, basically they are not moving around, they just sit down there. Sometimes you go inside the factory area, they will call me, and you need to be everywhere at once so you’re like wow. It’s tough, it’s tough, but after a while you get used to it.” He considered that the key to success to work was “patience and enduring hardship” because not only was he over-occupied and physically stressed but was also yelled at by his uncle. He shared, “uncle was being rude, shouting (at) me then my endurance was holding and hardship will tend to get stronger during the years (of work) so yea my patience also increase a lot, then every time when go back to work, the auntie will always like this guy patience very good one, when he get scolded he will give a face, he will still do work.” In these ways, Nick cast his ability to continue working despite being “scolded” as something that would make him stronger. In the hope of gaining this strength, he continued his job even when he felt he was “dying”; however, eventually, he injured his back and quit the job. Nick’s account illustrates how youth are compelled to develop entrepreneurial identities by casting poor working conditions as learning opportunities. Organizations actively construct hardship, including low wages as an important step in careers. Richa was a sales associate in a store and described her work as tedious: “You slog for hours. . . in retail, it’s about nine hours a day and it’s very physical because you have to stand there, walk around, get stuff. You’re not really protected because there is no minimum wage, and I have heard for cases like my friends they are Uni grads and they are offered $1.80.” Low wages for early work experiences including internships was common. Corporations justify exploitative working conditions as “a learning opportunity.” Richa revealed that, “Some companies are like it’s your first job, what are you thinking? Why do you want so much money? We are giving you the opportunity to learn!” She was being paid between $5 and $8 an hour and claimed this was “quite good” adding, “Working for big magazines, that are super hard to get in, people are willing to work for free for that opportunity which is a bit of an exploitation if you think about it.”

Constructing Entrepreneurial Identities Young people are characterized in public policies and media narratives as needing to be adaptable, flexible, and creative subjects. Far from being natural dispositions, these subjectivities are constructions of an “enterprising self” in line with demands of market driven economies (Vallas and Cummins, 2015; du Gay, 1996). The logic of enterprising subjectivity assumes that youth have the agency to independently navigate the labor market, take risks to build careers, to manage one’s time to achieve work-life balance, and to exercise agency when extreme conditions of exploitation such as abuse or harassment are experienced on the job. Youth often need to navigate jobs on their own, finding individual coping mechanisms at work, chasing

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employers for a permanent job through internships, and learn to settle with unsupportive work environments. Young workers are expected to adapt, learn, and understand ways of working on their own with little or no mechanisms of assistance at work. Wen took a job during his graduate studies and noted that he felt “lost” as he received “no guidance, no manager, no nothing” in the beginning and had to figure it out “all alone.” Describing his first few days in this workplace he said, “the way they (senior employees) treat people is different, you’re supposed to do things on your own and if I asked something, they said- oh, you are in this position you should know what to do, why are you asking me.” Such responses that reflected lack of accountability or support from senior employees or the employer regarding young workers’ performance were common across the study. Youth are assumed to enter a lifelong learning journey and expected to upgrade their work skills constantly to fit the existing workforce. Youth at work learn to become “self-producing subjects” taking responsibility for working on themselves, to enhance their own value-creating qualities, and to engage in productivity-generating activities (Vallas and Cummins, 2015; Fleming and Sturdy, 2011). Siti, a Malay woman, had to serve a 3-year “bond” as part of a scholarship from a technical college. She spent 4 days a week at the job providing frontline service to patients in a healthcare organization. She described this work as “abusive” and lamented, “I got scolded every day by patient[s], um for things that not in my area of control like how do I tell the management that one patient complained that the machine is useless? I can’t be saying that- so everyday because of the waiting time (of patients), even though it’s not our fault, it’s not my fault, soit’s quite draggy to go to work.” Siti, too, realized that despite being responsible for specific tasks at work and being considered as a “frontliner” to respond to patient queries and frustrations, she did not have the agency to improve her own working conditions. Despite her difficult work, Siti shared that she frequently volunteers to take on additional tasks, making sure that the employer knows of her willingness to take on more. Workers work hard to carve themselves as productive subjects as a strategy to deal with the uncertainties of accountability and lack of agency at work. The management of one’s time is an important aspect tied directly to success as an enterprising subject. Zikri, a 25-year-old Malay diploma holder, shared that he also worked as a driver to pay for his studies. Throughout his higher education, he worked multiple part-time jobs, saying that “balancing work and study is quite difficult but [I] had no choice because I did not receive any funding and could not rely on parents for financial support.” He did his part-time driver work during the evenings and nights and shared that he often felt sleepy at school in the mornings. He said, “I always felt tired and would sleep in school and my friends would mock me sleeping in school.” He mentioned that he was exhausted juggling his life in that way but that this “juggling is part of life.” In a majority ageing population in Singapore (Census, 2020), many youth are responsible to fulfil the financial needs of their families to keep the household running. The enterprising self increasingly expands to social units as families in the absence of a robust welfare state that can provide for the elderly.

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Not only do workers navigate the work-related tasks or job design on their own but also need to learn to navigate discourses of flexibility. Workforce Singapore encourages employers to “embrace flexi-work” citing that it “raises employee productivity, retains talent and improves employee morale” (WSG website). In other words, enterprising worker subjectivity in the form of flexibility of work and work timings is useful for the employers to meet their profit needs. On the other hand, for the participants in our study, flexible work arrangements meant poor quality jobs. Musa, a 19-year-old Malay man, worked as a delivery rider and described it his “worst job” as it was “exploitative.” He shared that the work had no fixed timings and the employer would call him at 2 or 3 am to make deliveries and then ask to return to the warehouse at 5 am again. He added, “The employer would call at any time in the day or at night and says (said)- you must reach on time, if not, you will be fined $50.” Youth are expected to make their own time consistent with that of the employer’s demands and then take complete accountability of risk or failure associated with this flexibility. Working in precarious conditions, being paid a mere $1 for every good delivered, Musa was also aware of the limits of his agency as he mentioned, “What am I supposed to say?”. Despite rare instances of direct conflicts or challenges posed to the employer by the participants of the study, exploitative work conditions became a process of rethinking and reworking the rules of the work. The work served as an “identity workspace” for him as Musa left the job after he was asked to pay the $50 fine and concluded, “I cannot work under people. . . Because if work with them, they like cheat our money. Never pay properly. Like take advantage.” The alternatives imagined as a way to escape such working conditions are further directed by the entrepreneurial discourse. In addition to the imperative to work under a capitalist society, the discourse leads workers towards goals that require risk-taking and autonomy as a response to the limited agency in precarious labor markets. Musa decided to take the self-employment route, set up a delivery company of his own, and ensured to employ only his family members as he felt nobody else could be trusted.

Alternative Identities Multiracialism is a prevalent policy and discourse in Singapore. In adult learning discourses, multiracial work settings are considered as opportunities to negotiate unfamiliar cultural contexts (Bennett, 1993; Hammer et al., 2003) and boost an individual’s sense of identity, confidence, and self-esteem. However, racial differences in employment opportunities, income groups, and among Chinese, Malays, and Indians in Singapore (MOM, 2020; Lefranc and Trannoy, 2006; Wan, 2008) lead to workers adapting, learning, and understanding racial discrimination at work. Wen shared that most other employees at this workplace were Chinese and added, “When I come into the office, it was like a culture shock – they all spoke in Chinese- I mean Mandarin and explained to each other and they get the work done easily (because) they feel (it) is easier to explain in their own language but some (explanation) is lost in translation when it comes into my ears, so I end up doing the work wrongly and

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then work is given to someone else- maybe another Chinese.” He felt that this was “bullying” and on checking with his peers and colleagues in other workplaces, he realized that “there’s always this bullying.” When faced with such “culture shock” and a realization of discrimination, youth sometimes developed alternatives to hegemonic entrepreneurial identities. These alternatives included “adjustments” based on a recognition of race, class, and language privilege. Bao had already done four jobs in 4 years since his graduation. He believed that “challenges” were common at the university and in workplaces and describes that whenever there is an unpleasant experience at work, the only way out is to “adjusting your expectations for work.” The challenges posed for youth workers are for them to deal with and hence revising expectations instead of hoping that the organization will support you. He added, “I thought I could, or I belonged, in a place where I could choose wherever I want but reality sets in that it’s not really for you to say most of the time.” Referring to Singapore as a machine, Bao presented an analogy saying, “Nobody asks whether you wanted to be part of the machine; you just get swept up by it.” He framed the choice as “not a real alternative” and that one needs to “go with the one that hurts you less.” Sayer (2011) describes such a lack of alternative in terms of the economic imperative of unregulated labor markets and subsequent work arrangements that render people as commodities, creating “fragile relationships” (Bolton and Laaser, 2019). Such fragility disrupts people’s sense of self and place and impacts on the capacity and willingness to build supportive networks and communities in and out of the workplace (2019, p. 209). Most internships and jobs for fresh graduates paid low wages and were not enough to sustain their living in Singapore, a country that most participants framed as “an expensive place.” To ensure survival, young workers mostly take multiple jobs at once. In our study, 35 people had done more than five jobs across their higher education and after-graduation years. Across multiple jobs, workers experience a loss of professional identity that they had hoped for during their postsecondary education. Another factor of rapidly evolving economies that contributes to a total loss of professional identity is dissolving jobs due to automation or digitization. Zubir, a 23-year-old Malay, mentioned that he was working in a technical job with a government agency but then he was retrenched because the work was automated, and they no longer required his labor. He also shared an example of his uncle who was retrenched from a well-paying technical job and now works as an Uber driver. In the absence of protections as “robots are taking over jobs” (Zubir’s words) and lack of strong unions in the country, workers engage in reskilling through Workforce Singapore or SkillsFuture. But, as Zubir put it, “feel that it’s very easy for us to switch careers,” indicating that not only are the short-term income losses but also the long-term loss of a career possibility. Workers discovered how their racialized identities and class positions shaped their experiences of education and societal relations, and outcomes in the job market. Zubir, the temporary agency worker quoted earlier, emphasized his need to find any work he could because he had to “reduce the number of heads” his parents had to support since he was from a low-income family. He noticed a fallacy in the system saying that for meritocracy to work well, it had to “start from a level playing field.”

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As a Malay, he had grown up in regions where there was drug abuse and many families around were single-parent families as adults who had been criminalized for drug use. Growing up amidst multiple social disadvantages, he says, is different from growing up in a “normal Chinese family” where “parents could send their kids to five tuition classes, piano classes” while Malays in his vicinity struggled to “even get bread and butter.” Zubir reported that for meritocracy to work, there needs to be a consideration that “one unit of your (Chinese) hard work” is equivalent to “10 units of this person’s (Malay) hard work.” Since the 1980s, Malays have low educational achievement and lower economic indicators compared to Chinese and Indians (Mutalib, 2011). These racial disparities have not been resolved. According to the latest Population Census, only 5.1% of Malays obtained a university qualification compared to 22.6% of Chinese and 35% of Indians (Singapore Department of Statistics, 2010). In addition, the median monthly household income for Malays was $3,844 compared to $5,100 for Chinese and $5,370 for Indians. And only 2.8% of Malays live in private housing (i.e., condominiums and landed properties) compared to 18% of Chinese and 16.3% of Indians. These factors contribute to heightened intensity of hardship for Malays and Indians, although this hardship is largely framed as learning. In addition to the hard work over a long range of time across their youth, Malay and Indian workers also must do the everyday hardwork of assimilating into Chinese culture considering that Singapore has a large population of Chinese people and workers. Thanapal (2015), a race and ethnicity scholar in Singapore, emphasizes that everyday practices of assimilation into dominant cultures at work include having to learn the language in an office where everyone speaks in Chinese or having to go to office meals with peers to restaurants that serve only Chinese food. Consequently, the responsibility of having to learn the language or cope with dominant cultural practices at work and struggling more than Chinese people to get into jobs or desired positions at a job becomes a part of life for non-Chinese workers (Sangeeta Thanapal, 2015).

Conclusions Policies related to youth in the labor market largely focus on skills building through enhanced job matching with industries, credit-based or funded skills programs in the hope of bridging equity divides, reduce poverty, and ensure meritocracy (MOM, 2020; SkillsFuture policy, 2018; ILO, 2021). Based on SkillsFuture’s recent annual report (SkillsFuture Singapore, 2017a), in 2016, a record 418,000 individuals took up 950,000 training places funded by the Ministry of Education and SkillsFuture Singapore. However, our study indicates that despite workers’ possessing appropriate educational qualifications, undertaking formal skill-based training, and procuring (or matched with) jobs, what remains a primary concern of inequity and continued discrimination are the conditions of hardship and precarity at work. The precarious yet compulsory work arrangements, combined with the already existing race, class, and gender-based discriminatory practices at work, impact worker agency. The risks

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of the labor market are individuated as workers must learn to navigate independently and develop entrepreneurial identities to succeed and sustain themselves and at times, their households. The promotion of entrepreneurial identities alongside the failure to challenge systemic discrimination results in a situation where young people develop alternative identities which are based on the limits to discourses of self-help and meritocracy. In our study, these alternative identities were visible in a variety of ways. At times, they developed compliance with the workplace rules considering it “temporary” as most of the jobs these workers took were not permanent. Some others understood the discrimination and exploitative working conditions as relatively permanent feature of all kinds of precarious work and hence resorted to self-employment (as in the case of Musa). Workers, who served relatively longer contracts at workplaces or felt a sense of passion towards the job field, developed strategies to become productive subjects and make the employers realize their value (as in the case of Siti). The future of work is said to require an “entrepreneurial generation” and as Berglund explains, this entails “encouraging a broad approach to life. . .[which] stresses being active, seeing opportunities (in life) and exploring them. It is how discovering one’s personal passions and dreams, taking initiative, daring to try new things, learning to fail and to never give up. . . Ironically, however, the flipside is that by chasing to become our best we can never be satisfied with who we are or feel content about our selves.” (2013, pp. 727, 731). Overall, we suggest a need for a shift in organizational and public policy towards ensuring high quality work experiences for young people.

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Contents Employability and Its Different Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Australia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Human Capital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Professional Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Social Capital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Human Capital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Professional Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Social Capital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion and Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

In the last two decades, labor markets have experienced marked changes that have created a scarcity of full-time work, an increase in the casualization of the workforce, the prevalence of short-term work and self-employment, and rising job and occupation mobility. The connection between education and work has extended beyond the notion of using a qualification/degree to obtain stable employment. In this chapter, I depart from the traditional human capital approach and contend that to obtain immediate employment and sustain a career, graduates need to develop and utilize several forms of capital, such as human, cultural, social, identity, psychological, and agentic. The chapter focused on discussing how human and social capitals are used for graduate employability in Australia and Vietnam. The discussion was drawn from qualitative data collected from 46 graduates in Australia and Vietnam. The key findings were that qualifications were important for a high-skilled job in both countries. However, in Australia, the T. Pham (*) Faculty of Education, Monash University, Clayton, VIC, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_69

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graduates needed to articulate a set of professional skills to support the use of their qualification. In Vietnam, professional skills were not strongly emphasized in recruitment decisions but crucially important to the graduates’ job performance and career progression. Moreover, in both countries, social capital was important to the graduates’ job opportunities. However, in Australia professional networks were important for the graduates’ job entrance and career progression, whereas in Vietnam, job opportunities tended to be built on personal networks. Keywords

Employability · Australia · Vietnam · Human capital · Social capital · Higher education

Enhancing graduate employability has become an important focus of universities worldwide (Bridgstock, 2009; Pham, 2021a; Silva et al., 2013). Universities have actively embedded employability skills in teaching and learning programs (e.g., communication, critical thinking, reasoning, teamwork). However, various limitations of these skill-based approaches have been reported. Therefore, an increasing number of recent studies have advocated a capital-based approach to augment graduate employability (Pham, 2021a). This approach is largely underpinned by the sociological perspective, and it is argued that graduates need to develop and utilize diverse forms of capital, including human, social, cultural, identity, and psychological capital (Tomlinson, 2017). Moreover, substantial evidence has been documented on graduates playing a significant role in determining their employability outcomes by strategizing their capital (Pham & Jackson, 2020; Tomlinson, 2017; Watson, 2013). These studies contend that while graduates may have limited control over the state of the labor market, they can decide how they approach the labor market, including formulating their strategies and key decisions. However, to utilize resources strategically, graduates need to understand how to use their capital appropriately because sociocultural and geopolitical contexts influence how capital works. Alves and Tomlinson (2020), Saito and Pham (2020), and Tholen (2015) found that differences in cultural values, institutional resources, and interactions between education, labor market, and employers cause divergence in the employability strategies deployed by graduates and institutions in many countries. The understanding of the underlying mechanism of the various forms of capital in divergent contexts has hitherto remained inadequate, thereby implying that the knowledge on how graduates could maximize their capital and use it effectively is limited. A crosscountry comparison can provide multiple perspectives on graduates’ strategies in labor markets. Such a study is significant because the number of graduates has increased substantially. Moreover, such a study can also provide useful insights to support relevant stakeholders in many countries to develop effective employability practices based on diverse perspectives. Therefore, this chapter aims to explore how capitals work in two countries, Australia and Vietnam. These two countries were chosen because they are distinct in many sociocultural, political, and economic aspects. Specifically, Australia is a

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developed country with a well-established international trade and services sector. By contrast, Vietnam has been transitioning from a socialist economy and has witnessed rapid economic growth over the past three decades and attracts foreign investment in its manufacturing sector (Nguyen, 2017). It is also a multiethnic country with 54 ethnic groups but has a negligible number of international migrants. Consequently, the workplace in Vietnam comprises mainly local people, except in multinational companies. The remainder of the chapter is organized as follows. This introduction is followed by a section that discusses employability and its various perspectives. The next section explains the approach and methods employed, followed by a discussion of human and social capital in Australia and Vietnam. The final section discusses the findings and presents the conclusions, including key policy recommendations.

Employability and Its Different Perspectives Although graduate employability has been interpreted from different perspectives, human capital is the mainstream interpretation that has been supported by the majority of policymakers, media, and scholars and has profoundly influenced how international graduates and their parents understand and prepare for employability. For the last two decades, universities have embedded employability skills in teaching and learning programs so that graduates can be employed (Holmes, 2013). Employability skills are often used in association with “soft skills,” “work-ready skills,” “generic skills,” and “transferable skills” (Williams et al., 2016). Several studies have demonstrated that in the knowledge economy and technology disruption era, human capital is deemed to be an important determinant of employment outcomes. Work has become more complex as it involves knowledge and skills from various disciplines (Bajada & Trayler, 2013; Ivanaj & Ivanaj, 2010). Therefore, graduates with expertise in different fields tend to have the capacity to manage work that requires advanced knowledge and skills. Unfortunately, the flaws of this approach have also been reported – the main criticisms include the vague meaning of the attributes between stakeholder groups of academics, industry, and students (Pellegrino & Hilton, 2012), academicians’ lack of skills in embedding these attributes in their teaching (Jones et al., 2012), and insufficient support to students for extra-curricular activities (Pham et al., 2018). An increasing number of researchers have recently found that employability is often demonstrated through different forms of capital: human (e.g., qualifications, professional skills), cultural (e.g., understanding of local labor markets), social (e.g., connections with family members and industry colleagues), identity (e.g., career direction), and psychological (e.g., resilience, capacity to deal with stress). Pham et al. conducted a series of studies on the significance of these capital forms in graduate employability (Pham et al., 2019; Pham, 2020, 2021b, c, d, e, f, h). However, very little is known about how these capitals work in different contexts. An exploration of the various mechanisms of capital in Australia and Vietnam is

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important because Vietnamese students are one of the largest groups in Australia. Recently, an increasing number of Vietnamese graduates have returned to their home country for career prospects. Providing these students with insights into how education and other resources can benefit their careers in both the host and home countries can help them develop their careers effectively.

Methodology This chapter builds on several studies on graduates’ employability that examine graduates’ career trajectories across many countries, including Australia and Vietnam. A major focus of these studies was to explore how graduates developed and utilized their education and other resources to navigate the labor markets. A total of 345 graduates participated in the surveys reported in these studies; however, the information included in this chapter originates from qualitative data collected from 46 participants, the majority of whom can be categorized under two cohort types. The first was local and international graduate students in Australia. Most of the international graduates came from Asian countries like China, Vietnam, India, and Singapore. The second was local Vietnamese graduates and Vietnamese graduates, who had obtained a degree in Australia and returned to Vietnam after graduation. The graduates in Australia and Vietnam included both males and females and ranged from 23 to 46 years of age. They obtained their education in different disciplines, and their year of graduation varied, although the majority of them graduated 1–5 years ago. These studies deployed a biographical interpretive approach, which invited graduates to share their work experiences in Australia via in-depth interviews and the scroll-back method (Lincoln & Robards, 2017). The graduates were invited to connect with the researcher using the scroll-back method on social media (Facebook, LinkedIn, Twitter) to obtain information about their broad social and political contexts, such as their resources, interests, and circumstances. Then, as co-analysts, the graduates were directed to decipher the connection between these contexts and their career trajectories through in-depth interviews to provide the context and deeper meanings (Lincoln & Robards, 2017). The researcher used probing questions and directed the graduates to certain sections of their timelines, such as their study and career milestones. Since the graduates used social media as the main tool to connect with their home country, their narratives were surprisingly informative. As advocated by Lincoln and Robards (2017), the scroll-back method allows obtaining longitudinal data without spending a long time on real longitudinal research. This dimension enabled the researcher to collect data on graduates’ longterm employability within a short period. This chapter is framed as a discussion paper and does not report actual empirical findings. The main aim of this chapter is to differentiate how various forms of capital function in Australia and Vietnam. Within the scope of this chapter, the following sections discuss these differences for human and social capital.

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Australia Human Capital The findings revealed two sets of knowledge and skills that graduates had obtained from higher education and that had an impact on their post-study careers. The first is termed “occupational expertise” (Van der Heijde & Van der Heijden, 2006), which includes aspects such as qualification and content knowledge, and the second is “knowing-how competencies” (DeFillippi & Arthur, 1994), such as applicable knowledge, hands-on experience, and professional skills. The data analysis of occupational expertise illustrated that although the graduates were from various disciplines and worked in different industries and contexts, they were highly appreciative of the value of their occupational expertise. The graduates’ perceived qualifications played a significant role in earning them white collar jobs. Those working in academia especially appreciated their excellent academic records, which were the most important determinants of their success in securing an academic or a research position. Employers have recently begun placing considerable emphasis on graduates’ professional capabilities (AAGE, 2014). Despite this shift in focus to professional skills rather than academic grades, the higher education degree itself is highly valued and of great importance given uncertain and highly competitive labor markets (Down et al., 2018). Evidence indicates that graduates have different confidence levels about how they can apply human capital when they enter a profession. For example, novice teachers might find teaching challenging during the first few years of their careers because what they have learned in their programs might not work in real classrooms. Some novice teachers could be uncomfortable with the curriculum because of insufficient content knowledge and may be surprised by the challenging nature of the curriculum content. Sachs (2005, 2016) argued that teachers in Australia are increasingly stressed to articulate and then perform their teaching expertise in response to the popularity of the standards culture. Standards could provide governments with useful information to control education activity through the reporting of student learning outcomes and teacher performance. Obtaining a degree does not imply an end of the teachers’ learning journey. They need to be continuously engaged lifelong by conducting research activities with colleagues within their schools and other schools to gain insights into their practice and the application of policy priorities (Sachs, 2016). Qualifications could, however, become a problem. For example, for several graduates in various disciplines, overqualification contributed to their struggles in seeking work. They were willing to accept work they were overqualified for but failed because their postgraduate degrees were not considered relevant to the type of work they applied for. This phenomenon has been discussed by Tomlinson (2012) who warned that underemployment might be an outcome of overeducation. This problem seems to be more common in countries, such as Australia and the United Kingdom, where, as Pham and Saito contended, work is predominantly allocated based on workers’ expertise and specialization.

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Professional Skills All graduates acknowledged the importance of having a range of non-technical skills, such as communication, planning and project management, and problemsolving and analytical skills. They shared information on a range of activities that they engaged in to enhance these skills, including work-integrated learning, volunteering, part-time work, and extra-curricular activities. The value of these skills for developing career readiness is widely recognized (see, e.g., Buckley & Lee, 2018; Jackson, 2015). Many graduates endeavored to enhance their work experience by undertaking part-time work locally; however, this did not strengthen their biodata because it was not related to their desired occupation. Kinash et al. (2016) stressed that students need to be selective with what part-time work they assume. The value of relevant work experience is also emphasized by Jackson and Collings (2018). Since the mid-2000s, Australian education faced a skill-deficiency crisis, which reveals the gap between skills that graduates acquire and competencies required by employers outside the academia (Manathunga et al., 2007, 2009; Platow, 2012). The graduates with a Ph.D. degree shared more concern about the opportunities given to develop professional skills in their study program. They mostly focused only on their research to develop research expertise and skills and were neither taught nor created a chance to practice professional skills. In fact, doctoral education programs in Australia were strongly urged by the government to consider ways of incorporating skills development into research degrees because of various limitations in non-professional skills among Ph.D. students (Manathunga et al., 2009). In 2012, the Department of Innovation, Industry, Science and Research (DIISR, 2012) emphasized the need to enhance the non-technical skills of Ph.D. holders so that they could better prepare for occupational trajectories in industries. Most international graduates shared that they had limited English proficiency, low-level communication skills, and constraints in various Western personal values, such as being proactive, critical, innovative, and independent. These skills can be interpreted differently based on individuals’ backgrounds and values (Pham et al., 2018). Therefore, graduates found it difficult and frustrating to seamlessly fit in the organizations. Limitations in language proficiency and intercultural competencies significantly affected their entry into the field and slowed their career progression. They were treated unfairly at the workplace because employers and local colleagues often preferred verbal communication, critical thinking, and reasoning skills, which, according to Pham et al. (2018), were not priorities encouraged in Asian culture.

Social Capital Graduates who succeeded in obtaining employment had not only expanded but also leveraged their social networks, which typically comprised academics who helped connect graduates with potential employers and later acted as referees and brokered significant knowledge about job openings and negotiations. The support of academics was clearly evident among the graduates working in academia, who mainly perceived their lecturers as mentors guiding them on short- and long-term career

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strategies. Their narratives resonated with Popadiuk and Arthur (2014) and Pham et al. (2019) who acknowledged the importance of students’ developing relationships with supervisors and mentors for career opportunities. A business graduate shared an insight that building connections with tutors at the university could also be a useful channel for job opportunities because many tutors simultaneously worked in university and industry settings and thus were well placed to introduce them to potential employers. Networking experiences shared by graduates revealed that social capital existed at three layers. The first could be called the layer of informal social networks, which included contacts that the graduates developed and used mainly for social and entertainment purposes, such as having coffee and “hanging out.” The majority of these networks were bonding ties between people from the same or similar ethnic backgrounds. The second layer comprised the connections that were developed and nurtured mainly for professional purposes. These connections were deeper than those at the first layer because they entailed a relatively long time to develop. Moreover, they were often built on mutual interests and could only be nurtured when all counterparts had a good understanding of their personal circumstances. Many of these relationships were defined as contacts with “significant others” who often assisted the graduates in building resources for the target career or accessing future employment opportunities. Such resources are found in what Bridgstock (2017, p. 344) calls “professional networks.” The analysis revealed that developing relationships at this layer was much harder for international students because they did not have contextual backgrounds (i.e., family, education, friendships) to support the development of these connections. International graduates who succeeded in building useful contacts at this layer, therefore, significantly endeavored to develop a package of good personal qualities and used them as evidence in building relationships with “significant others.” For instance, a graduate earned a positive impression from his lecturer by being a dedicated, supportive, and team-oriented student. Several graduates were introduced by their casual and part-time work managers to potential employers because of their dedication and honesty. The final layer includes connections with life mentors. These relationships took a long time to build. The counterparts involved in these relationships needed to have trust and engage in “exchange” activities that required a “give” and “return” relationship. The counterparts were not mentors and mentees but colleagues who supported each other. The evidence illustrated that several graduates could turn their “significant others” into life mentors after they worked together on several projects and developed a thoughtful understanding of each other’s professional and personal circumstances. As relationships at this layer required substantial time and investment, very few graduates could develop and nurture them. To summarize, one might surmise that while developing informal social networks is relatively easy, converting these to social capital is more likely to be long-drawn. Unfortunately, the majority of our graduates were engaged in building social networks at a later stage because of their close attachment to co-nationals in earlier stages of study and the preference for academic performance over social relationship development in the host country. Consequently, the majority successfully built informal social networks, but few translated them into social capital.

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Vietnam Human Capital In Vietnam, qualifications were viewed as a significant factor that determined the type of profession that people could undertake. Graduates had to hold at least a university degree to obtain a professional job. Organizations used qualifications to classify job titles and promotions. Moreover, job success was largely determined by graduates’ excellent academic records—academic records and transcripts are still commonly used in Asia as criteria to determine whether candidates pass or fail the first recruitment round (Bodewig et al., 2014). However, these findings revealed a paradox. On the one hand, a huge gap existed between higher education and requirements in the labor market. Vietnam’s economy has rapidly developed in the last decade. Economic development requires a skilled, creative, and flexible workforce that can adapt to changes in economic activity and technology. Many graduates did not possess the capacity to meet these requirements. Their common limitations were lack of proficiency in foreign languages—of which, English was the most common—critical thinking, professionalism, and independence. This finding was similar to those of Ketels et al. (2010) and Nguyen and Robinson (2010). On the other hand, graduates were not provided with opportunities to use their expertise because of the work culture in Vietnam. The rigid working system was a common barrier that graduates had to overcome if they intended to apply new knowledge and create changes. The inflexible work culture mainly resulted from the mindset of people in positions of power. They were reluctant to implement change and tended to disregard subordinates’ perspectives because they were apprehensive of losing their power if the prevailing system was altered. Several graduates shared the impression that introducing new practices to the workplace might even be viewed as a threat to both the system and the people in the existing system. Authorities often became too familiar with traditional practices and felt reluctant to accept new ideas. This attitude caused many problems for those who had studied abroad and returned to work in Vietnam. They found blending into the local context a challenge. Many had a desire to use their overseas educational gains to implement radical transformations but quickly gave up because their ideas were not supported by colleagues and supervisors. The rigid work culture mentioned by the participants aligns well with Kwokbun’s (2012) explanation about the complicated process of implementing returnees’ initiatives in Hong Kong. The author evidenced that new ideas acquired in the “West” could be perceived as inconvertible and inalienable because they could pose a threat to the status quo, tradition, and prevailing power structure that was headed by the locals who did not support creativity. Therefore, the returnees suffered from what Goffman (1963) calls stigma of negative cultural capital – a type of mindset held by local counterparts who view hybrids (people with new ideas articulated overseas) as stayers, outcasts, and rebels (Chan, 2010). The working conditions and environment of local companies drove many graduates to quit their jobs and explore a position at international enterprises. These

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organizations were willing to pay better salaries, provide training if needed, acknowledge contributions of staff transparently, and reward those with good performances. These policies were especially attractive to those with overseas degrees and experiences; thus, many returnees targeted seeking a position at multinational companies straight away or after some years of their return. Therefore, the local labor market was classified into two groups. The first consisted of international enterprises and corporates that had staff with high qualifications and a range of other positive qualities, such as English proficiency, good work ethics, intercultural competencies, teamwork, and dedication. Those working for these international organizations are also classified as high- and middle-class people. The other group included local and state-owned companies and organizations that offered low salaries and had unsatisfactory working environments. Therefore, these organizations could only attract staff with a certain level of education and limitations in other resources, such as foreign languages, dedication, and ambitions. This dichotomy led to local organizations becoming apprehensive of international organizations and the “brain drain” became clearly evident in the local labor market.

Professional Skills The analysis illustrated that professional skills attracted the attention of various stakeholders. The graduates were aware of the need to enhance their professional skills together with their occupational expertise. Institutions were also aware of policies launched by the Vietnamese government and the Ministry of Education and Training (MOET), which emphasized that a major responsibility of universities is to offer career-oriented activities and job consultation for students and to equip students with the necessary skills before graduation (MOET, 2008). However, the graduates shared a common problem of not being offered enough opportunities to learn and improve their professional skills during their university program. This situation was mainly because their study programs predominantly comprised teaching and learning activities regarding content knowledge and specialization. Many graduates complained that although the university promoted creativity and initiatives, pedagogical practices were dominated by textbook-based and teacher-centered examinations. Consequently, they were constrained in developing these skills and knowledge. Several studies have reported that the shortage of professional skills of Vietnamese university graduates was a common issue that employers raised (Asian Development Bank, 2008; Nguyen & Robinson, 2010). Besides, for fresh graduates to have work experience was not common. It was yet another problem—mainly caused by cultural practices in Vietnam—that employers often complained about. The graduates did not have the mindset to engage in parttime work during their studies. The majority did their studies continuously from high school to university, and many pursued postgraduate studies right after their university graduation. They did not, therefore, have the opportunity to engage in a real-life working environment, where they could apply the knowledge and skills taught in their university. Consequently, they might have had high and impressive

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qualifications but limited insights about applications and practices. Besides, university–industry partnerships were still a new concept, so the graduates were not provided adequate opportunities to engage in meaningful industrial practices. When they applied for jobs, their employers typically did not have a good understanding of what they had studied in their programs and on what aspects they needed to be mentored and trained when they joined the workforce. The graduates tended to enroll in extra courses that offered professional skill training and certificates to deal with employers’ expectations. They then used these certificates to comply with the recruitment criteria, disregarding their limited understanding and capacities in applying these skills because according to Pham (2021a), professional skills often entail a long time to develop. Professional skills became a crucially important advantage for those who had obtained a degree overseas. Local employers believed that returnees had a greater advantage in terms of professional skills, not content knowledge, because the rapid development of quality educational institutions in Asia could produce local graduates with the same level of content knowledge as those who had graduated from Western countries. To enhance their advantage, returnees needed to identify qualities other than expertise and specializations so that their study journey could be enriched and they could apply for jobs upon their return (Pham, 2020). This finding was significant because research on the employability of international graduates in the host country (e.g., Pham et al., 2018, 2019) has consistently found that international students are disadvantaged as they only acquire limited professional skills; thus, returnees could assume the same and fail to sell their advantages in the home market.

Social Capital Many graduates secured their initial employment via networks, such as family members, relatives, friends, peers, and colleagues. Li (2013) and Pham and Saito established that family members in Asian countries often utilized their position and authority to find employment opportunities for each other. Approximately one-third of students found jobs by mobilizing networks of family, relatives, acquaintances, and peers, and this tendency was also found on employers’ side (Ito, 2013). Some others shared that they were offered various professional development opportunities by people they became acquainted with at events and conferences. In Vietnam, the power to recruit often lies in the hands of specific people who may choose to employ individuals as per their liking. They may also base their decisions on their own interests and ignore the needs of the organization when recruiting new staff (Nguyen, 2009). Another factor that pushed graduates to use personal connections for employment was that universities do not provide any referral services, thereby implying that students have to seek information about possible employment using their networks. Further, employers seek good candidates using their own networks as well, which demonstrates the importance of being an insider in such networks to find good opportunities on both sides. As such, similar to graduates in Australia, Vietnamese graduates had to use social networks for job opportunities. However, these social networks mainly originate from their personal connections.

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Thus, in Vietnam, “whom you know and what you can learn” (Saito & Pham, 2020) is crucial. Graduates need to have good networks with employers and demonstrate their flexible learning capacity. Unfortunately, many were not active in building meaningful relationships during their study programs. Tomlinson (2007) called such graduates “ritualists” who were more passive in their approach and tended to lower their ambitions for their future jobs. Saito and Pham (2020) found that Vietnamese employers did not trust domestic universities; therefore, they often conducted double or triple checks via networks and used probation systems to decide whether students should remain employed by their companies. Pham (2021a) found that sensitizing recruiters about themselves before applying for a job was crucial for candidates. If they failed to do so, the probability of their selection was minimal. Several returnees said that their families had arranged jobs for them before they returned, either by offering them a position in a family-owned company or by using their network of friends to help them find jobs. Others did not receive employment from their social networks directly, although they exploited introductions by their friends and relatives to seek and approach potential employers. Many graduates became entrepreneurs after some years of returning to Vietnam. These returnees demonstrated a strong reluctance to comply with the requirements of local employers and a disrespectful collegial working culture, thus adopting distinct career pathways, including changing jobs, becoming entrepreneurs, or re-repatriating. Several of them decided to run their own businesses as they became more adventurous, socialized, and confident because of experiences gained in Australia—an indirect but long-lasting learning outcome impact. Indeed, Saxenian (2006) evidenced that returnees were more advantaged than their local peers because they had both local and foreign knowledge and social networks, and if they knew how to leverage these resources, they were ideally suited for entrepreneurship.

Discussion and Conclusion This chapter explored and compared the differences in the mechanisms of human and social capital in Australia and Vietnam. This variation originates from differences in practices and expectations toward universities in the two countries, the way business is conducted, recruitment conventions, and employers’ expectations. Notwithstanding this discrepancy, these two countries have several similarities. Regarding human capital, qualifications are important to professional occupations in both contexts. Recruiters used qualifications as the first criterion before checking for other qualities. For some positions, the candidate’s qualifications could be much higher than that demanded by the job. However, mass higher education and competitive labor markets in both Vietnam and Australia have made qualifications become a norm that graduates needed to possess if they desire a high-skilled job. In Australia, over the past two decades, the share of the Australian population that holds a bachelor’s degree or above has more than tripled, reaching 39% in 2020 (Statista, 2020). As employment opportunities did not grow proportionately, this led to the number of unemployed individuals with a university degree increasing from 18.7%

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to 23.29% in November 2020 after the outbreak of the coronavirus disease 2019 pandemic (Small et al., 2021). In Vietnam, 47 new higher education institutions were established between 2010 and 2017, of which 15 were non-public; the gross enrolment ratio in tertiary education increased tenfold from 2.7% in 1990 to 28.3% in 2016 (Organisation of Economic Co-operation and Development [OECD] iLibrary, 2020). These rapid developments in the number of institutions and enrolments were aimed to enable both countries to graduate from low-skilled labor jobs to a market that requires high-skilled occupations. However, the demand and supply did not match, which led to more graduates with higher qualifications than the labor market could absorb. The International Labour Organization estimates that employment in high-skilled occupations has been increasing at a faster rate than in other occupations (OECD iLibrary, 2020). However, recent changes in many socioeconomic aspects in the two countries have created differences in the value of qualifications. Australia has witnessed an increase in occupation mobility; for example, the percentage of people changing their jobs increased from 7.7% in 2017 to 8.1% in 2018 and further to 8.5% in 2019 (ABS, 2021). The augmented occupation mobility reveals the uncertainty of one’s career in terms of industry change. Permanent and full-time jobs have decreased, whereas part-time and casual jobs, self-employment, and entrepreneurship have increased (Pham & Jackson, 2020). Moreover, the globalization and international economic cooperation agreements among countries (e.g., North American Free Trade Agreement, General Agreement on Trade in Services) have led to an increasing number of graduates physically mobilizing across countries. Immigration and labor mobility have diversified workplace culture. Workforce diversity and inclusiveness in Australia, for example, has become one of the features of a migrant destination country (Pham, 2021a). These changes require graduates to possess intercultural competence to enable them to seamlessly work with culturally different colleagues in their country of employment (Deeb & Bauder, 2015; Frawley et al., 2020). They also need strong resilience and flexibility when they encounter adversities, such as discrimination or stereotypical issues, in a different country (Blackmore et al., 2017; Cederberg, 2015; Pham et al., 2019). The willingness to embrace diversity in culture and flexibility to adjust to a new climate of diversified culture requires psychological capital to support these adjustments (Pham et al., 2019). Identity capital is also essential, as graduates have opportunities to embrace diversity and the challenges in formulating their own career identities (Jackson, 2015). They may be influenced by other cultures and shape their own values and career goals (Tholen, 2013). As such, qualifications alone are insufficient for graduates to become competitive, productive, and sustainable in the Australian labor market. Graduates need to develop and utilize other forms of capital, such as cultural, social, psychological, and identity capital. In Vietnam, the labor market has also experienced some of these changes, but at a much slower pace. Specifically, the labor market is still too diversified and largely controlled by the government. Graduates still need a high level of adaption, flexibility, and adjustment based on the demands and orders of their employers, regardless of their expertise and specialization, but do not change jobs regularly, as in

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Australia. In Vietnam, to ensure companies’ survival in the market, employees need to adjust themselves more flexibly to the demands because of the scarcity of various resources. Pham and Saito found that Vietnamese employees needed to be prepared to cover tasks that were not included in their job descriptions; they sometimes needed to perform activities they were not trained for and that went beyond their areas of specialization. This situation reveals that how graduates could sustain their jobs largely depended on how flexible they could be. Vietnam has a rigid work culture, indicating that the value of qualifications and expertise was determined by the extent to which graduates had the authority to utilize what they had learned. They could use their learning outcomes because they were in a position of power to make all decisions. By contrast, operating in a space where they were not fully authorized to decide the development direction and the work culture of their company led to disappointment and struggles. Another aspect related to human capital in Vietnam is that the curricula are very theoretical (Trung & Swierczek, 2009) and crowded (Pham, 2014). The university curricula in Vietnam often contain much heavy contents and limited practical knowledge because the university–industry linkage in Vietnam is inadequate. These issues have resulted in graduates not being offered enough opportunities to practice and train professional skills and apply their knowledge. The labor market could have many graduates with high qualifications, but the inadequate supply of skilled labor force is a critical issue in the country. Social capital in both countries was significant for graduates’ employability. Aligned to the findings of previous research (Li, 2013; Pham & Jackson, 2020), this study demonstrated that relationships with relatives, such as family members, friends, peers, and local authorities, could help graduates find jobs and enjoy successful careers. Two points could explain the benefit of social connections: first, some cultures, such as the Vietnamese, highly value “trust” in doing business. Thus, they often prioritize acquainted candidates when recruiting new staff. Second, in emerging markets where policies about businesses and enterprises are not well developed and systematic, local connections and knowledge are crucial for operating businesses (Li, 2013; Zhang & Li, 2001). In Australia, social networks are an important tool in obtaining employment outcomes and could catalyze job opportunities for many graduates. However, the process of developing meaningful social networks and social capital in Australia was more complicated, especially among people who had never met in person. Graduates could easily develop informal connections, but to engage in meaningful relationships, they need to invest time and effort because these contacts are often based on their professional interests. In sum, this study has contributed to the literature by enhancing our understanding, and explanation of, graduates’ employability outcomes. It provided new insights into how human and social capitals contribute to graduate employability. The number of enrolments in higher education and graduates working across labor markets keeps growing, leading to questions about the value of qualifications in different contexts. Further research should explore what graduates need to articulate so that they can use their qualifications effectively. Social capital in graduate employability has recently got increasing attention of different stakeholders, but

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little is known about the mechanisms of social capital in different contexts, so future research should explore how graduates should build meaningful social connections for their initial and long-term career.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Literature Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Aotearoa NZ Approach to RCC/RPL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Records of Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Alignment with Qualification Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Role of Portfolios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Questions Underpinning the Inquiry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Inquiry Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Desk Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Email Questions for Institutions with RCC/RPL Section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Survey of RCC/RPL Candidates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Ethics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Aotearoa NZ Institutions Providing RCC/RPL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . RCC/RPL Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Survey of Ara RCC/RPL Candidates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reasons for Engaging with RCC/RPL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Enablers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . RCC/RPL Support Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Eportfolios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Increased Visibility for the RCC/RPL Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Equity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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S. Chan (*) Ara Institute of Canterbury – A business division of Te Pūkenga (NZ Institute of Skills and Technology), Hamilton, New Zealand e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_71

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Abstract

Rapid advances in technology and the effects of globalization affect the viability, scope, and practices of many current occupations. People are challenged to be agile when responding to the swift changes in what was previously perceived to be stable employment. Post school and tertiary education, people are now required to continually upskill within their current occupations and for some, a drastic change is required when they move to different forms of work. For many, learning in the workplace have been the means to sustain occupational “drift” as the components of many work tasks alter. Technology has also created many opportunities for self-directed improvement. People may seek to upskill through completion of a plethora of online courses including Massive open online courses (MOOCs) to complete badges, micro-credentials, and “stack” or collect these toward attainment of qualifications. Given the range of professional development availed through workplace learning, whether “formal” or “informal,” online, or through workshops/seminars, it is important for all people to maintain a life-folio to evidence the range of learning completed across their professional working lives. Hence, this chapter presents, discusses, and evaluates options for eportfolios. The chapter reports on a small study to understand the reach and impact of RCC/RPL within the Aotearoa New Zealand vocational education system; the role portfolios have on the RCC/RPL process; and the perspectives of recent RCC/RPL candidates from one institution on the reasons they embarked on the process, their experiences with the support provisioned, and the impact completion of a qualification through RCC/RPL has had on their career. Keywords

Recognition of Prior Learning (RPL) · Assessment of Prior Learning (APL) · Vocational education · Recognition of Current Competency (RCC)

Introduction Recognition of current competencies (RCC) and recognition of prior learning (RPL) are terms used to describe processes for accreditation of qualifications when evidence for meeting qualification outcomes are gathered through current or prior work experiences. Since the inception of Aotearoa New Zealand’s (NZ) qualifications framework (the NZQF), it has been possible to complete entire qualifications at all levels of learning through recognition of current competency (RCC) or recognition of prior learning (RPL) (New Zealand Qualifications Authority (NZQA), n.d.). As such, these RCC/RPL processes require deeper investigation. Study of RCC/RPL should include these processes’ current and future impact on candidates; potentialities and challenges of the Aotearoa NZ system to inform those undertaken in other

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countries; and contributions of RCC/RPL toward better understanding how workplace learning curriculum and support occur. In Aotearoa NZ, it is possible to complete any qualification through RCC/RPL on the ten level New Zealand Qualifications Framework (NZQF). Tertiary education providers exampled by Institutes of Technology and Polytechnics (ITPs), provide support for people seeking accreditation of their workplace skills and knowledge. RCC/RPL awards qualifications for all these levels. The levels range from foundational (Levels 1 and 2) through to certificates (level 4), diplomas (Levels 4–6), and graduate (Level 7)/post-graduate degrees (levels 8–10). Some ITPs provide bespoke services to support RCC/RPL candidates to gather evidence of their skills and competencies and facilitate the matching process of candidates’ evidence to qualification requirements. The future of work indicates the need for all workers to be cognizant of the impact of “industry 4.0” (i.e., globalization, digital technologies, “artificial” intelligences, robotics, etc.) (Kuper, 2020). Industry 4.0 forces impinge on current occupations and forecasts indicate at least 40% of current types of work will be affected (Frey & Osborne, 2017). All work will include job tasks, which will change due to the increased speed of “industry 4.0” evolution. Therefore, the present and future workforce face significant disruptions through how work is continually redefined or reconstituted. Many workers will have to seek “upskilling” to attain horizontal or vertical movements within or across career paths. The ability to identify “transferable skills” and be able to “quantify” these or have these recognized through RCC/ RPL or other processes, are therefore crucial (Illeris, 2009).

Literature Overview The Aotearoa NZ Approach to RCC/RPL The structures and processes availed through the NZQA facilitate the processes of the RCC/RPL as the means toward completion of part or whole National Qualifications. Guidelines are provided by the NZQA on how to recognize and award credits for learning (NZQA, n.d.) through the processes of credit recognition and transfer along with RCC/RPL. Credit recognition or credit transfer is defined as the process for aligning credits achieved by learners, toward another qualification (NZQA, n.d.). In contrast, RPL is a formal assessment process of learners’ relevant and current knowledge and skills, and these may be utilized toward the completion of the learning and attainment of the graduate outcomes of a qualification (NZQA, n.d.). Advanced standing is also possible as a process to recognize an applicant’s entry into a program of study or qualification through credit recognition/transfer or RPL (NZQA, n.d.). This allows candidates to utilize previous education and/or work experience to enter programs part-way through without having to “begin from the start.”

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The deployment of graduate profile outcomes across NZ qualifications also enables a holistic approach for recognizing individuals’ diverse learning experiences (Chan, 2016). Lifelong learning is proposed as one way to maintain employability in the face of rapid changes to work and occupations (Billett et al., 2020). In turn, RPL is one mechanism for supporting individuals’ lifelong learning endeavors as occupations wax and wane (Cameron, 2012) and workers are required to continually “upskill” while still at work to retain current proficiency and develop future skills (Cameron, 2014). The future of work is also seen by many to disadvantage those who are already finding it difficult to attain and secure stable work (Billett et al., 2020; Cameron, 2006). As such, RCC/RPL may be one way for many to achieve initial qualifications, gained through the “university of life” toward supporting these workers to realize their potentialities and ambitions (Cameron, 2014). However, there has been little research into the efficacy and contributions of the RCC/RPL processes (Cameron, 2012). Little work has been completed on candidates who complete nondegree qualifications. At Ara Institute of Canterbury Inc. (Ara) the Centre for Assessment of Prior Learning (CAPL) has worked with candidates for 20 years to help individuals collate their work and life experiences for assessment through RPL. Many Ara CAPL candidates complete nondegree level RCC/RPL. The 2020 data indicates Ara CAPL candidates to comprise of about one third seeking to complete Certificates (level 4), a third for Diploma level programs (level 5 and 6), and a third for degree qualifications (Level 7). It is the experiences and voices of the nondegree candidates that are important to gather as most studies have been conducted for degree level RPLs (Cameron, 2014).

Records of Learning NZQA archives records of learning for all learners who have attained competency unit standards (US) from levels 1–6 (i.e., from foundation certificates to higher diploma). Going into the future, this may not be sufficient. Te Pūkenga, the NZ Institute of Skills and Technology (NZIST) has been formed through a Reform of Vocational Education (RoVE) instituted by the NZ government in 2019. Te Pūkenga merges two distinct streams of vocational education, the countries’ 11 Industry Training Organisations (ITOs) and the 16 Institutes of Technology and Polytechnics (ITPs). ITOs support apprentices and trainees undertaking their learning through work-based learning. ITPs provide formalized learning from Levels 1 (foundation) through to level 10 (doctorate) in a wide range of disciplines deployed through various “modes of learning” including full-time/part-time on campus, off campus and/or through online study. All the ITOs and ITPs are in the process of merging into Te Pūkenga through 2021 and 2022 and Te Pūkenga becomes fully constituted in 2023. As part of the formation of Te Pūkenga, a series of public consultations through the first half of 2021 have culminated in the development of the operating model,

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which draws on a number of “service concepts.” The final draft of these “service concepts” details Te Pūkenga’s objective to “have the learner at the heart of learning.” Analysis of the proposed service concepts indicate high degree of learner-led choice on who, when, where, and what they will learn along with the support structures required to ensure learners are able to maximize their learning opportunities. The “service concepts” include “an adaptive skills framework” developed to cater for learners’ education needs. The adaptive skills framework is authenticated with a lifelong learner record and supported through “pathway planning” to assist learners to formulate their learning journey. The Te Pūkenga “operational plan” was released for consultation and feedback from stakeholders in mid-October 2021. The draft operational plan details the experiences learners seek when learning; Te Pūkenga colleagues when teaching; and all other stakeholders when they engage with the institute. The draft operational plan also details some preliminary approaches toward the organizational focus to address inequities for learners and how the needs of learners, their families, and employers can be supported. Hence, RCC/RPL will be an important aspect of Te Pūkenga’s direction. It is essential to understand better the perspectives of learners who select the RCC/RPL pathway toward qualification completion as it is one way to meet some learners’ requirements and aspirations.

Alignment with Qualification Structures As prefaced above, NZ qualifications span ten levels of learning. All qualifications have “outputs” defined as graduate profile outcomes and their respective occupational and educational outcomes (Chan, 2016). These forms of outcomes may be defined as relational (i.e., whereby outcomes are difficult to quantify) or realist (i.e., the outcomes are measurable) (Holmes, 2013). Therefore, although Aotearoa NZ qualifications are framed by competency-based approaches, the outcomes are not derived from completion of competency standards (i.e., unit standards) but are more holistically evidenced and qualified through ensuring candidates meet the graduate outcomes, which describe the types of knowledge, skills, and attributes to be attained (Chan, 2016). It is therefore important to ensure RCC/RPL processes are not so much focused on the minutiae of qualification/competency requirements but are framed holistically to encompass an expansive evidencing of candidates’ skills, knowledge, and attributes, as they pertain to the graduate outcomes of a qualification. The NZQF also recognizes micro-credentials. These certify the achievement of a coherent set of skills and knowledge, which are smaller than a qualification (NZQA, n.d.). Micro-credentials have a place when rapidly changing skill and knowledge needs due to technology development, requires flexibility and agility on the part of educational providers and learners, to upskill to maintain productivity. Wheelahan and Moodie (2021a) warn of the dangers of fragmentation of education into small

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segments, especially when the micro-credentials are derived from the need to meet “human capital” requirements build on employability and twenty-first century skills. They also argue that micro-credentials disadvantage workers who are already disconnected and perhaps ill-served by the present qualification systems (Wheelahan & Moodie, 2021b). An emphasis on attaining micro-credentials may therefore further exacerbate precarity with work for disadvantaged sectors of society. Therefore, the development and design of micro-credentials should ensure their accreditation toward a larger qualification. It is important to plan, structure, and develop micro-credentials, which can be connected with a larger qualification. That is so micro-credentials may be “stacked” and accumulated toward achievement of a relevant qualification.

Role of Portfolios Portfolios, whether maintained in hard copy or archived digitally as eportfolios, play important roles in supporting learners with a lifelong “record of learning” when work potentially reconstitutes several times through working life. Love et al. (2004) provide a guide as to the constituents and complexity of eportfolios by proposing a five-level organization of portfolios. Level one portfolios are essentially a collection of “evidence of learning” with some organization of these into a structured curriculum vitae (CV) as level 2 portfolios. Level 3 and 4 portfolios provide opportunities for learner reflection and teacher/employer/trainer feedback. At this level, portfolios become a formative and evolving tool for ongoing learning, critical reflection, and feedback. Level 5 portfolios or webfolios align learning evidence to learning outcomes, occupational standards, registration requirements, etc. The portfolio at Level 5 is therefore a record of learning used by workers/learners to organize evidence that meets criteria described in “skills frameworks” or other credentialling requisites. Therefore, portfolios are not only record evidence of competencies/ learning outcomes/graduate profiles, etc., but also provide a means by which learners/workers may self-evaluate or obtain feedback on progress toward learner/ skill attainment goals. Hence, we may envisage the role of portfolios, whether hard-copy or digital (i.e., as eportfolios), to assist with and be integral to the processes of credit recognition and RCC/RPL. Of note is the capability of portfolios for collating evidence of learning, which includes the demonstration of continual cycles of reflective practice. Therefore, portfolios may be used to not only substantiate knowledge and skills but also collect indicative material on a range of attributes, which can be often difficult to assess through traditional means. Attributes are often inferred in graduate profile outcomes and include the abilities to sustain quality performance over time through exhibiting traits, which may include diligence, patience, perseverance, attention to detail/precision, etc. Eportfolios provide for the utilization of a wider range of multimodalities and multiliteracies to be exhibited. Instead of reliance on text-based

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evidence, multi-media (i.e., video, audio recordings, diagrams/plans etc.) are more easily collated, curated, and showcased through digital methods. Eportfolios are thus able to archive more authentic examples and provision the evidence for the confirmation of occupational identity attainment (Chan, 2011).

Questions Underpinning the Inquiry As described in the above section, provisions through NZQA regulations proffer opportunities for all learners to have their learning recognized through RCC/RPL processes. However, there has been no investigation into the visibility and accessibility of these to potential enrollees across the Aotearoa NZ vocational education sector. Therefore, the first question for inquiry is: How visible is access to credit transfer and RCC/RPL to potential learners? Secondly, as discussed briefly in the above section, portfolios and especially digital or eportfolios, have the potential to support RCC/RPL processes. Therefore, it is important to establish whether these are utilized and how they are deployed to aid RCC/RPL candidates. Therefore, the second query is: How are portfolios/ eportfolios used to support RCC/RPL processes? The last query addressed through the study is to find out the efficacy of the present RCC/RPL processes, from candidates’ perspectives. This is carried out to better understand and find answers to the query: What is the experience of RCC/RPL for candidates from one Aotearoa NZ ITP? The responses are then useful in informing ITPs and Te Pūkenga as to the efficacy of RCC/RPL processes and their contribution toward the envisaged Aotearoa NZ/Te Pūkenga “adaptive skills framework.”

Inquiry Method Three approaches were used to collect the data informing this chapter’s discussion and recommendations. Firstly, to explore the first query, an online search/desk study of the provision of RCC/RPL to candidates across the Aoteraroa NZ VET sector was conducted. Then to better understand and find answers to the second question, an email exchange with the ITPs with visible entities/units/sections supporting the RCC/RPL process, was undertaken to investigate RCC/RPL procedures. Thirdly, to assist with gathering the perspectives of RCC/RPL candidates, a survey was conducted at Ara Institute of Canterbury Inc. (Ara) of RCC/RPL candidates in mid-2021.

Desk Study A search using Google Chrome browser, was made in mid-2021 across the websites of Institutes of Technology and Polytechnics (ITPs) (n ¼ 16); existing Industry

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Training Organizations (ITOs) (n ¼ 7)1; universities (n ¼ 6); wananga (Maori tertiary institutions) (n ¼ 3); and a small number of larger private training organizations (n ¼ 17 of the larger PTES out of possible 140 members of ITENZ (2021)). Search was conducted via each organization’s main webpage using the keywords “recognition of prior learning,” “RPL,” “credit recognition,” “recognition of current competency,” “RCC,” “experience recognition,” “my experience,” “work experience qualification.” These keywords were selected as the ones people interested in enrolling in tertiary studies would likely use to find out if their current study or work experiences could be used to offset the number of courses they would need to complete to attain a formal qualification. These data were then collated to indicate the prominence of credit transfer, RCC/RPL from the perspective of an interested and potential student, searching the web for support with these processes.

Email Questions for Institutions with RCC/RPL Section Following the gathering of the data from the desk study, an email was sent to three ITPs, which had clear RCC/RPL support entities/sections or units. The email asked for details of the RCC/RPL process and if portfolios (both digital and non-digital) were part of the evaluation/assessment process. The email was sent to the contact email provided within the ITPs RCC/RPL support sections, mirroring how a potential candidate may contact the section and obtain information on the process.

Survey of RCC/RPL Candidates A survey covering candidates’ demographical features; their reasons for applying for RCC/RPL; their perspectives on their RCC/RPL process; and the impact completion of RCC/RPL has had on their career was conducted in mid-2021. The survey was emailed to 230 participants who had engaged with the Centre for the Assessment of Prior Learning (CAPL) at Ara Institute of Canterbury Inc. between 2016 and 2020. The participants included candidates who eventually completed the RCC/RPL process; those who had enrolled for the process and did not complete or withdrew; and those who had just expressed an interest in the process.

1

Across 2021 and 2022, all Institutes of Technology and Polytechnics (ITPs) and Industry Training Organizations (ITOs) are being merged into Te Pūkenga – the NZ Institute of Skills and Technology (NZIST) as part of a major reform of vocational education. In mid-2021, 4 of the 11 ITOs had merged into Te Pukenga. Therefore, only the seven left to merge had accessible websites.

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Ethics Ethical processes were followed for the administration and analysis of data for the survey and these were approved by the author’s institutional research ethics committee. Names of survey participants were not collected.

Findings Aotearoa NZ Institutions Providing RCC/RPL Although all tertiary institutions in Aotearoa NZ accredited by NZQA offer credit transfer and RCC/RPL processes, the visibility of these was not high when institutional websites were searched for keywords pertaining to these processes. As a summary, only three ITPs, none of the ITOs, one university, none of the Wananga or PTEs directed the search toward meaningful sites for progressing the credit transfer or RCC/RPL processes. Meaningful sites were destinations beyond results, which provided access to policy or enrolment information. As a proviso there was evidence of credit transfer and RCC/RPL processes across the institutions. All but two ITPs (n ¼ 16); two ITOs, all but two universities (n ¼ 6), two wananga (n ¼ 3), and one PTE (n ¼ 17) provided links to various institutional documents, which contained the keywords, affirming the existence of credit transfer and RCC/RPL processes within these institutions. Therefore, although most institutes had systems in place to award credit transfer and RCC/RPL, these were not easily found by using a simple keyword search.

RCC/RPL Processes Three ITPs support candidates through the RCC/RPL process with dedicated units or sections. These are, as previously mentioned, the Centre for Assessment of Prior Learning (CAPL) at Ara; Otago Polytechnic (OP) with Capable NZ; and Waikato Institute of Technology (Wintec) with “Headstart.” The following information, extracted from the dedicated units’/sections’ websites, and email queries are summarized in this section. Ara’s CAPL has worked with candidates for 20 years to help individuals collate their work and life experiences for assessment through RPL. CAPL draws on the expertise of the teachers at the institute as subject matter experts to assess candidates’ experiences (including any completion of previous courses, credits, and qualifications) against the academic requirements of an Ara qualification. The CAPL process involves the payment of fees and is undertaken at candidates’ pace. After the online application is completed, a short interview is undertaken with CAPL administration and an agreed pathway is worked through to gather evidence of experience. The

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assessment may involve a series of discussions with an assessor, and/or the presentation of evidence to a panel. Information packs for a range of qualifications from Certificate to Degree are provided to guide the candidate through the process. For all CAPL processes, some form of portfolio is collated. For Certificate and Diploma candidates, templates for the collection of evidence are provided for a range of discipline areas. The template provides examples of the types of evidence required and directs candidates to the questions assessors might ask for evidence validation. Degree candidates produce a “report,” which is akin to a reflective learning portfolio to evidence academic capability including research and critical thinking. Degree candidates are supported through the process by a CAPL facilitator who provides mentoring and coaching to ensure the candidate collects, reflects on, and collates sufficient evidence to meet the criteria. See Ara (n.d.) for details. The report forms the main output and backing for degree candidates’ presentation to a CAPL panel. The panel consists of an industry representative, discipline-based teachers/tutors, an academic specialist, and a CAPL supporter. The presentation allows candidates to share their work experiences as they pertain to the qualification and evidence the abilities to communicate orally and academically. The results from the panel presentation range from completion of the qualification, to recommendations for some further courses/or evidence to be gathered/completed before granting of the qualification. OP has Capable NZ and a specific unit to support Māori (Capable Māori). The process used is similar to Ara’s as described above. A key difference is that a facilitator is assigned to each candidate from the very start of the process. Another difference is in the suite of programs available for candidates, which include postgraduate qualifications for the recognition of professional practice beyond the usual qualifications offered through OP. These “Capable NZ” qualifications include graduate diplomas, master, and doctoral certification. These qualifications are completed through drawing on candidates’ real-life experiences usually in the form of undertaking or evidencing an in-depth industry-relevant project. Candidates collect and collate evidence as the project proceeds. Master and Doctoral professional practice candidates are expected to approach their project as academic research leading to the completion of a thesis. See Otago Polytechnic (n.d.) for details. Of note at OP is their Capable Māori project, a collaborative effort between Capable NZ and the local iwi (tribe), the Ngai Tahu. The initiative has successfully provided an avenue to recognize the leadership and talents of Ngai Tahu leaders with many having attained graduate and post-graduate qualifications through the RCC/RPL process (Te Maihāroa et al., 2020). Wintec’s “Headstart” provides potential candidates with a paid consultation meeting to assess whether work/life experience and previous qualifications, may contribute toward RPL. Following on, the process is similar to those at Ara whereby candidates collect material to evidence their experiences/course certifications and align these toward meeting the requirements of the qualification they seek to have recognized and complete. Assessment processes are aligned to the qualification to be completed.

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For all the three institutions, some form of portfolio is produced to provide evidence for the RCC/RPL assessment. Across the three ITPs, these portfolios are in the form of hardcopy, bringing together mainly text-based material including designs/plans/sketches, etc. Currently, these RCC/RPL units do not provide the candidate with a prescribed eportfolio platform but allow flexibility if the candidate prefers to work within a digital environment and present a digital or webfolio. Candidates from some disciplines exampled by creative arts, music performance, and architecture have submitted eportfolios. Digital folios provide the means whereby the knowledge, skills, and attributes described through graduate profile statements may be met using multimedia. Therefore, the role of eportfolios for the purposes of RCC/RPL assessment is still emergent and dependent on candidate digital literacy and preferences; the discipline area for which the assessment is being conducted; and in turn, the types of evidence (i.e., text or multimedia) collected, archived, and showcased.

Survey of Ara RCC/RPL Candidates Many Ara CAPL candidates complete nondegree level RCC/RPL. 2020 data indicates Ara CAPL candidates to comprise of one third seeking to complete Certificates (level 4), a third for Diploma level programs, and a third for degree qualifications. It is the experiences and voices of the nondegree candidates, which are important to gather as most studies have been conducted for degree level RPLs (Cameron, 2014). There were 29 (12.6%) responses to the survey. Eight responses came from participants applying for L4 Certificate qualifications. All of these were related to application for work visas or residency in Aotearoa NZ. There were two candidates for L5 Diploma and five for Bachelor qualifications. The other participants did not indicate clearly the level of qualification they had applied for and attained. The majority of participants were in their 30s (n ¼ 10) or between 51 and 65 years of age (n ¼ 12). There were 15 male participants. Fifteen participants reported ethnicity as NZ “European,” one Māori, five Pacific, and ten indicated “other” with some selecting more than one ethnicity. All participants had completed some form of post-school qualification with seven completing L4 certificates or under, six with L5 or L6 Diplomas, five with Batchelor degrees, one with a Doctorate, and three others. The majority of participants had more than 10 years of work experience (n ¼ 18). Overall, comments gathered from participants indicated satisfaction for the process. The reasons provided by candidates for applying for RCC/RPL included the opportunity to use life and work experiences toward the completion of a qualification. The process enabled the “formalising of work experience” and to “save time completing a paper I had plenty of experience with.” The process was positive for all but one of the participants. Positive experiences included the following: “Quick results, opportunity at a very reasonable price, ease

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of diploma, allow flexibility around full-time work” (Level 5 candidate); “I was impressed with the ease of completion, however frustrated with the time things took to progress” (Level 7 candidate); “Very motivating”; The examiner was excellent, friendly, and cooperative” (Level 5 candidate); “It was great the assessor was awesome” (Level 4 candidate); “It was a busy period for me, however, I was given the necessary support and the flexibility was great” (Level 4 candidate); and “my biggest challenge was writing academic docs., however was helped and I completed the programme in seven months” (Level 7 candidate). One Level 7 participant found the process to be “difficult, bureaucratic and not as flexible as I thought.” The main challenges toward completing the RCC/RPL process was related to time available to carry out the work required to collect, collate, reflect, and write up the evidence. Two level 7 candidates’ examples include: “Yes, time management was a factor as I made 2 role changes during the degree. The facilitators kept me in check and gave me the support needed to complete the degree”; “Had to take three block weekends to catch up on study but managed to work it through with work. I did delay for 3 months due work pressures.” The impact for candidates, after attaining their qualification was positive. Examples include: “More work variety, I am recognised with a transformation and change degree now and have worked on significant national projects using such. I received a significant promotion to Head of Sales Oceania, secured a board role and became involved with the IoD as a result of the CAPL course (Level 7).” “Gave me a sense of validation- and value from a personal brand perspective- motivation for my daughter - the opportunity to be awarded added to accomplishment” (Level 7). “I am qualified Baker now. It opens plenty of job opportunities in other organizations with good remuneration. It’s a big impact. I applied my residency and it’s really easy for me to land a job” (Level 4). “I am about to apply to another tertiary education provider for RPL for several papers which I believe I have the relevant experience and knowledge” (Level 5).

Hence, participants of the survey expressed satisfaction with the RCC/RPL processes; the support they had to achieve the RCC/RPL qualification; and appreciated the contribution of the completion of the process on their future career prospects and direction.

Discussion Reasons for Engaging with RCC/RPL As collated through the Ara survey of RCC/RPL candidates, main reasons for undertaking the RCC/RPL process for Certificate seeking candidates was for the purposes of obtaining a work visa or Aotearoa NZ residency. Degree candidates mainly sought RCC/RPL to purposes of self-actualization. Therefore, the reasons for

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engaging with the intricacies and time commitment required to complete the RCC/RPL process was mostly extrinsic for Certificate and Diploma candidates and intrinsic for Degree candidates. The importance of qualifications has increased in contemporary times. The reasons include steady increase of post-school qualifications across all OECD countries in the last few decades; qualification “inflation” so that many types of work have vocational or higher education qualifications as entry criteria; the shift of work from being manual/manufacturing to being service/technology based; and rising expectations for young people from their parents to attain higher qualifications than those of their parents’ generation (see Lauder, 2020 for overview). Therefore, for people who have “worked their way up the organisation,” there is social pressure to be “qualified” as befits their status in the organizational hierarchy.

Enablers The main ways RCC/RPL processes enabled candidates to meet either their extrinsic or intrinsic learning goals are discussed in this section. Firstly, RCC/RPL is important for assisting candidates to align their prior learning/qualifications and life/work experiences to qualification structures and outcomes. For many non-educators, the requirements for qualifications are often difficult to understand and interpret. Hence, the provision of RCC/RPL units at ITPs exampled by CAPL, Capable NZ, and Headstart assist people to understand and identify what they already know, what their future learning goals may be, the gaps between what they currently know or are able to do and the future needs of their occupation, and plan toward maintaining their lifelong learning trajectory. Secondly, and associated to the above is a mechanism for all to be able to record and reflect on their learning attainments through their lifelong learning journey. Adult learning theories and practices supporting RCC/RPL processes include reflective learning cycles exampled by Kolb’s experiential learning theory (2015) and Gibb’s reflective cycle (1988). Kotler’s situational analysis (i.e., the SWOT (strengths, weaknesses, opportunities, and threats) analysis) (Kotler & Armstrong, 2011) is also used ubiquitously in business education. OP qualifications in professional practice at degree and post-graduate levels, offer an “open” qualification, allowing candidates to investigate and explore their skills, knowledge, and attributes and to bespoke assessment processes, aligned to their professional practice attainment. The application of reflective learning cycles toward attainment of qualifications based on candidates’ professional practice acknowledges and celebrates the inherent worth of their life/work experiences.

RCC/RPL Support Structures Structured support and clear guidelines of the RCC/RPL process provide candidates with information on how to proceed and to navigate through complicated

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institutional processes required to complete a qualification. Candidates require support to understand and work through unfamiliar academic processes, including the use of specialized terms, definitions, and the conduct of assessment protocols. The provision of units/sections within institutions similar to CAPL, Capable NZ, or Headstart are therefore important toward providing visible and equitable support to all who may seek the RCC/RPL process as one way to have their current and prior educational attainment and work/life experiences endorsed and certified. The facilitative process for degree candidates is also much enriched by the coaching provisioned to involve them in the reflective learning processes they have perhaps used intuitively through their work. Candidates attain the frameworks (e.g., reflective cycles and situational analysis) to be better able to articulate the ways they evaluate, interpret, and apply theory to practice. These cognitive and academic skills contribute toward increasing candidates’ self-efficacy, provisioning them to successfully meet and manage future career challenges.

Eportfolios The potential for eportfolios is still relatively underutilized with regard to the RCC/RPL process. Lifelong learning records are a component of present and future qualification systems. The need to continually keep up with rapidly changing work requirements, brought about by on-going “advances” of technology, communication, and logistical systems along with the challenges requiring global effort to solve (e.g. climate change, pandemics) means workers have to constantly upskill or re-skill as their work tasks alter, their occupations “modernise,” their jobs are restructured or disappear altogether. A lifelong learning record provide workers with the means to document the many sessions of professional development undertaken, formalized learning attained, and skills, knowledge, and attributes they have achieved and continue to enhance and increase. Eportfolios are one way to collect, collate, and share the many items being collected on lifelong learning records. Instead of just being a list of “standards” in a record of learning, eportfolios may be envisaged as webfolios (Love et al., 2004), which showcase individuals’ accomplishments as it develops through time. The advent of Te Pūkenga provides an opportunity to consolidate RCC/RPL across the VET sector in Aotearoa NZ. One objective of Te Pūkenga is to provide learners with the opportunity to construct their own “adaptive skills framework” (Te Pūkenga, n.d.). This means learners are supported to evaluate their interests, knowledge, skills, and dispositions and create a pathway for the further learning required to apply these attributes toward worthwhile and rewarding work. The “adaptive skills framework” is envisaged to help learners identify their “web of skills” and the competencies learners will gather across their livespan. What this will look like in practice and how the process will be constituted are still to be confirmed. However, the RCC/RPL process must play an important role in the process as it is one way to do a “stocktake” of what individuals bring with them into the framework.

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Recommendations In this section, several recommendations are proposed to ensure the sustainability of RCC/RPL contributions toward the future.

Increased Visibility for the RCC/RPL Process The desk study revealed the hidden potentiality of credit transfer and RCC/RPL processes for learners seeking to have their life and work experiences accredited toward qualifications. However, information on these processes was not easily found through institutional websites. More should be done to ensure access to credit transfer and RCC/RPL are eased through the provision of concise and clear information for potential and existing students. The ability to have parts of or whole qualifications completed through RCC/RPL is an essential service given the vagaries and swift changes across many present and future occupations. The RCC/RPL process helps workers attain recognized accreditation/qualification. In turn workers are enabled opportunities to move horizontally or vertically across their present and future envisaged work roles.

Equity Following on from the above section, visibility of the access, availability, and support from RCC/RPL, is the issue of equity. Equitable access to credit transfers and RCC/RPL processes, provide pathways for potential learners who are unable to afford tertiary education through its mainstream structures. In Aotearoa NZ, Māori, Pacific, and learners from lower socioeconomic (SES) groups have lower participation rates across higher levels of learning and poorer completion rates across all levels of learning (Te Maihāroa et al., 2020). Part of the challenge for these learners is the cost and time commitment required to complete formal tertiary education. Although student loans are available to all Aoteaoroa NZ citizens, these may not be used for RCC/RPL purposes. Māori, Pacific, and lower SES learners uptake of this support is lower than for the general population. This may be because of the lack of visibility and easily accessible information on RCC/RPL. Formalized credit transfer and RCC/RPL processes are not free of monetary costs. Candidates also need to factor in the time required to organize and then work on the production of the RCC/RPL portfolio. As indicated through the survey findings, one major challenge for candidates was to fit into a busy work routine, the time and effort required to gather, reflect on and collate evidence of learning required for RCC/RPL assessment. Initiatives exampled by Capable Maori (Te Maihāroa et al., 2020) offer a way forward to honour, include, and embrace Matauranga Māori protocols, processes, and concepts toward the contribution of the life experiences of all.

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Conclusion In this chapter, the RCC/RPL approaches and processes of Aotearoa NZ’s tertiary/ vocational education and training system is presented and discussed. Of note through the discussions is the finding that despite the availability of credit transfer and RCC/RPL being a universal entitlement through the NZ Qualifications system (NZQA, n.d.), there is poor visibility across the tertiary/vocational education and training system for learners seeking to have their experiences recognized and accredited toward a qualification. Portfolios are used by the ITP RCC/RPL units to gather and collate the evidence used to assess candidates. In the main, hard copy portfolios (mostly produced using digital tools exampled by word processing and presentation software) are used. However, the use of eportfolios whereby multimedia evidence is collated and showcased is deployed for certain disciplines including creative, design, and performing arts qualifications. The experiences of a small sample of recent candidates indicate satisfaction with the processes from one ITP RCC/RPL unit. Importantly, candidates report positive impacts from attaining qualifications through RCC/RPL processes. Therefore, RCC/RPL play an important role in supporting workers to have their life/work experiences considered and rewarded, providing many with the means to progress and sustain their careers.

References Ara Institute of Canterbury. (n.d.). Credit recognition and prior learning. https://www.ara.ac.nz/ study/credit-recognition-and-prior-learning/ Billett, S., et al. (2020). Practices and policies for sustaining employability through work-life learning. Griffith University. Cameron, R. (2006). RPL and the disengaged learner: the need for new starting points. CQUniversity. Chapter. https://hdl.handle.net/10018/62926 Cameron, R. (2012). Recognising workplace learning: the emerging practices of e- RPL and ePR. Journal of Workplace Learning, 24(2), 85–104. https://doi.org/10.1108/ 13665621211201689 Cameron, R. (2014). RPL and workforce development. In J. Harris, C. Wihak, & J. Van Kleef (Eds.), Handbook of the recognition of prior learning: Research into practice. National Institute of Adult Continuing Education (NIACE). Capable NZ. Use your experience to fast-track a NZQA accredited qualification. Retrieved from: https://capable.nz/ Chan, S. (2011). Becoming a baker: Using mobile phones to compile eportfolios. In N. Pachler, C. Pimmer, & J. Seipold (Eds.), Work-based mobile learning: concepts and cases; A handbook for academics and practitioners (pp. 91–115). Peter Lang. Chan, S. (2016). New Zealand’s move to graduate-profile framed qualifications: Implications, challenges and the occupational identity solution. International Journal of Training Research, 14(1), 5–18. Frey, C. B., & Osborne, M. A. (2017). The future of employment: How susceptible are jobs to computerisation? Technological Forecasting and Social Change, 114(January), 254–280. https://doi.org/10.1016/j.techfore.2016.08.019 Gibbs, G. (1988). Learning by doing: A guide to teaching and learning methods. Further Education Unit. Oxford Polytechnic.

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Holmes, L. (2013). Realist and relational perspectives on graduate identity and employability: A response to Hinchliffe and Jolly. British Educational Research Journal, 39(6), 1044–1059. Illeris, K. (2009). Transfer of learning. International Journal of Lifelong Education, 28(1), 3–48. Independent Tertiary Education NZ (ITENZ). (2021). Member list. http://www.itenz.co.nz/ members/member-list/ Kolb, D. A. (2015). Experiential learning: Experience as the source of learning and development. Pearson Education. Kotler, P., & Armstrong, G. (2011). Princiciples of marketing (14th ed.). Pearson. Kuper, H. (2020). Industry 4.0: changes in work organization and qualification requirements – Challenges for academic and vocational education. Entrepreneurship Education, 3, 119–131. Lauder, H. (2020). Higher education and the labour market: An introduction. Oxford Review of Education, 46(1). https://doi.org/10.1080/03054985.2019.1699714 Love, D., McKean, G., & Gathercool, P. (2004). Portfolios to webfolios and beyond: Levels of maturation. Educause Quarterly, 2, 24–27. NZQA. (n.d.-a). Defining learning for credit: Guidelines for the recognition and award of credit for learning. https://www.nzqa.govt.nz/about-us/consultations-and-reviews/guidelines-recogni tion-and-credit-for-learning/crt-rpl-guidelines/definitions/ NZQA. (n.d.-b). Micro-credentials. https://www.nzqa.govt.nz/providers-partners/approval-accredi tation-and-registration/micro-credentials/ NZQA. (n.d.-c). Recognising learning for credit. https://www.nzqa.govt.nz/studying-in-newzealand/tertiary-education/recognising-learning/ NZQA. (n.d.-d). Wananga. https://www.nzqa.govt.nz/audience-pages/wananga/ Otago Polytechnic. (n.d.). Capable NZ. https://capable.nz/ Te Maihāroa, K., Kapa, J., & Tarena, E. (2020). Unleashing potential – Legitimising Māori talent through Capable Māori. In S. Chan & N. Huntington (Eds.), Reshaping Vocational Education and Training in Aotearoa New Zealand. Springer. https://link.springer.com/chapter/10.1007/ 978-3-031-12168-5_6 Te Pūkenga. (n.d.). Introduction. https://xn%2D%2Dtepkenga-szb.ac.nz/ Wheelahan, L., & Moodie, G. (2021a). Analysing micro-credentials in higher education: a Bernsteinian analysis. Journal of Curriculum Studies, 53(2), 212–228. https://doi.org/10. 1080/00220272.2021.1887358 Wheelahan, L., & Moodie, G. (2021b). Gig qualifications for the gig economy: micro-credentials and the ‘hungry mile’. Higher Education. https://doi.org/10.1007/s10734-021-00742-3 Wintec. (n.d.). Recognising your experience. https://www.wintec.ac.nz/study-at-wintec/recogni tion-of-prior-learning

Curriculum 5.0 for the Twenty-First-Century Higher Education: A Way to Move Forward

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Four Industrial Revolutions and Their Impact on the Educational System . . . . . . . . . . . . . . Fifth Industrial Revolution (5IR) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Curriculum 5.0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Features of Curriculum 5.0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Systematically Aligns Learning Goals and Outcomes to Industry Demands Through Outcomes-Based Pedagogy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Balances Emphasis on Process and Outcomes Using a Layered Curriculum . . . . . . . . . . . . . Adopts Technology to Complement Human Creativity and Craftsmanship . . . . . . . . . . . . . . Taps on Developing Multiliteracies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Promotes Self-Management Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Adopts a Sociocultural Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

In the past few decades, we have witnessed an exponential growth of technology integration across different disciplines and how it shaped our personal and professional undertakings. Moreover, recent economic developments have shown the intensifying interdependence among world economies. This metamorphosis in the world landscape has transcended the field of education and required educational institutions to find ways to adapt to these changes and produce graduates that will thrive in an innovation-driven and knowledge-based society. One means to address this educational challenge is through an innovative-driven and future-ready curriculum. As we approach the fifth industrial revolution (5IR), our curriculum needs to catch up. Thus, this chapter seeks to offer insights into the adoption and implementation of Curriculum 5.0 for higher learning. J. S. Barrot (*) National University, Manila, Philippines e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_134

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Curriculum 5.0 is a state-of-the-art curriculum that matches the demand of future jobs and the 5IR environment. The first section explains the context of Curriculum 5.0 and why there is a need to adopt such a curriculum innovation. The second section comprehensively discusses the principles and key features of Curriculum 5.0. The chapter concludes with some implications and recommendations for future development, implementation, and policymaking. Keywords

Curriculum innovation · Curriculum reform · Curriculum 5.0 · Fifth industrial revolution · Educational reform

Introduction In the past few decades, we have witnessed an exponential growth of technology integration across different disciplines and how it shaped our personal and professional undertakings. Significant transformations have begun since the industrial revolution of the eighteenth century and have continued up to the present. Recently, economic developments have shown the intensifying interdependence among world economies. This metamorphosis in the world landscape has transcended to the field of education and required educational institutions to find ways to adapt to these changes and produce graduates that will thrive in an innovation-driven and knowledge-based society. However, bridging the gap between what the industry requires and what the academe produces remains elusive (Volzer et al., 2021; World Economic Forum, 2020). Many countries have failed to catch up with the industry developments and struggled to adopt a curriculum that is ahead of its time, particularly the developing countries (Barrot, 2021). In fact, it was estimated that 65% of children entering primary school today would land in jobs that do not yet exist (World Economic Forum, 2020). These challenges have led to a social crisis known as the skills gap. The skills gap refers to the competencies that the industry needs but do not match with the competencies that graduates possess. An important question that needs to be answered is whether a skills gap exists and, if it does, whether this gap continues to widen given the type of education we have. Available literature suggests that such a gap exists not only in the United States (Robertson, 2018; Volzer et al., 2021) but also in Europe (Restuccia & Taska, 2018) and other parts of the world (e.g., Adepoju & Aigbavboa, 2021; Moore & Morton, 2017; Nghia, 2018). In fact, companies and business leaders estimated that between 40% and 94% of the workers require reskilling. These gaps are most prominent in the field of Education (68.2%), Energy Utilities and Technologies (70.6%), and Mining and Metals (73.3%) (World Economic Forum, 2020). One means to address this educational challenge is through an innovative-driven and future-ready curriculum. As we approach the fifth industrial revolution (5IR), our curriculum needs to catch up with this development. Thus, this chapter seeks to

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offer insights into the adoption and implementation of Curriculum 5.0 for higher learning. Curriculum 5.0 is a state-of-the-art curriculum that matches the demand of future jobs and the 5IR environment. The first section briefly explains the four industrial revolutions and their impact on the educational system. It is followed by a discussion of the 5IR. The third section comprehensively discusses the principles and key features of Curriculum 5.0. Finally, the paper concludes with some recommendations for the future development and implementation of innovative higher education curriculum and policymaking.

The Four Industrial Revolutions and Their Impact on the Educational System In the past 300 years, the world has witnessed four major industrial revolutions. The first industrial revolution lasted between the late eighteenth century and early nineteenth century. From hand production methods, the processes transitioned to mechanized production. It is a period when chemical manufacturing, iron production, and the use of steam and water power increased. Along with this mechanical development is the unprecedented population growth rate. Because of the demand for certain skills during the first industrial revolution, schooling became an important part of life, and more and more children were educated. For instance, compulsory 2-h education was imposed on children working in factories. Libraries were set up, and night schools were offered to working men to further their knowledge and skills. The second industrial revolution emerged in 1870 when electrical energy was harnessed for mass production. Considered as a technological revolution, rapid industrialization and standardization were witnessed from the nineteenth to early twentieth century. Technological advancement also led to the adoption of major systems, such as electrical power, railroads, telegraph, telephones, sewage systems, and gas and water supply. It ended at the onset of World War I. It was during this economic development that investment and expansion of the educational system were witnessed. The number of students at primary and secondary schools increased dramatically as well as the literacy rate among these groups of students. Conversely, higher education did not progress as significantly as primary and secondary education (van Strien, 2011). It took another century to see a transition from the second to the third industrial revolution. This era is marked by a digital revolution where information technology and electronics were adopted for automated production. Specifically, semiconductors, personal computing, telecommunications, space expeditions, cellular phones, biotechnology, and the Internet were introduced to the world. There was also a shift from analog to digital technology. Although this transition disrupted many industries, such as energy and global communications, these were merely temporary disruptions. The same transition had forged new ways of educating people and disseminating knowledge. Among these changes is the integration of technology into instructional

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delivery, the introduction of open and online education, reduction in drop-out rates, adoption of technology-based learning materials, and refocusing of teaching goals (Cosmulese et al., 2019; Hanewald & Ng, 2011; Kaplan & Haenlein, 2016). It was during this period when four approaches to delivering instruction co-existed: traditional face-to-face instruction, traditional distance learning, blended learning, and full online learning. A more sophisticated digital revolution occurred in 2011 – the fourth industrial revolution (4IR). The shift to 4IR was relatively faster than its predecessor, which only took around 40 years (Demir et al., 2019). Unlike its immediate predecessor, 4IR fuses technologies to converge the physical, digital, and biological spheres (i.e., cyber-physical systems or the Internet of things). According to the World Economic Forum (2020), this recent development would change the landscape of the job market, resulting in the decline of many jobs, such as data entry clerks, administrative and executive secretaries, accounting and payroll clerks, auditors, and assembly and factory workers, business services, customer service workers, general and operations managers, mechanics, and stock-keeping clerks. Meanwhile, those that are expected to be in demand include data analysts and scientists, artificial intelligence (AI) specialists, big data specialists, digital marketing specialists, process automation specialists, business development professionals, digital transformation specialists, information security analysts, software and application developers, and Internet of Things specialists. This trend indicates that technology adoption will continue across fields and will accelerate in some areas. It is expected that by 2025, time spent by humans and machines will be equal. Because of this, the future looks bright for white-collar online workers. Consequently, these new job roles will require a new set of skills. These skills are analytical thinking and innovation, active learning and learning strategies, complex problem-solving, critical thinking and analysis, creativity, originality and initiative, leadership and social influence, technology use, monitoring, and control, technology design and programming, resilience, stress tolerance and flexibility, reasoning, problem-solving and ideation, emotional intelligence, troubleshooting and user experience, service orientation, system analysis and evaluation, and persuasion and negotiation (World Economic Forum, 2020). Aside from the rise of new courses in higher education because of a demand for new skill sets, 4IR challenges the status quota in traditional pedagogies as students lose interest in traditional lectures and crave a more interactive way of learning new things. As such, there was a systemic shift to the use of mobile devices and tablets that exposes students to a more flexible, accessible, adaptive, and immersive learning experience, thereby increasing their motivation to learn. Students do not only create knowledge in this new learning space but also apply this knowledge to a real-world context. In the same vein, schools are challenged to redesign the delivery of education, while teachers are challenged to accelerate their pedagogical skills to match the realities of their digital native students. Finally, it was during this era that we witnessed a dramatic increase in the popularity of online education, whether formal or informal, academic or professional. Despite all these developments in education, it is still safe to posit that the digital revolution has not fully transformed the whole educational landscape yet.

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Fifth Industrial Revolution (5IR) While economic development today has dramatically progressed because of technological advancements, 4IR critics highlighted the danger that it poses to the human workforce and decried it for being technocentric. Technocentricism is a value system that expresses absolute faith in and centers on technology and treats humans as separate from nature (Odorcak, 2020; Papert, 1987; White, 2019). 4IR manifests a technocentric position by overemphasizing automation, smart technologies, and connectivity over the services of humanity. Additionally, as industries shift to automation, technologies are likely to displace some jobs in the next 5 years (e.g., data entry clerks, payroll clerks, factory workers, mechanics, postal service clerks, bank tellers, news and street vendors, and construction laborers). As can be seen, most of these jobs are mechanical and clerical. In this case, the 4IR’s brunt would mainly impact those from the lower economic strata and middle-class skilled workers. Brown et al. (2010), Campa (2019), Waverman (2018), and Komlos (2018) reported that the decline in global labor share had been disproportionately borne by the skilled workers from lower and middle classes both in emerging and developed countries. Their data also indicated that automation as a result of technological advancement and globalization aggravated unemployment and job polarization among these groups. These issues gave rise to a movement that would bring back humanity to the realm of society within a technological milieu. Similar to 4IR, 5IR synergizes humanity and technology but with the end goal of promoting quality human life (Nahavandi, 2019), making it more human-centered than its predecessor. The 5IR as a construct originated from Japan’s Society 5.0, which refers to “a human-centered society that balances economic advancement with the resolution of social problems by a system that highly integrates cyberspace and physical space” (Cabinet Office, n.d.). It is a forward-looking society where people show mutual respect and live an enjoyable and active life within an information society. 5IR also promotes a super-smart society that converges cyberspace and physical space to resolve various social challenges and humanizes the use of technologies by combining human creativity and craftsmanship with cyber-physical systems (European Economic and Social Committee, 2018; UNESCO, 2019). As Salgues (2018) and Nakanishi (2019) posited, 5IR harmonizes humans, nature, and technology in creating a society that allows people to practice their diverse skills, feel safe and secure, go back to their values, and experience ample opportunities. It is, therefore, expected that efforts are geared toward creating advanced human–machine interfaces where the power and creativity of human brains are complemented by automation to achieve the highest level of efficiency and productivity. Moutzis (2021, p. 13) summarizes the difference between 4IR and 5IR. In terms of motivation, 4IR focuses on mass production, whereas 5IR zeroes in on smart society and sustainability. For 4IR, the involved technologies include the Internet of Things, cloud computing, big data, artificial intelligence, and robotics; but for 5IR, it involves human-robot collaboration, renewable resources, sustainable agriculture, and production of bionics renewable resources. They also differ in power sources. 4IR is powered by electricity, fossil-based fuels, and renewable power sources, while

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5IR power sources are limited to electrical and renewable power sources only. Given these differences, 4IR is tagged as smart manufacturing, whereas 5IR is associated with human-robot co-working and bioeconomy.

Curriculum 5.0 In the case of education, the transition to 5IR requires educational reforms that would address the demands of this “utopic” society. One such reform is through an innovative-driven and future-ready curriculum, which I term as Curriculum 5.0. As I have earlier defined, Curriculum 5.0 is a state-of-the-art curriculum that matches the demand of future jobs and 5IR environment and guides the teachers, learning materials developers, school leaders, education agencies and organizations, policymakers, and other key stakeholders in achieving the educational goals of a country or territory. Unlike the conventional curriculum, this innovative curriculum is ahead of its time. It is able to see the job roles that are likely to decline and increase in the next several years, consequently calibrating its goals and desired competencies. More specifically, Curriculum 5.0 exhibits the following features: addresses industry and societal demands, balances learning outcomes and processes, harnesses technology to complement human creativity and craftsmanship, zeroes in on developing multiliteracies, taps on learners’ self-management skills, and adopts a sociocultural perspective. All these features are discussed in the succeeding section.

Features of Curriculum 5.0 Systematically Aligns Learning Goals and Outcomes to Industry Demands Through Outcomes-Based Pedagogy As reported elsewhere (Volzer et al., 2021; World Economic Forum, 2020), the gap between the competencies that fresh graduates possess and the skills that the industry demands remain wide, more particularly in developing regions. One factor that contributed to this problem is the use of an overly academic and cognitive curriculum that fails to help students bring their learnings in the classroom to the real world. To address this problem, many countries have adopted outcomes-based pedagogy (OBP), which argues that any curriculum should clarify the intended learning outcomes (ILO) that they want to see from the students. Of course, these learning outcomes are expected to be aligned with the demands of the industry. One principle behind OBP is constructive alignment, which emphasizes alignment among teaching-learning activities, content, assessment, and ILOs, the latter being the core (Biggs, 1996; Spady, 1994). OBP also requires alignment among the ILOs at the institutional, program, and course levels. Industries and communities are becoming more complex, so are the needed skills. To be truly responsive to the community and industry, Curriculum 5.0 utilizes a systematic approach to ensuring this alignment. First, it is the product of

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collaboration between the higher education institutions (HEIs) [some countries have Skills Councils or their equivalent for vocational education and Training, e.g., Australian, England, not just IHLs. Apprenticeships are more the domain of VET] and the employers to better understand what the needed skills are and the job roles associated with them. Thus, skills councils have been established in a range of countries. They are employer-led organizations [not necessarily, can be instigated by government as a tripartite arrangement between government, employers, and unions] that support employers in managing apprenticeships and provide advice on skills prioritization to reduce the skills gap and improve productivity. It is typically composed of senior managers from the public and private sectors, professional organizations, HEIs, and vocational education and training (VET) sector (yes). This collaboration allows the HEIs to align their curricula with the developments in the industry. In this setup, people from the academe can bring to the table their deep and theoretical knowledge, while people from the industry can bring with them technologies and real-life issues that require a solution. This is a challenging task because the industry has to agree on the essential skills that they need and their parameters. Getting information from a single employer may not be sufficient, but HEIs may prioritize the companies where their graduates typically land. The dynamic interaction among the stakeholders in the skills councils requires that students be provided with a more responsive education and ongoing training, be immersed in real-world work systematically and extensively, and be provided with an educational system that embraces the forms of learning. Such interaction also blurs the line that separates HEIs and VET for more seamless learning delivery and transition from VET to higher education. Second, Curriculum 5.0 is the product of progressively mapping the identified skills and aligning these skills to the courses that HEIs offer. This dynamic approach to mapping skills prevents target skills from becoming ossified and static and allows the curriculum to catch up with constant evolution and rapid changes in the industry and society in general. Then, faculty members recalibrate the courses to help students gain the target skills using empirical data making the course development evidence-based and in sync with the realities of the industry. These courses (majors/degrees) are designed to develop graduates for the future, for their future, and for the community. One example of this effort is the Liberal Education and America’s Promise (LEAP) initiative that seeks to recalibrate learning in higher education as a way to respond to the needs of the current society (AAC&U, 2007). As pointed out by Wanyeki et al. (2017), Naidu and Narayan (2021), and Jackson (2010), curriculum and courses must calibrate to the complex nature of real-world work environment and advocate meaningful learning outcomes responsive to the needs of the industry. Note, however, that these courses must highlight the skills and learning outcomes that they will acquire when taken, with less emphasis on the numerical grades. This approach would also help students decide on the major that they will specialize in based on the skills it offers and the job roles that they will eventually take. In this case, greater synergy between HEIs and employers is needed that will help the former gain a deeper understanding of the different job roles and rethink the programs they offer and the admission processes for these programs to be truly responsive to the 5IR environment. Students pay their

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tuition and invest time and effort when studying. It is, therefore, fair that they understand the skills they will get from the course and the return of investment in the form of skills. So when they face the employer during the interview, it would be clear to them what they can offer to the company. In this extremely competitive world, knowing is not enough. Graduates should be able to demonstrate these skills and get things done. During the internship, it should be clear to the students the track he wants to go and align the internship with that.

Balances Emphasis on Process and Outcomes Using a Layered Curriculum A curriculum may be classified as process-based (highlights teaching and learning process), content-based (emphasizes subject-matter topics), or product-based (emphasizes output or outcomes) [there are other ways of classifying a curriculum – perhaps you could say something like, a common way of classifying curriculum is. . .]. In the case of Curriculum 5.0, it is primarily a layered curriculum that fuses the features of the different curricula. In short, it equally emphasizes the use of content knowledge and processes to achieve the desired learning outcomes or competencies (Barrot, 2015, 2019). To do this, the curriculum substantially integrates learning strategies as a vital component of the learning plan. On the part of the teachers who are expected to exhibit mastery of related knowledge and skills, they are expected to demonstrate the processes and model the product/performance that students are expected to perform. A wide range of studies have provided empirical evidence on the positive impact of modeling on students’ academic achievement and competencies (e.g., Bassanezi, 1994; Casey & MacPhail, 2018; Gilbert & Justi, 2016). Because dealing with the process during the teaching-learning activities takes time, curriculum developers need to be selective of the key topics and competencies to be included in the curriculum.

Adopts Technology to Complement Human Creativity and Craftsmanship Similar to its immediate predecessor, Curriculum 5.0 systematically integrates technology into the teaching-learning process. Since the 1990s, information technology has significantly transformed our educational landscape that led to the emergence of technology-enhanced learning and teaching as a major subfield in education. However, the heightened excitement for the use of technology to deliver education has its pitfalls. Among these is too much reliance on technology to the point that it becomes the cornerstone of teaching and learning. In a Curriculum 5.0 environment, technology is used as a powerful tool in enriching students’ learning experiences and creating a diverse learning environment that embraces human diversity and creativity. While some existing higher education curricula comprehensively and explicitly detail how integration is done, others are less keen about it as

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they feel such an integration automatically goes with the curriculum. This assumption is potentially adverse because not all have the same frame of reference when it comes to technology integration. It is, therefore, imperative that the curriculum clearly states how key stakeholders (e.g., teachers, school leaders, and students) navigate the delivery of education with, through, and around emerging technologies (Jang, 2009; Kopp, 2015; Ravitch, 2018). More specifically, Curriculum 5.0 clarifies how technology is used as a pedagogical tool, as assistive technology, and as a platform to learn how to navigate technology itself. Curriculum 5.0 treats liberal arts education as increasingly important because the cyber-physical world demands cognitive flexibility and creativity for lifelong learning (Lewis, 2018; Mou, 2021). Thus, HEIs may need to upskill those from the liberal arts who possess high competence in communication, creativity, critical thinking, collaboration, curiosity, and leadership and get them involved in the digital world. It is high time that HEIs bring back the limelight to arts, humanities, and social sciences along with STEM programs and courses and begin rehumanizing higher education. The more we tangle up in automation and blind spots of big data and artificial intelligence, the more important it is to fuse human judgment with our digital lives (Anders, 2017). In fact, the majority of the job roles in tech-based companies in the United Kingdom are occupied by nontechnical people. Similarly, a 2019 survey conducted by LinkedIn indicated that companies do not only look for technical skills, but equally, they look for people who are creative and collaborative. World Economic Forum (2020) echoes the value of nontechnology skills in the next several years as it lists 11 nontechnical skills out among the 15 top skills for 2025.

Taps on Developing Multiliteracies The emergence of technology has shaped the way we live and learn and has demanded us to possess different sets of literacies to thrive in this knowledgedriven and highly globalized society. This development led to a new construct known as multiliteracies, which are beyond the traditional literacies, namely, reading, writing, and numeracy. It relates to learners’ multiple skills involved in gathering, accessing, organizing, and evaluating multimodal information (textual, visual, audio, tactile, etc.) using available resources (New London Group, 1996). Within the context of the twenty-first century learning, relevant skills and literacies include communication, collaboration, creativity, critical thinking, character, culture and ethical citizenship, and computer and digital literacies (The Partnership for twentyfirst Century Learning, 2015). This means that Curriculum 5.0 requires learners to be flexible and strategic in their literacy practices when processing a range of multimodal texts and socially responsible and engaged as a member of the community (Anstey & Bull, 2006). Alternatively, North Central Regional Education Laboratory and the Metiri Group (2003) also provided a comprehensive list of the different literacies that students need to master. These include digital-age literacies (ability to understand different forms of information), inventive thinking (ability to process information within a complex context), effective communication (ability to send and

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receive multimodal information meaningfully, accurately, and appropriately), and high productivity (ability to be a productive member of the workforce). In line with multiliteracy pedagogy, Curriculum 5.0 ensures that multimodal modes are used during the teaching-learning process taken from various sources and types of information. It is important to note that information technology is extensively adopted during the processing of multimodal information, be it providing input or assessing students. Since culture and society are highly intertwined with learning, Curriculum 5.0 embraces students’ cultural diversity and locates knowledge and meaning within the social, cultural, and historical context of learning. Similar to the concept of transformative learning (Mezirow, 2003), it emphasizes meaning-making, creative, and critical thinking processes that allow students to apply learning to real-life contexts and transform themselves and the society where they belong. Although Curriculum 5.0 is expected to attend to these various literacies equally, the extent to which each literacy is emphasized varies from one course/subject to another. For instance, language and communication courses are expected to give more prime on effective communication, whereas IT-related courses are expected to deal more with technological literacy. Nonetheless, each course and subject needs to integrate as many appropriate literacies as possible to help students become holistically developed and future-ready.

Promotes Self-Management Skills As a humanistic curriculum, Curriculum 5.0 places self-management (or life and career skills) at the forefront of the curriculum, along with the different literacies that students need to master. But let’s define what self-management means. It refers to one’s ability to regulate and change one’s own behavior instead of being externally controlled (Breevart et al., 2014; Kendall & Rogers, 2007). Skills related to selfmanagement include adaptability, curiosity, decision making, emotional control, managing complexity, resource utilization, risk-taking, self-direction, selfmonitoring, and sound reasoning, among others. Given the complex society we are in now, the young generation endlessly confronts highly intricate and demanding issues making them highly vulnerable to breakdown. But if they are equipped with the right cognitive, physical, and psychosocial skills and the ability to synergize these skills, they could overcome these challenges effectively. However, it is apparent that some curricula have underrepresented these important human skills (Barrot, 2019, 2021). One approach to address this issue is to reflect self-management or life skills explicitly in the curriculum (Baldo & Furniss, 1998; Chau et al., 2016; Gut, 2011). It is in this context that problem- and projectbased learning play a critical role. In problem-based learning, students are involved in analyzing and solving real-world problems that they may encounter beyond the four walls of their school and apply creative, innovative, and critical thinking skills during complex problem-solving situations (Chen & Kuo, 2019; Moallem et al., 2019). Meanwhile, project-based learning allows students to transform their ideas

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into tangible and concrete solutions by designing, planning, and carrying out realworld projects. With the adoption of the problem- and project-based learning in Curriculum 5.0, traditional assessment (e.g., short answer, multiple-choice test, and true-or-false) takes a back seat and not the driver’s seat. The reason for this is that too much reliance on traditional assessment is not reflective of how things work beyond the boundaries of the classrooms and fails to prepare students for real-life challenges (Frank & Barzilai, 2004; Tal et al., 2000). When graduates start working, put up their own business, and immerse themselves in the community, they do not do much of these types of assessments. Instead, they practice what they have learned guided by the standards and norms of the profession, industry, and society in general. Curriculum 5.0 lets them use the content, tools, and other related skills, coupled with the right attitude (i.e., self-management skills), to solve problems, innovate, and create for the common good.

Adopts a Sociocultural Perspective Another key feature of Curriculum 5.0 is its adoption of sociocultural perspective to assessment, instruction, and learning. The sociocultural theory argues that individual cognitive functioning is linked to historical, social, cultural, and institutional contexts (Alfred, 2002; Lantolf, 2000; Mahn, 1999). This theory views that learners acquire new knowledge and competencies as they actively participate in a broad range of social activities that require collaboration and interaction. The same emphasis is given by Curriculum 5.0 to the value of sociocultural and historical aspects within a technology- and information-driven society. Emerging technologies are viewed as tools to realizing the sociocultural goals of learning, not as a be-all and end-all of the educational system. Their utilization is and should be motivated by human development and quality of life. In terms of assessment, a sociocultural perspective advocates for a curriculum that uses dynamic assessment in which there is an interactive exploration of learners’ thinking processes and strategies for learning to gain in-depth insights into their potential abilities. To simply put it, the dynamic assessment does not aim to impose specific ways on how learners should achieve competencies but rather on how successful learners achieve the same level of competencies in a variety of ways. It is a perspective in line with the principle of Curriculum 5.0 to bring back human creativity and craftsmanship to the forefront of educational practices.

Conclusion In this chapter, I discussed how the different industrial revolutions shaped the educational landscape. While we are currently in the 4IR, current developments suggest that we are at the doorstep of the 5IR, where human creativity and craftsmanship are harmonized with the cyber-physical systems. Our educational system should, therefore, be ready for the next change. As such, this chapter presented

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Curriculum 5.0 and how it can make our students future-ready. Similar to educational innovations that preceded it, this change requires many adjustments in our current practices. HEI teaching staff may require recalibration in skills and frame of thinking to ensure that their beliefs and innate pedagogical frameworks are in sync with the thrust of Curriculum 5.0. Universities also need to be cognizant about how they can best support and deliver the right programs that are meaningful to the industry and society in general. It is high time that traditional courses that have not been adapted to the twenty-first century milieu be revisited and recalibrated. Those that are less relevant today and in the near future may need to be abandoned and replaced by more relevant courses. Update the program objectives and align them to industry demands. Integrate technology across specific courses. Highlight the twenty-first century skills, namely, creativity, critical thinking, collaboration, and communication. Strengthen industry, government, and academe collaboration. Finally, policymakers may need to recalibrate their view of assessment at multiple levels (national, institutional, and classroom levels). What we need now is a competency-based assessment, not merely a knowledge-based assessment. Instead of using highly cognitive and academic professional board examinations, professional certification agencies may incorporate practice-based assessment, whether on-site or online, through computer simulations. One of the most significant failures of our current educational system is that it fails to prepare our students for the future demands of society and equip them with the right attitude, skills, and knowledge to thrive in the real world. This is a challenge, at the same time, an opportunity to make higher education more relevant. We need critical thinkers, not memorizers. We need innovators, not imitators. We need problem solvers, not trouble makers. We need emotional intellects, not intellectual monsters. We need competent communicators, not fakers. We need forwardthinkers, not backward lookers. One way to achieve all these is to take a paradigm shift in curriculum design, implementation, and policies. Although the shift to a human-centric yet state-of-the-art and future-proof curriculum is an uphill battle, it can be done.

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A Performative View on the Role of Educative Curriculum Materials on Teacher Learning Valentina Guzma´n

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and Antonia Larrain

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teacher Learning for Transforming Classroom Practice Discourse: Assumptions to Explore . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Role of Educative Curriculum Materials in Teacher Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . A Performative Notion of Teacher Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

As a society, we face multiple sociopolitical, environmental, cultural, and human rights challenges that require citizens to develop a greater capacity to organize and articulate different perspectives to reach common solutions through democratic means. This implies a view of democracy based on deliberative exercise and critical evaluation to arrive at the best possible solution to given problems. As a result, the notion of deliberative teaching has been developed (a type of dialogic teaching) that refers to an organization of the curricular contents around the exercise of argumentative deliberation, that is, promoting a democratic dialogue around genuine curricular controversies that require a collective effort to be resolved by consensus. This type of teaching has empirically shown to benefit political competencies, social cohesion, and impacts in disciplinary concept learning for students. The problem is that global evidence shows that a transmissive and monological pedagogy is still maintained. Thus, we face the challenge of changing

V. Guzmán (*) · A. Larrain Universidad Alberto Hurtado, Santiago, Chile e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_135

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pedagogical practices, which directs attention to how teacher professional development programs promote transformations in pedagogical teaching. One of the alternatives for teacher professional development that has shown promising results is the so-called use of “educative curriculum materials.” These cognitive tools have emerged as a crucial option for addressing teacher learning and changing practices. However, despite these empirical benefits, it is also necessary to understand and explore the theoretical assumptions underlying the use of these materials. This chapter aims to explore a theoretical foundation that discusses the cognitivist perspective underlying the use of these materials. Just as we understand dialogic theory to explain student learning through language speech, the functioning of these materials will be explored from this theory that, in turn, explains the role of language involved in these adult learning processes. Finally, the practical implications of these curricular tools are discussed. Keywords

Teacher learning · Educative curriculum materials · Deliberative teaching · Sociocultural theory · Argumentation

Introduction Dewey (1966) puts forward a proposal of education for democracy from its deliberative conversation: people exercise their citizenship through critical evaluation organized by problematic situations to arrive at the best possible alternatives. The theoretical roots of democratic deliberation, found in authors such as Dewey (1966) and Gutmann and Thompson (1996), assume that the conversation of different and opposing perspectives would have a transforming power on people because it develops a greater capacity to listen, talk with others, and solve common problems. In a broad sense, deliberation can be understood as a verbal discourse, in which people genuinely and critically elaborate and evaluate opposing points of view to resolve a conflict and achieve a collective solution through cooperation, and in which not only resolve conflicts, but also the same positions are shaped, reformulated, and better understood (Felton & Kuhn, 2001; Felton et al., 2009). Based on the above, the notion of deliberative teaching has been proposed recently (Englund, 2015), conceived as the teaching organized around the deliberative exercise, promoting a democratic dialogue throughout genuine curricular controversies that require resolve in consensus. This mode of teaching assumes that people learn more and better if, in open dialogue or conversation, the arguments of others are listened to, making a collective effort to find agreements from different perspectives (Englund, 2000). Thus, deliberative teaching is an approach that promotes a democratic dialogue in the classroom in which; (i) different points of view

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are exchanged and confronted; (ii) others are listened to with respect; (iii) there is an effort to reach a consensus or at least temporary agreements of disagreement; (iv) it is possible to question and challenge traditional or authority points of view (hegemonic, traditions, parents, teachers) v) it gives a margin to deliberate without teacher control (Englund, 2015), and (vi) students are encouraged to talk to each other and not direct all comments to the teacher (McAvoy & Hess, 2013). Research regarding deliberative teaching has been shown to play a crucial role in the achievement of political competencies, future political participation, and conversational skills (Anderson, 2014), as well as in the development of democratic values and principles (García-Carrión et al., 2020; Villardón-Gallego et al., 2018). Likewise, there is a large body of empirical literature associated with argumentative deliberation or inquiry dialogue that evaluates the effects of peer argumentation in the classroom, showing that deliberation and discussion of controversial topics through joint and critical resolution has a positive impact on the understanding of complex disciplinary concepts (Asterhan & Schwarz, 2016; Asterhan, 2013; Larrain et al., 2019; Resnick et al., 2015). These investigations consider that teaching should go from the transmission of knowledge or recitation to dialogue, discussion, or argumentation practices. For this reason, they promote teaching in the classroom that encourages collectivity, reciprocity, and the social and critical construction of ideas (Mercer & Littleton, 2007), as well as seeking to provide space for students to develop their ideas and diverse and conflicting thoughts for the achievement of learning (Howe et al., 2019). However, despite the recognition and the various research showing the benefits of deliberative and argumentative teaching practices, both in political competencies and conceptual understanding, there is evidence that shows that a traditional pedagogy based on teacher dominance is maintained (Larrain et al., 2018). There exists a monological and transmissive teaching, with a type of interaction in which the discursive sequence known as initiation-response-evaluation or recitation (IRE) predominates (Howe & Abedin, 2013; Sinclair & Coulthard, 1975) in which; teachers ask closed questions, leaving the class to respond and then evaluate the answers.

Teacher Learning for Transforming Classroom Practice Discourse: Assumptions to Explore To address this problem, the continuous training of teachers has been the subject of empirical and theoretical debate for decades (Darling-Hammond et al., 2017). Although there have been initiatives to promote teacher professional development oriented to inquiry and argumentative dialogue (Reznitskaya & Wilkinson, 2019); dialogic teaching (Hennessy et al., 2018; Lefstein & Snell, 2014) studies have reported only modest effects of teacher’s development programs (Wilson, 2013), which expresses the great complexity involved in promoting this type of classroom

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change at all educational levels (Reznitskaya & Gregory, 2013). Fostering the conditions to transform this type of interaction is a great challenge because it implies installing a complex pedagogical practice unfamiliar to most teachers (Gomez Zaccarelli et al., 2018). Nevertheless, the question is: why has it been so challenging to put it into practice? Various hypotheses have been put forward to explain the difficulty of change. However, a possible factor that intervenes, or a possible hypothesis that has not been sufficiently addressed, is that the assumptions of teacher development programs have been influenced by theoretical ideas that have prevented teachers from taking full advantage of the opportunities for professional development. Although many of these programs consider practice fundamental in teacher learning, the theoretical assumption is that practice change rests behind a cognitive level that involves knowledge or beliefs (Pintrich & De Groot, 1990). Therefore, if something changes in cognition, there will be results in actual practice. This relation implies a dualistic dichotomy between cognition as thought and practice as action. Lampert (2010) supports this idea, pointing out that teacher learning does not seem applicable to understand practice as something separate from cognition. This author suggests that teacher learning has historically assumed that practice changes due to an idea or mental representation behind that practice. In this way, she proposes a non-dualistic vision of teaching in which teaching practice is understood as thought. She suggests that teacher learning occurs when teaching occurs, not before or after; learning happens concerning the students and the curricular contents during the teaching practice itself. Alternatively, even when teacher development programs focus on practice as an object of reflection, such as videos to analyze aspects of the practice (van Es & Sherin, 2010), they use practice to stimulate cognitive processes (change in mental representations of practice). In addition, models that conceptualize practice as a starting point of teacher change (Guskey, 2002; Clarke & Hollingsworth, 2002), practice usually matters because of how its consequences impact the cognitive level (values, beliefs, and knowledge), not because the practice itself plays a crucial role in teacher learning. This is especially relevant for teachers’ professional development programs to promote deliberative teaching because in order to learn it, something particular is involved in practice: Language. Language practice is not learned through the acquisition of information on how to talk but through its use and performance in social practice. It requires that the teacher start to use new ways of language, for example, formulating statements that demand justification (e.g., “Why do you think. . .?”; “How do you know. . .?”; “What do you mean when you say. . .”; “In what sense do you say. . .?”) challenging the audience (e.g., “Does anyone disagree with this idea?“ “It is reasonable to think. . ., but what would happen if. . .?”), recapitulating diverse arguments and contradictory positions (e.g., “We can see x position is contradictory with. . . because . . .”), and connecting and exploring students’ responses (e.g., “What do you think about what she said?”). Now, a new problem arises. Considering that the classroom is a private space where there is typically only one teacher, teachers need to participate in social practices in which deliberative language is performed and talked. How do teachers

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learn to teach (speak) deliberatively? Which social practices allow them to use a new way to talk (deliberatively)?

The Role of Educative Curriculum Materials in Teacher Learning From Vygotsky (1987), we know that language is learned through verbal interaction with others. Furthermore, learning collaboratively implies that the “other” functions inter-psychologically as a scaffolding structure, helping to learn something they could not achieve by themselves (Bruner, 1978). Therefore, if we say that language practice is learned by speaking with “other” and the teacher learning happens when the action of teaching is put into place (during practice), who can be that “other” that provides a new discursive practice during teaching? Michaels and O’Connor (2015) propose that the “other” could be a practice scaffolding to promote classroom discussion. These researchers developed the notion of “talk moves” to facilitate teachers’ orchestration of productive discussions to develop students’ thinking. This idea suggests that focusing on supporting teachers’ discursive practice is fundamental to the shift toward dialogic pedagogies. And the support they shed light on is curriculum materials that include specific suggestions of how to talk, or talk moves (script of relevant questions). In fact, there is growing research arguing for the role of educative curriculum materials in teacher and student learning (Grossman & Thompson, 2008). Ball and Cohen (1996) argued that educative curriculum materials could be a crucial option for addressing teacher learning and changing practices more than two decades ago. These materials are more effective if they are focused on building resources so that teachers can use them directly during instruction and thus support more informed decision-making during class development (Davis & Krajcik, 2005). Some researchers in this field suggest that curriculum materials carefully designed to support classroom talk and conversation not only to transform teachers’ practice discourse (Loper et al., 2017; Ruthven et al., 2017), but also students learning results in argumentation skills and disciplinary concepts (Arias et al., 2017; Larrain et al., 2019). However, although we have empirical evidence supporting the idea that curriculum materials could be productive to promote teacher and student learning, there are also theoretical formulations that show us the opposite. Critical pedagogies conceptualized these materials as tools that deskilled teaching because the language script and specific controlled practice take away the teacher’s autonomy. That is, something contrary to teacher learning. This literature said that these materials reduce autonomy and professional decision-making in the face of unique and complex contexts. Apple and Jungck (1990) consider that curricular materials limit and control teacher knowledge and teaching, limiting the learning opportunities of both teachers and students. In this line, Apple (1994) argues that when someone outside the immediate work situation has greater control over the planning of what should happen, the person doing the work loses sight of the entire

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process (is atomized) because it loses control over their work (“deskilled”). For this reason, any model that includes the design of an external material or resource for teachers to put into practice would deskill teacher practice. This idea would lead to the belief that good teaching professionals do not follow textbooks but rather elaborate their curriculum with autonomy and freedom (Ball & Cohen, 1996). We have faced a theoretical and empirical dilemma: considering that the use and performance of language is involved in practice, is it possible to give a second “theoretical” turn to these educative curriculum materials (as language script) that allow us to explain how they participate – not against – but in favor of teacher learning? We answer that it is possible but we need to elaborate further a notion of teacher learning. If we want to build societies with sustainable political, economic, and social systems in time, we need to reexamine how we understand teacher learning support. The necessity to teach deliberative teaching and transform traditional practices must consider a constitutive (but invisible) part of the teacher’s workplace: teachers’ use of language in the classroom practice. The orchestration and management of language forms within the classroom become a crucial element toward democratically sustainable societies in which citizens develop the necessary skills to face the multiple crises and problems we are experiencing. This type of change in the teaching role involves teachers not only appropriating new skills but also new ways of moving and being in the workplace.

A Performative Notion of Teacher Learning Bakhtin (1986) understood language not as encrypted grammatical categories but as a living process organized by multiple contradicting voices from different places, times, and imaginary origins, which occur in social interaction. From this conception of language, the author establishes the notion of speech genres: Language is realized in the form of individual concrete utterances (oral and written) by participants in the various areas of human activity. These utterances reflect the specific conditions and goals of each such area not only through their content (thematic) and linguistic style, that is, the selection of the lexical, phraseological, and grammatical resources of the language, but above all through their compositional structure. All three of these aspects – thematic content, style, and compositional structure– are inseparably linked to the whole of the utterance and are equally determined by the specific nature of the particular sphere of communication. Each separate utterance is individual, of course, but each sphere in which language is used develops its own relatively stable types of these utterances. These we may call speech genres.

Language as a living social reality (populated with foreign context and intentions), said Bakhtin (1981), it is always a semi-foreign word for the individual consciousness. It becomes “appropriated” when the speaker populates it with their intention and accent. That is why appropriation happens.

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We say that in order to learn a deliberative pedagogy, teachers would have to start using (appropriate) a new speech genre: a deliberative teaching genre that involves new classroom ways of talking. In these cases, the nature of what teachers learn is special, since it involves transforming the nature of classroom communication. Consequently, when teachers start to appropriate more complex ways of talk, they are, in turn, appropriating – not an encrypted idea or representation of practice – but new ways of talk in a live – not abstract – language (Guzmán & Larrain, 2021). However, it is essential to point out that this appropriation does not occur in an empty space. From Bakhtin, we can understand that it occurs in a complex field of diverse voices in which identities, beliefs, positions of the world, political affections, and historical practices come into play. Language is not a neutral proposition that takes value when used in specific contexts. Each word has a history of evaluations and points of view that opens in each use as a virtual background of understanding (Larrain, 2017). This Bakhtinian position suggests that all perspective is dialogical as it always asks and anticipates a living response. We do not invent words, every word is, above all, an alien word (Bakhtin, 1981), and every thought arises as a struggle between one’s own and others. As Haye and Larrain (2018) state: Every utterance is like an effort towards solving the impasse in one way or another, favoring in different possible ways one interest or another. The interlocution field is not a static background but a dynamic social atmosphere from which every positioning takes its meaning. The field is not a tissue in which all the possible perspectives about everything are already present at once. The field is an ever-changing emergent constellation of interested perspectives that establish relations with the emergent positioning. Coherently, every emergence of a new positioning involves a particular transformation of the field, in which some perspectives are “activating” and others are “silencing.”

Therefore, one could think that a struggle of voices occurs in this appropriation of a new speech genre because each discourse is born in response to multiple, diverse, and contradictory voices. This clash of voices, in turn, implies singular positions toward other voices involved in a field that is dense and diverse (Haye & Larrain, 2011). From there, positions emerge in response to evaluative positions in a field loaded with diverse ideologies and interests. The response occurs in a field of voices constituted by the history of discursive practices while speaking. An effort is being made with the imagination; new answers are being represented very quickly to the audience, marked by their virtual world. Thus, thinking of teaching learning as a process of appropriation of a new discourse means taking a position in relation to that world of voices in tension. The core of the learning process would be found in this effort to articulate in front of different positions. In other words, in this appropriation process there would be a re-articulation of the field of tension through scaffolding practice that would participate in these micro-transformations of practice. The alien word of the scaffold participates and regulates the appropriation and re-articulation of the field of existing positions. Furthermore, given that the nature of discourse is embodied and occurs in a time, a space, and between specific people and places (Bertau, 2014), it is possible to think of the affective experience as a response, in the sense that is an evaluative

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positioning that implies the bodily experience produced in materiality (Larrain, 2015). Even if a teacher learns from the scaffold individually, the nature of the process is social and collective. In a study carried out by Calderón et al. (2020), the pedagogical use of argumentation based on curriculum materials shows that several of the participants felt stressed by losing control in the classroom, having more bustle, disorder, and where they are talking and thinking wrong ideas, without being able to make corrections. This shows how the affective bodily experience is activated when putting the material into practice, because it implies transforming a traditional and historical teaching practice associated with the monological historical structure of the curricular contents. In this stressed context, decision-making in the classroom can be understood as an effort to solve (through imagination) the crossroads of teaching that affects and hurts. In other words, each new positioning would imply an effort to transform the field, in which some perspectives will be “activated” and others will be “silenced” (Haye & Larrain, 2018). In this sense, although the starting point of learning is the individual teachers in the classroom, it does not mean that collective voices, past or future, political, biographical, or from school history, magically disappear from the process. Rather, they are part of the very nature of everyday decision-making effort. It is put into play between different historically resisted voices that emerge contingently but can be re-articulated depending on how the scaffold practice is inserted. In other words, learning does not occur in a neutral, empty, or undressed setting as a backdrop to the scene, on the contrary, it occurs in a tense field of diverse positions (not static beliefs) that impact the implementation in the scene itself and may eventually limit or constrain learning opportunities when making decisions and articulating a new practice. For example, we can identify anti-dialogical voices associated with a monological curriculum (one perspective possible) that constrain discussion or controversy. In this proposed model, rather than seeing the transformation of the mental representations or beliefs that underlie the practice as a requirement for learning, the discursive practice is the starting point of change. Knowledge and beliefs are no longer seen as static mental entities that guide our practices, but as voices in movement and interaction that can be activated or silenced for contingent and historical reasons (or transformed with the help of scaffolding). Thus, the heart of the teacher’s learning of deliberative teaching would be the process of re-articulation of the field of tension with the help of the scaffold, the systematic implementation of deliberative practice with students (language performing), and the new understandings of teaching. Consequently, in order not to limit learning opportunities, the very design of the scaffold (the speaking voice) should also address possible embodied responses that help at the crossroads of putting into practice new, difficult, and risky ways of teaching. Therefore, when learning deliberative teaching, a process of appropriation of an alien word starts, and it is a process in which the words themselves enter into a relationship of resistance, connection, acceptance, and tension with the new words. The notion of teacher learning through a performative notion implies that learning

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from discursive practice is always an appropriation, that is to say, a recreation of a new discourse from its own style. Whether this appropriation response is productive will depend on how much those living alien languages – not encrypted ideas of how to speak – are offered (ways of speaking anchored to the discipline). From this point of view, using and depending on other people’s words (script in a natural language) would be a desirable part of the learning process. In the beginning, there will not be full autonomy, not because the person becomes passive, but because they gradually respond, they recreate and use words in their style. At that time, ventriloquism would be a condition of appropriating new words of teaching, because it is necessary that teachers start to perform these alien ways of talk that do not arise spontaneously. Hence, we can discuss the idea that a person without alien words can appropriate new ways of teaching because the other’s language is needed to use it to think and perform new decisions that are progressively more autonomous and creative. As Vygotsky (1991) suggests: [. . .] every inventor, even the genius, is always the result of his time and his environment, his creation starts from the needs that are created before him and is based on the possibilities that also exist outside of him [. . .] no scientific invention or discovery appears before the material and psychological conditions necessary for its emergence are created; creation is a historically articulated process, where the preceding ones determine each subsequent form.

In this sense, it is always a product of a systematic experimentation process. Where does the source of learning come from if not from the experience as a teacher of a deliberative classroom? The invention will be personal, in the pure sense of the word, in it there is always some anonymous collaboration (Vygotsky, 1991). For teachers to begin speaking through a deliberative teaching approach, they should begin to participate systematically in these different dialogues to be appropriated and gradually understood. They are not accumulating new ideas, knowledge, or representations of practice as encrypted ideas in their heads; they are participating in specific habits of talk, thought, and action embedded in a new axiological system (Dewey, 1966). During this learning process teachers will make their identity, beliefs, and practices more complex by performing new habits because they are re-articulating the field of voices. This makes it possible to establish that for scaffolds to fulfill their real function of supporting teachers in learning practice, they should not be developed from a distant view of real classroom practice (thought in an ideal context without complexity or history), but rather anticipating and imagining the conditions experienced in classroom speakers, precisely to deal with what is hidden and what is relevant to consider. This, because teaching and learning is not a neutral action, but a deeply political, social, and collective one that is relevant to be recognized and made visible especially at the time of learning. From this point of view, deliberative teaching is hard work. It requires formulating statements that demand justification, challenging the audience, recapitulating diverse arguments and contradictory positions, and connecting and exploring students’ responses. This requires an extraordinary imaginative effort of the teacher

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when performing. But why is the imaginative effort greater in deliberative teaching than in a traditional class? Because the horizon of meaning of the other speaker (diverse students ideas) is being reconstructed, different meanings of the concept are addressed, alternative trajectories are being explored and crossed (not necessarily correct or desired concerning canonical knowledge). According to Larrain (2017), to understand school concepts, teachers and students need to reconstruct the field of meaning, that is, to use ways of speaking that help to travel paths and silenced positions that give life to the understanding of the concept. In this sense, teaching effort to anticipate (and imagine) this entire field of responses and responding quickly to new statements makes the experience of deliberative discursive teaching practice extremely difficult. Thus, to start articulating and solving crossroads in a field of imagined and real voices, a scaffold is essential that provides resources in a living discursive register to scaffold the imaginative effort involved in this action. Step-by-step guidance detailed as possible for each of the deliberative ways of speaking, along with the field of possible paths to follow for certain content (student’s concepts ideas). Having said that, it is crucial to pay attention to the specific material language scaffold. A certain agreement has been reached regarding what a curricular material should have, to be educative for teachers’ learning, from the literature of curriculum materials (Bopardikar et al., 2021). Although the empirical evidence is not yet robust (Roseman et al., 2017), we find certain consensus in the literature that supports the importance of anchoring these materials to actual teaching practice (Davis et al., 2017). In the light of the previously formulated theoretical model, the theoretical reasons why discursive scaffolding is crucial is because the starting point for the transformation and progressive appropriation of the new teaching approach (alien word) is the performance of the new speech genre (what is learned). The material’s heart should promote deliberative teaching: it is the most direct, precise, and accurate aid to solve the crossroads of speaking. From this point of view, a discursive script should make sense because it helps solve the crossroads of teaching. Without deliberative experiences and appropriation of new habits, creative teacher appropriation and articulation could not emerge; they are the ways of speaking that are the basis for future creations (design teacher capacity) (Brown, 2009).

Conclusions In summary, the performative model of teacher learning proposed here does not state that the starting point is practice instead of cognition, nor does it propose starting at the level of practice as representation with encrypted language. It means starting from practice using the natural language of deliberative teaching – a discursive practice scaffold that allows it to be performed. This performance does not imply a mechanical transfer of a new discourse. It means progressively recreating and responding politically from a very complex field of voices, which allows new

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cultural and social habits. In this sense, teaching knowledge is understood from developing a complex practice, not applying knowledge or skill developed at a cognitive level. Teacher learning is understood from a performative point of view where the role of an embodied language appropriation is crucial. It is also crucial to design scaffolds that incorporate the language of the deliberative teaching repertoire, not in order to communicate more strongly or convincingly the approach (i.e., using the language as a channel of information), but in order to use the language itself to transform thinking and learning processes in classroom spaces. In this sense, the idea or representation formed by the teacher regarding deliberative teaching will be a point of arrival in the learning process. Under the premise that we do not store information like a computer in a static way in our mind, but we respond to a virtual and natural field of voices using our imagination, is that we need to design scaffolding not to transmit ideas or concepts but to scaffold living ways of speaking and thinking that are gradually appropriable. Furthermore, material scaffolding that promotes a new speech genre also means anticipating the critical voices that come into play during those forms of discourse. Concretely, it is necessary not only to contain questions or problems that open the possibility of going through disciplinary controversies with students but also to anticipate follow-up questions or counter-questions that anticipate the actual audience of the disciplinary answers of the students in the face of the discussion. For all that, perhaps what we have thought of as teachers’ cognitive resistance (teacher’s mindset or the requirement that teachers genuinely believe in the new practice) could not be the only explanation for the difficulty of change. From a political point of view, reversing these barriers may depend on material-social support of language and not for individualistic reasons (profound belief or lack of declarative knowledge). It can rest on designing ever-better discursive scaffolds that embody a controversial and dialogical curriculum that teachers can carry out systematically with their students. From the theoretical perspective presented here, more than an individual filter permeated by the teacher’s representations (beliefs, knowledge, reflections), the resistance is understood as living positions in a field of voices that enter the scene at the moment of articulation of deliberative teaching. They are the backdrop to the conversations that participate as potentially passable roads. If we see these positions from the metaphor of activated or silenced threads and not as fixed individual entities that live in the heads of teachers, it is possible to understand that they are stressed and activated when speaking with new languages. Since Dewey (1966), learning occurs through communication, in which people rebuild a network of practices and beliefs of ideologically organized habits based on a value system. For this reason, it is necessary to anticipate evaluative voices (political and affective) that are expected to be activated at the time of performing this new teaching. For example, responding to the teacher’s concern of confusing students by speaking ideas not accepted from a disciplinary point of view is crucial. In this way, the material is also positioned as a dialogical scaffolding, as it anticipates and responds to the re-enrollment of the stressed discursive field of beliefs, values, and political points of view. Ways of

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speaking, actions, knowledge, and beliefs go through different paths. Although it is possible to make differences between them, in the articulation within a social activity, there are no fundamental separations in their theoretical nature. Funding This work was supported by the Fondo Nacional de Desarrollo Científico y Tecnológico (FONDECYT) [GRANT NUMBER: 1210264].

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A Task-Based Approach to Lifelong Learning, Well-Being, and Resilience in the Workplace of the Future Zi An Galvyn Goh and King Wang Poon

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Evidence for the Task Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Task Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chronology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Case Study One: The Singapore Advanced Manufacturing, Financial Services, and Creative Advertising Sectors (2018) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Case Study Two: Identifying New Tasks to Train for (2018) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Case Study Three: Examining an Emerging Job of Automation Engineer (2019) . . . . . . . . . . . Case Study Four: A Major Retail Company (2020/2021) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Findings for Composite Frontline Retail Worker . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . How Automation Impacts and Reconfigures Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Problem: Workers and adult learners face several challenges with regard to keeping ahead of digital disruption in the Fourth Industrial Revolution. They can be unclear about whether the tasks they currently do are at risk of automation, which new tasks to train for, which tasks are engaging or exhausting, and how automation impacts work. These challenges also impact the ability of leaders, organizations, policymakers, and educators to design better jobs and training programs. If these challenges are not addressed, they can lead to reduced participation in lifelong learning, reduced well-being, and decreased career resilience.

Z. A. G. Goh (*) · K. W. Poon Lee Kuan Yew Centre for Innovative Cities, Singapore University of Technology and Design, Singapore, Singapore e-mail: [email protected]; [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_72

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Solution: This present study presents the Task Approach to training and adult learning. It provides a method to identify which tasks are at risk of automation, how to identify new tasks to train for, which tasks are engaging or exhausting, and how automation impacts work. Method: The Task Approach was utilized to understand the tasks and related attributes of workers. This included the use of the functional job analysis (FJA) and critical incidents technique (CIT) to understand how tasks and situations impacted the worker and adult learner. Outcome: The outcome of these research is the empirical demonstration of the Task Approach in addressing the abovementioned problems. This can help worker and adult learners in training and upskilling. The findings can help workers and adult learners improve their well-being at work while being more resilient and employable. The findings can enhance the ability of leaders, organizations, policymakers and educators to design better jobs and lifelong learning training programs. Keywords

Occupational learning · Upskilling · Well-being · Workplace learning · Motivation

Introduction From the authors’ prior fieldwork with (a) Singaporean workers, (b) Singaporean companies, (c) multinational companies based in Singapore, (d) the labor unions, and (e) government-linked organizations (Poon et al., 2017, 2018; Apsley et al., 2019; Goh et al., 2019, 2020a, 2020b; Goh, 2019) and ongoing research (Goh & Poon, 2021; Chan & Goh, 2021; Mussagulova et al., Under review, 2021), four challenges have been identified with regard to helping workers and adult learners keep ahead of digital disruption in the Fourth Industrial Revolution. Challenge One refers to how workers can be unclear about whether the tasks they do are at risk of automation. Challenge Two refers to how workers and adult learners can be unclear about which new tasks to train for. Challenge Three refers to how workers, adult learners, managers, and educators can be unclear of which tasks are engaging or exhausting for the worker. Challenge Four refers to the knowledge gap regarding how automation impacts and reconfigures work. This chapter will present the use of the Task Approach to empower individual workers and adult learners with regard to training, upskilling, and lifelong learning. The Task Approach can also be useful to leaders, organizations, educators, and policymakers to design policies, interventions, and training programs to help workers and adult learners. This chapter will present four overlapping case studies of how the Task Approach can help workers and adult learners. In 2018, Case Study One investigated the experiences of workers in growth industries such as the financial services, advanced manufacturing, and creative

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advertising sectors. Case Study One addressed Challenge One regarding how workers can be unclear about whether the tasks they do are at risk of automation and Challenge Two regarding how workers and adult learners can be unclear about which new tasks to train for. In the same year, Case Study Two investigated the use of an algorithm to generate career transitions from the current job to a new job based on the proportion of similar tasks between both jobs. By comparing similar and dissimilar tasks between the current and new job, specific new tasks to train for can be identified. This further addressed Challenge Two by providing clarity to workers and adult learners regarding which new tasks to train for. In 2019, Case Study Three investigated the experience of a specific emerging job, the occupation of automation engineer. Case Study Three addressed Challenge Three regarding identifying what tasks workers find engaging or exhausting. In 2020/2021, Case Study Four investigated the experiences of workers in a major retail company in Singapore. This major retail company is unique as it had already implemented some technologies to automate some tasks as part of its digital transformation process. Therefore, it provided a window into addressing Challenge Four regarding how an implemented automation technology impacted workers and reconfigured the tasks that they did. Case Study Four provided additional empirical evidence regarding Challenges One to Three. While these case studies were conducted in Singapore, the principles and findings are applicable to workers and adult learners globally. Cumulatively, the case studies of this chapter will demonstrate the following findings: the Task Approach can be used to help workers identify which tasks are at risk of automation and which new tasks to train for. The Task Approach can help workers, adult learners, managers, and educators identify which tasks are engaging or exhausting for the worker. This can help reduce barriers to effective job redesign and training programs, because workers are likely to be motivated if they know that the new tasks that they are training for are engaging and/or not exhausting. Additionally, if a worker is either currently disengaged and/or very exhausted, they would not likely be motivated to dedicate time and effort for new training. Lastly, the Task Approach can help to reduce the knowledge gap regarding how automation impacts and reconfigures work. It suggests that even if a task can be fully automated, it may not need to be fully automated. Keeping the human in the loop can be valuable to the individual worker, adult learner, and the organization. The Task Approach can be used in upskilling when current tasks are at risk of automation, it can be used to identify new tasks to train for that are at low risk of automation and identify tasks that should remain in human hands even if they can be automated.

Evidence for the Task Approach Here we present evidence for the effectiveness of the Task Approach from the following disciplines: Labor Economics and Organization Science. From the field of labor economics, tasks have been used to investigate the changing nature of jobs in the following areas:

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• Automation: Autor et al. (2003) constructed a taxonomy of tasks (as routine/ nonroutine and cognitive/manual) to explain the relationship between automation and the rise in demand for college-educated workers. • Risk of automation: Frey and Osborne (2017) noted that the increase in capabilities of computers and machines meant that more categories of tasks were at risk of automation. While previously only basic routine tasks were assumed to be at risk, now even more complex nonroutine tasks might be at risk. They estimated that 47% of US jobs could be at “high risk” category of being susceptible to automation. • Workforce polarization: Extending the automation analysis, David Autor and colleagues showed that similar task models can account for polarization effects in the US workforce (Autor et al., 2006; Autor, 2014). • Off-shoring: Baumgarten et al. (2013) showed that task characteristics (including their requisite degrees of personal interaction and nonroutine content) significantly affect the wage effects of off-shoring. • Labor demand and productivity: Acemoglu and Restrepo (2019) demonstrated how changes in task content explain the paradox of falling labor demand against rising productivity. • Remote work: Leveraging task data from the US Occupational Information Network (O*NET), Dingel and Neiman (2020) estimated the fraction of occupations which can be performed remotely in the US labor force. Subsequent work (e.g., Mongey et al., 2021) applied these estimates to evaluating demographic impacts of pandemic-related social distancing policies. • Job transition: Mealy et al. (2018) demonstrated that task content was the strongest predictor of occupation transition probability. From the field of organization science, tasks have been used to investigate the changing nature of jobs in the following areas: • Functional job analysis (FJA): Occupational and organizational psychologists have used the FJA to understand the tasks and related attributes in job roles (Fine & Cronshaw, 1999; Levine et al., 1983) in order to design better jobs. • Rehabilitation sciences: Task analysis has been used by health care professionals such as occupational therapists to understand the tasks that their patients do at home, at the workplace, and for rehabilitation (Chapparo, 2010; Nott et al., 2009). • Task databases: Task analysis has been used to curate tasks in occupations of entire countries, such as the Occupational Information Network (O*NET) database by the United States Department of Labor (Peterson et al., 2001) and the Singapore Standard Occupational Classification (SSOC) database by the Singapore Department of Statistics (2022). Task analysis has been used to create the International Standard Classification of Occupations (ISCO) by the International Labor Organization (ILO) (2018). • Skills frameworks: Tasks are complementary to skills in frameworks such as the SkillsFuture Skills Framework. Workers can identify skills such as data analysis skills and train for specific tasks to master the skill (SkillsFuture, 2022).

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• Upskilling: Tan (2017), Fung (2020), Kim et al. (2021), and Ng (2017) note that workers need support with regard to identifying what to learn and train for. Tan (2017) notes that workers may not necessarily be making well-informed choices in adult learning. They may be chasing paper qualifications instead of mastering skills and tasks that are industry relevant. Kim et al. (2021) surveyed members of the public and found low participation rates in upskilling programs. Ng (2017) notes that there exists an information asymmetry between upskilling policies and the beneficiaries of these upskilling policies. Therefore, tasks can provide the granular precision to help inform upskilling policies.

The Task Approach This section will begin with an introduction of the job analysis techniques the authors employed, specifically the functional job analysis (FJA) and the critical incidents technique (CIT). Job analysis refers to a collection of techniques and methods to understand what workers do in their jobs (Levine et al., 1983). One common version of job analysis is the FJA, which systematically breaks down a specific occupation into its component tasks, skills, competencies, and related attributes (Fine & Cronshaw, 1999; Levine et al., 1983). Inspired by occupation stress models such as the job demands-resources model (Bakker & Demerouti, 2007), the authors’ version of the FJA collects data on which specific tasks workers find engaging or exhausting. The purpose of this is that the researchers can identify specifically tasks that place excessive demands on workers, and identify which tasks are intrinsically motivating for workers. The authors also collect data on which tasks are routine/nonroutine and manual/cognitive. This makes the findings even richer since the researchers can specifically identify which type of task (e.g., routine or nonroutine) is engaging and/or exhausting. This may lead to the creation of better learning and training experiences, where workers can train for engaging tasks, while learning new ways to reduce the intensity of exhausting tasks. Further research can also explore ways to balance between routine and nonroutine tasks. The tasks identified by the FJA can be assessed by an automation expert. Key variables include the risk of automation (0%/25%/50%/75%/100%), the duration till automation (now/1–2 years/3–5 years/5–10 years/10–20 years/beyond 20 years), the type of automation technology (e.g., robotic process automation) and references to viable case studies within and outside the industry. This can be used to analyze tasks in the current job and future job. Another version of job analysis is the CIT, which broadens the understanding of what workers do by examining the situations that workers are in (Bott & Tourish, 2016). Through the CIT, the authors can get a richer and more meaningful understanding of the individual worker, the team they are in, and how prior experiences shape their desire for future learning. The CIT therefore complements the FJA as the CIT enables researchers to understand how situations affect the specific task, the individual worker, the group/team, the leadership, the organization, educators, and trainers.

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These techniques were supplemented with open-ended semi-structured questions in all four case studies. The purpose of the open-ended questions was to identify perspectives and gaps that might have been missed out by the FJA and CIT. This was to ensure that the findings were as holistic and robust as possible. In Case Study Four (retail sector), the FJA and CIT techniques were supplemented with in-person observations on the retail store floors. Again, the purpose of the in-person observations was to identify any missing gaps from the above methods. The strength of these research is that by combining the FJA and the CIT, the authors make an innovative contribution to the theoretical and applied research literature by demonstrating how specific tasks are connected to specific situations to impact the individual worker, the group/team, the leadership, and the organization. This can inform future research into occupational learning and lifelong learning as it can enable workers, teams, managers, leaders, human resource personnel, and education trainers to help workers identify which tasks are at risk of automation and which new tasks to train for. It demonstrates that even if a task can be automated, it might not need to be fully automated, and that the human should still be in the loop. The Task Approach can help workers, adult learners, managers, and educators identify which tasks are engaging or exhausting for the worker. Increasing engaging tasks and reducing exhausting tasks can be motivating to workers. This can help reduce barriers to effective job redesign and training programs. The Task Approach helps reduce the knowledge gap regarding how automation impacts and reconfigures work. The case studies also present important applied evidence from the personal voices and choices of workers, such as the voices and choices of frontline retail workers and managers. The Task Approach can be used in upskilling when current tasks are at risk of automation, it can be used to identify new tasks to train for that are at low risk of automation and identify tasks that should remain in human hands even if they can be automated.

Chronology The Task Approach was developed and refined over a series of case studies. In Case Study One (finance/advanced manufacturing/creative advertising sectors) and Case Study Two (algorithm career transitions) in 2018, the initial versions of the FJA and open-ended semi-structured questions were deployed. In 2019, for Case Study Three (automation engineer), updated versions of the FJA and open-ended semi-structured questions that included elements of occupational stress models such as the jobsdemands resources model were deployed. In 2020/2021, for Case Study Four (major retail company), the CIT was further added to the instruments used in the fieldwork. The authors would like to emphasize that the development of the Task Approach is an ongoing process, and new additions will continue to be made in the coming years. This reflects the reality of the constantly changing nature of the Fourth Industrial Revolution and technological trends. Therefore, the Task Approach will be continuously updated to account for these changes.

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Procedure To deploy the Task Approach, the key step is to develop a survey instrument using the FJA and CIT that is customized to the needs of the specific company. This involves analyzing the official job descriptions given by the company’s human resource department. Tasks and related attributes (skills, competencies, etc.) from the official job descriptions are referenced to data primarily from the US Occupational Information Network (O*NET), Singapore Standard Occupational Classification (SSOC), the SkillsFuture Skills Framework, and other relevant sources. Checks with the company’s human resource manager are made if clarifications are needed. The outcome is a comprehensive survey instrument containing the tasks and related attributes to deploy to the participants. The data collection process can range from 1 to 2 h. The data collection is conducted in a quiet and private area where no company managers are present. This is to ensure the confidentiality of the participant(s). The authors recommend providing a rest break for the participant(s), so as not to exhaust them. During the data collection, feedback is collected from the participant(s) regarding the tasks in the job description. The participant(s) can edit the tasks if they are not appropriate. Tasks that are not included in the job description but which are important to the worker are documented for analysis.

Limitations The first limitation of our case studies is the relatively small sample sizes. This reflects the nature of in-depth data collections. While the Task Approach enables the gathering of comprehensive information of all the tasks and related attributes that a specific worker does, it is time consuming to scale up to capture the views of many workers. Nonetheless, the findings here provide an in-depth perspective of individual workers, and ensure that their voices can be heard by leaders, companies, policymakers, and educators. The second limitation of Case Study Four is that the findings come from one specific retail company (even though it is a major company with a retail presence in all parts of Singapore). The findings therefore do not necessarily reflect the experiences of all retail workers in all companies in Singapore. The researchers would like to highlight that further research will be needed to reflect a broader range of perspectives in the retail sector and other sectors and to explore deeper application and implementation of the Task Approach in occupational and lifelong learning. The third limitation is that the Future of Work is an every-changing area, and there are many factors to measure. The present Task Approach does not claim to capture all measures and variables. Nonetheless, each version of the authors’ research endeavors to systematically investigate new measures and variables. The fourth limitation is that the researchers noted that not every participant was comfortable speaking in English. During the interviews, the researchers made efforts to converse in the language of the participant’s choice, such as translating the

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English text into Mandarin. These efforts extended to transcribing the Mandarin interview back into English for subsequent analysis. Therefore, the researchers would like to highlight the need for Future of Work studies to account for the diverse multiethnic and multilingual composition of Singapore. The authors suggest that other researchers who wish to conduct such investigations should prepare to interview non-English language participants and dialect-speaking participants, so that the findings reflect the voices of a broad spectrum of Singaporeans. This can give more workers a voice and choice in the ever-evolving workplace.

Case Study One: The Singapore Advanced Manufacturing, Financial Services, and Creative Advertising Sectors (2018) In 2018, the research team partnered with a Singapore-French think tank Live with AI and an automation start-up DataRobot. This Live with AI project was supported by multinational and local companies in Singapore. The purpose was to investigate the tasks that workers did in Singapore in three growth sectors, the financial services, advanced manufacturing, and the creative advertising sectors. Occupation roles interviewed included operations technician, relationship manager (banking), and senior art director. This case study specifically addresses Challenge One regarding how workers can be unclear about which tasks they do are at risk of automation and Challenge Two regarding which new tasks to train for. While several job roles were investigated, here we present the examples of the insurance motor claims senior specialist and senior art director. With reference to Diagram 1, nine tasks were identified in the role of insurance motor claims senior specialist. After the data was collected, part of the analysis was conducted by an automation expert from an automation specialist firm. Key variables included the risk of automation (0%/25%/50%/75%/100%), the duration till automation (now/1–2 years/3–5 years/5–10 years/10–20 years/beyond 20 years), and the type of automation technology (e.g., robotic process automation). All nine tasks were identified as being at least 50% at risk of automation. An example is the task “Investigate claims to effect fair and prompt disposal of cases” which is at 75% risk of automation. However, through further analysis and from feedback from the participant, this task is identified as both being valuable to the worker and to the other tasks and work processes. For example, every motor accident is unique. It becomes important to preserve independent self-directed critical thinking. Additionally, prior experience and tacit knowledge that only an experienced worker has is critical in assessing motor insurance claims, especially when there is a potential case of fraud from the insurance claimant. This task also makes the worker feel intrinsically motivated. The worker notes that “I especially like the investigative part where I feel like a detective. It is rewarding to be able to find and understand the root cause and see where it all fits.” These findings suggest that even though the task can be automated, it might not necessarily be beneficial to the worker and company to fully automate the task. Further research will be needed to investigate this.

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Diagram 1 Insurance Motor Claim Senior Specialist. (From the Live with AI White Paper 2019)

With reference to Diagram 2, 13 tasks were identified in the role of senior art director in the creative advertising sector. The task of “Conduct online market research to identify trends” was identified as having a 75% chance of being automated in 5–10 years’ time. However, through the in-depth analysis, it was revealed that this task should remain in human hands. Although AI-automated systems may generate insights and trends, creative work is a very visceral process and requires an intimate, personal understanding of the brand and product. These personal insights cannot be easily replaced by insights generated from AI bots. Again, these findings suggest that even though the task can be automated, it should not be fully removed from the worker. Case Study One therefore addresses the Challenges One and Two. Using the Task Approach, Challenge One can be addressed as the specific tasks that are at risk of being automated and can be identified. Clarity is provided to the worker about which tasks they do are at risk of automation and how much time they have before the task is replaced by technology. The task diagrams generated above partially help address Challenge Two regarding which new tasks to train for. Workers, managers, and their companies can use the generated task diagrams to start strategizing on how to move to new tasks and which new tasks to select. This will be elaborated on in Case Study Two, which was conducted during the same period. An additional finding is that even if some tasks can be automated, it may still be useful to retain them in human hands.

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Diagram 2 Senior Art Director. (From the Live with AI White Paper 2019)

Case Study Two: Identifying New Tasks to Train for (2018) In the same year, the authors collaborated with the Ong Teng Cheong Labor Leadership Institute (OTCi) at the National Trades Union Congress (NTUC) to investigate how to identify new tasks for workers to train for (Poon et al., 2018, 2019). The research team developed an algorithm to help workers transition to new jobs based on similar tasks. The development of the algorithm was informed by the job analysis methods stated earlier. For example, with reference to Diagram 3, a machinist can transition to the emerging occupation of medical equipment repairer. In this transition, eight new tasks are identified for the worker to train for. An example of a new task to train for is “Inspect commercial, industrial, or production systems or equipment.” These further addresses Challenge Two with regard to identifying new tasks to train for. Algorithm methods can be used to complement the process stated in Case Study One. Using the task diagrams in Case Study One, workers know the odds of how soon their current tasks are at risk of automation. They can collaborate with their managers, companies, and educators to identify new tasks to train for. The algorithm generated career transition diagrams in Case Study Two can then help to identify specific new jobs and tasks to train for. The algorithm can help suggest emerging tasks that are not likely to be at risk of automation.

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Diagram 3 Career transition from current occupation to emerging occupation. Yellow dots represent similar tasks between the current and emerging occupation. Blue dots represent new tasks to be trained for. Grey tasks represent tasks specific to the current occupation. Red circles represent emerging tasks

Case Study Three: Examining an Emerging Job of Automation Engineer (2019) Building on the earlier case studies, the authors next conducted pilot research into how engaging or exhausting workers found their tasks (Goh et al., 2020b). This addressed Challenge Three regarding how workers and adult learners might not be aware of which tasks are engaging or exhausting. This knowledge gap can impact leaders, organizations, policymakers, and educators who may not know how to design better jobs and training programs. For example, if the tasks the worker does is currently not engaging and very exhausting, the worker is not likely to be motivated to upskill. Likewise, if the new tasks to train for are perceived to be not engaging and very exhausting, the worker is not likely to be motivated. With reference to Diagram 4 and Table 1, a worker in the emerging occupation of “Automation Engineer” was interviewed. An automation engineer’s role is to identify work processes that can be augmented or replaced by technology. In this data collection, there was no assessment of risk of automation by an automation expert. That is because the aim of this case study was to investigate the measures of engagement and exhaustion.

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Diagram 4 Automation engineer Table 1 Task list of the automation engineer. Some tasks are sourced and/or adapted from publicly available task databases such as the US O*NET (National Center for O*NET Development, 2022) or Singapore SSOC (Singapore Department of Statistics, 2022) Task number T1 T2 T3 T4

T5 T6 T7 T8 T9 T10 T11 T12 T13 T14

Task description Analyzing workforce utilization and production schedules and costs to determine optimum equipment efficiencies Developing specifications for manufacture, and determining materials, equipment, material flows, and capacities of plant and systems Organizing and managing project labor and the delivery of materials, plant, and equipment Establishing standards and policies for installation, modification, quality control, testing, inspection, and maintenance according to engineering principles and safety regulations Inspecting plant to improve and maintain performance Directing and maintenance of equipment and coordinating the requirements for new designs and maintenance schedules Advising management and operators on new production methods, techniques, and equipment Liaising with materials buying, storing, and controlling departments to ensure a steady flow of supplies Conduct analyses addressing issues such as failure, reliability, or yield improvement Create or maintain formal engineering documents, such as material specifications, packaging requirements, and standard operating procedures Develop or validate product-specific test protocols, acceptance thresholds, or inspection tools for quality control testing or performance measurement Design engineering systems for the automation of industrial tasks Coordinate with colleagues to plan workplace bonding activities Coordinate with vendors to maintain and purchase equipment and processes

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In this procedure, in addition to the FJA and open-ended semi-structured questions, data is gathered regarding the degree to which they are exhausting/ nonexhausting or engaging/nonengaging from a Likert scale of 1–7. Additional data was collected to understand whether the task is perceived as routine or nonroutine. An example of a task that is very engaging (7 upon 7 in the Likert scale) and not exhausting at all (7 upon 7 in the Likert scale) is Task 12 “Design engineering systems for the automation of industrial tasks.” An example of a task that is very disengaging (7 upon 7 in the Likert scale) and very exhausting (7 upon 7 in the Likert scale) is Task 5 “Inspecting plant to improve and maintain performance.” About 30% of tasks are in the engaging and not exhausting column, while about 40% of tasks are in the disengaging and exhausting column. This research can inform how workers/teams/leaders/organizations/educators/ trainers develop occupational learning in the following ways. First, education curriculum and training programs can incorporate what workers find engaging and how to help workers with tasks that are exhausting, while establishing a balance between the number of routine and nonroutine tasks. This can help to strengthen worker well-being and workforce resilience. Second, the tasks that are disengaging and exhausting can be addressed and augmented by technology.

Case Study Four: A Major Retail Company (2020/2021) In 2020/2021, the authors expanded the use of the Task Approach to investigate the experiences of workers in a major Singapore retail company. This was part of an applied research project that was supported by the Labor Movement (the Food Drinks and Allied Workers Union [FDAWU] at the National Trades Union Congress [NTUC]). The unique feature of this retail company is that it had already implemented some automation technologies as part of its digital transformation process. Hence it helps to address Challenge Four regarding how automation impacts and reconfigures work. This case study helps provide further empirical evidence for Challenges One to Three. For this case study, the CIT technique was included in addition to the FJA, the open-ended semi-structured questions and the elements of occupational stress models. The purpose of the CIT was to understand how tasks and situations influenced one another. For example, it is possible that the workers may find their tasks engaging and not exhausting, but there may be negative situations at work that impede their desire to upskill and learn. This will be elaborated on in the coming sections. For Case Study Four, an assessment of which tasks are at risk of automation by an automation expert was not included. That is because this retail company had already implemented some automation technologies as part of their digital transformation process. Therefore, it was unlikely that the present tasks were at immediate risk of further automation.

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Findings for Composite Frontline Retail Worker Data was collected from six workers from the retail sector of a major Singaporean company. The data represented workers from a variety of frontline retail occupations, from entry level workers to managers. Due to confidentiality reasons, the researchers will not be presenting the specific details of each worker or each occupation but will instead present a de-identified composite example version of a frontline retail worker. While a composite example is presented here, the researchers would like to highlight that the de-identified diagrams were generated for each specific worker during the research. This means that the Task Approach can be utilized both for understanding the experiences of each individual worker and at the aggregate level to understand the experiences of a group of workers from the same occupation. The Task Approach can also be used to understand different hierarchies of workers (e.g., basic frontline staff, manager with leadership role, etc.). Diagram 5 below is the FJA diagram, displaying the specific task the worker does. For example, Task One (T1) is “Speak to customer to understand their needs and make product recommendations.” From Diagram 5, the majority of retail workers reported that their tasks were simultaneously engaging and exhausting. That is due to the nature of the tasks requiring human interaction, such as advising customers on products and subsequently helping customers locate the products. Workers described how such tasks were meaningful and engaging, since they derived satisfaction from being able to help customers make good decisions when purchasing products. However, such tasks were also tiring for the workers. Possible reasons for such tasks being tiring was that it could deplete physical energy to

Diagram 5 Composite example retail worker FJA diagram

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Diagram 6 Composite example retail worker CIT diagram

constantly search for and locate specific items, and/or it could deplete mental energy to constantly think of new product recommendations. Additionally, the continuous inflow of tasks that a worker must do could also prevent the worker from having the chance to rest and replenish physical/mental energy. From Diagram 6, the researchers present the CIT diagram. On the horizontal axis, an estimate of how important the situation is perceived to be for the company as reported by the worker is presented. For example, a worker may report that a special sales event is perceived to be highly important (salient) for the company as it generates significant profits. On the vertical axis, an estimate of how frequently a situation is perceived to occur as reported by the worker is presented. For example, a social event whereby the team comes together to celebrate a birthday may be perceived by the worker to be a situation that occurs infrequently. A green colored square represents a positive critical incident. This refers to a situation that a worker perceives to be having a positive impact on them. An orange colored square represents a negative critical incident. This refers to a situation that a worker perceives to be having a negative impact on them. An example of how tasks link to situations and occupational learning can be as follows: At the task level, the retail worker primarily carries out the task of making recommendations to customers regarding specific products. This is rated by the worker as being engaging since they derive meaning from helping customers, but it is time consuming and exhausting for them. However, at the level of situations, the retail worker has had prior negative experiences with online learning. They reported that they had to do online learning on topics that do not relate to their primary task of making product recommendations. Therefore, the outcome is that the worker is not motivated to do further online learning, since the online learning is not relevant to

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their task and takes up additional time. This leads to two interesting future areas of research. First, it may be useful to create an automation algorithm that helps identify which new tasks are relevant to the specific workers’ learning. This is to prevent irrelevant learning. Second, while investigating the risk of automation was not the purpose of Case Study Four, it may be useful to investigate whether the new tasks to train for are at risk of automation. This is to ensure that the new tasks the worker trains for does not become quickly replaced by automation.

How Automation Impacts and Reconfigures Work At the start of Case Study Four, this retail company had already implemented several automation technologies. One such technology was an automated stocktaking and item ordering system. Previously, workers had to carry out the manual tasks of stocktaking items and making new orders to replenish depleted stocks. However, after the digital transformation process, the automated item ordering system was now in charge of carrying out the tasks of stocktaking items and replenishing depleted items. While this automated system was assumed to take the human out of the loop and make the stocktaking process more efficient, challenges still remained. The automated system was programmed to only place an order when the item was very nearly depleted. Options to adjust this programming were limited. This led to the occasional time lag between item depletion and replacement, since time was needed to deliver new items. Also, the automation system lacked the tacit knowledge of experienced workers. For example, experienced workers may be aware of additional time lags in ordering during peak holiday periods. Experienced workers may also have more situational awareness, such as how certain items are more popular in specific stores. Therefore, the workers still had to manually intervene and place orders for certain items, since only the workers had the tacit knowledge and situational awareness regarding which items were more popular and when additional time lags in ordering were anticipated. This finding supports the emerging view that automation does not replace humans entirely. Instead, automation reconfigures the work tasks that humans do (Willems & Hafermalz, 2021). Workplaces can better design work processes to tap on the insights that their experienced workers have to offer. Adult learning training programs can be designed to transfer this precious tacit knowledge from experienced workers to novice workers.

Conclusion This present study has presented the Task Approach to training and adult learning. It provides a method to help the challenges that workers face. From Case Study One (finance/advanced manufacturing/creative advertising sectors), it addresses Challenge One by helping to identify which tasks are at risk of automation. It addresses Challenge Two by providing clarity to workers and adult learners who can be unsure

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about which new tasks to train for. It also offers a novel finding by countering the assumption that if a task can be automated, it should immediately be automated. Instead, if a task is valuable to the worker, it may be useful to the worker and company to keep the task in human hands. The authors would like to highlight that further research is needed to further investigate this. From Case Study Two (algorithm career transitions), it further addresses Challenge Two regarding which new tasks to train for. Using algorithm methods, transitions to new jobs can be generated. The specific new tasks to train for in the new job can be identified, including emerging tasks that are at low risk of automation. This is useful for workers and adult learners since it provides clarity, and it is useful for educators and trainers who are designing training courses. Case Study Three (automation engineer) addresses Challenge Three regarding how workers, adult learners, managers, and educators can be unclear of what tasks are engaging or exhausting for the worker. By identifying the tasks that are not engaging and exhausting, workers can become more motivated to train for new tasks. This can remove barriers to effective job redesign and training programs. Future applied research is still needed to fully flesh out this approach in job redesign and training. Case Study Four (major retail company) provides further empirical evidence regarding how Challenges One to Three can be addressed. It also addresses Challenge Four regarding how automation impacts and reconfigures work. The key outcome of these research is the empirical demonstration of the Task Approach in addressing the abovementioned problems, how to help workers and adult learners in training and upskilling, and how to guide leaders, organizations, policymakers, and educators to design better jobs and training programs. The Task Approach can be used in upskilling when current tasks are at risk of automation, it can be used to identify new tasks to train for that are at low risk of automation and identify tasks that should remain in human hands even if they can be automated. The authors would like to emphasize that this applied research is a continuous work in progress. This reflects the reality of the fluid nature of the Fourth Industrial Revolution, the rapid advances in technology, and the changing nature of work. The Task Approach will continue to be refined and updated to account for the constant changes in the Future of Work. The case studies here are not necessarily generalizable to all occupations and sectors. Therefore, further research into other occupations and sectors is needed. There are several possible areas of research to build upon this present research. One possible area for future research is to tighten the linkages between tasks, situations, and what should or should not be automated. A second possibility is to flesh out ways for training programs to include more new tasks that are at low risk of being automated. A third possibility is to investigate behavioral change models and its relationship with the Task Approach, career transitions, and adult learning. These findings and possibilities present exciting opportunities to create better Future of Work and adult learning programs for workers and adult learners, so that they can improve their well-being while being more career resilient. Acknowledgments The authors are deeply grateful to the Social Science Research Council (SSRC) of Singapore for their generous funding (grant number MOE2017-T2-2-177) that enabled these research to reach fruition.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Decolonizing Practices in Education As a Way Forward . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Indigenous Pedagogies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teacher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Strength-Based Approaches – Indigenous Resilience, Standpoint Theory, and Cultural Strength . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Changing Systems with Indigenous Voices and Decision-Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Australia does not have an exemplary track record regarding Indigenous Australians’ human rights and treatment. Moving forward past the colonial mechanisms since 1788 has proven difficult. Decolonizing practices in education include embedding Indigenous ways of learning. It is essential to include decolonizing practices in teacher education to allow preservice teachers, most of whom are non-Indigenous, to learn about the barriers that persist for Indigenous students and how to eliminate them. Although Indigenous people have been resilient in the face of adversity for so long, their resilience may be wearing thin, with circumstances and systems continuing to result in environments of social exclusion and inequity. This chapter examines a strength-based approach to educational practice and teacher education by exploring Indigenous resilience, standpoint theory, and cultural strength as tools to understand educational issues differently and consider how Indigenous voices and Indigenous decision-making might change systems. The movement of decolonization through initial teacher education includes using cultural responsiveness and a transformative learning T. Woodroffe (*) Charles Darwin University, Darwin, NT, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_137

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style to create a better-informed workforce of teachers capable of ensuring a promising future for all Australians. Keywords

Decolonizing · Indigenous · Education · Pedagogies · Strength-based · Teaching practice · Teaching workforce

Introduction Australia competes on the world stage as a leading developed country. This status is questionable given the inequity, quite often described as a gap in life expectancy between Indigenous and non-Indigenous Australians. The remedy for this situation is thought to be the improvement of health outcomes among Indigenous Australians, and that health can be positively impacted by improved education (Australian Bureau of Statistics, 2008; Hahn & Truman, 2015; Hart et al., 2017; Raghupathi & Raghupathi, 2020). If someone is better educated, they will have better health, and alternatively, better health should result in better education. So, it should be asked: What does this mean for the Australian education system and the teaching workforce? The answer is greater cultural competency. This chapter explores areas of cultural significance in Australian educational contexts and how a culturally competent teaching workforce is a step toward a future of which to be proud. So, how could the representation of Indigenous resilience and cultural strength encourage more teachers to teach Indigenous content and engage more confidently with Indigenous students and families? According to the Productivity Commission (2020), “Overcoming Indigenous Disadvantage: Key Indicators 2020,” there is “no nationally agreed measure of teacher quality” (p. 7.1). Still, the impact made by teachers is a major contributing factor to students’ life outcomes. A necessary quality of good teaching is that teachers are aware of their responsibilities in contributing to student success (Hattie, 2003; Miller et al., 2017). For Indigenous students, this could mean the difference between being educated and living a longer and healthier life or becoming a mortality statistic (The Closing the Gap Report 2020 states the target of “Close the life expectancy gap within a generation (by 2031).” The gap has not been narrowed further according to 2006 to 2018 data. https://ctgreport.niaa.gov.au/life-expec tancy#:~:text¼In%202018%2C%20there%20were%203%2C218,rate%20(539% 20per%20100%2C000)). Understanding how to relate to and connect with Indigenous students, their families, and the wider community is a skill that all Australian teachers should possess. As a teacher, understanding how to best teach and relate to all of one’s students is crucial (Hattie, 2003; AITSL, 2011). Effective relationships can be challenging to achieve, particularly if teachers hold incorrect assumptions and have low expectations of Indigenous students’ educational attainment. Trust is broken (Sarra et al., 2020) between the teacher or the school and the student and

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their families. Trust is required and earned, not just given but should be a mutual arrangement developed by a conducive learning environment and managed by the teacher. The reality is that the Australian education system is based on Westernized ideas about education, determining which knowledge should be learnt in schools and how this learning should happen. Not all Indigenous students will learn best using this model of education and the underlying assumptions embedded (Woodroffe, 2016). “The stark disparity between the educational attainment of Indigenous and non-Indigenous students in Australia has been apparent since the introduction of Indigenous students into State education in the 1960s” (Hogarth, 2016, p. 147). When circumstances and systems are not flexible or reflexive, environments of social exclusion and inequity characterized by poverty and disadvantage can develop. Klassen (2001) confirms that “education has a critical impact on mitigating or reinforcing social exclusion” (413) and goes on to state that “the education system can be a source of exclusion if it fails to adequately educate a portion of its students” (428). As a significant societal system, education impacts life outcomes and determines a person’s success as a member of that society. It follows that a national education system has to cater to all the members of society. Thus, the Australian education system should cater to all Australians. Government policy and the existence of targets to close the gap in social disadvantage and mortality rates underscore the fact that the current version of the system has failed. The National Agreement on Closing the Gap has been a significant government effort to implement change, with the Closing the Gap campaign launched in 2007. Progress has been varied, resulting in the revised strategies. The Annual Data Compilation Report 2021 states that: The National Agreement on Closing the Gap (the Agreement) is a commitment to improving the lives of Aboriginal and Torres Strait Islander people made by all Australian governments and the Coalition of Aboriginal and Torres Strait Islander Peak Organisations (Coalition of Peaks). Under the Agreement, these Parties have committed to actions to achieve the following objective: ‘. . . to overcome the entrenched inequality faced by too many Aboriginal and Torres Strait Islander people so that their life outcomes are equal to all Australians’ (clause 15). (‘Closing the Gap Annual Data Compilation Report July 2021’, 2021, par. 11)

Priority reforms that could impact educational structural change in place include the following: • Developing new partnerships that empower Aboriginal and Torres Strait Islander people to share decision-making authority with governments. • Building Aboriginal and Torres Strait Islander community-controlled sectors to deliver services. • Transforming mainstream government organizations to improve accountability and respond to the needs of Aboriginal and Torres Strait Islander people. • Improving data sharing and information with Aboriginal and Torres Strait Islander communities and organizations (“Closing the Gap Annual Data Compilation Report July 2021”, 2021, par. 7).

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While steps have been taken in the right direction, there are still numerous hurdles to achieving an equitable Australian education system. These hurdles include but are not limited to obvious challenges such as preservice teachers feeling unconfident and unprepared to teach Indigenous students, Indigenous content, and in Indigenous contexts (Ure et al., 2017). This has continued to be an issue and is mentioned in one of the many recommendations in the final report of the Quality Initial Teacher Education Review (Next Steps: Report of the Quality Initial Teacher Education Review, 2022), stating that the “Expert Panel heard loud and clear from teachers that many had felt underprepared by their ITE program for the practical aspects of teaching including . . . cultural responsiveness” (vi). Added to this is the annual national standardized NAPLAN reporting of Indigenous underachievement (Angelo, 2013; Dixon & Angelo, 2014) against expected standards. These standards align with the national curriculum, and change has been slow (Hogarth, 2016). Challenges and proposed solutions are explained in more depth in the following sections.

Decolonizing Practices in Education As a Way Forward The world consists of numerous countries that have been colonized. The impact of colonization on education and social justice in these countries varies. Decolonizing practices have proved to be a strategy to counter inequity felt by colonized peoples (Castagno, 2014; Daniels-Mayes et al., 2019). However, dominant society’s privilege blinds people to possibilities and potential, complicating change. Colonization enacted by the world powers engaged in a land grab for economic purposes (Dudgeon et al., 2010; Zambakari, 2017), justified as scientific innovation and enlightenment. Through this practice, colonizers became better at taking land from Indigenous peoples, relying on a series of mechanisms to achieve colonization most effectively. Education is such a mechanism of colonization. For many people worldwide who have been colonized, the education system they are required to engage with does not represent them or include their cultural knowledge. The dominant culture in society defines the knowledge and determines what constitutes relevant knowledge, excluding what is deemed irrelevant knowledge. Dominant cultures define which knowledge is learnt in schools, and how somebody should learn it. Each of these aspects is contained within a knowledge system. An education system based on one knowledge system is limited because it could be seen as only representing one culture and excluding other cultures. Supporting efforts in schools and communities to make change is a challenge faced by teachers who can empathize and understand the significance of culture and the need to create a sense of belonging for their students. It is teachers’ professional and moral responsibility to take up this challenge and demonstrate an ability to build learning environments inclusive of all students. In this respect, teacher capacity and, in particular, cultural competence or knowledge of teaching strategies for cultural responsiveness are essential (Morrison et al., 2019). Teachers need to understand cultural impacts on educational contexts to be

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successful practitioners. Students and their parents have expectations of teachers and schools (Malin, 1994), and, conversely, schools have definite expectations for students and parents. It is interesting to consider whether these two elements are aligned or at cross purposes. If the latter, there will be difficulties characterized by miscommunication and mistrust. The Australian teaching workforce must be prepared for a change in the educational paradigm that decolonizes the classroom and encourages students to use strengths that include culture-based knowledge to achieve success. The challenge for schools is the complexity of catering to each student and developing strategies that are clearly communicated to students and parents. As defined by McNamara and Naepi (2018), decolonization is “removing colonial influences,” and indigenization is “adding Indigenous elements to existing educational structures” (340). A combined approach would set schools on a path to equity. In the Australian context, existing educational structures include assumptions such as all students are proficient in Standard Australian English. This is indicative of a race-based situation, demonstrating the relevance of the United Nations Declaration of Rights of Indigenous Peoples. The preamble and articles address Indigenous people’s rights regarding culture and education, outlining that Indigenous people have the right to receive instruction in their own language and the right to their lands. Both land and language are intrinsic components of culture (Biddle & Swee, 2012), as Simpson and Wigglesworth (2019) confirm by stating that “the language belongs to the people whose country is associated with the dreaming” (69). Indigenous Australia is diverse with many different languages. It is no wonder that Indigenous students may experience more difficulties than students who speak English as their first language (Hogarth, 2016; Hickling-Hudson & Ahlquist, 2003) and appear to require greater learning support. It makes sense to address the curriculum taught to preservice teachers in preparation for how to teach all students effectively. Dispositions of initial teacher education students could be a possible indicator of their suitability to be teachers in the first place. In this respect, it is pertinent to consider how we educate preservice teachers, most of whom are non-Indigenous, about the barriers that persist for Indigenous students and how to deal with those barriers. What potential teachers think about students’ ability to learn would be a relevant question about whether they understand the concept of cultural impact on learning. Ultimately, a realization that understandings about cultural impact and how that knowledge would inform teaching pedagogy is vital.

Indigenous Pedagogies Indigenous educators in Australia have dared to imagine an improved system of teaching and learning that is inclusive of culture through the use of alternative Indigenous pedagogies. In this chapter, the term “pedagogy” refers to the strategy used by the teacher to deliver learning to the students. Examples of such alternatives have been explored, and some have been published in different formats

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(see Yunkaporta, 2009; Yunkaporta & Kirby, 2011; Nakata, 2011; Woodroffe, 2016), with varying degrees of impact. One reason for their limited impact is that not all Indigenous pedagogies are known outside of their various communities (Bat & Shore, 2013) and may be distinct to particular peoples’ communities, language, and cultural beliefs. This highlights that Indigenous Australia is diverse and that there is not a single way of thinking, language, or set of cultural practices and beliefs. This adds to the difficulty for teachers in differentiating learning to cater for all of their students while ensuring that pedagogies applied are locally appropriate and relevant. In this regard, teacher efficacy and teacher motivation are critical, stemming from care for students. Teachers, some of whom are already treading carefully for fear of not being politically correct or causing offence, should understand the significance of Aboriginal Australian diversity and which pedagogy applies to their location and students. Pedagogy of place should be known. Making strong connections with locally related approaches is one way to demonstrate professionalism in teaching. Culture is relevant to an educational context, as is evident in teachers, students, and parents’ expectations about what education should look like, feel like, and result in. These expectations do not always match and can lead to assumptions that hinder learning. In other words, culture can be a barrier to learning, instead of a strength or advantage, mainly when an education system is monocultural and monolingual. This is the case for the Australian education system (Morrison et al., 2019; Santoro, 2007). The strength of Indigenous educators is fueled by a passion to create a more level playing field that will enable Indigenous students to enjoy the same benefits of education as their non-Indigenous classmates. For example, standardized assessments still portray Indigenous students as underperforming compared to non-Indigenous students. Perhaps it could be said that if this is the case, then there is some attribute of the current education system that favors or benefits non-Indigenous students. Suppose this is considered further with regard to geographic location. In that case, the remote and very remote Indigenous students seem to benefit the least from what the education system offers. There should be a consideration as to whether this is due to limited access to resources, English as a second or third language, or both. It could also be related to teacher mobility to and from remote community schools, which may present students with a lack of consistency and parents and the wider community feeling less important (Beresford et al., 2012). Lessons learnt from Indigenous international contexts in Canada and New Zealand may also help provide proven examples of cultural consideration for knowledge co-construction in educational contexts. McNamara and Naepi (2018) “discuss how all students might be taught to challenge the implicit supremacy of Westernised methods of thinking and knowing by implementing a responsive system locally tailored to the needs of particular institutions’ communities” (347). Australian teachers are also faced with understanding what is locally relevant and what can be done to identify the Indigenous contextual knowledge needed. There is a need for a central repository or similar system that specifies the Indigenous

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pedagogical approaches appropriate to different locations and peoples throughout Australia. Ease of access to information and examples of how the pedagogies could be used in classroom contexts would make it easier for teachers to take steps toward a more culturally inclusive classroom. Some of this knowledge and its potential are diluted because of the confusion caused by the variety of terms used. Terms include “framework,” “philosophy,” “tool,” “pedagogy,” and “approach,” to name a few. The recording of knowledge and the publication of the pedagogies also requires permission, as communities may not want their cultural knowledge shared outside the community itself. Preferences for the sharing of cultural knowledge thus constitute an ethical consideration (Langton & Rehea, 2005), and teacher education providers could facilitate the sharing of knowledge in this space. Although the concept of global Indigeneity helps make connections and generalizations, not all Indigenous peoples have had the same experiences. Although there may still be obstacles to overcome, New Zealand’s incorporation of a bicultural approach in its education system appears advanced compared to Australia’s journey of recognition of Indigenous and non-Indigenous cultural inclusion. Canada has had a different experience with the relevance of “treaty” in education to substantiate rights to education and cultural inclusion (Carr-Stewart, 2001, 2011). In Canada, treaty education for preservice teachers has been used to approach reconciliation (Tupper, 2014), including instruction on the historic establishment of treaties and their relevance to rights, equity, and cultural inclusion. As a point of difference, Australia has had no treaty to provide a bicultural agreement foundational to the education system, such as the one in New Zealand where “both initial teacher education and subsequent registration and appraisal processes require individuals to provide evidence of the ways they are operationalising biculturalism” (Lourie, 2015, p. 131).

Teacher Education An appropriately informed and knowledgeable teaching workforce will have enhanced teacher quality. Improved teacher quality for Indigenous students is also thought to require “understanding what quality means for Aboriginal and Torres Strait Islander students and their parents, implementing effective strategies to build teacher quality, [and] evaluating these measures and monitoring of quality on an ongoing basis” (Productivity Commission, 2020, 7.3). As outlined in Debowski’s (2008) Model of Strategic Educational Change, teacher education plays a role in positive change as a “change influence” (5). In particular, Indigenous lecturers in Initial Teacher Education (ITE) have an opportunity to provide all teacher education students with an understanding of Indigenous perspectives and a critique or analysis of barriers to Indigenous educational success. This can be explored and developed during teaching placements, making the school partnerships during practicum invaluable sources of education, allowing preservice teachers to discuss pedagogy with their supervising teachers and observe their supervising teachers’ interactions with students. The modeling of best practice is a

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huge responsibility that should not be underrated. Such learning could also be emphasized as part of practicing teachers’ leadership and career development. Schools provide teacher education institutions with a platform for the on-the-job practice of teaching skills. At the same time, supervising teachers also have the opportunity to demonstrate skills and knowledge as role models for the next generation of teachers. Teacher professional development is an opportunity to ensure that existing staff in schools can connect with Indigenous content, students, and communities. This is essential, as not all teacher education institutions have core units on teaching in Indigenous contexts and working effectively with Indigenous students and parents. Existing teachers are also expected to demonstrate their professional knowledge and capability according to the Indigenous-specific Australian Professional Standards for Teachers 1.4 and 2.4. The supervising teacher plays a vital role (Woodroffe, 2020). Preservice teachers allocated to practicum placements rely on their supervising teachers to show them examples of best practices and help guide their development. Therefore, supervising teachers must demonstrate their capacity to teach Indigenous content and work effectively with all their students, including Indigenous students (and their parents). Setting high expectations and working with community members and allies are effective strategies that may be seen as part of a school-wide engagement method (Sarra, 2011; Sarra et al., 2020). At the same time, the approach to an improved teaching workforce should be multifaceted. Along with teacher education, role modeling, and leadership implemented at a school-wide level, Indigenous mentoring could also increase teacher efficacy and knowledge (Burgess et al., 2020) in engaging Indigenous students and parents. All educators bring their own biases and perspectives, but their intention in the way they teach remains essential. Indigenous lecturers delivering units about teaching in Indigenous contexts often have insider knowledge and first-hand experience with content, connections, relationships, beliefs, and other cultural considerations that may be foundational in building teacher capacity. Indigenous educators, therefore, teach with the intent to position Indigenous culture as a strength to be embraced and developed (Woodroffe, 2019). It is necessary to consider the lens through which teacher education units or courses are created and delivered. The development and delivery of course content are significant in shaping the learning. In Australia, the Australian Indigenous Lecturers in Teacher Education Association (AILITEA) is an advisory group that provides expert advice and commentary on Indigenous content and pedagogy in teacher education. The group’s members are Indigenous lecturers of teacher education who advocate for the necessity of such units to be delivered by Aboriginal and Torres Strait Islander lecturers, with Indigenous knowledge distinguished as specialist knowledge. The Association provides advice to the Australian Council of Deans of Education (ACDE), which “is the peak body representing all Australian universities and several of the private colleges that offer initial teacher education degrees” (“ACDE | Australian Council of Deans of Education” 2017, par. 1). The council commissioned the 2018 NADPE Report: Professional Experience in Initial Teacher Education, which makes

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recommendations for better preparing preservice teachers to work effectively with Indigenous contexts and content, particularly when on practicum placements (Ure et al., 2017).

Strength-Based Approaches – Indigenous Resilience, Standpoint Theory, and Cultural Strength A strengths-based approach to educational practice and teacher education could help create a more inclusive education system that ensures success for more Indigenous students. This approach is best understood and described by those who have firsthand knowledge of minority perspectives in classroom contexts (Woodroffe, 2019, 2020). Indigenous educators are essential in this respect: “Increasing the number of Aboriginal and Torres Strait Islander teachers is one potential mechanism to improve teacher quality” (Productivity Commission, 2020, 7.3). Indigenous teachers have a cultural connection with Indigenous students and an understanding based on once being students in the system in which they now teach. Exploring Indigenous resilience, standpoint theory, and cultural strength as concepts to understand these issues differently enables the consideration of how systems might be changed with Indigenous voices and Indigenous educational leadership. It could be said that Indigenous educators have common cultural and shared societal experiences with their Indigenous students. A cultural bond is strengthened by common understandings and perhaps even cultural obligations. Flipping the narrative of “Indigenous deficit” to “Indigenous strength” is the first step in what could be described as a strength-based approach to educational reform. This approach to understanding or perceiving Indigenous educational contexts would contain foundational learning to change attitudes and biases and provide an alternative interpretation of what it means to be Indigenous in Australia. Indigenous people have been repeatedly portrayed as underperforming and unable to meet basic Australian education standards. This perception assumes that all students begin with the same educational opportunities, with a firm grasp of Standard Australian English and a cultural lens encompassing a Western worldview. The way to move past this is to listen to Indigenous voices and the message of Indigenous resilience that has enabled Indigenous Australians to survive despite colonization. Cultural strength and the ability to explain an alternative perspective through Indigenous standpoints (Foley, 2002), including those of Indigenous women (Moreton-Robinson, 2013), represent an approach used in education that will support a transformative learning model. The value of incorporating a transformative approach when providing education on Indigenous Australia is that a teacher may be working with a majority of non-Indigenous students who already have ingrained views or assumptions that may or may not be correct. Mezirow’s model of transformative learning is focused on changing these views or beliefs. Mezirow claims that “particular points of view can become so ingrained that it takes a powerful human catalyst, a forceful argument or a disorienting dilemma to shake them” (Christie et al., 2015, p. 11). Following the

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disruption with self-reflection and a sense of alienation or discontent leads to new ways of thinking and behaving. Communication of this change process is fundamental as a demonstration of the learning that has taken place. This transformative process could be very valuable for preservice teachers. Preservice teachers without much experience or knowledge regarding Indigenous contexts can feel uninformed and underprepared to work with Indigenous students, families, and communities (Ure et al., 2017). This creates a kind of paralysis, with people being afraid of making mistakes or being offensive. If this becomes too uncomfortable for teachers, it can lead to avoidance behavior with regard to Indigenous content and perspectives in the national curriculum. This avoidance is made easier because Indigenous content and perspectives are not core aspects of teaching and learning or considered key learning areas. This is slowly changing but has historically been an enabler for avoidance. A transformative process can change views and assumptions and lead to capacity and confidence. Within the Australian national curriculum, Indigenous histories and culture is not a core subject presented to students. The learning of this content is seen as optional. It is added alongside key learning areas, often being described as an “extra” among the crowded curriculum that teachers are already expected to cover in detail to their students, including the provision of differentiation by scaffolding or extension as required. Not all classroom teachers have the time or inclination to address what they perceive as extra curriculum, especially if they feel unconfident in the content or contexts. This currently constitutes a national problem. So, it should be asked: How might the representation of Indigenous resilience and cultural strength encourage more teachers to teach Indigenous content and engage more confidently with Indigenous students and families? A change in positioning away from the negative will enable positive interactions that focus on recognizing cultural knowledge and languages other than English as added strengths and skills, leading to new opportunities in learning experiences. This may not be obvious to non-Indigenous educators but could be achieved through a joint project with the Indigenous members of the school and the broader community, including leading Indigenous academics in the field of education. The magnification of Indigenous voices must be part of the way forward to an optimized Australian teaching workforce.

Changing Systems with Indigenous Voices and Decision-Making Achieving systemic change is challenging. One of the main difficulties in this respect is trying to convince the majority that the system is not inclusive and needs to be changed. Colonization has led to majority rule and inequity for Indigenous Australians. The annual national standardized assessment (National Assessment Program – Literacy and Numeracy; NAPLAN) results and the analyses of the results are one way in which the consequent educational inequity is present each year in Australia. The results are reported in several ways, one of which is comparing Indigenous student results to the results of their non-Indigenous peers. This

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difference is often referred to as an achievement gap. The purpose of the annual assessment is described as follows: NAPLAN is a nationwide measure through which parents, teachers, schools, education authorities, governments and the broader community can determine whether or not young Australians are developing the literacy and numeracy skills that provide the critical foundation for other learning and for their productive and rewarding participation in the community. (NAPLAN, 2016, par. 2)

Questions need to be asked systemically and individually on why Indigenous Australian students are reported to be underperforming with regard to the expected national education standards. What does this say about Indigenous students? Are they unlikely to fit the mold of a productive participant in the community? What does this say about systemic understandings of place? It is necessary to consider the cultural limitations to answer these questions. It could be argued that limited Indigenous perspectives or representation in teaching and learning (Lowe & Yunkaporta, 2018; Maxwell et al., 2018), Standard Australian English as a barrier, and the limited number of Indigenous educator role models in schools (Buckskin, 2016) and the wider community both contribute to a lack of belonging and disengagement among Indigenous students and families. Minority perspectives challenge current practice and support change in Australian education (Harrison & Selwood, 2016; Price & Rogers, 2019; Woodroffe, 2020). Encouraging the transformation of a system that does not appear broken to most Australians is difficult. Indigenous Australians have been waiting for effective change to the education system to enable Indigenous students to experience educational success and a measure of equity in educational opportunity. Unfortunately, the same circular conversations continue to take place. Developing an Australian teaching workforce that is skilled at being inclusive and equitable appears to be a sensible place to begin the change required, as the potential for change hinges on leadership. Indigenous educational leadership is a vehicle for change not necessarily recognized within the current educational leadership criteria. It consists of the enactment of leadership by Indigenous individuals through a feeling of cultural responsibility and the need to care for and empower Indigenous students and parents (Hohepa, 2013; Woodroffe, 2019). As Hohepa (2013) states, “Indigenous educational leadership as ‘different’ may be better understood in terms of the enactment of leadership, which is located in and guided by Indigenous knowledge, values, and practices, to realise Indigenous educational aspirations” (619). This cultural view of leadership could be incorporated into the existing frameworks housed on the AITSL website. Perhaps what is required is more of a self-reflection about the potential to expand current processes, such as recognizing Indigenous culture and leadership within them. Building on Indigenous Australians’ academic knowledge and achievement is not achieved without building on educational knowledge and achievement of the teaching workforce and the knowledge and reflexivity of processes within the Australian education system.

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Conclusion Our focus on the future has to include an enthusiasm around transforming current processes and standards, and the place to begin is with the teaching workforce. Choosing the right teachers for the job is vital. Employing the right people who are prepared to embrace equity and change to develop a workforce of teachers to be proud of will include consideration of capacity for cultural responsiveness. AITSL has already begun this work with the development of its cultural competency resources. These developments require a demonstration of professionalism and align directly with the Australian Professional Standards for Teachers, effective as long as there is accountability. Australia’s teaching workforce includes teachers who are professional and who have students at the center of their educational focus instead of curriculum and assessment. This needs to expand to be the default rather than the alternative approach. A people-first orientation is the best way to ensure that individuals’ learning is personal and differentiated. One size does not fit all. Teachers need to be prepared to acknowledge past challenges and excited to move forward and become an integral part of an Australian teaching workforce that strives for cultural inclusion and equity. A strength-based approach to teacher education is a way of achieving change and improving the national education system for all Australians.

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Langton, M., & Ma Rehea, Z. (2005). In M. Nakata & M. Langton (Eds.), Australian Indigenous knowledge and libraries. University of Technology Sydney. Lourie, M. (2015). Biculturalism in education: Haere whakamua, hoki whakamuri/Going forward, thinking back. Teachers’ Work, 12(2), 131–148. Lowe, K., & Yunkaporta, T. (2018). The inclusion of Aboriginal and Torres Strait Islander content in the Australian national curriculum: A cultural, cognitive and sociopolitical evaluation. Redress, 27(2), 18–30. https://search.informit.org/doi/10.3316/ielapa.474978775159363 Malin, M. (1994). What is a good teacher? Anglo and Aboriginal Australian views. Peabody Journal of Education, 69(2), 94–114. Maxwell, J., Lowe, K., & Salter, P. (2018). The re-creation and resolution of the ‘problem’ of Indigenous education in the Aboriginal and Torres Strait Islander cross-curriculum priority. The Australian Educational Researcher, 45(2), 161–177. https://doi.org/10.1007/s13384-0170254-7 McNamara, R. A., & Naepi, S. (2018). Decolonising community psychology by supporting indigenous knowledge, projects, and students: Lessons from Aotearoa New Zealand and Canada. American Journal of Community Psychology, 62(3–4), 340–349. https://doi.org/10. 1002/ajcp.12296 Miller, A. D., Ramirez, E. M., & Murdock, T. B. (2017). The influence of teachers’ self-efficacy on perceptions: Perceived teacher competence and respect and student effort and achievement. Teaching and Teacher Education, 64, 260–269. https://doi.org/10.1016/j.tate.2017.02.008 Moreton-Robinson, A. (2013). Towards an Australian Indigenous women’s standpoint theory: A methodological tool. Australian Feminist Studies, 28(78), 331–347. Morrison, A., Rigney, L. I., Hattam, R., & Diplock, A. (2019). Toward an Australian culturally responsive pedagogy: A narrative review of the literature. University of South Australia. Nakata, M. (2011). Pathways for Indigenous education in the Australian curriculum framework. The Australian Journal of Indigenous Education, 40, 1–8. NAPLAN. (2016). Retrieved September 16, 2021, from https://www.nap.edu.au/naplan. Next Steps: Report of the Quality Initial Teacher Education Review. (2022). Retrieved March 30, 2022, from https://www.dese.gov.au/quality-initial-teacher-education-review/resources/ next-steps-report-quality-initial-teacher-education-review Price, K., & Rogers, J. (Eds.). (2019). Aboriginal and Torres Strait Islander education. Cambridge University Press. Productivity Commission. (2020). Overcoming Indigenous disadvantage: Key indicators 2020 (pp. 7.1–7.29). Australian Government. Raghupathi, V., & Raghupathi, W. (2020). The influence of education on health: An empirical assessment of OECD countries for the period 1995–2015. Archives of Public Health, 78(1), 20. Santoro, N. (2007). “Outsiders” and “others”: “Different” teachers teaching in culturally diverse classrooms. Teachers and Teaching, 13(1), 81–97. Sarra, C. (2011). Reflections of an Aboriginal school principal on leading change in an Aboriginal school: Australia. In Changing Schools (pp. 77–86). Routledge. Sarra, C., Spillman, D., Jackson, C., Davis, J., & Bray, J. (2020). High-expectations relationships: A foundation for enacting high expectations in all Australian schools. The Australian Journal of Indigenous Education, 49(1), 32–45. https://doi.org/10.1017/jie.2018.10 Simpson, J., & Wigglesworth, G. (2019). Language diversity in Indigenous Australia in the 21st century. Current Issues in Language Planning, 20(1), 67–80. Tupper, J. A. (2014). The possibilities for reconciliation through difficult dialogues: Treaty education as peacebuilding. Curriculum Inquiry, 44(4), 469–488. https://doi.org/10.1111/curi.12060 Ure, C., Hay, I., Ledger, S., Morrison, C., Sweeney, T. A., & Szandura, A. (2017). Professional experience in initial teacher education: A review of current practices in Australian ITE. Australian Government Department of Education and Training. Woodroffe, T. (2016). Creating the ideal classroom environment to ensure success for Indigenous students. In Changes and challenges: ACE 2016 national conference (pp. 86–91) http://

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fellowship.austcolled.com.au/wp-content/uploads/2017/09/ACE-2016-National-ConferenceProceedings.pdf Woodroffe, T. (2019). The importance of including indigenous knowledge in pre-service teacher education. Unpublished doctoral thesis, Charles Darwin University. Woodroffe, T. (2020). Improving Indigenous student outcomes through improved teacher education: The views of Indigenous educators. AlterNative, 16(2), 146–152. https://doi.org/10.1177/ 1177180120929688 Yunkaporta, T. (2009). Aboriginal pedagogies at the cultural interface. Professional Doctorate (research) thesis. James Cook University. https://researchonline.jcu.edu.au/10974/2/ 01thesis.pdf Yunkaporta, T., & Kirby, M. (2011). Yarning up Indigenous pedagogies: A dialogue about eight Indigenous ways of learning. In N. Purdie, G. Milgate, & H. Bell (Eds.), Two-way teaching and learning (1st ed., pp. 205–213). ACER Press. Zambakari, C. (2017). Land Grab and institutional legacy of colonialism: The case of Sudan. Consilience, 18, 193–204. http://www.jstor.org/stable/26188799

Localizing Teacher Professional Development at Scale Enabled by Professional Learning Communities: A Study of Teacher Learning Centers in Indonesia Min Liang

, Juliana, Norman B. Mendoza

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, and Cher Ping Lim

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Background and Context – Teacher Learning Centers (TLCs) in Indonesia . . . . . . . . . . . . . . . . . . Teacher Learning Centers (TLCs) as Professional Learning Communities . . . . . . . . . . . . . . . . . . . Research Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research Design and Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Participants and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Instruments Used . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Data Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Findings and Discussion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TLCs Support Teachers with Quality TPD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . TLCs Support Teachers with Equitable and Efficient TPD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teachers Face Challenges of Applying TPD to Classroom Teaching . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

Teachers play a pivotal role in designing and implementing teaching and learning activities for student learning engagement and learning outcomes. For teachers to take up such a role, their capacity for teaching and learning has to be built and supported throughout their career – from pre- to in-service professional development. However, some teachers lack professional development opportunities in emerging and developing Asian countries due to geographical locations (remote and rural areas), gender, special needs, and sociopolitical issues (displaced communities, ethnic minorities). At the same time, there is a lack of quality M. Liang · N. B. Mendoza · C. P. Lim (*) Department of Curriculum and Instruction, Faculty of Education and Human Development, The Education University of Hong Kong, Hong Kong SAR, China e-mail: [email protected] Juliana School Development Outreach, Putera Sampoerna Foundation, Jakarta, Indonesia © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_136

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professional development initiatives that engage teachers and keep them updated with necessary competencies. Based on a study of teacher learning centers (TLCs) in two regencies in Indonesia, this chapter examines how teachers are supported by TLCs that function as professional learning communities that localize their professional development. The chapter also reports the challenges teachers encountered when applying TPD to classroom teaching and discusses how these challenges can be possibly addressed in the local context. Keywords

Teacher learning center · Professional learning communities · Teacher professional development · Indonesia

Introduction Several factors have limited Indonesian teachers for quality teaching and learning, such as insufficient subject content knowledge (Chang et al., 2013; Kusumawardhani, 2017; Rosser, 2018), limited pedagogical knowledge to manage effective in-class teaching (Bjork, 2013), and lack the confidence in their ability to support students’ development of higher-order thinking skills (OECD/ADB, 2015). The national Teacher Competency Test (Uji Kompetensi Guru, UKG) has been used to monitor and evaluate teachers’ competencies such as mastery of subject knowledge, pedagogical knowledge, classroom management, and learning and assessment. However, the average score of Indonesian teachers for this test was around 67 out of 100 points (Aghnia & Sandy, 2018). Although the UKG score cannot be the only indicator of teachers’ competencies, it may reflect the lack of teachers’ subject knowledge and pedagogical competencies in Indonesia (Revina, 2019). The lack of quality teacher professional development (TPD) opportunities after preservice teacher education may be one of the critical issues leading to Indonesian teachers’ lack of capacity for quality teaching and learning (Rosser, 2018). Indonesia is an archipelagic country and one of the world’s largest and most diverse teachers’ workforces. Many remote villages and islands do not have designated transportation and communication infrastructures yet. Teachers located in such areas may have less access to TPD than those in cities. Teachers in Indonesia have limited TPD access due to issues at different levels (Supriatna, 2011). At the national level, there is a lack of a robust mechanism for ongoing TPD after teachers gain teaching certifications. At the provincial level, TPD has little capacity to engage teachers on a large scale. At the district level, Teacher Working Groups, which are nonstructured organizations of teachers supervised by the local government, may not effectively function to support quality TPD due to unstructured programs, limited access from the rural areas, and minimum supervision from the local government. The Indonesian national TPD program (Pengembangan Keprofesian Berkelanjutan, PKB) has been launched since 2013. It adopts a cascade model and provides teachers with short-term skill training, aiming to reach large quantities of teachers in a short

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time and at a low cost. However, there was only slight improvement in teachers’ teaching practice after completing PKB due to various factors such as TPD mode, time and funding constraints, lack of applicability of TPD resources, and limited facilities (Revina et al., 2020). And “...very few at-scale PD programs are linked to any sort of career opportunities, such as promotion or salary implications” (Popova et al., 2018, p.5). During the COVID-19 pandemic and school closure, many teachers were required to develop the capacity to conduct quality remote and online teaching. To address these challenges, governments and organizations have been seeking more localized and innovative TPD programs that meet teachers’ professional development needs. Teacher learning centers (TLCs) is one of such TPD programs, supported by local education organization Putera Sampoerna Foundation – School Development Outreach (PSF-SDO). PSF-SDO is a member of TPD@Scale Coalition for the Global South to support local school teachers’ competencies by promoting quality, equitable, and sustainable large-scale, ICT-mediated TPD in the local context (TPD@Scale Coalition, 2019). TLCs function as professional learning communities that include different stakeholders, local government, school principals, TLC coordinators, Master Teachers, and teacher participants. This chapter examines how the localized TPD programs and resources in TLCs support school teachers to enhance their competencies. More specifically, this chapter investigates how such professional learning communities and their TPD support teachers in two regencies (Gowa and Kudus) – the local government under the provincial level – with quality, equitable, and efficient TPD. Quality TPD is a sustained process of content-focused and active learning for teachers; it must support teachers’ collaboration, make available models of effective practice, coaching, and expert support for teachers. In this process, feedback should be provided from multiple resources for teachers’ reflection to improve their teaching practice (Darling-Hammond et al., 2017). Equitable TPD can be accessed by teachers without any barriers of facilities, location, gender, etc., to support teachers to handle students’ different learning needs in ways that lead to better student learning engagement and outcomes (Power, 2018; TPD@Scale Coalition, 2020). And efficient TPD refers to the optimization of inputs to achieve desired outputs of TPD (Laurillard et al., 2018). Through the lenses of quality, equitable, and efficient TPD, the chapter also looks into what challenges teachers encounter, and how these challenges can be addressed for localizing and scaling up TPD in Indonesia.

Background and Context – Teacher Learning Centers (TLCs) in Indonesia The Education in Indonesia is governed by the Ministry of Education (MoE). All local educations in provincial/regency/district level develop their own regulations based on the national guidelines and regulations. TLC initiated and supported by PSF-SDO, is a systematic and structured independent professional learning organization managed by local teachers and supervised by the local government at the regency level (PSF-SDO, 2020). TLC exists in accordance with the needs of the

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local government in particular regencies to meet their particular need of TPD informed by the local government to PSF-SDO. The roles of TLC are to develop localized TPD programs tailored-made based on teachers’ needs and activities with access to learning facilities and resources, monitor and evaluate TPD programs, build local communities of practice, facilitate collaborative partnership, and cultivate local leadership. So far, TLCs have existed in regencies Tuban, Bojonegoro, Karawang, Surabaya, Pasuruan, Gowa, Kudus, Sulawesi Tenggara (Central Sulawesi), Musi Banyuasin, and Kubu Raya. TPD programs at TLCs follow the model of TPD@Scales, which aims at localizing TPD for inclusion and scaling up to benefit as many teachers as possible. Also, locally appropriate use of ICT is central to TPD@Scale to overcome the challenges of development and implementation and allow flexibility for inclusion. The mutuality in the relationship between the model and the local context is recognized for further improvement of the model and better localization in different contexts. (TPD@Scale Coalition, 2020). Quality, equity, and efficiency work as lenses to examine TPD programs and resources provided by TLCs. However, tensions between quality, equity, and efficiency still exist in different contexts. The TLCs by PSF-SDO thus adopt ICT-mediated and contextualized approaches for localized TPD in Indonesia to address such tensions. These approaches will explore ways of scaling the TLC model as professional learning communities, to other regencies and provinces across Indonesia.

Teacher Learning Centers (TLCs) as Professional Learning Communities The concept of professional learning communities in this chapter is utilized to understand TLCs providing localized TPD at scale. Professional learning communities are usually defined as a group of educators working collaboratively in the ongoing processes of activities or research to achieve better student learning outcomes (DuFour & Dufour, 2013; Hairon et al., 2017; Hoaglund et al., 2014; Hord, 1997). Laurillard (2013) considers it is the “...teaching community to design, test, improve, and share the pedagogies that achieve high-quality student support and attainment on a large scale” (p.1) Student learning should be the focus and shared goal of improving teachers’ competencies in a professional learning community. To realize the shared goal, members of the community need to take action to make changes for teaching and learning (DuFour & Dufour, 2013). Collaboration and accountability among community members are also the keys to reaching the shared goal and successful professional learning communities (DuFour & Dufour, 2013; Hoaglund et al., 2014; Tam, 2015; Sai & Siraj, 2015). The collaboration exists within TLCs, in which members have different roles (e.g., TLC coordinators, Master Teachers, teacher participants) to support each other by running the TLCs, organizing, and participating in TPD activities and sharing experience. The collaboration also involves other stakeholders, which are the local government (local education office), Teacher Working Groups, schools, and

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principals. Such collaborations connect teachers with other stakeholders and nurture their accountability to localized TPD for the shared goal of students’ learning. In addition, teachers can access the facilities provided in TLCs, such as hardware, equipment, internet access, and printed and digital TPD resources, with support from the local government. The collaboration makes the local facilities and resources accessible for TLCs to conduct TPD activities and engage other stakeholders in the communities. Apart from collaboration, professional learning communities need to localize TPD in different contexts to sustain and possibly scale up local teachers’ professional development (Halkude et al., 2016). To localize TPD, TPD programs and resources have to be made culturally appropriate by drawing upon the local contexts and practices of schools, teachers, students, and communities (Wolfenden & Adinolfi, 2019). Hence, TLCs localize TPD on a few aspects. First, TLCs as professional learning communities are “from teachers, by teachers and for teachers (Dari Guru, Oleh Guru dan Untuk Guru)” (PSF-SDO, 2020). Such a format moves from external expert monitored TPD to local teachers’ collaborative selfempowerment. Second, TLCs localize TPD programs in different languages used by the local teachers and conform to the local sociocultural practices. It may encourage more teachers to participate in TLCs’ programs and build up their sense of belonging to TLCs. Third, TLCs localize TPD programs based on local teachers’ needs. By regularly conducting need analysis, TLCs understand different teachers’ backgrounds and needs and help teachers personalize their professional development as lifelong learners. When TPD programs are localized in the professional learning communities, TLCs can facilitate teachers to personalize their learning progress to their optimal benefit. Teachers can select interested topics and levels. On the other hand, teachers can select, onsite or online (synchronously or asynchronously accompanied with follow-up support with mobile applications), even blended modes (TPD@Scale Coalition, 2019). Such blended modes of professional learning communities are found to be useful in helping teachers engage in sustainable professional learning and become curriculum designers in response to the national curriculum reform of Indonesia (Widodo & Allamnakhrah, 2020). After completing the required TPD programs, teachers will be awarded an TPD certificate from TLCs. The certificate not only certifies teachers’ professional learning journey to be a master teacher in schools or at TLCs, but also relates to government-endorsed credit points, which may contribute to teachers’ future promotion under the civil servants’ promotion framework by the MoE and the guidelines of their schools. Hence, through collaboration, localization, and personalization, teachers are well supported and empowered in TLCs. Their professional learning journey in TLCs can enhance teachers’ competencies and achieve the shared goal – improving students’ learning outcomes, and nurture their self-empowerment, and accountability as lifelong learners. Besides, such characteristics of TLCs may be able to scale up TPD in Indonesia or other developing counties. Existing studies have examined professional learning communities inside schools that teachers are affiliated with (e.g., Tam, 2015; Trilaksono et al., 2019). Those

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managed by local teachers aiming for localizing and scaling up TPD are rarely documented in the literature. Hence, examining TLCs in Indonesia can help understand how professional learning communities localize professional development and support local teachers to develop their competencies. Besides, TLC Gowa (located in South Sulawesi, Indonesia) and Kudus (located in Central Java, Indonesia) have been well supported by PSF-SDO and are now under management by the local government. How teachers have been supported by the TPD programs at these two TLCs and how their challenges have been addressed can provide insights and lessons learnt for TPD programs in other TLCs or in other developing countries.

Research Questions Given the importance of professional development to local teachers in Indonesia, the current study examines how TPD activities support local teachers in two TLCs at Gowa and Kudus. Hence, the research questions are: (1) How do TLC Gowa and Kudus as professional learning communities support local teachers to develop their competencies? (2) What challenges and issues have local teachers encountered at these two TLCs?

Research Design and Methods This study examined how TLCs as professional learning communities supported local teachers to engage in quality, equitable, and efficient professional development. Both qualitative and quantitative data were collected and analyzed to identify the perception of TPD quality of teacher participants and the challenges they encountered at TLC Gowa and Kudus.

Participants and Procedures The survey was administered to teacher participants in the TLCs by PSF-SDO via Google Form broadcasted through WhatsApp group and local education office. The survey was sent out to 1000 teacher participants, applying the random sampling technique to avoid unbiased representation. After the data cleaning process, only 257 surveys from two regencies Gowa and Kudus were valid for analysis. Some half-filled surveys due to limited internet access were discarded. In total, the data includes 257 teachers (Gowa 131, Kudus 126) with an average age of 41.76 (SD ¼ 8.96; 75.10% were females). Most of the teachers had more than 20 years of teaching (28.79%), followed by 11–15 years of teaching experience (26.07%). Nearly two-thirds of the teachers (n ¼ 185; 71.98%) were civil servants, and over 84% previously participated in professional development.

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Instruments Used The survey was developed based on the context of TLCs, adapting from the Kirkpatrick learning model, which is considered as a helpful tool for evaluating professional development outcomes (Kirkpatrick & Kirkpatrick, 2006; Smidt et al., 2009). It assesses teacher participants’ self-reported perceived TPD outcome after participating in TPD programs provided by TLCs in 2020. It begins with collecting participants’ background information such as gender, teaching experience, previous TPD experiences and topics, then invites participants to indicate their opinion about the TPD quality, need alignment, and TPD application. The survey mainly uses the Likert scale to collect respondents’ attitudes and opinions by measuring the extent to which they agree or disagree with the statements. Considering the local culture, a four-point Likert scale is used for survey questions to avoid neutral answers and better justify respondents’ opinions on the TPD activities in TLCs. These questions are analyzed in three parts: TPD quality, the alignment of teachers’ TPD needs, and teachers’ TPD application. Part 1 of the survey consists of 19 items. It focuses on measuring the TPD quality provided by the Master Teachers in TLCs. Sample items include “The facilitator conveys the objective of the workshop” and “The facilitator is knowledgeable on the topics delivered,” among 17 other items. It is responded to on the four-point Likert scale ranging from 1 – “very bad” to 4 – “very good.” In the present study, the internal consistency of these items is high, with a Cronbach’s alpha of 0.97. An open-ended question follows these items that participants indicate the differences of TLC TPD with those provided by other institutions. Part 2 of the survey consists of three items. It focuses on evaluating whether the TPD met the teachers’ needs. Teachers responded yes or no to the following three statements: “The TPD topics or resources meet my needs,” “The TPD at TLC is affordable for me,” and “The level of depth of TPD resources at TLC is according to my competence,” which evaluates the applicability of the TPD to participant needs, affordability, and competence, respectively. Part 3 of the survey consists of four items. It focuses on evaluating whether the participants applied the TPD activities and resources learned from the TLC. The statements are: “TLC TPD resources were applied in my class,” “I implement the TPD from TLC in my classroom,” “I can apply the TPD from TLC in my class,” and “The TPD from TLC increase students’ enthusiasm in the classroom.” These statements are also followed by an open-ended question that invites teachers to express the difficulties they have encountered.

Data Analysis Participants’ personal information in the survey were coded. For the quantitative data from the survey, summary and descriptive statistics were computed. One-way analysis of variance (ANOVA) was used to examine whether there are significant differences between the TPD quality in the two regencies (i.e., Gowa and Kudus)

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and between genders. Essentially, the mean scores for TPD quality, needs alignment, and TPD application between the two regencies were compared to examine the fidelity and impact of TPD from both regencies. Similarly, a comparison between male and female teachers was also conducted to examine potential gender differences of TLC TPD impact. For the qualitative data obtained from open-ended questions in the survey, it was firstly translated from Indonesian to English, then confirmed by local PSF-SDO colleagues (native Indonesian speakers). Then it was categorized into themes and computed the frequency for the response themes. In addition, the transcripts were further examined, and keywords and quotes were grouped into each of the categories.

Findings and Discussion TLCs Support Teachers with Quality TPD Data from part 1 of the survey (TPD quality) suggested teacher participants’ view the TPD quality of TLC (Table 1). The mean score for this part was 3.38 out of 4 (SD ¼ 0.42). One-way analysis of variance findings showed that the TPD quality conducted in two regencies had no statistically significant difference (X2[1] ¼ 0.25, p ¼ 0.62). Similarly, no statistically significant gender differences were found in terms of TPD quality (X2[1] ¼ 2.80, p ¼ 0.09). The designed 19 items gained close or even higher score than the mean score. Among them, Q14 and Q18 gained the highest (3.45 out of 4) and the lowest (3.28 out of 4) mean scores, respectively (Table 1). It is found that Master Teachers used appropriate learning resources and examples for teachers’ active learning (Q5, Q7), shared their teaching practice to teacher participants (Q11), encouraged interaction and group work for teachers’ collaborative learning (Q15), and provided feedback objectively (Q16). Such findings are aligned with most of the characteristics of quality TPD in the model of TPD@Scale, which are modeling effective practices, providing coaching and expert support as well as feedback and reflection (Darling-Hammond et al., 2017). Hence, most teacher participants considered the TPD provided by TLC Gowa and Kudus to be of good quality. Particularly, the local language Master Teachers use for localizing TPD were highly appreciated by teacher participants (Q14). Despite Bahasa Indonesia as a national language is widely used, people in the regencies such as Gowa and Kudus still use their mother-tongue languages in their everyday life. By using the local languages, teachers may better communicate with Master Teachers, understand the TPD activities and resources, and build up a sense of belonging to the professional learning communities. However, it is also found that Master Teachers gained comparatively lower ratings on managing the discussion or activities (Q13 & Q18). Teachers’ ratings were supported by their comments in the open-ended question. The majority (72%) of teacher participants considered the TPD topics and resources offered by TLCs different from those of other organizations, while 40% of them

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Table 1 Part 1 of the survey – about TPD quality. (“Facilitator” in the survey refers to Master Teachers at TLCs) Statement Q1. The facilitator conveys the objective of the workshop Q2. The facilitator is knowledgeable on the topics delivered Q3. The topic and learning resources are relevant to learning objective Q4. The facilitator is able to answer the question clearly Q5. The facilitator gives in-depth resources according to my needs Q6. The facilitator is applying an engaging teaching method and technique Q7. The facilitator is able to provide relevant examples and illustrations Q8. The facilitator is able to conclude the resources so that it is easy to understand Q9. The facilitator is able to motivate the participants Q10. The facilitator is able to facilitate the participant to express opinion and experience Q11. The facilitator shares his/her classroom practices Q12. The facilitator uses teaching media that support me in understanding the resources Q13. The facilitator is able to control the discussion or presentation of individual/group assignments Q14. The language that the facilitator uses is easy to understand Q15. The facilitator provides an opportunity for group work Q16. The facilitator responds to feedback objectively Q17. The facilitator is able to interact with the participant in the classroom Q18. The facilitator is being disciplined in every activity Q19. The facilitator is open to the opinions of each TPD participant Q20. What differentiates between TPD activities conducted by TLC and conducted by other institutions?

N 257 257 257

Mean 3.40 3.38 3.39

Std. Deviation 0.543 0.517 0.519

257 257 257

3.36 3.36 3.34

0.512 0.520 0.506

257

3.38

0.518

257

3.37

0.508

257 257

3.39 3.37

0.527 0.500

257 257

3.39 3.42

0.534 0.532

257

3.30

0.517

257 257 257 257

3.45 3.39 3.40 3.40

0.498 0.511 0.500 0.507

257 3.28 0.509 257 3.40 0.507 Open-ended answer

chose “how to train” and/or “facilitators.” Some of them commented that “Topics are relevant to the needs and the activities are very engaging. Compared to other TPD activities, I found this very useful and practical” and “The facilitators are great, I understand the resources well.” However, based on the TPD topics teachers indicated in the survey and the TPD record of TLC Gowa and Kudus, 4 out of 59 of the TPD topics were related to school subjects, while one of the critical elements of effective TPD is content or subjectfocused (Darling-Hammond et al., 2017; Popova et al., 2018). On the one hand, the variety of topics TLCs provided may cover teachers’ needs in the professional learning communities, particularly teacher participants are from different schools; on the other hand, such variety may be less appealing to some teachers who look for subject-specific TPD. This tension existing in TLC Gowa and Kudus may indicate

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that the balance between quality and efficiency TPD is necessary while ensuring equity of TPD in the local context (TPD@Scale Coalition, 2020).

TLCs Support Teachers with Equitable and Efficient TPD Equitable TPD in this chapter is accessible and affordable for teachers regardless of their gender, language, geographical location, and socioeconomic status, etc. Before the COVID-19 pandemic, TLC Gowa and Kudus had already exploited instant messaging applications such as WhatsApp and Telegram for conducting online TPD activities. These applications provided a valuable channel for peer discussion and sharing resources (Lim et al., 2020). During the pandemic, these mobile applications have also been utilized for conducting online TPD and providing follow-up support. Besides, TLC coordinators and Master Teachers also meet with teachers in person for the follow-up support due to the local culture of East Java (Lim et al., 2020). In 2020, TLC Gowa and Kudus completed 59 online and onsite TPDs covering more than 5500 teachers. Such TPD activities served teachers with diversity in gender, language, education background, schools, etc. The number of TPD activities indicates that TLCs provide teachers with more TPD opportunities. Part 2 of the survey looks at whether the TPD provided by TLCs is appropriate to the needs, affordability, and competence of teacher participants (Table 2). Over 97% of the participants responded “yes” to these three questions. The overwhelming majority of teacher participants (n ¼ 254, 98.9%) responded that TPD topics or resources met their needs. TPD topics and resources are developed based on the need analysis conducted by each TLC, which has been an important and fundamental mechanism for localizing TPD. Teachers are invited to indicate their needs and interested topics before TLCs and Master Teachers. Master Teachers develop TPD programs and the level of depth of TPD resources. Based on the needs analysis results, the relevance of TPD topics and teachers’ teaching can be assured. In particular, the developers and facilitators of TPD programs are Master Teachers selected from local schools, who know the culture and conditions of the regencies. Some Master Teachers even worked with local teachers in the Tompobolu district of Gowa to create TPD resources for local schools with insufficient internet access. Such practices echo TLCs as professional learning communities, which are from teachers, by teachers, and for teachers (PSF-SDO, 2020), culturally appropriate based on the local contexts and practices (Wolfenden & Adinolfi, 2019) for ensuring equity and efficient TPD. Table 2 Part 2 of the survey – about whether TPD met the teachers’ needs Statement Q1. The TPD topics or resources meet my needs Q2. The TPD at TLC is affordable for me Q3. The level of depth of the TPD resources at TLC is according to my competence

N 257 257 257

NO 1.2% (3) 2.7% (7) 2.7% (7)

Yes 98.9% (254) 97.3% (250) 97.3% (250)

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Around 97% (n ¼ 250) of teacher participants perceived the participation costs as affordable, which is an important indicator of localized TPD. First, TLCs setting up in the regencies save teachers’ travel costs and time, and cause less interruption to their school teaching. Timesaving may benefit more female teachers in the regencies because they may have more household duties than their male colleagues. It is also proved that from the survey that over 75% of teacher participants from two regencies are female teachers. Second, TPD programs at TLCs are at low cost. For example, the Kudus government had allocated sufficient funds for those teachers participating in TPD at TLC Kudus, teachers and their schools just need to bear a small amount of fee. Third, TLCs and Master Teachers also reached teachers in the areas with insufficient internet access to conduct in-person onsite TPD. Such affordability is crucial for TLCs as professional learning communities to encourage more teachers to participate in the communities, and ensure the equitable TPD for all community members, including nonpermanent teachers who do not have solid financial security. They could also access affordable and quality TPD at TLCs to develop their capacities for better engaging students and dealing with students’ needs in the classroom (Power, 2018; TPD@Scale Coalition, 2020).

Teachers Face Challenges of Applying TPD to Classroom Teaching Part 3 of the survey looks at teachers’ TPD applications after they received TPD at TLCs. On the aspect of applicability (Q1), one-third of the teachers (n ¼ 88, 34.24%) reported they applied all the TPD resources in their class, and nearly two-thirds (n ¼ 160, 62.26%) of them reported applying most parts of the TPD resources in their class. In terms of the frequency of implementation of TPD resources (Q2), almost 20% (n ¼ 50) of the teachers always applied the TPD resources in their class, and roughly 60% (n ¼ 163) reported TPD resources implementation often. Some 23% and 67% of the teachers reported finding it easily and quite easily implemented, respectively, in terms of the ease of application of the TPD resources (Q3). Finally, from the aspect of students’ enthusiasm (Q4), more than half (n ¼ 144, 56.03%) of the teachers reported that their students had elevated enthusiasm. As seen from the mean score computed (Table 3), each question of part 3 obtained around 3.00–3.30 out of 4. Q1 and Q2 received the highest (3.30) and lowest scores Table 3 Part 3 of the survey – about teachers’ TPD application Statement Q1. TLC TPD resources were applied in my class Q2. I implement the TLC TPD resources in my classroom Q3. I can apply TLC TPD resources in my class Q4. The TLC TPD resources increase students’ enthusiasm in the classroom Q5. What are the difficulties in applying TLC TPD resources in your class?

N 257 257 257 257

Mean 3.30 3.01 3.14 3.16

Std. Deviation 0.546 0.634 0.565 0.672

Open-ended answer

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Table 4 The difficulties in applying TPD to classroom teaching Categories of difficulties No difficulty Infrastructure (e.g., computers, internet) Students or family issues TLC TPD activities and resources (e.g., adaptability, topics) Others Time Covid-19 pandemic Total

Frequency 56 70 46 32 25 18 10 257

Per cent 21.8% 27.2% 17.9% 12.5% 9.7% 7.0% 3.9% 100.0%

(3.01), respectively. However, the mean scores of four questions were comparatively low, compared with the rating of the TPD quality in part 1 of the survey. When most teacher participants indicated that they had applied TPD to their classroom teaching, they also expressed their concerns and difficulties on this issue. Their difficulties elicited from the open-ended question of part 3 of the survey were categorized, such as “infrastructure,” “students or family issues,” “TLC TPD activities and resources,” “time,” etc. The frequencies of these categories are computed (Table 4). 78.2% of teacher participants in the survey reported difficulties in applying TPD to classroom teaching. The most frequently mentioned difficulty was the lack of the appropriate infrastructures at schools or in the classroom, such as the Internet, computer, or mobile phone (n ¼ 70, 27.2%). It was followed by students’ issues such as understanding and interest, or parents’ understanding (n ¼ 46, 17.9%). The adaptability and applicability of TPD resources also concerned teachers (n ¼ 32, 12.5%) who teach different subjects and grades. No statistical significance was found between these difficulties with teachers’ age, teaching experience, and employment status. Lacking appropriate infrastructure in schools or at home was the primary difficulty teachers faced when applying TPD to classroom teaching, as indicated by one of the teacher participants (T1). T1: “We faced difficulties during our online courses, some of which is, there are a lot of students who don’t have cellphones and have limited access to the Internet. Some of them still struggle in coping up with technologies.” This finding echoes Loyalka et al., (2019) ‘s findings from their large-scale evaluation of a national TPD program in China, in which some teachers or students had limited access to ICT in their schools, although being introduced to teachers during TPD. Infrastructure is necessary for teachers to apply the latest ICT-mediated pedagogies in classroom teaching. However, due to different school nature or funding sources in Indonesia, some schools may not afford extra or new infrastructure unless the local government or other organizations offer relevant support. To address such a difficulty, the local government, schools and/or other stakeholders can

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collaborate and support the needs of infrastructure since TLC empowers public–private partnership that would bring a collaboration allowing stakeholders to contribute based on their roles. Otherwise, although teachers have accessed and learnt the ICT-mediated pedagogies from TLC TPD programs, students will not benefit from these new pedagogies if teachers fail to apply them to classroom teaching. At the same time, TLCs can explore more TPD topics and activities that can be switched between digital and paper-based versions or require lower internet bandwidth. According to teachers’ observation, the difficulties about students involved students’ learning style and interest, socioeconomic status and parents. Teacher participants (T2, 3 &4) listed these concerns about students. T2: “Students are not accustomed to discussing and collaborating, so activities are sometimes monotonous and not evenly distributed to all students.” T3: “... On the other hand, my students came from low-income families, making it hard for them to take online learning.” T4: “As some parents do not monitor their children’s learning process, they sometimes do not realise that studying becomes more challenging from time to time.” Students’ learning outcome is the focus and shared goal of TLCs, which function as professional learning communities to localize TPD. However, the variety of students’ conditions may challenge teachers’ application of new pedagogies in the classroom. In this case, teachers need to make an adaption of TPD resources for their classrooms and students. Step by step, TPD application may first aim at arousing students’ interest and broadening their views, providing feedback that is suitable for different students’ needs, and then helping them achieve better learning outcomes. In addition, schools can explain to parents and students that some new pedagogies may be applied in the classroom for online learning or improving learning experience and quality. Parents and students then can be mentally prepared and also possibly provide their feedback for such new pedagogies. TPD activities and resources provided by TLCs also bring challenges to some teachers, as indicated by some teacher participants below (T5 &6). T5: “I haven’t fully understood the steps to implement the apps. The facilitator talks quite fast.” T6: “Theory is sometimes not in accordance with the conditions of the school, so the teacher must be able to respond and adapt to the conditions of the school.” Teachers’ change in knowledge and beliefs (cognition) and teaching practices (behavior) are important indicators of their learning (Bakkenes et al., 2010). Some teachers may need more time to fully understand TLCs TPD resources before adopting and adapting them to classroom teaching. These teachers may require more support from TLCs, Master Teachers, and other members of the professional learning communities.

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The suggestions based on this finding is to encourage teachers’ collaboration on understanding and adapting the TPD resources for better application in classroom teaching, as collaboration is one of the key elements of a professional learning community (DuFour & Dufour, 2013). TLCs and Master Teachers are thus in facilitating roles to help teachers formulate study groups to collaborate and adapt the materials based on different schools’ conditions or the levels of students to make sure the equity. During this process, TLCs and Master Teachers should also provide guidance and support on teachers’ collaboration. Besides, TLCs and Master Teachers can also periodically review and revise their TPD topics and resources to avoid being theoretical, which lead to few teachers’ application to classroom teaching (Loyalka et al., 2019). However, such strategies may bring challenges to the competencies and time of TLC coordinators and Master Teachers. In summary, this session elaborates and discusses the findings from teacher participants of TLC Gowa and Kudus. It is found that TLC Gowa and Kudus as professional learning communities support teachers with quality, equitable, and efficient TPD opportunities. However, teachers still face different challenges when applying what they have learnt from TPD to their classroom teaching. The suggestions to address such challenges focus on the collaboration of a broader community that involves the local government and schools for supporting relevant resources of classroom teaching, and teachers’ collaboration facilitated by TLCs for adapting TPD activities and resources. In addition, TLCs’ review and revision of TPD programs and resources are also critical for further localizing and sustaining quality, equitable, and efficient TPD.

Conclusion This study reports TLC Gowa and Kudus function as professional learning communities to support local teachers with localized TPD. The TPD quality, meeting teachers’ TPD needs, and teachers’ TPD application were examined by analyzing the data collected from teacher participants from these two TLCs. The findings reveal that TLC Gowa and Kudus support local teachers with quality, equitable, and efficient TPD. When the TPD quality was acknowledged by teachers, teachers considered TLCs’ TPD resources and approach, and trainers were different from TPD provided by other institutions. Such TPD benefits local teachers with different teaching experiences, ages, gender, schools, and employment status. Besides, the findings also reveal the difficulties teachers have encountered when trying to apply TPD in their classrooms. These difficulties mainly focused on insufficient infrastructure in schools or at home, students and family issues, as well as TPD activities and resources. The findings reflect the feasibility of TLC Gowa and Kudus as professional learning communities with their unique characteristics, which are collaboration, localized TPD, and personalized teachers’ professional learning. Such characteristics motivate local teachers to be professional learning facilitators (i.e., Master Teachers) and learners (i.e., teacher participants) in the TPD based on their needs and

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timeframe. Most teachers reported that they have applied TPD to their classroom teaching. Such change in their teaching practice is pivotal to teachers’ professional learning and eventually to impact students’ learning outcomes, which is the shared goal of every professional learning community. Strategies are also suggested along with the findings for addressing the difficulties teachers have encountered in this study. As strong and sustainable professional commitment and community support are required (Mak & Pun, 2015) in a professional learning community, TLC TPD coordinators and Master Teachers need to support teachers by organizing discussions and collaboration for in-depth understanding and adaption of the TPD resources. However, it may not be enough to solve other problems such as lacking infrastructure. The support from and collaboration with stakeholders outside of TLCs, which are the local government, Teacher Working Groups, schools and principals, etc. (Lim et al., 2020), is necessary to sustain TLCs as professional learning communities. Such collaborations have been found between the TLC and Teacher Working Group for disseminating the information of TLC activities, and conducting annual TPD need analysis, etc. (Lim et al., 2020). When these stakeholders work together as a broader professional learning community, teachers’ professional learning and classroom teaching may be improved to realize their shared goal – improving students’ learning outcomes. This study contributes to the scholarship in two dimensions. In the theoretical dimension, it formulates the characteristics of a professional learning community that localizes TPD in developing countries. In practical dimension, teachers’ experiences and challenges in TLC Gowa and Kudus provide insights for TLCs in other regencies, national teacher professional development, even traditional external expert-led TPD. These two dimensions may contribute to the sustainability and scaling up of the TLC model in the regency level of Indonesia or other developing countries. There are a few limitations of this study. First, only teachers’ self-report data was collected in this study. Second, teachers in other regencies may be having different views and difficulties. Future research can focus on collecting qualitative data from different stakeholders and from other TLCs to gain different perspectives and adopted strategies of localizing TPD in the regencies in Indonesia. Such in-depth data can offer insights into TLCs as professional learning communities for sustaining and scaling up quality, equitable, and efficient TPD, and how TLCs can impact on teacher competencies, classroom teaching, and student learning outcomes.

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Siew Inn Wendy Tan and Moon-Ho Ringo Ho

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . New Business, Jobs, and Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges Faced by Employees and Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conceptual Model in Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Attributes: Attitudes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Learning Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Socio-cultural Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Research Methods and Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Qualitative Study: Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Qualitative Study: Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Quantitative Study: Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Quantitative Study Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion and Recommendations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . On Being a Learning Professional . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . On Being a Learning Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Limitations and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

The disruption caused by digitalization, automation, and big data is changing how value is created, how work is done, and how organizations operate. This speed of change, exacerbated by the recent pandemic, compels organizations to change their business model rapidly. These developments result in creation of new jobs and demands for new skills. Strategic workforce upskilling at the organizational S. I. W. Tan (*) The Flame Centre Pte Ltd, Nanyang Technological University, Singapore, Singapore e-mail: Wendy_Tan@flamecentre.com M.-H. R. Ho Psychology, Nanyang Technological University, Singapore, Singapore e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_149

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level and learning agility at the individual level are keys to success of the organization and employees alike. Yet practices to develop learning individuals and organizations are met with challenges. Learning and development (L&D) professionals focus their efforts on organizing workshops and do not have a work plan to engage in strategic upskilling (Glaveski, 2019). Some organizations are also uncertain about the new business strategies and by extension, the skills needed (Ellingrud et al., 2020). At the individual level, professionals are often too busy to commit to upskilling (until it is too late) or they are uncertain what skills they need and how to learn productively that translates learning to concrete business or professional outcomes. How can professionals learn more productively? How do learning motivation, attitudes, and process facilitate learning agility? How can organizations create conditions that support learning? To answer these questions, this chapter leverages findings from two research studies: qualitative interviews with 25 working professionals who upskilled themselves as part of their career growth and a quantitative survey with a sample size of 300 working adults to examine which factors predict learning and growth. Our qualitative study reveals rich insights on learning motivation, attitudes, process, and workplace learning conditions. Stepwise regression analyses show purpose is a significant predictor of all learning and growth outcomes, namely, development of capability and skills, expansion in identity, and, lastly, positive outcomes such as wider career options and engagement at work. Workplace learning conditions such as having a learning-rich job, a guiding manager, and learning team and organization predict various dimensions of growth. Proactive initiative and metacognitive ability also predict specific dimensions of growth. Based on these research findings, the authors share their recommendations to develop learning agility in working professionals and learning organizations, as building blocks of a learning society. Keywords

Learning agility · Learning organization · Learning process · Learning motivation · Learning attitudes · Workplace learning conditions · Qualitative interview · Stepwise regression

Introduction New Business, Jobs, and Skills The Fourth Industrial Revolution, digitalization, automation, and use of big data have been underway for a while now. The use of technology, such as artificial intelligence and machine learning, has also changed the way work is done. The COVID pandemic has accelerated the pace of digitalization. As businesses transform with new job roles, the gap between job demands and skills will widen, leading to increasingly structural unemployment (Aw, 2019).

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The World Economic Forum flags this as a “pressing societal problem” to enable employees with skills to stay employable with the necessary skills now and in the future (World Economic Forum, 2021). It estimates that, by 2025, 85 million jobs may be displaced by a shift in the division of labor between humans and machines, but 97 million new roles may emerge that require new division of labor between humans, machines, and algorithms (World Economic Forum, 2020). The question is whether employees have the right skills for these new jobs as more than 40% of workers will require reskilling for up to 6 months. Similarly, in a Global CEO survey by PricewatehouseCoopers (PwC), 75% of the surveyed heads of organizations reported difficulty in finding people with the right skills. Ninety-four percent of business leaders reported they expected employees to pick up new skills, compared to just 65% in 2018 (PricewaterhouseCoopers, 2021). Similarly, only 7% of executives surveyed by McKinsey thought their organization was fully prepared to deal with this skill gap (Ellingrud et al., 2020). In this context, what are the skills to develop for the future? Various think tanks have identified categories of skills, such as (a) cognitive skills (e.g., complex problem solving, analytical skills), (b) self-management skills (e.g., resilience, learning ability), (c) people-centered skills (e.g., sales, leadership), as well as (d) technical skills such as green economy and care economy and technological skills such as artificial intelligence and data analytics (McKinsey, 2020; Pearson, 2018; SkillsFuture, 2020; World Economic Forum, 2020). With the changes in the larger business operating environment, the jobs of tomorrow and the future skills needed, continuous lifelong learning is imperative. The ability to continuously learn different areas of technical expertise and hone one’s cognitive, self-management and people skills becomes a competitive advantage for individuals, organizations, and even countries. With increasing structural unemployment, there is an urgent need to develop relevant new skills and expand the learning capability of individuals. As such, active learning or the ability to learn has been named as one of the top skills (World Economic Forum, 2020; McKinsey, 2020; Pearson, 2018). Learning is at the core of organizational success.

Challenges Faced by Employees and Organizations Despite the imperative in upskilling and learning, employees and organizations face challenges. A study focusing on older adults in Singapore in the age range of 50–64 years old found that challenges to lifelong learning can be categorized in three areas: (a) attitudinal – self-perceived inability to learn, lack of importance placed on learning, and resistance to learning; (b) situational – poor health, limited abilities, for example, poor grasp of language, and family and friends’ not believing that they can learn; and (c) institutional – cost of learning, lack of support to the needs of older adults, and perceived lack of learning opportunities (Fei Yue, 2012). A more recent survey on lifelong learning with a random sample of 6298 Singapore residents between the ages of 20 and 70 years old suggests a modest

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level of self-directed learning (SDL) among adults (Chia & Sheng, 2018). Only about 35.5% reported that they are confident about learning ability and less than half rated themselves as having the personal qualities required for deep learning (e.g., relating new ideas to real-life situations and preference for getting to the bottom of things). Even fewer (24%) reported using the Internet for learning activities in the past 3 months, for example, doing an online course or using online learning materials. Lastly, only 29.2% rated themselves with the motivation for skill mastery, that is, being an expert and feeling fulfilled with the use of one’s special talents. Extending from these results, working professionals are often too busy with work and personal commitments to focus on upskilling. With the changing job roles, some are uncertain about their career options and the associated skills needed to make a career transition. Moreover, working professionals may lack metacognitive skills to review and improve the way they learn to be productive and translate learning to concrete business or professional outcomes. On the positive side, with the COVID crisis, more people in Singapore are turning to learning initiatives. Sixty-one percent respondents in a survey with 57,000 participants in SkillsFuture courses held the view that training has become more important in a COVID-impacted economy (CNA, 2021). In organizations, learning and development (L&D) departments face multiple challenges. Most of them have not gone beyond the traditional training approach of conducting workshops, nor do they seem to be “actively or effectively tackling” the skill development issue (IBM, 2019, p. 1). A recent survey found that only 12% of 1500 employees across 50 organizations apply new skills they learnt in L&D programs (Glaveski, 2019). Without a plan to engage in strategic upskilling, L&D faces disruption in the way they operate (Bersin, 2021). Yet, some organizations are uncertain about the new business strategies and the skills needed (IBM, 2019). With these challenges, how can we develop learning professionals and organizations?

Conceptual Model in Study Given the compelling need for continuous learning and the challenges faced by individuals and organizations, we turn to the current body of literature to understand what we know about adult lifelong learning and the research gaps. From this literature review, we derive the presenting questions for this chapter. Despite the founding of the adult learning field since 1920s, there is no single theory that captures everything we know about how adults learn. Instead, this field is a collection of theories, models, frameworks, and principles focusing on different aspects of adult and lifelong learning (Merriam & Bierema, 2014). Up to date, our understanding of adult lifelong learning remains fragmented. Therefore in our research effort, we attempt to examine through a broader lens, at the forest of adult learning, metaphorically speaking, by identifying key individual psychological and socio-cultural environment factors influencing the learning and growth of working professionals (see Fig. 1). It is acknowledged that even these categories may not represent the entire forest, as other categories, such as neuroscience, are omitted in our study. However, this is a sufficient level of focus to examine

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Personal Attributes

1129

Learning Process

Learning

Socio-Cultural Environment

Fig. 1 Conceptual model in this study

both the individual and environmental systemic factors involved in the learning efforts of working professionals in organizations. In addition to individual attributes, we also include the socio-cultural environment in which learning happens. This is important, because learning happens at multiple levels (Eteläpelto et al., 2014). This environment for working professionals is naturally the workplace, since this is where much of the learning will take place for working adults, as individuals, in their team and organization. The salient theories and findings on the components of this model are summarized next. Figure 1 represents the conceptual model in our study drawn from both selfdirected learning and the socio-cultural environment of learning. Self-directed learning (SDL), which is one of the foundational concepts in the adult learning field, describes how working professionals manage their learning for the purposes of gaining job-related knowledge, skills, and abilities to improve their career satisfaction and employability (Merriam, 2001). SDL is defined in two ways – (1) a process and (2) a personal attribute. A process is an “approach to learning that is controlled by the learner,” while a personal attribute is an “individual predisposition toward self-directed learning” (Merriam & Bierema, 2014, p. 62). In this study, we examine both learning process and attributes as individual factors influencing adult learning.

Attributes: Attitudes Despite the efforts to define the attributes for self-directed learning, this work remains inconclusive and there is a lack of commonly accepted attributes by scholars in the field (Merriam & Bierema, 2014). One of the objectives of this study is to

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identify specific attitudinal factors that influence and predict learning and growth in working professionals. Among the common attitudes related to adult learning are growth mindset, curiosity, grit, humility, and proactive initiative. Growth mindset is defined as the extent to which one’s intelligence and abilities are malleable and can be developed through effort (Dweck, 2006). With a growth mindset, one is more likely to persevere through failures and continue one’s efforts to be successful in the long term. Curiosity has long been associated with learning. Kashdan et al. (2018) have published a subscale – “Joyous Exploration.” High scorers on this scale are open to experiences and derive positive emotions from learning. Defined by Duckworth (2016), grit has two facets – perseverance and consistency of interest to persist to achieve longer term goals. In this study, we focus on perseverance, as learning and upskilling requires consistent effort and discipline over time, especially for working adults, who often face competing demands from work and family commitments. In addition, learners are likely to be humble and willing to learn from anyone. Owens et al. (2013), in their analysis of past studies on humility, found consistency in the notion of humility as (a) having accurate self-awareness of their strengths and weaknesses, (b) appreciating the strengths of others, and (c) being teachable with a willingness to accept feedback from others. Lastly, proactive initiative is a concept, derived from the field of self-directed learning, where learners take responsibility for their thoughts and actions. The willingness of learners to take control of their learning determines their potential for self-direction (Brockett & Hiemstra, 1991; Stockdale & Brockett, 2011). It also includes the notion of taking initiative for action and a sense of self-efficacy that one is able to take action for their own learning (Stockdale & Brockett, 2011). Which of them are critical in predicting learning and growth of working adults? How do they influence growth? This study seeks to answer these questions.

Learning Process Learning theorists such as Ellinger (2004), Knowles (1975), and Pintrich (1991) espouse the importance of adult learners planning, implementing, and reviewing their own learning experiences. Flavell (1979) coined the term metacognition (thinking about thinking) referring to self-monitoring and controlling the way one learns. Learners who are more aware of their learning process are better able to monitor their progress, evaluate their effectiveness, and make changes to improve their learning, for example, by adapting new strategies. Flores (2016) also described the importance of managing our emotions in our learning; that positive emotions lead to more effective learning, rather than feelings of stress, threat, or anxiety. It is expected that learners who use more metacognitive strategies are more effective. Yet, there is limited research on metacognitive learning among working adults (Morales, 2019). The research on metacognition is more developed in the student population, with many metacognitive strategies devised to help students develop

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their critical thinking skills and learn more effectively. In the context of working professionals, metacognitive ability is not commonly taught. This study looks at the relationship between metacognitive ability to learning and growth in working professionals.

Socio-cultural Environment Eteläpelto et al. (2014) are among the researchers who advocate for a “subjectcentred socio-cultural” approach (p. 648) to research about learning and suggest that learning cannot be studied at an individual level alone, because learning happens at multiple levels: individual, work community, and work organization. The environment in which working professionals learn is the workplace. Therefore, it is useful to consider the literature about learning in the workplace. Workplace learning is defined as a “natural and largely autonomous process derived from the characteristics of the work process and its inherent social interactions” (Poell & Woerkom, 2011). Skule (2004) is one of the earlier researchers examining workplace learning. Noticing that learning measurements are heavily geared toward formal training and education despite the recognition of the importance of informal learning, he developed a framework to measure the conditions that are most conducive for learning in the workplace. Skule found seven learning conditions that promote learning at work: (1) a high degree of exposure to change, (2) a high degree of exposure to demands, (3) managerial responsibilities, (4) extensive professional contacts, (5) superior feedback, (6) management support for learning, and (7) rewarding of proficiency. These seven conditions describe the conditions that enhance learning in the workplace and provide some guidance on how we can promote learning at work. Kyndt et al. (2009) surveyed over a thousand participants in organizations to find out the conditions conducive for informal learning, that is, learning from unstructured environments or outside of the classroom. Exploratory factor analyses discovered five learning conditions (“feedback and knowledge acquisition,” “new learning approach and communication tools,” “being coached,” “coaching others,” and “information acquisition”). Both of these studies support the workplace as a rich and important learning environment for working adults. Organizing training programs and emphasizing formal learning has traditionally been the focus of learning and development functions in organizations. However, past research shows that learning interventions that are closer to the natural work processes, such as coaching by the manager and mentoring, are more effective than formal learning in training programs (Nijman & Gelissen, 2011). This suggests that learning interventions should perhaps focus on identifying challenges and developing relevant learning experiences in “on/off-the job” (p. 228) situations to help them overcome work challenges. Learning also happens in the social environment in interaction with others, for example, through mentoring relationships, coaching by managers (Ellinger et al., 2011), support from managers to transfer one’s learning (Nijman & Gelissen, 2011), and with team members, especially when the team has a level of trust. This perspective shifts the focus of learning and development functions

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from organizing programs to partnering with the employee and manager to designing conditions to support the learning and growth of working professionals. While past studies have studied the importance of these workplace learning factors, there is limited empirical research investigating the relationship between these workplace learning conditions, learning process, and learning attitudes. Among these factors, which are more important? How can the understanding of workplace learning conditions help organizations create conditions to support the learning and growth of working professionals?

Research Methods and Results Given the importance of upskilling, challenges faced by adult learners, the existing body of knowledge on adult learning and gaps, we conducted two research studies. The first study involved in-depth qualitative interviews with working professionals, while the second study reported a quantitative survey with 300 working professionals. From the first study, the factors influencing the learning and growth of these working professionals were identified and elaborated, resulting in a more detailed conceptual model. Subsequently, the survey study attempted to test such model empirically with a larger working professional population. Together, the two studies seek to answer the following questions: What are the individual and socio-environmental factors that influence learning and growth in working professionals? Specifically, what are the attitudes, learning process, and workplace learning conditions that support the learning and growth of working professionals?

Qualitative Study: Method Study 1 involves qualitative interviews with 25 professionals or executives, who had to learn new skills in their career progression or transition. In total, 48% are males and 52% are females and their mean age was 43 years old, with a range of 25–59 years. All of them had at least diploma degree and a few had doctoral degrees, working at various levels of an organization as individual contributors, middle managers, head of departments to chief executives in diverse industries such as pharmaceuticals, education, consulting, social service, and information technology in large multinational corporations (MNCs), mid-sized organizations or small startups or practices. They were initially identified from the researcher’s network and a purposive snowballing method was employed to recruit more participants. In all of these interviews, participants shared their career journey, their motivation for making the career transitions, the key challenges they faced, what they learnt, their learning processes, including how they learnt new knowledge and skills that was different from their past experience, the learning conditions at the workplace, their sense of identity having gone through their career journey, and finally their views on learning.

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Framework analysis was used as a structured approach to organize and analyze the data; using an a priori conceptual model described above to extract and synthesize the findings and a bottom-up approach to enrich the meaning of the themes. All interviews were digitally recorded and transcribed verbatim with analytical memos recorded throughout the process. Open and axial coding was conducted to identify themes and their relationships. To address issues of rigor and trustworthiness, investigator triangulation was also employed.]

Qualitative Study: Results The interviews enriched the categories meaningfully and validated the relevance of learning attitudes, metacognitive process, and workplace learning conditions with in-depth examples and narratives on the themes. In addition, motivation emerged as a category that was not previously included in the conceptual model. This is an important addition, as motivation is pivotal to the adult learning efforts. Furthermore, the outcomes of one’s learning efforts can be differentiated more clearly. Table 1 shows the categories, themes with the number representing the frequency count of the theme across the sample, and an exemplar quote from the participants. Based on the findings from study 1, we explain our conceptual model showing the various themes in the attributes, process, and socio-cultural environment influencing the learning of working adults, as shown in Fig. 2.

Quantitative Study: Method To test the conceptual model we developed in Study 1 empirically, we conducted a quantitative survey which allows us to explicate the relationship among the various themes found in our previous study and also identify the predictive factors contributing to the learning and growth. A total of 301 working professionals participated in our survey. The questionnaire consists of 148 items that measure motivation, attitudes related to learning, learning process, workplace learning conditions, and growth in capabilities, identities, and positive outcomes. Table 2 shows the demographic profile of this sample. Table 3 below shows the scales used to measure the theme/constructs identified in Study 1, along with the exemplar items. Some of the scales such as the Motivated Strategies for Learning Questionnaire were developed in education settings for students use. In these cases, they were adapted to fit the working adult context. We also created items based on the qualitative outputs from study 1, where there are no established or similar scales, for example, items created for growth outcomes. Parallel analysis and exploratory factor analysis (EFA) were conducted to simplify the overlapping themes and items. Due to the limit of space, the details of factor analyses are omitted here. However, Table 4 summarizes the outputs from these analyses with the categories, factors, and exemplar statements.

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Table 1 Categories, themes, and exemplar quotes Categories Attributes: Learning Attitudes

Attributes: Learning Motivation

Learning Process: Metacognitive Ability

Socio-cultural Environment: Workplace Learning Conditions

Themes Openness to experiment (13) “We might as well try it because I haven’t done it before”. Determined persistence (17) “I just need to finish whatever needs to be done. . .can’t leave it hanging”. Humble courage (13) “Changing requires a bit of courage, especially if you’re very good at what you do. . .I may not be as good, but I am willing to learn”. Curiosity and challenge (19) “The curiosity to learn something new must be there, otherwise we’re just ticking the boxes”. Proactive initiative (12) “It has been myself who is driving my own learning” Passion, purpose, and contribution (14) “It’s more of something I want to do, it’s my passion. So I find that I like doing this better, and I am happier” Need for challenge (11) “I really enjoy working with the government market access, policy, and I like the challenge of every country having their own regulations”. Joy of learning (10) “I enjoy doing it, it’s the positive answer. . .I simply take pleasure in it. I delight in it, I love doing it, it gives me a high”. Be successful at work (15) “I was given this job, I must do my job well so that I get promoted or I feel a sense of growth for myself. . .I took on the job because it gave me financial stability.” Discover what one needs to learn “When I am more clear how I actually want to apply this, then I could focus on what I actually want” Prioritize and motivate oneself “Life is busy, so I have to ask myself is this a priority at home, at work?” Plan and set learning goals “I wrote a plan. . .what I want to achieve in the 1st hundred days, in the first 6 months and in the first year”. Decide learning strategies “You take each of these as a ticket and a syllabus that you design for yourself” Monitor progress and make adjustments “Am I getting the results? If I’m not, is there another way?” Role of managers (21): Giving feedback, challenging and supporting. Role modeling “She has been supportive. . .when I have any doubts, I can approach her anytime. I have nothing bad to say about her. She’s a very nurturing person as well”. Learning-rich job (17): Stretch capabilities (continued)

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Table 1 (continued) Categories

Themes

Learning: Growth

“They looked at my MBA and then they put me to teach graduate programmes. . .They trusted me with new things like e-learning.” Learning resources (14): Training, time flexibility, other experts in organization “They (the management) supported my request to take up a diploma, which is both financial support and the time away” Organization processes and culture (12): IDPs, data-rich meetings, open culture “We have processes in place like mid-term check-ins”; “You are allowed to go to whoever you think you can learn from.” Learning in a team (17): Diversity to think deeper, exchange information, and give feedback “Everybody is very straightforward with their feedback. I’m very lucky because this team is really dynamic, talented and very smart”. Knowledge, skills, and capabilities (18): Doing more and doing differently “Previously my style. . .was very formal, very bombastic. . .So throughout my journey I changed my style completely. . .more conversational...make my readers feel like I’m talking to them one to one.” Cognitive perspective (10): Change how they view themselves, others, their work “In Physics, we want to minimize errors and risks, but in the business world, I am more into taking risk to do something that I am not capable to do. Identity (18): Expanded sense of who they are “If I had stayed in Science, I would have had a much narrower view. . .I don’t think I would be as rounded as I am.”; from a “nobody” to “somebody” More happy, empowered, and comfort with self (10) “I wouldn’t be who I am today, if not for the decisions I’ve made. And I am very comfortable with who I am today”.

Scale scores were calculated based on the factor analytic results. Correlation analyses were conducted to examine the relationships between the factors and stepwise regressions were run to identify the significant predictors of each growth outcome. As the relative importance of each predictor could change depending on which other predictors are in the model, dominant analyses were performed to ascertain the dominant factors for each growth outcome (Azen & Budescu, 2003).

Quantitative Study Results Table 5 shows the correlations, means, standard deviations, alphas of the scale scores based on EFA. To answer the research questions in this chapter, the results are presented in this order: (1) correlation between learning and growth outcomes with

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Motivation: - Purpose & passion - Need for challenge - Joy of learning - Career success Leaming Attitudes: -Openness to experiment -Determined persistence -Humble courage -Curiosity and challenge -Proactive initiative

Metacognitive Ability: - Deciding what to leam - Prioritizing and motivating - Setting goals - Decide strategies - Monitor and adjust

Learning: - Skills & capabilities - Cognitive perspectives - Expansion in identity - Happy & empowered

Workplace Learning Conditions: - Guiding managers - Learning rich job - Learning resources - Organizaion processes & culture - Team leaming

Fig. 2 Conceptual model with attributes, process, and socio-cultural environment influencing learning

the rest of variables, (2) correlation among the learning and growth outcomes, and (3) regression analysis to identify significant predictors among learning motivation, attitudes, process, and workplace learning conditions that influence each of the learning and growth outcomes. The correlations among capability, identity, and positive outcomes range between 0.46 and 0.60, suggesting that they are related and yet are also distinct factors. It is noteworthy that there are a few pairs of high correlations: proactive initiative and metacognitive ability (0.73), purpose and curiosity (0.76), and purpose and proactive initiative (0.68).

Growth Outcomes from One’s Learning Efforts This is useful to note that growth is multi-dimensional. First, growth in capabilities is the deepening expertise and being more effective in performing in new situations. This is an obvious outcome from one’s learning efforts. Many participants expressed that they became more confident and developed skills that were useful to them in their careers, such as writing, coaching, decision making, understanding people, and rapport building skills. All the learning motivation, attitude, workplace learning factors, and metacognitive ability are significantly correlated with capabilities,

Female

65.8

Gender (%) Male 34.2

Other parts of Asia Outside Asia

Manager Director Chief Executive/ Business owner

4.1

Level in organization (%) Individual contributor

5.5

Country of residence (%) Singapore 89.9

Table 2 Demographic information of the participants in Study 2

19.1 3.7

35.8

41.5

Education level (%) O levels or 3.7 below A levels/ 13 diploma Degree 48.3 Postgraduate 35

30.9 17.3 4.3

Above 60

31.6

15.9

41–50 51–60

31–40

Age (%) 21–30

More than 24

13–18 19–24

6–12

25.7

17 22.7

21

Length of experience (years, %) < 1–5 13.7

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Table 3 Scales used in Study 2 Construct Scale to use Learning Attitudes Openness to Adapted from subscale Creativity from experiment Effective Lifelong Learning Inventory (Crick et al., 2015) Determined Grit Scale (Duckworth, 2016) persistence Curiosity and Subscale Joyous Exploration from the desire for 5-Dimensional Curiosity Scale (Kashdan challenge et al., 2018) Humble Workplace Social Courage Scale courage (Howard et al., 2016) Expressed Humility Scale (Owens et al., 2013) Proactive initiative Growth mindset

Personal Responsibility Orientation to Self-Direction in Learning Scale, PRO-SDLS (Stockdale, 2003) Growth Mindset Scale (Dweck, 2006)

Learning Motivation Motivation Motivated Strategies for Learning Questionnaire (MSLQ) (Pintrich, 1991)

Motivation to learn (Gorges et al., 2016) Metacognitive Ability Metacognitive Adapted from Self-Directed Learning ability Instrument (Cheng et al., 2010) Workplace Learning Conditions Role of Adapted from Learning Conditions manager Survey (Skule, 2004), Learning Potential Opportunities of the Workplace (Nikolova et al., 2014) and Index for Learning @Work Result and projects Team Learning Report (Institute of Adult Learning, 2021) Learning resources Organization processes and culture

Exemplar items I like to try out new ways of doing things even if there is very little time. Setbacks don’t discourage me. I find it fascinating to learn new ideas. If I thought a question was dumb, I would still ask it if I didn’t understand something at work. I acknowledge it when others have more knowledge and skills than me. I always assume personal responsibility for my learning. No matter what kind of person you are, you can always change substantially. I prefer skills that really challenge me so I can learn new things (intrinsic). I believe learning these skills will help me progress in my career now (extrinsic). I like to get to the bottom of difficult things. I can proactively establish my learning goals. My manager(s) coach me to perform effectively. I am entrusted to take on new projects. When I make mistakes, my teammates tell me proactively. I have access to resources for my learning, for example, training and content libraries. Technology is used effectively to support my learning at work. (continued)

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Table 3 (continued) Construct Growth Knowledge, skills, and capabilities Cognitive perspectives

Expansion of identity Happiness, empowerment, and self-trust

Scale to use

Exemplar items

Constructed by authors

In the few months of learning, I have grown or deepened my area of expertise. As I learn new skills and develop, I have expanded my perspectives on how I see the world and how work is done. As I develop new capabilities, the way I see myself, my sense of who I am, or my identity has expanded As I learn and develop new capabilities during this time, I feel happier and more comfortable with who I am.

with learning-rich job highest at 0.56, followed by purpose at 0.51. Among these, the lowest correlation is growth mindset at 0.19. Second, growth in one’s identity is more subtle. This pertains to an expansion in one’s sense of self and feeling more comfortable with who they are. Participants report describing themselves beyond their job role to something deeper and broader, for example, “I see myself as a polymath” and “I am a learner.” This is consistent with Savickas’ (2012) theory that as job dislocations unfold and working professionals find new roles, there is a need to design one’s changing career narrative toward a coherent whole. He uses the word “identity,” defined as the synthesis between their roles in the external environment and the internal perception of themselves. A broad and deep sense of internal identity helps to anchor the person in waves of external complex change. All the learning motivation, attitude, workplace learning factors, and metacognitive ability are significantly correlated with identity. Purpose (0.46) is most highly correlated followed by proactive initiative (0.41), and again growth mindset has the lowest correlation at 0.20. Lastly, growth in positive outcomes can be seen as the fruits or rewards of one’s learning efforts such as feeling happier, more confident and engaged at work, and having more career options. This is a useful validation of learning efforts. Lastly all the learning motivation, attitude, workplace learning factors, and metacognitive ability are significantly correlated with positive outcomes, except for courage. Again the highest correlation are purpose (0.54) and proactive initiative (0.47).

Predictors of Growth Outcomes Stepwise regression analyses were conducted to find the significant predictors of these three growth outcomes. Table 6 shows the results from the stepwise regression analyses on the three learning and growth variables. There is no multicollinearity issue based on the variance inflation factor. Table 7 has the results of the dominant analyses for each growth outcome.

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Table 4 Factors and exemplar statements following factor analyses Learning Motivation Purpose I am really keen to learn because I believe what we do will impact the world for the better. Stimulation I want to have variety in my work, otherwise I will be bored. Career success I learn because I want to be promoted. Learning Attitudes Growth mindset You can learn new things but you can’t really change your basic intelligence. Perseverance I am diligent. I never give up. Courage Even if I thought a question was basic, I would still ask it if I didn’t understand something at work. Humility I am willing to learn from others. Proactive I always effectively take responsibility for my own learning. initiative Curiosity I enjoy learning about subjects that are unfamiliar to me. Learning Process Metacognitive Based on my learning goals, I can design my own learning plan effectively. ability Workplace Learning Conditions Learning-rich I have been thrown into different scenarios that stretched me out of my job comfort zone. Guiding My manager(s) guide me to reflect on my experiences at work, for example, manager what worked, what did not work. Team learning In my team, we exchange information and learning resources generously. Organization At my workplace, I have easy access to information that helps me learn about the trends and big picture of the business. Growth Capabilities In the past 6 months of learning work-related skills, I have developed new capabilities. Identity As I develop and grow, my identity or my sense of who I am has expanded. Positive As I learn and develop my capabilities, I feel happier and more confident. As I outcomes develop and grow, I see more possibilities for myself and how I can progress.

Growth in Capabilities. Growing one’s capabilities is significantly influenced by having a learning-rich job that compels one to learn new skills, as it gives working professionals a rich playground to apply themselves. In addition, purpose, being motivated to learn to impact the world positively and be at their best, drives them on a continuous learning effort. In addition, having metacognitive ability, the knowhow to manage one’s learning helps them to gain capabilities more effectively. Lastly, their capability building is enriched by being in a team with diverse perspectives and gives one another feedback honestly. Dominant analysis shows that having a learning-rich job is the most generally dominant predictor (general dominance score of 36.6 out of 100) of all four predictors. Growth in Identity. Developing one’s sense of identity, specifically changing how they view themselves and feeling comfortable with who they are, is supported by a sense of purpose and a learning-rich job. In addition, the motivation for career

Scales 1 1.Capability 2.Identity 0.46** 3. Positive 0.60** outcomes 4. Career 0.24** success 5. Purpose 0.51** 6. Stimulation 0.32** 7. 0.40** Organization 8. Guiding 0.30** manager 9. Team 0.44** learning 10. Learning- 0.56** rich job 11. Proactive 0.47** initiative 12. Growth 0.19** mindset 13. 0.42** Perseverance 14. Humility 0.33** 15. Courage 0.38** 16. Curiosity 0.43** 17. 0.50** Metacognitive Mean 4.01 SD 0.57 Alpha 0.77 **p < 0.01; *p < 0.05

3

4

5

6

3.83 0.57 0.90

3.88 0.67 0.66

0.39** 0.36** 0.56** 0.29** 3.68 0.66 0.82

0.26** 0.21** 0.30** 0.39** 3.30 0.80 0.85

3.96 0.64 0.67

0.39** 0.33** 0.33** 0.34**

4.03 0.59 0.68

0.39** 0.34** 0.36** 0.40**

0.11

13

14

15

16

3.87 0.70 0.83

3.51 0.74 0.77

3.74 0.68 0.73

4.08 0.49 0.68

3.24 0.54 0.51

3.95 0.56 0.77

0.44** 0.20** 0.34** 0.39** 0.18** 0.37** 0.49** 0.58** 0.22** 0.45** 0.39** 0.48** 0.73** 0.14* 0.54** 0.32** 0.38** 0.56**

12

3.82 0.57 0.88

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Learning Agility and Learning Organizations in Disruptive Times

3.45 0.63 0.72

0.45** 0.52** 0.76** 0.64**

3.94 0.58 0.75

0.18** 0.25** 0.23** 0.24**

3.98 0.64 0.81

0.17** 0.16** 0.17**

0.23** 0.14* 0.09 0.15**


0.04

0.29** 0.27 0.44** 0.45**

0.09

0.25** 0.26** 0.38** 0.38**

0.27** 0.14*

0.26** 0.38**

11

0.15** 0.23** 0.30** 0.59**

0.03

0.13*

10

0.29** 0.29** 0.39** 0.54** 0.26** 0.16**

0.20** 0.13*

0.41** 0.47** 0.28** 0.68** 0.45** 0.29**

0.37** 0.26** 0.52**

0.46** 0.49**

9

0.33** 0.41** 0.05

8

0.54**

0.58**

7

0.24** 0.40** 0.21** 0.37** 0.22** 0.53**

0.21** 0.41** 0.17** 0.16** 0.001

0.46** 0.54** 0.42** 0.24** 0.30** 0.22** 0.48** 0.27** 0.46** 0.13* 0.36** 0.13*

0.27** 0.32**

0.55**

2

Table 5 Correlations, means, standard deviation, alpha of all the variables

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Table 6 Overview of regression analyses results

Growth in capabilities

Growth in identity

Growth in positive outcomes

Predictors Learning-rich job Purpose Metacognitive ability Team learning Purpose Learning-rich job Career success Proactive initiative Purpose Guiding manager Proactive initiative Organization

Regression coefficient 0.344** 0.210** 0.187** 0.133** 0.248** 0.174** 0.115** 0.138* 0.327** 0.253** 0.168** 0.151**

R2 0.45

F statistic 61.59, df (4), p < 0.000

0.26

25.57, df (4), p < 0.000

0.43

55.57, df (4) p < 0.000

**Significant at p < 0.01; *Significant at p < 0.05 Table 7 Results of general dominance analyses Growth in capabilities General dominance Growth in identity General dominance Growth in positive outcomes General dominance

Learningrich job 36.6 Purpose 39.2 Purpose 35.7

Purpose 23.6 Learning-rich job 20.7 Guiding Manager 21.4

Metacognitive ability 22.8 Career success 12.67 Proactive initiative 22.8

Team learning 16.9 Proactive initiative 27.3 Organization 21.1

success, that is learning to be promoted, to stay employable, progress in their career, and meet their managers’ expectations, shapes their identity. Perhaps being employable and a contributing member gives one their sense of identity. Lastly, being proactive, taking initiative and responsibility for learning helps one to develop a rich professional identity. Dominant analysis shows that purpose is the most generally dominant predictor (general dominance score of 39.2) of all four predictors. Growth in Positive Outcomes. To enjoy positive outcomes, such as happiness, confidence, engagement at work, and increased career options, other than the factors on purpose and proactive initiative, two additional factors, namely, the roles of the manager and the organization, were found. A manager who guides one to reflect, gives honest and timely feedback, recognizing achievements from learning and developing them for more challenging work helps one to achieve these positive outcomes. The organization helps by helping the professional see the big picture, identity skills to develop, access learning resources, use technology for learning, and support learning activities. Again, purpose is the most generally dominant predictor of all four predictors (general dominance score of 35.7). Based on these results, Fig. 3 shows the final model with all the significant factors across all three growth outcomes.

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Motivation: Purpose Career success Process: Metacognitive ability

Attitude: Proactive initiative

Growth: Capability & skills Identity Positive outcomes

Workplace Learning Conditions: Learning rich job Manager Team learning Organization

Fig. 3 Empirically validated model on lifelong learning ability

Discussion and Recommendations In summary, the motivation factor on purpose is the only significant predictor across all three areas of growth. It also has general dominance over the other factors in two out of three dependent variables. Purpose, in this study, relates to learning to impact the world positively, to be at their best, and to pursue their passion which drives their continuous learning effort. This is intrinsic motivation where one experiences happiness and avoids subsequent regrets. This is an interesting finding; perhaps when the need for both career success and stimulation are met, they may not continue to motivate learning, but purpose is a more enduring source of motivation. Of the four factors within workplace learning, a learning-rich job predicts two out of the three growth outcomes, indicating it is a stronger predictor than other workplace learning conditions – manager, team, and organization. Having a learning-rich job is akin to having a playground that compels new learning, without which, even if one has a nurturing manager, learning team, or organization, there is no strong impetus to learn and also no natural opportunity to apply one’s learning.

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It is also noteworthy that all four subfactors of workplace learning conditions predict a particular aspect of growth. On the other hand, only one attitude factor, proactive initiative, is significant. This suggests that the workplace learning conditions could be more influential than individual attitudinal factors in driving learning and growth. Based on these findings, we suggest a few recommendations on developing a learning professional and a learning organization.

On Being a Learning Professional Focus on Purpose. To drive sustained effort in learning, motivation from one’s sense of purpose and passion is key across all areas of growth. This is an inward journey for people to identify what matters to them, beyond the pragmatics of career success and intellectual stimulation. The education process tends to focus on employability, jobs, and skills to enable economic success for the country. This pragmatic focus is not to be underplayed. In addition to being motivated by career success, developing the internal sense of purpose and passion in working professionals will be a more sustained driver of continuous learning. In organizations, the focus on purpose is similarly important to motivate employees to take risks, try different ways, and learn in the process. The connection between the individual’s sense of purpose and the organization’s mission can be an important driver of learning. Yet purpose is very personal and defined by the individuals. Typically this focus on purpose is included in leadership development programs for leaders. Perhaps this exploration of one’s purpose could feature more strongly in career planning and self-management programs for all employees. Focus on Proactive Initiative and Metacognitive Ability. Cultivating an attitude of self-responsibility for one’s learning enhances one’s agency that “I can manage my learning.” In addition, metacognitive ability, the ability to plan, manage, review, and improve one’s learning process, is the actual know-how to direct one’s learning efforts. It is not easy to teach an attitude. However, working professionals can be taught the metacognitive process and tools. The sustained use of these tools could hopefully lead to some success, which creates a virtuous reinforcement of the attitude to take responsibility and a sense of efficacy on their learning ability. The capability to learn how to learn is not a typical curriculum in the education system nor a common offering in organizations’ range of workshops. Currently, learning agility is one of the Critical Core Skills in the Singapore SkillsFuture’s framework. Perhaps this can be taught as a training course. In addition, a scale to measure learning capability may be useful to enhance their learning ability through feedback on their scores.

On Being a Learning Organization Focus on Designing Learning-Rich Jobs. Learning-rich jobs put employees out of their comfort zone; they are inherently more challenging and compels learning to be successful. Flexible job design is key to creating a stimulating playground for learning.

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Yet, organizations tend to keep people in the same roles to be efficient and minimize downtime. They may also assign challenging assignments to only “high potential” employees or employees who have a track record of success. Working professionals themselves may also shy away from such assignments for fear of failure, especially if they have developed certain areas of expertise or reputation. Therefore, organizations need to be intentional to encourage more employees to rise up to challenges and support them to be successful by helping them learn new capabilities. With a learningrich job in place, other workplace learning factors could play a supporting role. Focus on Manager, Team, and Organization factors. Managers could be developed as learning coaches, to give feedback, guide reflection, and challenge and support their employees. They also play an important role in creating team norms such as sharing diverse perspectives, offering resources, and giving and receiving feedback spontaneously. Well-facilitated meetings can be the means for dialogue and learning. However, managers are typically very busy and may not perceive being a learning coach as their role. In addition, they may not have the required skills. This calls for the development of managers to be an effective learning coach, along with development of tools, for example, design of learning-rich meetings and structure to give and receive feedback. At the organizational level, there are several ways to support learning: helping employees see the big picture of the business, giving access to training and content libraries, using technology for learning, proactively identifying the skills employees need to be successful, and supporting their learning activities. Among this list, what organizations may need to do better is to proactively identify the future skills that employees need to be successful. Learning needs are typically derived as the learning and development department gathers inputs from managers. However, in today’s rapidly changing and uncertain environment, it may be challenging for managers to anticipate the future skills needed. More strategic focus on the future of the business and changing business strategy should inform the future skill requirements. Technology can be used to support learning efforts. The learning and development department can use learning platforms to conduct learning needs analysis and use learning analytics to inform both individual and organization skill development. In addition, in today’s corporate learning landscape, technology is mainly deployed to enable learning management systems, content libraries, and virtual workshops. Perhaps technology can be used to support the entire learning process to include skill diagnosis, reflection, and social learning. On the whole, all of these recommendations are complementary and can work in unison. Organizations are encouraged to assess themselves against these recommendations to develop learning professionals and learning organizations.

Limitations and Conclusions In summary, this chapter identifies the significant predictors that support working professionals in growing their skills, expanding their identity, and enjoying positive outcomes in their careers. Among personal attributes, being purpose-driven and career success are the motivational drive, while proactive initiative is a key attitude.

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Metacognitive ability is an important part of the learning process. Significant workplace learning conditions are having learning-rich jobs, a guiding manager, learning team, and organization. Based on these levers, the recommendations on developing learning professionals and organizations were outlined. As with all research efforts, there are some limitations; the quantitative study is one snapshot in time of one’s learning motivation, attitude, process, and workplace conditions. A longitudinal examination could inform if change in these levels has a resulting change in one’s growth. A larger sample size and perhaps in different Asia Pacific countries could elucidate if there are any country differences. The relationships between these levers are not yet established and could be studied further through structural equation modeling. In addition, the microprocesses in learning can be studied with the interplay of learning strategies and metacognitive ability. Nevertheless, the contribution of this study is to present a panoramic view of the significant factors across motivation, attitudes, process, and workplace learning conditions that may influence adult learning. In this way, we can examine both individual and workplace environment factors to be more effective in our endeavor to develop learning professionals and organizations. By developing learning professionals and organizations, the ideal of a learning society becomes possible.

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business%20functions/operations/our%20insights/building%20the%20vital%20skills%20for% 20the%20future%20of%20work%20in%20operations/building-the-vital-skills-for-the-futureof-work-in-operations-vf.pdf?shouldIndex¼false Eteläpelto, A., Vähäsantanen, K., Hökkä, P., & Paloniemi, S. (2014). Identity and agency in professional learning. In I. S. Billett, C. Harteis, & H. Gruber (Eds.), International handbook of research in professional and practice-based learning (pp. 645–672). Springer. Fei Yue, C. S. (2012). Lifelong learning among older adults in Singapore (2012) (p. 65). https://s3ap-southeast-1.amazonaws.com/c3a-java-files/52d3ec9b09b2bfea918e7915dfd39f00.pdf Flavell, J. H. (1979). Metacognition and cognitive monitoring: A new area of cognitive–developmental inquiry. American Psychologist, 34(10), 906–911. https://doi.org/10. 1037/0003-066X.34.10.906 Flores, G. P. (2016). Learning to learn and the navigation of moods: The meta-skill for the acquisition of skills. Pluralistic Networks Publishing. Glaveski, S. (2019, October). Where companies go wrong with learning and development. Harvard Business Review. https://hbr.org/2019/10/where-companies-go-wrong-with-learning-anddevelopment Gorges, J., Maehler, D. B., Koch, T., & Offerhaus, J. (2016). Who likes to learn new things: Measuring adult motivation to learn with PIAAC data from 21 countries. Large-Scale Assessments in Education, 4(1), 9. https://doi.org/10.1186/s40536-016-0024-4 Howard, M. C., Farr, J. L., Grandey, A. A., & Gutworth, M. (2016). The creation of the workplace social courage scale (WSCS): An investigation of internal consistency, psychometric properties, validity, and utility. Journal of Business Psychology. https://doi.org/10.1007/s10869-016-9463-8 IBM. (2019). The skills gap is not a myth, but can be addressed with real solutions. https:// newsroom.ibm.com/2019-09-06-IBM-Study-The-Skills-Gap-is-Not-a-Myth-But-Can-BeAddressed-with-Real-Solutions Institute of Adult Learning (2021). Future-fit to advance adult learning. https://ial.edu.sg/getmedia/ 7147fba5-cd9d-4c90-992c-4131aa433508/IAL-Annual-Report-2021.pdf Kashdan, T. B., Stiksma, M. C., Disabato, D. J., McKnight, P. E., Bekier, J., Kaji, J., & Lazarus, R. (2018). The five-dimensional curiosity scale: Capturing the bandwidth of curiosity and identifying four unique subgroups of curious people. Journal of Research in Personality, 73, 130–149. https://doi.org/10.1016/j.jrp.2017.11.011 Knowles, M. S. (1975). Self-directed learning: A guide for learners and teachers. Prentice Hall. Kyndt, E., Dochy, F., & Nijs, H. (2009). Learning conditions for non-formal and informal workplace learning. Journal of Workplace Learning, 21(5), 369–383. https://doi.org/10.1108/ 13665620910966785 McKinsey. (2020). Today’s skills, tomorrow’s jobs: How will your team fare in the future of work? https://www.mckinsey.com/business-functions/organization/our-insights/todays-skills-tomor rows-jobs-how-will-your-team-fare-in-the-future-of-work Merriam, S. (2001). Andragogy and self-directed learning: Pillars of adult learning theory. New Directions for Adult and Continuing Education, 2001(89), 3. https://doi.org/10.1002/ace.3 Merriam, S., & Bierema, L. L. (2014). Adult learning: Linking theory and practice. Jossey-Bass. Morales, X. (2019). Learning in adulthood: Through the metacognitive lens. Revista Salud y Conducta Humana, 6, 73–86. Nijman, D. J., & Gelissen, J. (2011). Direct and indirect effects of supervisor support on transfer of training. In R. F. Poell & M. V. Woerkom (Eds.), Supporting workplace learning. Springer. Nikolova, I., Ruysseveldt, J. V., De Witte, H., & Syroit, J. (2014). Work-based learning: Development and validation of a scale measuring the learning potential of the workplace (LPW). Journal of Vocational Behavior, 84, 1–10. Owens, B. P., Johnson, M. D., & Mitchell, T. R. (2013). Expressed humility in organizations: Implications for performance, teams, and leadership. Organization Science, 24(5), 1517–1538. https://doi.org/10.1287/orsc.1120.0795 Pearson. (2018). The future of skills. Pearson – The future of skills. https://futureskills.pearson.com

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Section VII Higher Education Anthony Welch

The following chapters underline key higher educational developments against the wider background of what is often seen as The Rise of the East: the growing importance of the Asia-Pacific region in economic, geo-strategic, demographic, and cultural terms. This includes education and is clearly reflected in the dramatic rise of universities in Asia, most evident in East Asia. In at least two senses, this should be no surprise. Firstly, the past has a way of haunting the present. The longstanding value placed on education, scholarship, and teaching in much of Asia gave rise to major ancient scholarly centers in China, India, and the Middle East. As the chapter by Anthony Welch reveals, these centers attracted scholars and students from throughout the region, underlining that the current dramatic ascent of Asian universities is better understood as a renaissance, than a rise. Secondly, the culture of testing that pervades much of East Asia, and to some extent Southeast Asia, arguably suits the current climate of institutional competition, otherwise known as the global rankings game. The obsession with improving institutional rankings is intense in East Asian universities, but pervades other Asian systems too, with some perverse effects. Such systems, most dramatically China, have been spectacularly successful in boosting their international rankings on one or more of the proliferating array of such league tables, and creating “World Class” universities. The downside, evident across the region to differing degrees, includes increasing gaps between rich and poor in education, corruption, and stress and even suicides among some students, in the face of such high-stakes testing regimes. Very few institutions reach the dizzy heights of “world class,” although many more harbor aspirations. But the single, narrow focus on research outputs and metrics, often weighted towards STEM fields, has sometimes come at the cost of long-term basic research, teaching quality, and local relevance, in both the sciences and particularly in social science and humanities fields. As the chapter by Xiaoshi Li et al. demonstrates, the added performance pressures on academic staff, particularly on younger bilingual colleagues (often female and in junior ranks) with a Ph.D. from

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abroad, to publish in major international journals in English (mostly their second, or third language) has led to many complaints. The relentless pressure to publish in such international journals may obscure the need to focus on important local research issues and to maintain a local research profile in domestic outlets. The pressure to maintain both a local and international profile leads to the sharp dilemma pungently expressed by the Beirut-based sociologist Sari Hanafi: “Publish locally, perish globally; publish globally, perish locally.” Massification is evident in many parts of the Asia-Pacific, to differing degrees. Gross enrolment ratios have risen dramatically, in Southeast Asia, and particularly in East Asia, where now, however, an aging demographic profile confronting Japan, Taiwan, and Korea is proving challenging for the private sector’s weaker institutions, who are finding it increasingly difficult to recruit students, and in some cases are lowering entry standards to maintain enrolments. China, too, faces an imminent demographic decline, with implications for higher education. But even in ASEAN systems where spiraling enrolments have outstripped the capacity or willingness of governments to match funding accordingly, the increasing gap between enrolments and funding, at least in per-student terms, has led to increasing privatization, in both Asia and the Pacific. This has taken two forms, as the respective chapters by Anthony Welch, Roger Chao, and by Jandhyala Tilak and Pradeep Choudhury variously show: the greater growth of the private sector enrolments and institutions, relative to growth in the public sector; and the privatization of public sector higher education institutions (HEIs). In practice, neither form is always well regulated across the region and this can lead to greater inequities: poorer families paying more to access lower quality “demand absorbing” institutions, with limited offerings and often dependent on public sector faculty moonlighting in private HEIs. A general pattern is a shift of costs to students and their families, which can also include private supplementary tutoring (shadow education). Overall, private higher education has widened access considerably across the region and in Japan and Korea is at a relatively mature point: as Chao underlines, in several systems (Japan, Korea, Indonesia, and the Philippines), it contains the majority of enrolments and institutions. But this has come at a cost, with much expansion being of lower quality. While not limited to the private sector, privatization can also license certain forms of corruption in higher education, at both institutional and higher levels, within a context where many Asia-Pacific systems, with the notable exception of Singapore and Japan, rank poorly on global transparency indices. Given that on average, private HEIs derive around 90% of their income from fees, the entrepreneurial drive can, at times, overwhelm academic considerations, endangering both academic and financial probity. Quality assurance measures, meant to ensure both quality and probity, are by no means always comprehensive. But the Janus face of privatization also afflicts public sector HEIs. The increasing gap between rising enrolments in public HEIs, and the limited capacity or willingness of governments to provide matching finance, has resulted in a widespread decline in per-student funding. This has driven public universities in several Asia-

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Pacific systems to resort to various strategies to boost their bottom lines, often by establishing parallel private, fee-paying institutions, taught by the same public HEI faculty at night or weekends, but with much lower entry requirements and much higher fees. Associated allegations of corruption have been widespread. Other strategies include recruiting international students, who generally pay significantly higher fees. The private sector has often been more active and entrepreneurial in this activity, while the public sector is at times more hemmed in by legislative requirements, such as that all subjects must be taught in the local language. The degree of entrepreneurialism also differs within the region, being most plainly evident in Anglophone systems such as Australia and New Zealand. In East and Southeast Asian systems, issues of status and the desire to spread the influence of local culture internationally are more important drivers. As in some other parts of the world, nationalism has been on the rise in some parts of Asia, including in higher education. As the Welch chapter shows, the balance between nationalism and, on the other hand, regionalization and globalization is a significant issue across the region. Many Southeast Asian systems gained their independence in the aftermath of the Second World War, and initially struggled to build broad-based national higher education systems, in response to growing aspirations for higher education. This effort often included the desire to preserve local pedagogical and epistemic traditions, but as Philip Altbach, and Rui Yang, among others, has pointed out, modern Asian universities are all based on the Western model, although arguably, his dualism did not allow sufficiently for the persistence of local characteristics and traditions. In the Asia-Pacific region, as elsewhere, colonialism played an important role, including the French influence in Indochina, and the British influence in India, Singapore, Australia, and Malaysia. Western religions, such as Catholicism, played an important role in the establishment of the earliest Western-style higher education institutions in the region, as well as in the south of Việt Nam until reunification in 1975. They continue to play a role in the Philippines, while Christianity remains influential in Pasifika higher education. But as the chapter by Welch underlines, the Confucian heritage is also still apparent, in systems such as China, Japan, Taiwan, Korea, Singapore, and Việt Nam. And Islamic HEIs are important within the Malaysian and Indonesian systems. The legacy of nationalist resistance to colonialism is also arguably evident in the desire to retain control at the national level. This is despite moves to grant greater autonomy to at least leading HEIs within national systems (sometimes retracted), and moves towards regionalization and greater harmonization, such as across ASEAN systems. Despite the rhetoric of regionalization, it is at a much more embryonic state than in Europe, still seen as the worldwide benchmark. But higher education links between ASEAN and China are also growing. The outsized role of English as a medium of instruction (at times more confined to private HEIs than public universities) also exerts a globalizing influence, including its deployment in English language programs used to attract international students to the region. Singapore and Malaysia are successful examples, as are the Anglophone systems

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of Australia and New Zealand. In China and Korea, foreign talent schemes, designed to attract talent from abroad, including the diaspora, are a further index of internationalization, albeit very unequally distributed. Wealthy systems and institutions are far more able to attract such talent, relative to their poorer cousins. A further source of division is disciplinary, with the so-called hard sciences far more integrated into the global network of major journals and publishers, mostly in English, than the social sciences and humanities, which are often understandably more locally embedded, and remain more attached to local epistemic and pedagogical traditions and frameworks. As Rui Yang, among others, argues, Western intellectual frameworks are often inappropriate to the Asia-Pacific contexts, and local scholars from such disciplines find it generally more difficult to ply their local wares in the international academic marketplace and gain international recognition. Such inequalities help to perpetuate core-periphery distinctions, with the Asia-Pacific systems and scholars, with few exceptions, still largely relegated to the margins. Making generalizations about higher education development in the Asia-Pacific is a perilous exercise, given the extraordinary diversity both across the region and within individual systems. Even Papua New Guinea, for example, with a population of little over 10 million, has over 800 spoken languages. Indonesia, with a population of almost 280 million, embraces 300 languages. Pasifika cultures alone are very internally diverse and significantly different to neighboring ASEAN systems that are again diverse, and different again to those in East Asia. Levels of development, including of higher education, vary enormously across the region. This is not to say there are not some powerful trends across the region, among which the most prominent is the so-called Rise of the East, a world-shaking phenomenon that includes the dramatic rise of universities in East Asia, most dramatically in China. As of 2022, China lists eight universities among the top 100, and dozens more among the top 500, according to the Academic Ranking of World Universities (ARWU) index. Even 20 years ago, this was hardly thinkable. A further index of development is that Asian universities are now establishing international branch campuses, such as Xiamen University’s Malaysian campus. At the same time, however, it is critical to never forget the impact and legacies of catastrophic policies and practices introduced by the Khmer Rouge (Cambodia), the Taliban (Afghanistan, now again in power), and Maoists during the Cultural Revolution in China. In each case, the effects on higher education were both devastating and long lasting. Finally, an enduring challenge that can be traced back to the time of Matteo Ricci [利玛窦 ] (1552–1610) in China is how to achieve a synthesis that preserves rich Eastern (and Pasifika) traditions of higher learning, while incorporating the best from the West. Known in Japan through aphorisms such as Wakon Yosai (Japanese spirit, Western learning), and in China as zhōngtǐ xīyòng (Chinese Learning as Substance, Western Learning for Application), most systems are still grappling with this challenge. None have yet achieved a satisfactory synthesis. The above elements make predictions for the future development of higher education in the region complex. There is much to be confident about, but challenges abound. These include the extraordinary diversity within the Asia-Pacific region, the

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differential impact of rising nationalism, current US-China tensions and rivalries that are constraining higher education collaboration, including in the region, and the COVID crisis, with its associated travel restrictions. While some of these represent a cloudier vista, they should not obscure both the rich heritage of higher learning in the region and future prospects for further development.

Policies and Practices of Financing Higher Education in the Asia-Pacific Countries

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Financing Higher Education: Changing Trends and Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Public Financing of Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Trends in Public Expenditure on Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Public Expenditure on Higher Education Per Student . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Current and Capital Expenditure on Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Household and Private Funding in Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Expenditure on World Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Public Funding of Research and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Summary and Concluding Observations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

In the last few decades, policies and practices of financing higher education have experienced several shifts globally. Strengthening of market forces in higher education through privatization, and thereby, sharing the costs with the households and students is widely practiced worldwide. Countries in the Asia-Pacific region are no exception to this major policy shift that has led to several changes in the mechanism of funding higher education. This chapter provides a comprehensive overview of higher education financing in the Asia-Pacific countries, taking into account the significant variations that exist between several countries. Backed by a significant amount of new and updated secondary data, it analyzes

J. B. G. Tilak (*) Council for Social Development, New Delhi, India e-mail: [email protected]; [email protected] P. K. Choudhury Jawaharlal Nehru University, New Delhi, India e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_92

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the current trends, policies, and practices in financing higher education in the Asia-Pacific countries. Keywords

Financing · Higher education · Policies · Practices · Asia-Pacific

Introduction Massification of higher education has been a current phenomenon worldwide. With universalization of secondary education, many countries in the world are shifting their focus to expanding higher education. This trend is also clearly evident in several countries of the Asia-Pacific region. For instance, in East Asia and Pacific the enrollments in higher education have gone up nearly 12-fold between 1970 and 2019 – from 2.3 million to 48 million, and in South Asia it increased by nearly six times. Higher education in China and India have expanded so much that together they constitute 37% of the total world enrolments in higher education in 2020 (UIS, 2021). Furthermore, the growth of higher education in the region is closely related to national development, and therefore, the role of higher education is too important to ignore any more in the development of the countries. The exploding demand for higher education is being confronted with increasingly stringent public budgets. A major challenge faced by the higher education systems in several countries in the world is the heavily constrained public budgets. The financial commitment of the state for higher education has failed to keep pace with the rapidly expanding systems of higher education (Woodhall, 2007). The rising gap between spiraling enrollments and limited state support has been widespread (ADB, 2009, 2012b). Higher education institutions are in a dilemma on how to meet the challenge. They have to either reduce the number of admissions, or spread the available resources thinly on rising student numbers allowing a fall in quality, or raise more resources from nonstate sources. Further, with the onset of neoliberal economic reform policies, systems of financing of higher education have undergone radical changes during the last three decades (Tilak, 1997, 2012). For a long time, higher education in several countries had been financed by the state with limited contributions from nonstate sector like students and their families, voluntary donations, and internal resources (endowments). Student tuition and other fees used to be small or symbolic or even at token levels. But this has changed significantly. Several alternative methods of financing are being increasingly sought, and practiced (Tilak, 2015). Neoliberal funding models are being adopted simultaneously in many parts of the world. Global trends reveal that, as public funding of higher education has been under severe strain in most countries of the world, the private sector has been playing a key role in meeting the excess demand. This has resulted in rise in household expenditure and expenditures by others, raising concerns of costs, affordability, equity, and quality. Public institutions also rely substantially on private funds and funds raised through student fees. In a sense, public institutions are getting

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1157

privatized, albeit partially (Welch, 2011; ADB, 2012b). External aid for higher education is somewhat limited, compared to aid for basic education and literacy in many countries including in the Asia and the Pacific (ADB, 2020). The state has been playing with several reforms in financing of higher education. Apart from introducing cost recovery measures like student loans, in addition to raising student fees, marginal reforms are being attempted on the methods of financing of higher education – budgetary reforms, education specific taxes, reforms to principles of resource allocation to higher education institutions (HEIs), scholarships, direct funding of students (as against funding the institutions), etc. Rising enrollments coupled with limited state capacity have led to privatization everywhere including in the Asia-Pacific region (ADB, 2012a, b), and the increasing presence of the private sector in higher education has led to a steep rise in the cost of higher education (Jacob et al., 2018), with serious implications for equity, quality, and access to higher education. Higher education financing is of considerable consequence in the provision of quality higher education, which ultimately shapes the possibilities for economic growth and social development of the nations. Likewise, how funds are used conditions the quality and relevance of higher education, determines who gets to study at university, and affects whether the country will be able to compete in the global knowledge economy. In short, the changing pattern of funding higher education is connected with issues like equity, access, efficiency, quality, and competitiveness of higher education (ADB, 2014; Chattopadhayay, 2009; Tilak, 2018). It is argued that countries having better and effective mechanism of public funding minimize inequality in access, impart quality learning, and bring innovation in society through the provision of quality higher education. All this emphasizes the need to examine and analyze financing of higher education in the changing context. Several countries in the Asia-Pacific region have also been in a similar situation, having experienced similar trends, facing similar challenges, and adopting similar policy responses. This chapter examines the changing trends and patterns of funding higher education in the Asia-Pacific countries, taking cognizance of the significant variations that exist between several countries in the region. Backed by a significant amount of new and updated secondary data, the chapter analyzes the current trends, policies, and practices in financing higher education in the Asia-Pacific. Against the background of global trends in public policy and development in higher education, the analysis focuses on changing development paradigms and how they impacted the structure of higher education in the Asia-Pacific region; major shifts in the policies and practices in financing higher education; and how far they would help in producing an intellectually and a financially sustainable higher education system in the countries of the region. The chapter discusses the changing trends and patterns in financing higher education, along with changing policies and practices in the Asia-Pacific region. Two important dimensions discussed in this chapter are the following: public funding of higher education, and financing of higher education by nonstate players. The major indicators used to discuss the funding pattern include the following: expenditure on education as a percentage of gross domestic product (GDP),

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expenditure on education as percentage of total government expenditure, expenditure on tertiary education as a percentage of GDP, expenditure on tertiary education [Tertiary and higher education are interchangeably used here.] as a percentage of total government expenditure on education, etc. Available limited evidence on private expenditure on education, drawn from multiple sources, is discussed.

Financing Higher Education: Changing Trends and Practices Financing is a major instrument of governments to influence the development of any sector, and in the case of education, this seems to be a critical factor. Finances are important for education development; they are necessary though not a sufficient condition for development of education. As Philip Coombs (1985, p. 137) observed long ago, “organised educational systems do not run on slogans and good intentions. They run on money. Not that all the problems of education can be solved by throwing money at them; but without money to secure the essential physical resources of education (buildings, equipment, materials, supplies) and the human resources (teachers, administrators and custodians), organised educational systems would collapse onto an empty centre.” Analysis of education financing reflects the priority a nation accords to education; analysis of public funding provides useful understanding of state’s commitment to education, its policies, and approaches to education, and analysis of trends in funding reveals the shifting priorities of the government. They also help in identifying the areas that need focus and for making or modifying future policies. Three important questions in this regard are the following: How much resources are allocated to education, i.e., in the present context; how much resources are allocated to education out of total available national resources; what is the pattern of intrasectoral allocation, i.e., how much resources are allocated to higher education out of total resources allocated to education; and what is the pattern of interfunctional allocation of resources to higher education, i.e., how are resources allocated to different items, say salaries, administration, construction, etc. Apart from analyzing government financing of education, analysis of finance by the nonstate players is also important, which also raises issues relating to mobilization of resources for education. These are some of the issues that are discussed here.

Public Financing of Education A nation’s priority to education can be measured in terms of the share of national income allocated to education. In the countries of the Asia and Pacific region, this proportion varies widely as shown in Table 1. Among the countries on which data are available, Kiribati spends 12.6% of its GDP on education in 2020, which is the highest in the Asia-Pacific region, while Bangladesh is at the bottom with 1.3% (Fig. 1). Countries such as New Zeeland, Bhutan, and a few island/small economies like Micronesia, Tonga, Timor-Leste, and Marshall Islands spend more than 6% of

Country 1971 Low-income economies Afghanistan 1.16 Lower-middle income economies Bangladesh Bhutan Cambodia India Indonesia 2.79 Iran 2.77 Kiribati 4.27 Kyrgyzstan Myanmar 2.87 Nepal Pakistan 1.65 Philippines Sri Lanka Tajikistan Upper-middle income economies Armenia Azerbaijan China 1.39 Fiji Georgia Kazakhstan

1.71

1.82

2.24

1.98

2.74

1.73

1976

1.99

2.97 3.14

1.30

1975

1.91 5.2

2.13 1.72 2.7

2.01 6.49

2.58

2.44

3.46

4.83

2.41

2.52

1.00 4.08

0.87 3.77

6.92 4.03

1.85 3.34 1.84

2.8 3.04 2.96 2.07

6.16 1.2

1.69

1.52

2.77 3.85 1.89 5.88 2.18 3.26

2.33

2.98 1.84 3.16

2.13 5.79 1.67 4.32 2.46 4.03 11.19 3.51

2000

5.17 2.48 2.26

2.71 2.97

3.51

3.36 2.05 2.33

4.87

1.94 7.29 1.72 3.19 2.87 4.06

2005

2010

3.25 2.78 3.75 4.82 2.8 3.46

1.94 4.12 1.53 3.38 2.81 3.71 12.97 5.82 0.9 3.63 2.29 2.31 1.72 4.01

1.27

1995

0.94

1990 3.48

1985

1.84

1980

Table 1 Government expenditure on education as % of GDP, 1971–2020

2.81 2.95 3.82 4.81 3.16 2.79

1.54 7.59 1.91 3.29 3.58 2.8 9.86 5.99 2.1 3.26 2.65 3.33 2.23 4.97

3.26

2015

Policies and Practices of Financing Higher Education in the Asia-Pacific. . . (continued)

2.7 2.68 3.54 5.07 3.84 2.86

1.33 6.85 2.16 3.45 2.84 3.66 12.39 5.37 1.97 4.43 2.51 3.23 2.14 5.71

3.21

2019

60 1159

Source: UIS (2021)

Country 1971 Malaysia 4.55 Maldives Thailand 3.07 Turkey High-income economies Australia Brunei 5 Hong Kong SAR 2.37 New Zealand Singapore 3.11

Table 1 (continued) 1976

3.02

1.97 2.43 5.45 2.69

1975

2.38

1.96 2.45 5.17 2.44

5.65 1.19 2.19 4.23 2.56

2.57 2.92

1980 5.73

2.56 3.55

5.41

1.74

1985 6.11

4.68 3.96 2.47 4.82

2.5

1990

2.73 5.74

5.14

3.14 2.25

1995 4.34

4.89 3.71 3.9 6.64 3.32

5.25 2.52

2000 5.97

4.13 6.28 3.2

4.91

2005 5.92 5.02 3.94 2.99 5.55 2.05 3.51 7 3.08

2010 4.97 3.63 3.51

5.31 3.35 3.26 6.33 2.86

2015 4.89 3.89 3.76

5.11 4.43 4.41 6.05 2.51

2019 4.16 4.12 2.97 4.29

1160 J. B. G. Tilak and P. K. Choudhury

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1161 12.4

Kiribati

Marshall Islands Bhutan New Zealand Kyrgyzstan Australia Mongolia Russian Federation Brunei Darussalam Turkey Maldives Georgia China India Afganistan Thailand Indonesia Azerbaijan Singapore Cambodia Myanmar Bangladesh

1.3 0.0

2.0

4.0

6.0

8.0

10.0

12.0

14.0

Fig. 1 Government expenditure on education as % of GDP in 2020a. a2019 or 2020, whichever is the latest year for which data available. (Source: UIS (2021))

their GDP on education, a globally recommended figure. Two emerging economies in the Asia-Pacific region (China and India) spend 3.5% of their GDP on education. The priority accorded to education also varies from year to year, and one does not necessarily find a smooth pattern. Overall, government expenditure as a percentage of GDP is growing in some countries, while in other countries the growth path is volatile over the last five decades (1971–2020). Countries like Australia, New Zealand, Tajikistan, Kiribati, and Bhutan spent above 5% of their GDP on education in 2019/20, which signifies the government’s effort for the development of education in these countries. In contrast, in many counties like Armenia, Bangladesh, Cambodia, Indonesia, Kazakhstan, Myanmar, Pakistan, Singapore, Sri Lanka, Thailand, and Vanuatu this proportion is less than 3%. Many countries find it difficult to maintain the ratio over a period of time, as evident from declining ratio in several countries in the region. In an advanced country like Australia, this ratio was 5.7 in 1980, and with a few ups and downs in between, it fell to 5.1% by 2019/20; in Singapore, the corresponding proportion declined from 3.1 in 1971 to 2.5 in 2019/20. But for minor deviations, the long-term pattern from 1971 to 2019/20 in Hong Kong is smooth and the allocation to education has been rising. In India, it declined from 4.3 in 2000 to 3.5 in the most recent year. In Kyrgyzstan, it declined from 6.2% in 1995 to 5.4% in 2020. Over short periods, too, we find varying trends – increases in some and declines in others. Between 2015 and 2019/2020, for instance, in Indonesia the proportion declined

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from 3.6% in 2015 to 2.8% in 2019/2020. Similarly, in Thailand the share declined from 3.8% to 3% during the same period. During the same period, it increased in Nepal, Georgia, and Cambodia, inter alia. Thus, various countries seem to be laying different levels of emphasis on education, and the emphasis is not stable in any country. The general presumption is that the level of spending is higher in economically advanced countries, and the poor countries are not able to spend high amounts. In terms of relative shares (percentage of GDP), we find that this is not necessarily true however. In Table 1 (and other tables), countries are arranged by level of GNP per capita in 2020, and the classification is as per World Bank classification of countries. India and China are found to be spending about 3.5% of their GDP on education in 2019/2020, Singapore and Pakistan spending about 2.5%, and Vietnam spending 4%, higher than Thailand and Malaysia. These are not exceptions. There is no clear relationship between a country’s GDP per capita and its allocation to education as a percentage in GDP. The simple coefficient of correlation between the two in 2019/ 2020 is as low as 0.15. Long ago, the Education Commission (1966) in India recommended that India should allocate about 6% of national income to education. Later, the UNESCO (1966) and UNDP (Griffin & McKinely, 1993) have found it a reasonable goal for all developing countries and recommended the same. However, as noted here, many countries, including developed countries, are still far from reaching from this goal. Since governments have higher control on its expenditure than on GDP, one may expect more systematic patterns in case of shares of expenditure on education in the total government expenditure. In fact, these two, viz., expenditure on education as a share in GDP and as a share in total government expenditure, are not systematically related (Béteille et al., 2020, p. 63) in case of a larger number of countries. Available estimates on expenditure on education as a fraction of total government expenditure on all sectors across different regions around the globe, and also in selected countries in the Asia-Pacific region are presented in Table 2. There are stark differences in this share across regions and also among countries in the Asia-Pacific region in the last three decades. It is interesting to note that a region such as Sub-Saharan Africa spends higher proportion on education than the OECD, or Europe. In general, the proportion is higher in low- and middle-income countries than in high-income countries. They also spend a higher proportion of their total government expenditure on education than the world average. In the Asia-Pacific region, the share ranged from less than 10% in Armenia, Cambodia, Qatar, Vanuatu, and Nauru to above 20% in Hong Kong, Iran, Uzbekistan, and Kiribati in 2020. The share is less than the world average of 13.8% in 17 countries of the Asia-Pacific region including countries like Nauru, Vanuatu, Armenia, Qatar, Cambodia, and Australia. On the other hand, it is reported to be higher than the world average in 21 countries including Nepal, Kazakhstan, Philippines, Russian Federation, Thailand, and Malaysia. The share of public expenditures on education is lower in most South Asian countries compared to the average in countries at the same income level, while the share of private household spending in

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Table 2 Government expenditure on education, total (% of government expenditure) Country name 1990 Low-income economies Afghanistan Lower-middle income economies Bangladesh 11.2 Bhutan Cambodia India Indonesia Iran, Islamic Rep. 18.4 Kiribati Kyrgyz Republic Mongolia Nepal Pakistan 7.8 Philippines Samoa Solomon Islands 15.9 Sri Lanka 10.9 Tajikistan Uzbekistan Vanuatu Upper-middle income economies Armenia Azerbaijan China 10.7 Kazakhstan Malaysia Maldives Russian Federation Thailand Tonga High-income economies Australia 13.6 Brunei Darussalam 8.7 Hong Kong SAR, China 18.5 New Zealand 10.1 Singapore East Asia and the Pacific South Asia Sub-Saharan Africa OECD members 11.1 Low income

1995

12.1

2000

2005

20.5 14.2 11.1 16.7 11.5 20.6 15.3 11.6 16.1 19.2 8.59 15.2 10.5 13.1

16.0 23.0 12.4 11.2 15.2 21.9

11.6 15.1

12.0

15.3

17.5

27.5

44.8

41.4 18.7 19.5

21.1 12.6 14.8 21.4

18.9 26.1

9.0 28.4 23.0

13.3 6.2 14.6 18.8 12.8 10.3 15.2

14.8 9.3 16.7 14.0

13.3 11.9

13.4 8.9 22.4 16.7 20.3 16.5 17.9 15.6 12.9 15.2

16.8 13.6 22.3 13.8 12.4 12.8 20.9

13.7 13.2 10.3 21.0 13.0 12.0 20.6 19.1 13.6 22.5 16.3 22.3 16.4 13.8 18.0 12.5 12.6

2010

2015

2020a

17.1

12.5

10.3

21.0 11.8 7.3 11.8 16.7 19.3 18.2 15.7 14.7 16.0 11.9 13.2 16.1 16.7 8.6 15.3 22.8 18.7

13.7 25.5 8.8 12.5 20.5 18.6 13.8 15.7 13.6 17.0 13.2 16.0 14.0 25.2 11.0 16.3 22.4 12.6

11.8 15.8 9.4 12.8 17.3 21.3 20.2 16.5 16.4 14.1 11.6 14.2 16.2 11.3 17.8 20.5 4.4

12.4 8.7 13.6 13.0 18.4 11.0 12.0 16.2

10.7 7.6 12.3 12.2 19.8 11.5 10.9 17.1 10.2

8.7 10.5 11.5 14.1 16.8 10.5 14.3 16.8 15.5

14.3 5.30 19.9 15.7 18.6 15.2 14.0 17.6 12.2 16.3

14.1 9.98 18.6 16.4 28.8 16.2 12.9 16.7 12.8 13.1

13.5 11.4 20.6 16.1 14.9 11.3 14.1 12.2 15.8 (continued)

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Table 2 (continued) Country name Lower middle income Low and middle income Middle income Upper middle income High income World

1990

1995

11.1

11.9

2000 14.9 15.2 15.3 16.2 12.1 13.5

2005 16.8 15.1 15.1 13.7 12.7 14.1

2010 16.8 15.9 15.8 14.6 12.3 14.6

2015 15.7 14.6 15.5 14.1 12.4 13.9

2020a 14.3 14.2 14.2 14.2 11.8 13.8

Source: World Bank (2020) 2020 or the closest year available

a

Share of Education in Total Government Expenditure (%)

25.0 20.0 15.0 10.0 5.0 0.0 GDP per capita

Fig. 2 Relationship between GDP per capita and government expenditure on education as % of GDP in the Asia-Pacific countries, 2020. (Source: Based on UIS (2021) and World Bank (2021))

total expenditures on education is highest in this region and continues to rise at all levels (Béteille et al., 2020). The increasing demand for education in some developing countries (such as Sri Lanka, Bangladesh, Myanmar, and Pakistan) has necessitated increased government spending on education over the years. The desirable goal suggested by UNDP (Griffin & McKinely, 1993) is about 25–30% of the total budget expenditure of the government. No country in the region seems to be nearing this goal. Like government expenditure on education is a proportion of GDP, government expenditure as a proportion of total government expenditure is also not related to the level of economic development GDP per capita of a country (Fig. 2). The simple coefficient of correlation is 0.14 for the countries in the region (2020). Thus, the level of economic development measured in terms of GDP per capita does not influence significantly the priority accorded to education, measured as either percentage of GDP or the share of total public expenditure. Perhaps there are many political economy factors that influence the nation’s priority to education (Tilak & Panchamukhi, 2022).

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Trends in Public Expenditure on Higher Education Within education, what is the priority given to higher education in the Asia-Pacific region? As a proportion of GDP, many countries allocate less than 1% to higher education. It varies between 0.3% in Myanmar and over 1.5% in New Zealand. Australia, Hong Kong, India, New Zealand, and Turkey spend more than 1% of their GDP on higher education while a few countries (Bangladesh, Myanmar, and Sri Lanka) spend less than 0.5% of their GDP. In fact, data are available for only a few countries and among them there are significant variations. Further, regarding this proportion, the long-term trends show that the relative priority given to higher education has not changed much during the last four to five decades. Even wealthier countries such as Singapore spend less than 1% of their GDP on higher education (Table 3). Based on the data from these few countries, one can see that GDP per capita and share of higher education are significantly related (the coefficient of correlation being 0.41). Out of the total government expenditure on education, many countries of the region spend one-fifth to one-fourth on higher education. Only Georgia and Kazakhstan have allocated less than or about 10% in 2018 (Table 4). Both relatively wealthier countries like Australia, Singapore, and Hong Kong as well as middleincome and lower-income nations such as Iran, Bangladesh, and Malaysia have accorded significant priority to higher education, devoting more than 25% of total expenditure on education. Moreover, the trends are somewhat stable throughout the last half-century in relatively more developed countries such as Australia and Hong Kong. Bangladesh, Sri Lanka, and Iran, among others, have increased the proportion of expenditure on higher education over the same period. Increasing demand for higher education in most developing countries may be the main reason behind the increasing share of budgets on higher education in those countries. As shown by Tilak and Choudhury (▶ Chap. 60, “Policies and Practices of Financing Higher Education in the Asia-Pacific Countries,” in this Handbook), there has been an explosion in enrollments in higher education in many countries over the last three to four decades, particularly in Asian countries. Among world regions, not only European Union, high-income countries, and OECD, but also South Asia has been spending around 20% of total educational expenditure on higher education. The size, pattern, and structure of higher education in these regions may differ from each other, but they all are allocating reasonably high importance to higher education in terms of expenditure on higher education as a percentage of total education spending.

Public Expenditure on Higher Education Per Student The level of public resources made available per student can be understood if one looks at the government expenditure per student. This also reflects both quantity and some dimensions of quality of education provided in higher education. The figure ranges from US$329 in Marshall Islands and US$596 in Nepal to nearly US$30,000

Source: UIS (2021)

Country 1975 Lower-middle income economies Bangladesh India Iran 0.68 Myanmar 0.27 Pakistan 0.35 Sri Lanka 0.21 Upper-middle income economies Malaysia Thailand 0.29 Turkey High-income economies Australia China, Hong Kong 0.56 New Zealand 1.29 Singapore 0.46

1985 0.13 0.44 0.47 0.45 1.1 0.59 0.46 1.71 0.68 0.98

1980

0.21

0.64

0.45 0.42

0.85 0.35 0.69

1.31 0.70 1.30 0.41

Table 3 Government expenditure on higher education as % of GDP

1.56 0.78 1.58

0.33

0.41 0.41

0.51

0.13

1990

1.42 1.09 1.61

0.87 0.68 0.78

1.02 0.27 0.39 0.42

1995

1.15

1.91 1.07 0.78

0.36

0.21 0.88 0.79

2000

1.09 1.17

1.98 0.85 0.87

0.22 0.62 0.62

2005

1.08

1.24 0.98

1.71 0.58

0.28

0.26 1.22 0.79 0.15

2010

1.53 0.96 1.62 0.99

1.11

0.51 1.14 0.82 0.24 0.6 0.43

2015

1.17 1.33 1.54 0.79

1.49

0.95

0.46 1.12 0.98 0.29 0.64 0.44

2019

1166 J. B. G. Tilak and P. K. Choudhury

27.6 40.0 18.5 19.9 20.2

33.42 31.8 19.5 20.9 20.3 16.5

31.6 26.7

19.5 17.3

23.2 31.9 15.9 16.6 19.1 19.9 20.2

23.0 19.0 15.35 20.37 19.71 17.09

13.4

18.0 17.0

14.8 13.8

19.6 17.7 14.0 20.0 21.5

12.1

29.4

24.9 13.9 16.3 14.1

34.1

17.1

13.4 16.5

8.5

1995

30.7

17.3

12.8 19.3

8.2

1990

16.0

8.00

20.9 23.8 15.5

10.6

21.9 6.3

33.8 23.0 17.9

22.0

19.6

17.1

1985

1980

1975

21.4 19.6 21.0 18.8

23.4

13.1 32.1 20.3

24.0

13.8

19.4

10.1

2000

21.9 22.1 21.8

22.2 28.4

12.3 33.5 21.7

13.3

11.5 14.1 15.4

2005

22.3 27.8 35.1 22.4 22.5 22.3 14.6

11.2 13.1 34.5 16.5

12.0 16.4

13.5 15.1 21.4

9.03

2010

22.9 25.3 24.1 17.7

28.9 29.5

11.1 15.3

19.4

10.3 29.4 22.8

16.0

2015

21.8 22.8 22.8 22.2

26.8 29.4

10.1 9.4 21.4

20.7

28.2

33.3

2018

Policies and Practices of Financing Higher Education in the Asia-Pacific. . .

Source: UIS (2021)

Country 1971 Low-income economies Afghanistan 24.1 Lower-middle income economies Bangladesh Bhutan Iran 16.2 Pakistan 18.3 Philippines Sri Lanka Upper-middle income economies China 13.9 Georgia Kazakhstan Malaysia 11.3 Thailand 15.7 High-income economies Australia Hong Kong 24.6 Singapore 15.8 European Union High-income countries OECD South Asia

Table 4 Expenditure on tertiary education as % of government expenditure on education

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Macao, China* Hong Kong* Singapore* New Zealand** Israel** Australia** Russia** Korea* Maldives Bhutan Sri Lanka Pakistan India Afghanistan Myanmar* Bangladesh Nepal Marshall Islands* East Asia & Pacific South Asia mean OECD mean**

29734 28106 22084 14933 11153 10791 8479 6187 4400 3995 3351 2834 2458 1096 771 642 596 329 9591 2466 15596

0

10000

20000

30000

Fig. 3 Per-student expenditure in tertiary education in the Asia-Pacific countries, 2014 (US$ PPP). Note: *2020; **2016. (Source: South Asia: Béteille et al. (2020); OECD countries: OECD (2021); and others: statista.com (2021))

in Hong Kong and Macao (Fig. 3). The average per-student spending on tertiary education in several countries in South Asia is significantly lower than averages in other regions. Even in the case of India, where a relatively high share goes toward tertiary education, per-student tertiary education spending is lower than in some South Asian countries and other regions (Béteille et al., 2020). The mean in the OECD countries is US$15,596. Excepting Singapore, Hong Kong, and Macao, all countries in the region spend well below the OECD mean. This implies that the real resources available per student, on average, are lower in several the Asia-Pacific countries, and this will have implications for the quality of education provided. Education is costly and higher education is the costliest sector. Relative to national income, higher education is even costlier in developing countries than in advanced countries. This is evident from the estimates on government expenditure per student in higher education as a percentage of GDP per capita, which show some insightful trends in the Asia-Pacific region. First at regional level, there are no significant differences: While in South Asia this proportion is around 30%, in economically advanced regions it is around 25%; the world average comes close to the figure in South Asia. But within the Asia-Pacific region, the variations are high, ranging from 67% in Pakistan to 5% in Kyrgyzstan, and 7% in Kazakhstan. The figure is very high in South Asian countries – India, Bangladesh, Bhutan, Nepal, and Pakistan. In general, in the countries whose per-capita income is low, the government’s expenditure on higher education per student is high. In many such countries, this overall proportion arguably needs to decline significantly, in order to widen access to higher education.

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Table 5 Government expenditure per student in higher education as % of GDP per capita Country Lower-middle income economies Bangladesh India Iran, Islamic Rep. Nepal Philippines Sri Lanka Tajikistan Upper-middle income economies Armenia Azerbaijan Malaysia Russian Federation Thailand Tongo Turkey High-income economies Australia Hong Kong SAR, China Japan Singapore Europe and Central Asia European Union High income South Asia OECD members

2000

2005

2010

37.0 96.9

36.8 59.8 20.2

23.9 71.5 15.2 33.0 10.6 21.9 15.5

139.5 14.5

11.2 11.8

80.9 11.0 35.3

68.3 12.7 23.7

7.5 19.6 45.5 16.0 78.7

28.6

52.2

28.2 29.6 96.9 28.1

23.9 23.5 23.9 23.9

25.7 25.2 24.2 24.6 25.2 33.0 28.0

2015

2018 29.9

12.8 24.2

24.2

29.4 19.6

31.6

9.8 17.9 18.8

9.9 19.4 23.8 19.8

91.1 32.3

77.2 35.3

21.5 23.3 24.4

17.8 24.2 20.6 23.5 25.8 26.3 25.4 30.5 25.4

27.1 27.8 27.2 29.4 27.8

Source: UIS (2021) Some figures are around those years (1 or 2 years)

Many of these countries have experienced a very limited expansion of the higher education sector, and much scope remains to expand higher education. As higher education expands, gradually the ratio comes down. For example, in Hong Kong and Malaysia the ratio was high in the initial years of the last two decades, but the share came down to around 25% in 2018 (Table 5). Higher education has expanded well in these countries, although in countries like Malaysia and India it is distorted by ethnic/caste quotas in public HEIs (which were formally abandoned in 2003 in Malaysia, but still exist in practice, that in effect discriminate against Chinese and Indian Malaysians in favor of Bhumiputras, or against high castes in India), as a result of which, the only study options that seem to be available to many well-off students are in private HEIs, or abroad. In Australia, Singapore, Japan, etc., where higher education has further expanded, the corresponding ratio is about 20%. However, surprisingly on the whole, GDP per capita and this ratio are positively related, though the coefficient of correlation (on data relating 2019) is not high (0.35).

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Current and Capital Expenditure on Higher Education Normally a large proportion of higher education budgets include current expenditure that includes wages/salaries (staff compensation – both teaching and nonteaching), teaching materials, ancillary services, administration, maintenance of capital and other assets, etc. Capital expenditure includes expenditure on construction, renovation and major repairs of buildings, and the purchase of heavy equipment, research equipment, vehicles, etc. Both are important and they are also related. There has been a stable trend in the share of current expenditure in countries such as Australia, Turkey, Philippines, Russian Federation, etc., during the last two decades. Also, as one expects in the educationally well-established countries, such as Japan, Singapore, and Australia, most of the total spending in higher education is on current expenditure (>90%) because of declining needs for additional infrastructure facilities and capital-related items. In some countries, universities may have invested hugely in new buildings and equipment (in an effort to compete with US and UK universities). However, countries with relatively less well-established systems, like Sri Lanka, Bangladesh, Maldives, Malaysia, Afghanistan, etc., have also been found to be spending a larger share of total expenditure in higher education institution in spite of inadequate infrastructure facilities (Table 6). These countries need to invest heavily in infrastructure facilities, as there is a huge shortage. After heavy investments in capital expenditures, countries will raise shares of current expenditures. For example, Malaysia recorded a big jump in current expenditure from 53.9% in 2000 to 80.4% in 2020 of total expenditure in higher education. China has also shown a significant increase in the same from 50.2% in 2010 to 77.7% in 2020. Capital expenditure needs seem to be still high in countries like China, Malaysia, Sri Lanka, Bangladesh, and Turkey, which spent 15–40% of total expenditure on capital needs in 2020. Generally, it has been observed that staff salaries/wages account for a sizeable part of current expenditure. This is not necessarily the case in many countries in the region, other than Azerbaijan, Maldives, and Sri Lanka, where in 2020 more than 50% of the total current expenditure goes to staff compensations. They may be spending substantial amounts on current needs like books, journals, other material including short-duration equipment and ancillary services including student and staff welfare programs, etc. While staff salaries necessarily account for a large share of current (or even total) expenditure, it is necessary to ensure sufficient allocations to other material and services, some of which may have direct impact on the quality of education. Sri Lanka spends around 40% of total expenditure in higher education on capital expenditure while Australia spends around 9–12% of total expenditure on capital expenditure during the last 20 years. Sri Lanka, as a developing country, faces rising needs for capital expenditure, and Australia as a more developed country has maintained the same around 10% throughout the last two decades. China and Malaysia have shown a gradual decrease in capital expenditure, and in 2020 it is around 20%. The intrasectoral allocation to current and capital expenditure, and between different items within current and capital accounts, depends upon several

Low-income economies Afghanistan Timor-Leste Lower-middle income economies Bangladesh India 98.8 Indonesia Iran 84.0 Kyrgyzstan Nepal Philippines 95.4 Sri Lanka Tajikistan 88.3 Upper-middle income economies Armenia Azerbaijan 99.1 Thailand Kazakhstan

2000 Current

0.9 17.5

82.5

1.6

0.6

98.4

4.6

6.9

2.5

Capital

99.4

82.2 93.1

16.1

11.7

97.5

2005 Current

1.2

Capital

98.5 89.2 86.4

93.8 82.4 87.5 63.6

1.5 10.8 13.6

6.2 17.6 12.5 36.4

27.1

12.9

87.1 82.9

21.1 3.7

Capital

78.9 96.3

2010 Current

Table 6 Current and capital expenditure as percent of total expenditure in tertiary public institutions

40.9 36.8 1.2 0.1 4.1 5.8

100.0 99.9 95.9 94.2

22.2 4.0 0.3 17.6

32.0 4.6

Capital

59.2 63.2

78.8 96.0 99.7 82.4

91.9

68.1 95.4

2015 Current

100.0

96.8 93.2

60.7

90.1 97.7

81.2

2020 Current

(continued)

2.5

3.2 6.8

39.3

9.9 2.3

18.8

Capital

60 Policies and Practices of Financing Higher Education in the Asia-Pacific. . . 1171

2000 Current 54.0

Source: UIS (2021)

Malaysia Maldives Russian Federation Turkey 78.5 High-income economies Australia 90.4 Japan 79.2 Macao, China SAR Singapore

Table 6 (continued) 2005 Current 89.0

82.3 90.0 91.5

Capital 46.0

21.5

9.6 20.8

10.0 8.5

17.7

Capital 11.0

87.0 81.1 50.2 93.3

2010 Current 66.7 98.1

13.0 18.9 49.8 6.7

Capital 33.4 1.9

88.6 81.0 89.1 93.7

2015 Current 86.7 99.8 87.5

11.4 19.0 11.0 7.0

0.2 12.5

Capital

87.7 91.8 77.7 98.8

2020 Current 80.4 100.0 90.0 84.2

12.4 8.2 22.4 1.2

10.0 15.8

Capital 19.7

1172 J. B. G. Tilak and P. K. Choudhury

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factors, including teachers, their salary structure and their vacancies, level of infrastructure development, etc.

Household and Private Funding in Higher Education Apart from government funding, higher education is also funded by private sources including households and “other private entities” such as private business and nonprofit organizations (e.g., religious organization, charitable organizations, business and labor associations, and other nonprofit organizations). Private spending on education includes all direct expenditure on educational institutions, net of public subsidies, also excluding expenditure outside educational institutions such as textbooks purchased by families, private tutoring for students, and student living costs. As noted earlier, public sources were traditionally the most important source of funding for higher education. This continues to be so in many countries, but the pattern is changing rapidly, and private sources are becoming increasingly important. Figure 4 shows different sources of financing higher education in some Asia-Pacific countries in 2019. Private finance accounts for about 65% of the total finances available for higher education in Japan and Australia – households accounting for 52% and other private sources 13%. Among the countries for which we have data, the share of government spending is higher than private sources in Turkey, Russian Federation, New Zealand, and Israel. In Korea, private funding accounts for above

100

0 13

0 19

0

0

0

1

1

15

19

14

15

13

12

75 27 52

20

32 53

41

50 72 53

25 35

65

53 32

40

0 Australia

Israel

Japan

Korea

New Zealand

Turkey

Russian Federaon

Internaonal Sources

Expenditure by Other Private Enes

Household Expenditure

Public Sources

Fig. 4 Share of different sources of higher education finance, selected the Asia-Pacific (%), 2019. Note: Japan, Korea: international sources are included in other private entities. (Source: OECD (2021))

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735

Pakistan

1016

India

785 269

Nepal Bhutan

1019

427 1504

241

Sri Lanka

960

149

Bangladesh

90 0

195 500

1000

1500

2000

Current Values (2016 US$) Public Expenditure

Household Expenditure

Fig. 5 Household versus public expenditure on higher education in South Asian countries (per student) US$, 2016 (US$). (Source: Béteille et al. (2020, page 286). Fig. 12.1 (a))

60% of the total educational spending. Household spending is the highest in Japan. In South Asia, the share of household and other private spending to total spending is among the largest in the world and has been rising at all levels (UNESCO, 2014). Among private sources, households are a major element; their expenditure on higher education is substantial in many countries. Among South Asian countries, a student spends on average on higher education US$90 in Bangladesh and as much as US$1000 in Pakistan. In Pakistan, household spending per student is 38% higher than government spending per student. Although in absolute terms both public and household spending per student are low in Nepal, a student incurs an average expenditure 58% higher than the government. Only in Bhutan and Sri Lanka, do governments spend much higher than households on higher education. So the argument that governments always meet substantial costs of higher education, and households contribute only small amounts, is no longer true. At least in some countries in the region, household expenditure outweighs expenditure made by the governments (Fig. 5). As a proportion of household income, households in Pakistan and India spend more than 80% on higher education of their children. This proportion is below 10 per percent in Bangladesh and Sri Lanka (Fig. 6). Sri Lanka offers free higher education. In India, the annual average per-student household expenditure on higher education constituted 21% of the total household consumption expenditure in 2013–2014 (Tilak & Choudhury, 2019). In Nepal and Pakistan, household spending on higher education substantially exceeds public spending and accounts for between one-third and two-thirds of median household income (Béteille et al., 2020). Similarly, public universities in Thailand responded to declining state support by raising income from other sources by 450% (ADB, 2011).

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Pakistan India Nepal Bhutan Sri Lanka Bangladesh 0

10

20

30

40

50

60

70

80

90

Fig. 6 Household expenditure on higher education as a share of household median income (%). Bangladesh (2010); Bhutan (2012); India (2014); Nepal (2011); Pakistan (2016); and Sri Lanka (2012). (Source: Béteille et al. (2020), page 286. Fig. 12.1 (b) [original source: UIS and World Bank])

Among the various items of household expenditure on higher education, tuition and other fees are the most significant component. With the adoption of cost recovery and sharing methods, there has been a shift in the burden from state/ taxpayers to parents or students, essentially in the form of tuition and other fees. For instance, the percent of governmental appropriations to Chinese higher education institutions decreased between 1995 and 2013 (reaching the lowest level in 2005), while during the same period the tuition and miscellaneous fees percentage increased from 15.2% to a peak of 33.9% in 2008 (Jacob et al., 2018). It was nearly zero in the early 1990s. Similarly, in Japan, as of 2015 the percentage of spending from public sources comprises only 34.3% of the total, whereas the percentage from all private sources accounts for 65.7%, of which the percentage from household expenditure comprised 53.4% (OECD, 2015). Absolute fee levels are quite high in many countries for which data are available, and they are generally much higher in private institutions. In Japan, for example, the average tuition fees charged in national and local public universities was US$5152 at the undergraduate level, while it was as high as US$8262 in private institutions in the 2014–2015 academic year (Huang, 2018). More recent data along with data relating to 2008–2009 are presented in Table 7. In some countries, it is nearly ten times higher. As high fee levels raise concerns about access to higher education and equity, some governments set limits for the proportion that fees can form of the total expenditure in public institutions. Indonesia set this at 30%; while India recommended 20%, it is not strictly implemented. Many countries have also adopted dual-track tuition systems: some students being heavily subsidized and some being required to pay high levels of fees. The criterion is not only economic status; in some cases, the merit of the student forms the basis. While in countries like Australia high tuition fees exist along with well-developed student-support systems, so that negative effects of high fees

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Table 7 Tuition and fees for first-degree programs in public and private higher education institutions in selected the Asia-Pacific countries (US$) China Hong Kong India Indonesia Korea

2009/2010 2009/2010 2009/2010 2009/2010 2009/2010

Malaysia

2007/2008

Public 724–2899 240 (plus 42 onetime fee) 135–270 116–1160 3549–7605 (plus 1617–3402 onetime fee) 404–635 (plus 113 onetime fee)

Philippines

2008/2009

1665 (plus 122 onetime fee)

Thailand 2008/2009 PPP adjusted 2017–2018 Japan Bachelor’s degree Master’s degree Doctoral Australia Bachelor’s degree Master’s degree Doctoral Korea Bachelor’s degree Master’s degree Doctoral New Zealand Bachelor’s degree Master’s degree Doctoral

1883–8788

Private 1449–2889 8611 (plus 42 onetime fee) 900–2250 10,168 9405–12,675 (plus 1140 onetime fee) 5496–8765 (plus 427–542 onetime fee) 2068–5080 (plus 365 onetime fee) 3768–8788

5234

8784

5231

7644

5231 5034

5968 9360

8929

12,023

260 4896

2531 8760

6414

11,756

7167 4847

12,674

4847 4739

Source: ADB (2012b, p. 20) and OECD (2019)

are mitigated at least to some extent, students in public HEIs in Japan and Korea are charged high tuition fees (over US$4800 per year) for a bachelor’s program and the student-support systems in these countries are somewhat less developed. On the whole, shifting of costs to students and their families is found to be a widely used strategy in many countries of the Asia-Pacific region. Private higher education institutions in the Asia-Pacific region charge considerably higher tuition and other fees than public or religious-affiliated universities which makes these institutions exclusive to rich families. In some cases, tuition and fees charged in semielite private institutions are about ten times greater than at India’s top public universities in India (ADB, 2012b).

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In practice, countries like India, China, Singapore, Japan, and South Korea have experienced a significant growth of fee-based higher education, both by introducing new fees in public universities and by encouraging the growth of private, fee-based higher education institutions (ADB, 2011). Public institutions also offer selffinancing courses and executive programs to raise revenues from fees (Welch, 2011; ADB, 2012b; Varghese, 2015), and these are largely offered in high revenue-yielding disciplines like engineering, medicine, and management, but occasionally in other disciplines. Yet another aspect is tuition and other fees charged for foreign students. Many countries and countries vie with each other to attract more and more foreign students essentially to raise fee revenues for the institutions. With a couple of exceptions, almost all countries charge foreign students several times more than domestic students. For example, public universities in Australia charge $5034 for domestic students and $19,029 for foreign students for their bachelors’ program, and for master’s programs the respective fees are $8929 and $18,316 (OECD, 2019). In advanced countries that can attract sizeable numbers of students from other countries, some universities critically depend upon fees collected from them. For example, in Australian universities, “all universities rely on international student revenue. They are often the most profitable part of the business. An international student will pay fees that are usually twice the amount of a domestic student. In 2019, Australia’s universities collected almost AU$10 billion (US$7.9 billion) in tuition fees from international students — more than twice the value of Australia’s entire annual vegetable crop” (Hurley, 2021). The use of international students to supplement university funding has been part of Australia’s higher education policy for over 30 years, so this revenue supports many university functions. This is a major new trend and is not confined to a few universities recently developed based on new market philosophy, but even the well-established universities are in a similar situation. The COVID pandemic of 2020–2021 hugely interrupted international student flows, with major financial consequences for several systems, particularly in Australia, that are highly dependent on international student income (Hurley, 2021; Welch, 2022), apart from distorting the whole policy approaches to higher education and research (Tilak & Kumar, 2022). In general, the revenue collected through tuition and fees from domestic and/or foreign students forms the lifeline of private higher education institutions as they do not receive any direct subsidies from the government (ADB, 2012b). Only a few private institutions in the region, for example, those established long ago in India, or universities like Waseda and Keio in Japan, some in Korea, and many in Malaysia receive state funding, though all receive tax subsidies and access to public research funds. Hence majority of private institutions rely completely on student tuition and other fees, which are generally high. For instance, in Indonesia, the revenues from fees (i.e., tuition and other fees and levies) constitute three-quarters of the total spending on tertiary education (World Bank, 2012). Similarly, according to Levy (2010), over 90% of operating costs of private HEIs in Southeast and East Asia are covered by tuition. More than 90% of the total income of demand-absorbing private higher education institutions in Thailand comes from tuition and fees

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(Praphamontripong, 2010). Likewise, student tuition and fees account for 82% of the revenue of all private higher education institutions in Vietnam (Hayden & Khanh, 2010). Thus in the private institutions, fees seem to be the main source of revenue, and other sources are not that significant. The changing demographic profile also affects the financing pattern of the intrahousehold financing. In East Asia (Japan, Korea, Taiwan, and may be soon China), the aging population and shrinking number of young people may result in reduced income of institutions. Since private HEIs depend on fees for up to 90% of their funds, it means a major loss of income for many private HEIs. With intensified competition among the private institutions, the weaker private HEIs are increasingly forced to shut down. Private supplementary tutoring or shadow education is another important component of household expenditure. Households invest staggering portions of their incomes on tutoring, and interestingly, shadow education systems are expanding at an alarming rate in Asia. While this is an important phenomenon in school education, it is not confined to school education. For instance, in a recent study, Choudhury et al. (2021) have found that close to 15% of the students pursuing higher education in India attend private coaching in 2017–2018, and the annual average household spending on private coaching constitutes 2.1% of the total annual family income and 11.4% of overall household expenditure on higher education. Male students incur higher levels than females (Mitra & Sarkar, 2019). In West Bengal in India, two-thirds of students attend private coaching in higher education while this share is low in the states located in southern and northern regions of India like Telangana (1.1%), Andhra Pradesh (1.8%), Himachal Pradesh (3%), Punjab (4.5%), and Haryana (5.7%). Private tutoring and the expenditure on the same are found to be more important in certain subjects than others in a study on Kuwait (Alazmi & Alazmi, 2020). The study also reported that a college student’s gender, the academic year of study, university allowance, alternative income sources, family financial status, and monetary support all play a statistically significant role in whether one receive private tutoring or not and how much expenditure is incurred. With the increase in household funding of higher education, student loans are portrayed as an effective channel to support the students who are unable to pay from their family income. Over the years, there has been considerable experimentation with student loan schemes across the Asia-Pacific region (ADB, 2011). In Thailand, a loan scheme was introduced in the 1990s, but inadequate funding and a much higher than expected level of interest resulted in a decrease in the size of the individual loans offered to students from year to year. There was minimal planning and weak control from the center, combined with overgenerous loan eligibility and repayment conditions. This led to a substantial and unplanned growth in loanrecipient numbers and unexpected, and unsustainable, funding obligations by the state (Ziderman, 2003, p.65). The history of student loans in India underlines some similar issues in the context of evolution from early schemes, which were abandoned due to low recovery rates and poor performance, to a national education loan scheme, introduced in 2001 and operated by public banks (Tilak, 2009). From

60

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2007, student loans of up to Rs 1 million ($22,600) for study within India, and up to Rs 2 million ($45,200) for study overseas, have been available. Tax concessions on the interest payable on the loan are available but are of limited impact. While the loan portfolio has shown an annual growth of up to 69% in recent years, it is still the case that a mere 1% of students currently take advantage of such loans. The facts that banks charge high rates of interest, and favor only students who can provide collateral with low risk of failure to repay, as well as other similar conditions, have hindered the growth of loans and their popularity. The loan program is considered a success in a few Asia-Pacific countries, particularly Australia and New Zealand (Armstrong & Chapman, 2011), where income-contingent loans replaced earlier versions. As much as 89% of students in Australia depend upon student loans – public or government-guaranteed, where scholarships and other kinds of financial assistance are less common. The situation with respect to loans in New Zealand is similar, where only a small fraction of students benefit from scholarships. In Japan, 37% of students benefit from loans. Repayments are also high in Korea. The amount given as loans in a year and the repayments received during the year match more or less each other. In New Zealand, repayments constitute about 85% of the disbursements made in a year. After loans were introduced and restructured, the focus on scholarships declined considerably in many countries. In general, there is a need to strengthen scholarship programs, particularly means-tested merit scholarships, though there are imperfections in measuring the means satisfactorily. In India, some institutions rely, in this regard, on the type of school – public or private – that the student attended for their secondary education; some use the fees paid at school as an indicator of the economic status of households. With respect to loans, there are stories of failure in many other countries of the Asia-Pacific region. The poor repayment of student loans has become a serious obstacle to continue the program. Similarly, students from economically disadvantaged backgrounds find difficulty in accessing the educational loan market. In this regard, different countries have experienced very different trends in equity by income quintile over time, suggesting that loans alone are not a solution (de Gayardon & Brajkovic, 2019). On the whole, the Asian experience with student loans has been mixed, with some suggesting that a properly designed student loan program could at least partially ease the financial problems. Student loans have become an important dimension to fund higher education in many developing countries, and this led to a shift from grant to loan-based funding of higher education in the Asia-Pacific region. On the whole, higher education in several countries in the Asia-Pacific region has changed from a publicly funded system to a mixed one of public and private funding. Compared to other regions, the expansion of private higher education is far more substantial in Asia than in other parts of the world (Levy, 2010; UNESCO, 2021). In the new modes of funding, students are responsible to pay for a major share of total costs, either from their family income or through borrowing from the student loan market. Higher education has been becoming costly, raising serious concerns about equity in higher education.

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Expenditure on World Class Universities In the increasingly globalized world, competition between universities has increased, and they are vying with each other to figure high in the various globalranking schemes of universities. In this context, many countries are concentrating their funding on some of their best universities, so that they become world-class universities, to maintain or improve their status and/or rankings. This is causing distortions in the allocation of public resources, as, in pursuit of such goal, many governments have diverted limited public resources in favor of such institutions, under special projects like COE21 in Japan, Brain Korea in South Korea and China’s 985 Project, leaving a large number of other institutions with reduced budgetary allocations. Such special initiatives provide jump start to these universities to progress fast. Increasingly, top universities in every country get better resources, particularly research funds, as well as greater autonomy and other aspects; these practices create further gaps between elite and mass institutions. In an interesting study, Usher and Ramos (2018) examine the pattern of finances of world-class universities. The evidence shows how important is the amount of resources spent, and how they are utilized to enhance the quality of education. Table 8 shows the average per-student spending of 200 universities listed in the Academic Ranking of World Universities (ARWU) or Shanghai Rankings. Interestingly, several Asian countries dominate the top of the list in the average per-student spending, but not many figure high in the ARWU ranking. Similarly, European nations, particularly central European ones, tend to perform much worse on spending but perform better in rankings. For example, Germany has 15 institutions in the top 200 despite comparatively very low levels of average spending (Usher & Ramos, 2018, p. 8). In the Asia-Pacific region, while Israel spends the highest amounts per student on its top universities, Australia spends about one-fourth of that amount on average on its top universities. Even within a country, wide differences exist between the expenditure incurred on several top universities, as the “low” and “high” amounts in the table show. While the levels of spending may matter in the relative rankings (within the top 200), the lesson for other countries struggling to allocate resource to developing world-class universities, as Usher and Ramos (2018) conclude, is that it is more important how money gets spent than the actual amounts spent. With a per-student expenditure of about US$7000–8000, some of the universities in Germany and Austria figure in the group of top 200, while some US public universities spend US$1.7 million per student! So, techniques of financial management at the institutional level may matter greatly in this regard. Inter-functional allocation of resources is one particular aspect. Some leading universities might invest more on research and less on teaching, for example. Many leading universities can be expected to concentrate their funds on improvement of quality and standards of education. Some such top universities also devote a large budget allocation for student subsidies, to attract highly talented students from around the globe.

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Table 8 Per-student expenditure on top 200 universities (ARWU), by country, 2015–2016 US$ Country and no. of HEIs in top 200 Countries in Asia Israel (3) Japan (8) Hong Kong (2) China (5) Singapore (2) Taiwan (1) Australia (10) Other countries USA (Private) (33) USA (Public) (37) United Kingdom (20) Denmark (2) Switzerland (7) Canada (8) Sweden (5) Netherlands (7) Brazil (1) Ireland (1) Finland (1) Norway (2) Germany (15) Italy (1) Belgium (1) Austria (2)

Average

High

Low

133,111 91,166 88,233 62,020 54,068 39,772 27,547

407,076 125,178 95,467 78,450 65,900 39,772 39,340

11,198 63,619 80,980 51,770 42,237 39,772 17,621

332, 156 180,294 47,630 47,170 36,028 34,103 32,114 31,245 28,705 27,277 27,126 25,813 21,364 11,527 10,531 9405

1,702,273 1,722,533 146,999 75,402 63,743 43,865 74,654 38,373 28,705 27,277 27,126 29,312 44,870 11,527 10,531 11,640

60,427 29,857 26,334 30,165 12,319 24,107 14,985 24,856 28,705 27,277 27,126 22,315 8041 11,527 10,531 7170

Note: Number of universities in top 200 in parentheses The average is represented by total spending in top 200 institutions divided by the total number of students attending these institutions; it is not an average of institutional values Source: Usher and Ramos (2018)

Public Funding of Research and Development Investment in research and development (R&D) is one of the driving forces to fuel the engine of development of a country. It boosts the all-round and all sector development of a country. But South Asian countries have not been able to accord high priority to R&D. India, Pakistan, and Sri Lanka have spent less than 1% of GDP on R&D during the last two decades. More developed Asia-Pacific countries such as Australia, Japan, and China have been allocating 2–3% of GDP. China raised its investment from 0.56% in 2000 to 2.14% in 2018 (Table 9). Many middle-income countries could not maintain pre-2000 levels, except Malaysia, which developed a special focus on research and development, and raised its investment as a proportion

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Table 9 Gross domestic expenditure on R&D as % of GDP Lower-middle income economies India Iran Kyrgyzstan Mongolia Pakistan Philippines Sri Lanka Tajikistan Uzbekistan Upper-middle income economies Armenia Azerbaijan China Georgia Kazakhstan Malaysia Russian Federation Thailand Turkey High-income economies Australia Hong Kong Japan New Zealand Singapore Africa (Sub-Saharan) Asia (Western) Asia (Central and Southern) Asia (Central) Asia (Southern) Asia (Eastern and South-eastern) Asia (Eastern) Asia (South-eastern) Central Asia East Asia and the Pacific Latin America and the Caribbean Oceania Northern America and Europe Low-income countries Lower middle income countries Middle-income countries Upper middle income countries

1996

2000

2005

2010

2015

2018

0.65

0.76 0.50 0.16 0.18 0.12

0.80 0.26 0.16 0.24 0.45 0.11 0.14 0.09 0.17

0.69 0.42 0.12 0.16 0.25 0.16 0.11 0.11 0.17

0.65

0.14 0.09 0.36

0.82 0.62 0.20 0.24 0.40 0.11 0.18 0.10 0.24

0.19 0.24 0.56 0.33 0.29 0.22 0.97 0.12 0.45

0.19 0.34 0.89 0.23 0.18 0.47 1.05 0.25 0.47

0.26 0.22 1.31 0.18 0.28 0.60 1.07 0.22 0.57

0.24 0.22 1.71 0.15 1.04 1.13 0.24 0.80

0.25 0.22 2.06 0.30 0.17 1.28 1.10 0.62 0.88

0.19 0.18 2.14 0.28 0.12 1.04 0.98

1.67 0.43 2.69 1.06 1.32 0.31 0.63 0.49 0.29 0.50 1.36 1.75 0.40 0.28 1.37 0.52 1.52 1.91 0.24 0.41 0.47 0.51

1.58 0.47 2.91 1.11 1.82 0.34 0.70 0.57 0.23 0.59 1.51 1.85 0.56 0.24 1.51 0.54 1.46 2.05 0.24 0.46 0.58 0.63

1.86 0.77 3.18 1.12 2.15 0.37 0.71 0.66 0.26 0.69 1.68 2.04 0.64 0.25 1.69 0.55 1.84 2.00 0.21 0.52 0.73 0.80

2.38 0.75 3.14 1.25 1.93 0.34 0.74 0.65 0.16 0.68 1.83 2.17 0.75 0.17 1.84 0.65 2.17 2.16 0.24 0.53 0.93 1.08

1.92 0.76 3.28 1.23 2.18 0.36 0.82 0.59 0.16 0.62 2.05 2.40 0.88 0.18 2.05 0.71 1.78 2.21 0.26 0.50 1.11 1.34

0.19 0.17 0.16 0.18

0.10 0.10

0.10 0.13

0.86 3.28

0.37 0.94 0.56 0.12 0.59 2.12 2.47 0.92 0.14 2.11 0.61 1.76 2.28 0.25 0.49 1.15 1.41 (continued)

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Table 9 (continued) High-income countries World average

1996 1.97 1.39

2000 2.10 1.51

2005 2.12 1.52

2010 2.27 1.61

2015 2.34 1.69

2018 2.43 1.73

Source: UIS (2021)

of GDP by about five times between 1996 and 2018. Thailand and Turkey also raised their expenditure on R&D. The experience of many Asian countries like India has been that R&D has been funded mainly by governments, and private investment has not been significant (Tilak, 1992). From a global perspective, it is clear that Central Asian countries are at the bottom with a meagre 0.14% of GDP in 2018, followed by Sub-Saharan Africa which invested 0.37% of GDP in 2018. In general, high-income countries are spending more than 2% of their GDP while middle-income countries spend around 1% and lower-income countries spend less than 1%. Developing countries of the AsiaPacific need to raise their levels of investment in R&D, which will contribute immensely to further technological and economic progress. R&D provides an important advantage in global competition, as building knowledge economies also requires heavy investments in research and development.

Summary and Concluding Observations Using secondary data drawn largely from the UIS database, World Bank, and OECD, the chapter discusses the changing trends and patterns in financing of higher education in the countries of the Asia-Pacific. With help of a variety of indicators, it shows that the funding pattern in education in higher education has changed dramatically over the years and varies significantly among the countries of the region. It is not only countries with low-economic development that invest less public funds on higher education, but also some economically advanced nations, and vice versa. There is no systematic relationship between the level of economic development and priority accorded to higher education in terms of public funds. In many Asia-Pacific countries, as public funding on higher education has not kept pace with demand, there has been an increased reliance on student fees and educational loans, and an increase in the participation of the private sector. The growth of private higher education has resulted in escalating costs of higher education for households, which presently bear a substantial share of the costs of higher education of their offspring. In many Asia-Pacific countries, per-student household expenditure on higher education is very high. Overall, we find a withdrawal of public resources and subsidies from higher education and a major shift of costs to households. Globally, there has been a huge private investment in the development of higher education. In the context of the Asia-Pacific region, as ADB (2012b) has pointed out, a few important concerns are pertinent: When financing responsibilities are being shifted from the state to families

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and students, the implications for equity can be serious. Given the trend of students and their families sharing more of the costs of higher education, both in the region and worldwide, the effects on the most vulnerable social strata constitute a major disadvantage (UNESCO, 2021). Worldwide, countries are in search of innovative financing methods in higher education. Several countries are trying to develop different modes of funding higher education. Some countries are adopting performance-based funding, norm-based funding, and reforms in student loan markets. While a substantial rise in public funding for higher education is necessary, mechanisms like student loan programs are favored that take into account access barriers caused by the introduction of cost recovery measures and participation of private sector in higher education. Philanthropic contributions to higher education have not been a significant feature, unlike in North America, although almost all countries make serious attempts to develop it into a reliable source of funding. The art of philanthropic fundraising for universities is not well developed in the Asia-Pacific region. The feeling of corporate social responsibility is weak, and public-private partnerships have not matured well. As was argued in the case of world-class universities, while absolute levels of investment in higher education are important, it is more important to utilize those resources efficiently. Some countries which invest much lower proportions of their national wealth perform better than others which allocate higher levels of resources to higher education. Having said all this, as Tilak (1997) has concluded, the best method of funding higher education that can protect, promote, and nurture the basic character of education like its public good nature, and contribute to sustainable national development, remains public funding from resources raised though efficient general taxation.

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Choudhury, P. K., Kumar, A., & Gill, A. S. (2021). Who all access private coaching in higher education and how much do they spend? Evidence from India. Journal of the Asia Pacific Economy. https://doi.org/10.1080/13547860.2021.1954302 Coombs, P.H. (1985). The world crisis in education: The view from the eighties. de Gayardon, A., & Brajkovic, L. (2019). Student finance policies worldwide: Leveraging funding for attainment and equity in higher education. American Council on Education. Griffin, K., & McKinely, T. (1993). Towards a human development strategy (Occasional Paper no. 6). UNDP, Human Development Report Office. Hayden, M., & Khanh, D. V. (2010). Private higher education in Viet Nam. In G. Harman, M. Hayden, & P. T. Nghi (Eds.), Reforming higher education in Viet Nam: Challenges and priorities (pp. 215–225). Springer. Huang, F. (2018). Higher education financing in Japan: Trends and challenges. International Journal of Educational Development, 58, 106–115. Hurley, P. (2021). Future Asian students vital to the health of Australian universities, East Asia Forum. https://www.eastasiaforum.org/2021/03/02/future-asian-students-vital-to-the-health-ofaustralian-universities/ Jacob, W. J., Mok, K. H., Cheng, S. Y., & Xiong, W. (2018). Changes in Chinese higher education: Financial trends in China, Hong Kong and Taiwan. International Journal of Educational Development, 58, 64–85. Levy, D. C. (2010). East Asian private higher education: Reality and policy. World Bank Flagship Project on East Asia. Mitra, A., & Sarkar, N. (2019). Factors influencing household expenditure on private tutoring in higher education. In S. Bhushan (Ed.), The future of higher education in India (pp. 195–212). Springer. OECD. (2015). Education at a glance: OECD indicators. Organisation for Economic Co-operation and Development. OECD. (2019). Education at a glance: OECD indicators. Organisation for Economic Co-operation and Development. OECD. (2021). OECD education statistics. https://www.oecd-ilibrary.org/education/data/oecdeducation-statistics_edu-data-en Praphamontripong, P. (2010). Public policy and the growth of private higher education in Thailand. ASHE Higher Education Report, 36(3), 77–90. Statista.com. (2021). Annual expenditure per student on educational institutions in OECD countries for primary, secondary and tertiary education in 2018, by country. https://www.statista. com/statistics/238733/expenditure-on-education-by-country/ Tilak, J. B. G. (1992). Investment in research and development in India. Asian Economies (South Korea), 82, 40–65. Tilak, J. B. G. (1997). Lessons from cost recovery in education. In C. Colclough (Ed.), Marektising education and health in developing countries: Miracle or mirage? (pp. 63–89). Clarendon Press. Tilak, J. B. G. (2009). Student loans and financing of higher education in India. In Students loan schemes: Experiences of New Zealand, Australia, India and Thailand and Way Forward for Malaysia (pp. 64–94). IPPTN and Penerbit Universiti Sains Malaysia Press. Tilak, J. B. G. (2012). Financing of higher education: Traditional versus modern approaches. Yükseköğretim Dergisi/Journal of Higher Education, 2(1), 28–37. Tilak, J. B. G. (2015). Higher education in South Asia: Crisis and challenges. Social Scientist, 43(1–2), 59–43. Tilak, J. B. G. (2018). Higher education, public good and markets. Routledge. Tilak, J. B. G., & Choudhury, P. K. (2019). Inequality in access to higher education in India between the poor and the rich. In T. Haque & D. N. Reddy (Eds.), Social development report 2018 (pp. 187–202). Oxford University Press. Tilak, J. B. G., & Kumar, A. (2022). Policy changes in global higher education: What lessons do we learn from the COVID-19 pandemic? Higher Education Policy. https://doi.org/10.1057/s41307022-00266-0 (on line first)

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Tilak, J. B.G., & Panchamukhi, P. (2022). Globalisation and political economy of education development in South Asia. In: International Encyclopedia of Education, 4th edition, Elsevier 2022, in press]. UIS. (2021). Statistics database: Education. http://data.uis.unesco.org/ UNESCO. (1966). Educational development in Asia. UNESCO Regional Office. UNESCO. (2021). Non-state actors in education (Global Education Monitoring Report (GEMR) 2021). https://en.unesco.org/gem-report/non-state_actors UNESCO Institute for Statistics. (2014). Higher education in Asia: Expanding out, expanding up: The rise of graduate education and university research. UNESCO. Usher, A., & Ramos, M. (2018). The changing finances of world-class universities (Working paper no. 41). Centre for Global Higher Education, UCL Institute of Education. Varghese, N. V. (2015). Challenges of massification of higher education in India (CPRHE Research Paper 1). National University of Educational Planning and Administration, New Delhi. Welch, A. (2011). Higher education in Southeast Asia. Blurring borders, changing balance. Routledge. Welch, A. (2022). COVID crisis, culture wars and Australian higher education. Higher Education Policy. https://doi.org/10.1057/s41307-022-00265-1 (on line first) Woodhall, M. (2007). Funding higher education: The contribution of economic thinking to debate and policy development (Education Working Paper Series No. 42672). The World Bank. World Bank. (2012). Putting higher education to work: Skills and research for growth in East Asia. World Bank. (2020). World development indicators 2020. World Bank. World Bank. (2021). Database on higher education. https://www.worldbank.org/en/topic/ tertiaryeducation#1 Ziderman, A. (2003). Student loans in Thailand: Are they effective, equitable, sustainable? (Vol. 1). UNESCO/IIEP.

University Ranking Games in East Asia: Triggers and Consequences

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Xiaoshi Li, Hugo Horta, and Jisun Jung

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . East Asian Higher Education in the Rankings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Gamification of the Rankings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . From Game Players to Game Changers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

In recent decades, universities in East Asia have made efforts to integrate into scientific and academic global communities. These efforts have mainly been driven by national governments that increasingly perceive universities’ significant role in national innovation systems. Policymakers in East Asia have focused on building higher education capacity and enhancing national scientific prowess, with a global outlook guided by benchmarks of successful cases, primarily of North American origin. This developmental focus has placed world university rankings in the spotlight for both governments and universities in East Asia. However, as global university rankings rely on the law of parsimony, they can be problematic. Based on many unidimensional indicators, world university rankings give a simplistic, straightforward understanding of a university’s function and value, and such rankings encourage quick comparisons of the positioning of a country and/or university within a list of peers. The problems with this are apparent: Complexities, contextualization, and sustained development are dismissed in favor of the symbolic power of statistics. In East Asian higher education systems, this has led to the increased gamification of the rankings, including the introduction of perverse incentives focused on short-term gains that fail to provide the appropriate foundation to promote sustainable knowledge X. Li · H. Horta (*) · J. Jung Faculty of Education, The University of Hong Kong, Hong Kong SAR, China e-mail: [email protected]; [email protected]; [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_91

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capacity. It has also led to ranking fetishism, where incentives and activities are set for the sake of moving up the rankings rather than to meet the needs of science, social, and economic priorities and to address the welfare of communities internal (i.e., academics) and external to universities (i.e., society at large, other organizations). Keywords

University ranking · Higher Education · East Asia · Gamification · Capacity building

Introduction In recent decades, national governments have increasingly realized that universities play a significant role in advancing social and economic development and building innovation systems in globalized, accelerated, and uncertain knowledge economies (Nelson, 1993; World Bank, 2002; Aarrevaara et al., 2021). Universities have come to be perceived by governments as drivers and manifestations of national competitiveness in global arenas (Horta, 2010). Based on human capital and endogenous growth theories that view formal learning as key to social and economic development, a knowledge race has developed since the mid- to late twentieth century, one that includes a fierce competition for talent and a drive to push knowledge production and dissemination to the highest possible levels, so that innovation can be sustained (Peters, 2003). Universities, as longstanding organizations in society specialized in formal learning activities, namely, training and research and development, assumed positions of relevance, first in national systems of innovation, then as nationally rooted but internationally focused engines of innovation (Tödtling et al., 2013). In this context, governments have made efforts to support their leading universities to compete at the global level. They use performance indicators to allocate public investment with the aim of rewarding the best universities and making the greatest perceived impact (Sörlin, 2007). When governments realized that more funding was needed and that learning activities tended to be costly, they proceeded with systemic and institutional reforms inspired by new, neoliberal public management thinking to make universities more streamlined, entrepreneurial, efficient, and responsive to societal demands (Carvalho, 2021). Managerialism and the rise of the evaluative state based on performance became the norm and changed the relationship between academia, the state, and the market (Neave, 2012). This led to a mix of intended and unintended consequences (see Ortagus et al., 2020) that is criticized extensively in most of the literature but has nonetheless been followed in practice by universities and academics globally (Tight, 2019). The results of these reforms include an increased global outlook, internationalization, and, above all else, accelerated regimes of competition that universities see themselves as part of (Horta, 2009). In a framework of increasing competition, based to a considerable extent on positional goods such as reputation, that is best supported by research activities and

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the functioning and ideals of US research universities, which are not always understood, the world university rankings have become a powerful, albeit simplistic, mechanism to further the global competition for recognition (Hazelkorn, 2015). A university’s high ranking permits all interested audiences and parties to consider it world leading, that is, part of the group of world-class universities (WCUs). Achieving WCU status is something that has captivated the imagination of governments, students, citizens, and the media due to its straightforward portrayal of the position of universities globally (Erkkilä, 2014). It also facilitates the understanding of what it means to be a graduate of or work at such a university or to have such a university in one’s country, as well as what the university represents in social, symbolic, and economic spheres and the purposes it serves, including those related to national pride (Allen, 2021). The practice of ranking universities is not particularly new or innovative. It seems to have originated in the United States, created by the media company U.S. News & World Report, which has conducted an annual survey of US universities since 1983 (Marginson & van der Wende, 2007). This was essentially a national exercise, comparing universities within a nation, its effect relatively minimal and contained nationally. The global comparison of universities, however, propelled university rankings to an entirely new level of interest and visibility, making them tremendously influential, as we know them to be today. This was triggered by two university ranking exercises starting in the early twenty-first century: (1) the Academic Ranking of World Universities (ARWU) by Shanghai Jiao Tong University, which commenced in 2003, and (2) the Times Higher Education World University Rankings (THEWUR), which started in 2004. The former was initially launched to benchmark Chinese universities against other world-leading universities and is known for employing objective and quantifiable measures with a strong focus on universities’ academic or research proficiency and visibility in science, technology, engineering, and mathematics (Marginson, 2007). This visibility and exponential growth in media attention of this benchmarking exercise surprised its authors, suggesting that the interest and demand for this type of global comparison was hitherto unknown (Liu et al., 2005). East Asian higher education systems have also conducted their own domestic rankings for quite some time. They are mainly used – similarly to the U.S. News & World Report ranking – as tools for prospective students to determine the most desirable university to be admitted to. Many of these rankings are issued by mainstream newspaper companies (e.g., Asahi University Ranking in Japan, Joongang Daily Ranking in South Korea). As higher education systems in the region have developed national higher education systems hierarchies, the domestic rankings are mostly aligned with public perceptions of prestigious universities and hierarchies (Yonezawa et al., 2017). When global university rankings were first widely disseminated, the public and many policymakers in East Asian countries were shocked by the low position of their most prestigious national universities in these global league tables, and policymakers had to endure taxpayers’ public criticism. National pride was at stake. This is one reason why the focus on global university rankings took primacy in policymakers’ agenda, and the media spotlight

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was used to assert the “standing” and “evolution” of national universities. Thus, competition among universities became a globally competitive game involving governments and universities and scrutinized by the public (Horta, 2009). This chapter intends to improve our understanding of the evolution of world university rankings and the consequences that they have had in terms of the contemporary development of universities in East Asia. It first compares East Asian universities’ performance in two influential world university rankings (i.e., ARWU and THEWUR) over the past decade. It then reviews the influence of global rankings on the region’s universities and discusses the long-term consequences and future directions in the higher education sector.

East Asian Higher Education in the Rankings East Asia is arguably one of the most dynamic regions in terms of higher education development worldwide. The major players in the region include China, Japan, South Korea, Hong Kong, and Taiwan, all of which are influenced by a Confucian cultural heritage and are intent on influencing the world’s science and higher education systems. These countries and jurisdictions did not have the same departure point as regards development and international recognition. Japan has been a scientific and economic powerhouse in the region since the 1950s and was one of the first countries in the region to adopt Western modernization models (Yonezawa, 2007). The country was for many decades the second largest economy in the world, and in the 1980s it threatened the economic competitiveness of the United States. It has long been recognized as a study destination for students from countries in the region (Yonezawa et al., 2013). The scientific competitiveness of Japan is also proven by its 29 winners of the Nobel Prize since 1949, even if most of them were based in the United States. South Korea had a period of remarkable development in the aftermath of the Korean War in the early 1950s, and it remains the only country in the world to have entirely changed its technological and economic structure, becoming one of the most competitive economies of the early twenty-first century (Eichengreen et al., 2012). Its higher education system developed quickly to meet the qualification demands of its population. With a smaller economy and population, Taiwan was able to specialize its economy to focus on high added-value products in the 1990s and became a high-tech manufacturing pole, particularly in the semiconductor industry, where it still has an edge worldwide (Ouyang, 2006). Hong Kong, as a former British colony, benefits from using English as an official language; has historically been integrated into knowledge, economic, and trading global networks; and remains an educational hub in the region, with a highly internationalized, dynamic, and cosmopolitan academia (Postiglione & Jung, 2012). China has experienced one of the fastest growths in recorded history in scientific output and higher education, due to substantial public investment in universities and the population’s demand for tertiary education. It is currently the second-largest economy in the world, is well-integrated into global economic, higher education, and scientific networks, and is claimed by

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many authors to be a leading country in the twenty-first century (Marginson, 2018). (Mongolia, Macau, and North Korea are other countries and jurisdictions in East Asia. The Mongolian higher education sector is undergoing radical reforms to meet international standards and improve international visibility in recent years, yet few government strategies or initiatives concerning the building of WCUs have been implemented so far (Dembereldorj, 2020). Macau has a relatively small and young higher education system of approximately 30 years; no strategy or specific funding has been identified relating to world university rankings (Education and Youth Development Bureau, 2021). Little is known about the closed North Korean higher education system; however, its ongoing higher education reforms appear to be focused mainly on meeting the national agenda for scientific and socioeconomic development (Kim, 2021).) The impact of world university rankings in East Asia has been extensive, mainly because it has served as a driver to promote higher education reforms and to show the recent rapid development and prominent global positioning of East Asian countries and territories (Allen, 2021). Many of the region’s governments in East Asia have joined the university ranking positional race, investing vast amounts of resources to climb the ladders of the world university rankings, which are still dominated by Anglo-American universities. The region’s universities see successful cases – mostly of North American origin – in the global university rankings as benchmarks to inform the improvement of their own institutional quality and research capacity (Huang, 2015). In recent decades and against the backdrop of neoliberal globalization and higher education internationalization, most governments of the above East Asian countries and jurisdictions have launched initiatives to align the region’s best universities with the standards of WCUs, for instance, China’s Project 211 and Project 985 in the late 1990s, replaced recently by the Double First-Class Initiative in 2015; Japan’s National University Corporation Act in 2004, Global 30 Program, and Super Global 37; South Korea’s Brain Korea 21 Project (1999–2012), WCU Project (2008–2013), and Brain Korea Plus 21 Project; and Taiwan’s Aim for the Top University Project of 2005 and more recent Higher Education Sprout Project of 2018 (see Appendix A in Chou & Chan, 2016, for more details). As for Hong Kong, building a regional education hub has been high on the government’s agenda since 2007, although no particular WCU program has been established (Cheng et al., 2011). These strategies are aimed at enhancing the global competitiveness and visibility of the region’s universities and highlight two trends: (1) neoliberal decentralization, whereby the state adopts a more evaluative and “at a distance” stance, promoting competition for resources and efficiency in universities, and (2) the need to compare the performance of universities not only nationally but also globally. For example, Japan’s National University Corporation Act encouraged financial independence and university autonomy and introduced top-down management and third-party evaluation (Hanada, 2013). In addition to the privatization of higher education in Japan, this reconfiguration of university governance in public higher education systems has led to the decreasing role of government and reduced public funding in education, although the number of competitive grants has increased (Hanada, 2013).

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Nonetheless, the government prepared a targeted funding scheme for the nation’s 20 or so leading research universities to increase their competitiveness in the world university rankings (Ishikawa, 2014). Further, as argued by Welch (2020), the rhetoric of the “at a distance” approach to increasing institutional autonomy may at times result in increased government intervention in the name of accountability; China serves as an example of this limited decentralization of university governance. Despite a variety of controversies as to their reliability and validity (see Amsler & Bolsmann, 2012; Bowman & Bastedo, 2011; De Witte & Hulikova, 2013; Hallinger, 2014; Li, 2016; Marginson, 2007; Teichler, 2011), institutional rankings continue to proliferate and are generally accepted by multiple stakeholders in East Asian higher education as a quick and straightforward means to compare the performance of universities both nationally and globally. In such a simplistic yet structured global competition, government campaigns to create WCUs have been used as a policy instrument to promote national productivity and competitiveness in global innovation and knowledge systems (Hazelkorn, 2007). Concurrently, the measures and techniques developed by the ranking companies and organizations are driving the region’s universities to align with a number of unidimensional indicators that favor the image of what is perceived to be comprehensive research-intensive universities (Marginson & van der Wende, 2007). The so-called “ranking fever” among policymakers, the media, and the public in East Asia may arguably undermine the capacity building and societal contribution of the region’s universities in the long run (Hallinger, 2014), creating inequalities between universities both nationally and regionally (Shu et al., 2021). Hallinger (2014) used the Chinese metaphor of “riding the tiger” to describe the uncomfortable choices faced by East Asian universities as regards the world university rankings. Although these universities are pressured to perform on the back of the tiger (i.e., the ranking games), the alternative of jumping off the tiger (i.e., ignoring the ranking games) is perhaps even more dangerous. Marginson (2007, p. 131) pointed out that “[g]lobal university rankings are all too simple and utterly visible. They cannot be evaded or escaped.” The global university rankings gradually built their credibility by providing the simplest comparison between universities and explanation of “customer-type” information independent of higher education institutions (Hazelkorn, 2007). This practice demonstrated a perfect application of the law of parsimony (also known as Occam’s razor), which states that the simplest explanation is correct because it is also the most powerful and understandable. Critiques of the rankings and their “one-size-fits-all” approach to meeting the needs of a generic audience are rising within the East Asian scholarly community (Goglio, 2016), particularly given the perverse consequences occurring in the higher education sector worldwide (e.g., Shin & Toutkoushian, 2011). However, there is little choice for policymakers and universities in East Asia but to continue to play the game; they are victims of their own success. It is fair to say that East Asian universities are among the most active players in the global ranking games, as they have made spectacular achievements over the past 10 years, as shown in the ARWU (see Table 1) and THEWUR (see Table 2). The number of China’s universities entering the world top 100, 101–200, and 201–500 ranking levels has doubled

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Table 1 Number of universities in the top 500 in the ARWU 2011–2021 by East Asian country/ region Country/region China

Japan

South Korea

Hong Kong

Taiwan

Ranking 1–100 101–200 201–500 1–100 101–200 201–500 1–100 101–200 201–500 1–100 101–200 201–500 1–100 101–200 201–500

2011 (number) 0 1 22 5 4 14 0 1 10 0 1 4 0 1 6

2016 (number) 2 7 32 4 2 10 0 3 8 0 1 5 0 2 5

2021 (number) 7 17 48 3 4 5 0 1 10 0 4 1 0 0 6

Source: ARWU 2011, 2016, 2021 Table 2 Number of universities in the top 500 in the THEWUR 2012–2022 by East Asian country/ region Country/region China

Japan

South Korea

Hong Kong

Taiwan

Ranking 1–100 101–200 201–500 1–100 101–200 201–500 1–100 101–200 201–500 1–100 101–200 201–500 1–100 101–200 201–500

2012 (number) 2 1 7 2 3 11 2 1 4 2 2 2 0 1 7

2017 (number) 2 2 8 2 0 10 2 2 7 3 2 1 0 1 4

2022 (number) 6 4 14 2 0 6 2 4 4 4 1 1 0 1 4

Source: THEWUR 2012, 2017, 2022

in both rankings, with Beijing’s Peking University and Tsinghua University edging into the world top 20 (tied at 16th) in the 2022 THEWUR. Tsinghua University (28th) surpassed Peking University (45th) in the ARWU 2021. The remarkable performance of Chinese universities in the rankings has been driven by the WCU

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campaign in the late 1990s, along with phenomenal economic development. The implementation of two national initiatives, Project 211 and Project 985, bolstered a few select universities to achieve world-class status. These initiatives were later replaced by the Double First-Class Initiative in 2015, with financing from the central government to continue building China’s world first-class universities and academic disciplines (Peters & Besley, 2018). The present trend of Chinese universities ascending the global university rankings is likely to continue. Although such trends indicate Chinese universities’ increasing ability to contribute to the global pool of knowledge, analyses of the veracity of this claim are mixed. On the one hand, Chinese universities are increasingly taking the lead in highly cited papers worldwide in the natural and exact sciences and in some engineering fields (Li, 2018). On the other hand, some of the growth of Chinese scientific production seems to be overestimated due to the indexing of database inclusions of noninternational journals written in Chinese and shows imbalances between fields of knowledge that are not seen in other countries that are scientific powerhouses (Horta & Shen, 2020). Other side effects of the WCU policies in China are increased stratification and the development of hierarchies in China’s higher education (Mok, 2017). South Korea and Hong Kong have steadily improved their positions in the world’s top 200 universities in the two global rankings, with the Seoul National University (54th) and The University of Hong Kong (30th) achieving their best performance so far in the THEWUR 2022. However, South Korea and Hong Kong are still waiting for their top-ranked universities to cross the threshold into the world’s top 100 universities in the ARWU (see Table 1). With the successful implementation of WCU projects in South Korea, including Brain Korea 21, the government has increasingly launched new funding policies, making institutions compete nationally and strengthening the performance-based evaluation measures for individual academics (Shin & Toutkoushian, 2011). Although recent policies have contributed to the country’s international recognition in the league tables, there are rising concerns about imbalanced investment among universities by region and by discipline and the neglect of local social research efforts (Byun et al., 2013). In addition, the pressure to improve research productivity quickly has led to heavy investment in applied research fields that can be enhanced in a relatively short period; however, more long-term investments in basic and fundamental research have declined. The universities in Hong Kong have the advantages of being recognized globally and using English as an official language in most learning activities. As the government adopts a policy-borrowing strategy and often relies on international benchmarks to measure the region’s success, the research assessments conducted in Hong Kong are inspired by research assessment exercises conducted elsewhere, particularly in the UK. The adoption of such assessment frameworks gives credibility to government-funded universities. However, the research productivity at Hong Kong universities rests on the high quality of the academic staff in a research system that many consider to be underfunded, placing the competitiveness of Hong Kong universities in jeopardy in the short term (Lo & Tang, 2020). In contrast, Taiwan and, more obviously, Japan appear to be grappling with the ranking games, as their

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universities have lost position in the world’s top 500 universities rankings in the past decade. The University of Tokyo, the best in Japan, is ranked 24th and 35th in the ARWU 2021 and THEWUR 2022, respectively, whereas Taiwan has yet to see its first university gain entry to the world’s top 100 universities in either ranking (see Tables 1 and 2). This may be due to the paradoxical approach of governments in Japan and Taiwan of funding programs to create WCUs while reducing research funding, which has led universities to rely increasingly on part-time researchers to drive their research efforts. These universities also face the challenges of adopting more open and flexible organizational structures and internationalizing their academia and research collaborations (Arimoto, 2015; Chan et al., 2020). Japan’s ambition to elevate its higher education to match world-leading universities in the university-ranking games is also largely constrained by national economic stagnation and an aging academic core (Marginson, 2017).

Gamification of the Rankings The higher education landscape in East Asia is undergoing rapid systemic changes as the region’s universities fervently compete in the ranking race. Recent studies, including that by Chirikov (2021), have shown that ranking indicators and measurements can be easily manipulated by the ranking agencies, who themselves profit from such rankings and have several conflicts of interest. Some of the existing university ranking agencies are notoriously profit-oriented, and their measures are deemed to be completely unreliable or meaningless; they are nevertheless still followed by governments and university managers (Soh, 2017). Adhering to the rules and metrics to improve performance in the ranking games – despite questions about these indicators’ reliability, quality, and usefulness – governments and university managers in East Asian countries have become obsessed with the homogeneous criteria and unidimensional indicators provided by the ranking agencies to maximize research output to boost institutional rankings (Welch, 2017). In this context, the complexities and contextualization of higher education in the region have been overlooked, often leading to the de-prioritization of higher education missions, vernacular knowledge and scholarship, societal contribution, and longterm capacity building. Global university ranking games have significantly dominated the reconfiguration of higher education in terms of teaching, research, and service in East Asia (Li, 2016). The mission of research has been prioritized over other aims in order to succeed in what are often described as single-minded ranking games. The overemphasis on research has led to the intensified gamification of the rankings and the rise of an audit culture in the region. This in turn has led to an obsession with publishing only in journals indexed by the Web of Science database (formerly ISI citation indexes), namely, the Science Citation Index (SCI), the Social Science Citation Index (SSCI), and the Arts and Humanities Citation Index (A&HCI) (Chou & Chan, 2016; Yang & Welch, 2012). Used in the university ranking metrics, publication and citation numbers in highly ranked and indexed international journals

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are valued not only by universities because they raise an institution’s rankings but also by academic staff for their importance to research grant applications, tenure, and promotion (Kao & Pao, 2009). Academics and even PhD students are gaming the system, as the current situation is “not just publish or perish; it’s publish and flourish” (Price, 2018), which has only been intensified by research assessment exercises becoming the norm in East Asia (see Chou, 2014; Li, 2016). Individual academic performance is routinely subject to audit by third-party “experts” and compared with external benchmarks, and governments often request such audits in the name of public accountability (Li, 2016; Welch, 2016). Thus, as noted by Welch (2016), academics are pressured to increase research productivity across the region and are being reshaped into “self-monitoring subjects.” The pressure on academics to increase their publication numbers has also given rise to unethical and corrupt research practices such as plagiarism and the falsification of research data, the exploitation of students’ authorship, and payment for publication (Welch, 2020). The environment of intense competition as regards publication, heightened by perverse policies and incentives to publish and the pressures associated with publishing for the sake of increasing universities’ rankings, has led to a rapid proliferation of scientific fraud and the retraction of papers by authors based in China, Japan, and South Korea (He, 2013). Some instances of such scientific fraud have had high media exposure, which is ultimately detrimental to the standing of academia, academics, universities, and science in the region and the world (Meskus et al., 2018). Other issues associated with the region’s frenzied push to publish in highly ranked international journals indexed in the Web of Science can be summarized as the dilemma of choosing between “publish globally and perish locally” and “publish locally and perish globally” (Hanafi, 2011). The ranking games favor publications in indexed journals, which are overrepresented by North American and West European journals and editorial boards that privilege English as the lingua franca of scholarship. Furthermore, submitted manuscripts are expected to conform to expectations, standards, and focuses that reflect the scientific priorities, cultures, and understanding of the countries or regions in which these journals and editorial boards are located (Cummings & Hoebink, 2017). This has posed significant challenges for academics in many parts of East Asia, as English is their second or third language. Hong Kong is the exception, as its higher education is rooted in the British model, established during the colonial era, and is the most internationalized academic system in the region (Li, 2016). The publishing practices in these internationally refereed journals have also led to rising criticism of a convergence of research interests and agenda that leaves little room for pluralism and local relevance (Chou & Chan, 2016; Kuteeva & Airey, 2014). East Asian-based academics who are prolific in these English-language journals, especially in the fields of social sciences and humanities, are thus likely to face the situation of “publish globally and perish locally,” to the detriment of their own societal relevance and contributions to the local community. Academics in the social sciences and the humanities in China have reported high levels of pressure and stress, partly because they were not trained to publish internationally and, in some cases, because their research interests tend to be dominated by national research focuses that may be considered too localized to be of interest to the readership of international journals (Lu, 2019).

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In contrast, Japanese researchers in the social sciences have achieved a certain balance in this regard (Hanafi, 2011), if not an overcommitment to vernacular scholarship and local readership (Ishikawa & Sun, 2016); however, this has come at the cost of global recognition and declining performance in the world university ranking games. Thus, the dilemma may be not an either–or matter but rather a case of juggling both priorities, thus placing more pressure and stress on academics. A coping strategy of publishing both globally and locally appears to be increasingly adopted by young, bilingual scholars in the East Asia region (Welch, 2021). Yet, driven by neoliberal market competition, ranking fetishism, with its focus on quantity rather than quality and short-term gains to move up in rank, has provoked critical discussions and reflections on long-term capacity building and on how the demands of local communities and of society at large might be met. Such discussions place emphasis on how the current generation of mass publication has had a consequence counter to what would be expected, in that it has led to a slowing of discovery and innovation in scientific research (Chu & Evans, 2021). These changes have also affected the long-standing East Asian university culture. The values shared by East Asian universities, including socio-ethical principles such as collectivism, harmony, and respect for seniors, have gradually diminished, and these cultural changes often create internal conflicts in the decision-making process in Asian universities (Chan et al., 2017; Jung, 2018).

From Game Players to Game Changers Rankings are ubiquitous and are here to stay. However, as noted by Marginson (2007), now may be the best time to intervene in the discussions and debates on approaches to the ranking regime, before development becomes irreversible. It is noteworthy that the global rankings, as argued by Pusser and Marginson (2013), are used as instruments to exercise power that serve compound purposes and interests within and between states. Taking a sociological and political perspective, Amsler and Bolsmann (2012, p. 294) argue that the ranking games “obscure struggles of unequal power as struggles for meritocratic recognition,” exacerbating scenarios “where elite people are funded by elite people to teach elite people knowledge for elites.” While East Asian universities are engulfed in the global ranking games that reproduce prestige and power, as previously noted, “opting out” of the ranking games seems likely to be more costly. East Asian universities are arguably striving to advance their higher education systems as game players from the “periphery” toward the “centre” of the world knowledge system dominated by Anglo-American universities. This raises the question of how East Asian higher education can resist or, if it cannot resist, live better with the ranking games. The attention given to the world university rankings seems to be causing governments and universities to restructure the priorities in higher education in East Asia to cater to so-called “relevant” measures and metrics to move up in the world ranking league tables, rather than focusing on the services provided by the higher education sector and science. Simply redressing the methodological flaws of ranking indicators is not enough to solve the systemic problems that involve a wide array of

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stakeholders, including universities, governments, ranking organizations, big publishers, and the public. Furthermore, the ranking providers are unlikely to adjust these profitable products in the interests of the more responsible development of higher education (Peters, 2019). It is thus imperative to think innovatively and focus on other significant parameters for the recalibration and assessment of higher education quality, particularly given the effects of the COVID-19 pandemic on research, teaching, learning, and the well-being of academics and students in higher education. Such parameters, as suggested by Li (2021, p. 16), can be drawn from more inclusive perspectives of “vision, values, objectives, equality, diversity, governance, structure, mechanism, curriculum (programs), networking, [and] characteristics.” Although it is not easy to resist or reverse trends underpinned by the prevailing paradigm of neoliberalism, there is still hope for an alternative to change the game. It is doubtful that this will sprout from the rising East Asian region of Confucian heritage, as the universities in this region still follow and adapt their policies to university and global science models that rely on the competitive drive that world university rankings feed (Chan et al., 2017). If universities in East Asia can provide alternatives, then, as stressed by Hallinger (2014), these must emerge from close cooperation and coordination among university leaders in East Asian countries and universities. With the global rise of China’s influence, the world is witnessing a power shift from North American and European countries to the Asian continent, particularly East Asia, and is entering a multipolar era amid geopolitical tensions. Against this backdrop, the higher education landscape will continue to change rapidly, possibly opening a window for dialogue and collaboration between regions to achieve a more collaborative and inclusive global higher education system (Xu, 2021). In particular, the rich Chinese cultural tradition, with its profound resonance in East Asia, may potentially counteract the homogenizing force resulting from the competition of the ranking games. For instance, to tackle the challenges of our times, the Confucian discourse of “seeking harmony rather than uniformity (heer butong)” may offer some food for thought in terms of the conceptualization of diversity and reorientation of higher education, with collective effort based on mutual understanding and respect in the contemporary world (see Ames, 2009; Marginson & Yang, 2021). However, such an approach faces opposition from capitalism and geopolitical power struggles. Furthermore, competition dynamics are a powerful drug that may obscure the need to reflect on and consider optional models of analysis of university work, engagement, and the establishment of more sustainable higher education models that can better serve science and society. Whether East Asian universities have the courage to be game changers, engage in the conversation, and contribute to the paradigm shift remains to be seen.

Conclusion Despite the conceptual and methodological flaws of world university rankings, as pointed out by several works of academic research, the influence of these rankings at the national, institutional, and individual levels remains significant in today’s higher

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education. Heavily affected by these rankings, East Asia has been experiencing the most dynamic development in higher education globally. Its strategic public policies and aggressive resource investment, which were largely launched after the worldranking league tables became widely disseminated, have driven remarkable increases in the research output and global recognition of the universities in the region. East Asian universities’ achievements are projected to last for the next few decades. Ranking competition has brought about certain positive changes in the higher education systems, such as greater investment in research and development, overall improvement in the quality of learning activities, the increased effectiveness of decision-making processes, and better information transparency. Some of these changes are superficial. Yet, the overwhelming reliance of the rankings on simplistic and reductionistic indicators developed solely for comparison purposes has caused the complexities and contextualization of higher education systems to be neglected. The number of universities from this region in the world university ranking tables is an extremely small proportion of those in the region’s national higher education systems. Those who are not in the rankings aspire to be so, and there are informal reports of institutional policies to boost the number of international publications in universities that have historically been primarily teaching orientated. On a systematic level, many unaddressed problems exist in higher education systems that the world university rankings cannot respond to or solve and indeed potentially exacerbate. It is well known that when universities are sorted vertically, some being categorized as “excellent” or “world-class’” (Teichler, 2011, p. 259), the higher education system loses its horizontal diversity, which is essential to the operation and fulfillment of the social mandate of massified and universal higher education systems. The definition and measurement of “quality” is multidimensional in horizontally diversified systems, whereas ranking tables interpret quality in narrow, simplistic, and unidimensional terms. The resulting neglect of teaching, learning quality, and students has been criticized in many studies, and the problem remains prevalent among Asian universities today. Based on the achievements that East Asian universities have made in knowledge production and innovation, now is the critical time to reinterpret or readopt the world university rankings to create a more sustainable development of universities, higher education systems, and the societies they serve. This is not an easy task, as there is little incentive for a university or government to change things when it is moving up in a system that favors current behaviors and policies. Such change requires humility, courage, and a strategic vision for the future rather than a focus on short-term accolades. The urgent issues that East Asian higher education face related to social and economic changes, such as a decline in birth rates and the school-age population and the rise of artificial intelligence and other technological advancements, will require structural changes and reforms in higher education systems, including merging and closing universities. The soaring inequality and limited access to quality higher education in the region are also urgent problems that ought to be addressed. Rather than marketizing institutional positions and continuing the “arms race” of institutional competition, it is crucial to rethink the purposes and uses of ranking, particularly given the upcoming challenges that policymakers and university managers face.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Impact of Globalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Massification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Market and Privatization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . World University Rankings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Internationalization of Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Concluding Thoughts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

In a context of increasingly intensified globalization, higher education development in the Asia-Pacific is picking up the pace in nearly all major domains including massification, governance, marketization, and privatization, and world university rankings. Meanwhile, the internationalization of higher education in the region also deepens. It has even become a focal point at various levels from national governments to institutions and individual knowledge workers. The scenarios of the internationalization of higher education in the Asia-Pacific, however, have been highly differentiated. With substantial differentiation among the societies in the region, internationalization has multi-dimensional meanings to their higher education systems. In general, the higher education landscape in the Asia-Pacific countries has become increasingly internationalized over the past 50 years. The most recent three decades have seen particularly remarkable achievements in the internationalization of higher education in the region, especially in East Asia. Such developments have contributed greatly to R. Yang (*) Academic Unit of Social Contexts and Policies of Education Sciences Education, University of Hong Kong, Hong Kong SAR, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_94

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the present transformation of some Asia-Pacific higher education systems into the largest and arguably most promising ones in the world. Keywords

Globalization · Higher Education · Internationalization · Asia-Pacific

Introduction Nearly a 120 years after US President Theodore Roosevelt famously proclaimed the dawn of the “Pacific Era” in 1903, the Asia-Pacific region has emerged as the global economic and political powerhouse of the twenty-first century. Indeed, a global role of the Asia-Pacific as a region in international economy and politics is a modern phenomenon. A major difference between Roosevelt’s time and the first two decades of the twenty-first century is that many Asian countries have ceased to be pawns of the major external powers and have increasingly become masters of their own destinies. This is especially the case for East Asia which has transformed from a region of poverty and insurgency into one of the most important centers of the international economy. The regional identity of the Asia-Pacific derives from geopolitical and geo-economic considerations rather than from any indigenous sense of homogeneity or commonality of purpose (Yahuda, 2011). As a matter of fact, the Asia-Pacific states do not share cultural origins or common political values as a basis for their regional identity. There is no official definition of the Asia-Pacific region and its boundaries. The list of Asia-Pacific countries varies depending on the context, located mainly in eastern and southern Asia and Oceania, with great diversity among them in population and territory size and economic development. The region boasts some of the world’s oldest residential universities and venerable higher learning traditions, such as Takshashila in ancient India in the fifth century BC, China’s Taixue during the Former Han period (206 BCE–8 CE), and the House of Wisdom in Baghdad during the Islamic Golden Age dating back to the eighth century (Tandon, 2008). Modern universities in the region, however, are all based on European academic models as the result from Western imperialism and colonization in the nineteenth century (Altbach, 2004). Derailing from their indigenous traditions, all Asia-Pacific higher education systems have sustained strong Western impact, as shown by the German model on the Japanese system; the British pattern on India, Singapore, Hong Kong, and Malaysia; and the French legacy on Southeast Asian nations such as Thailand, Indonesia, and Vietnam. Globalization has never had a greater cultural, economic, and political impact in history, affecting countries, cultures, and systems in different ways both positively and negatively. Higher education is no exception (Rust & Kim, 2021). Its actual effect on higher education development depends also on the responses made by systems and institutions based on their cultural and environmental processes. Therefore higher education in different countries rises to globalization challenges

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differently (Stromquist, 2007), with significant differentiation between the Asia-Pacific countries. While some industrialized (and not incidentally also non-Western) countries view globalization as providing a momentum for reform, most developing countries in the region focus on increasing access, redefining the mission of higher education and sometimes struggling against the forces of globalization (Enders, 2004). Achievements by the Asia-Pacific countries are generally recognized, with the fastest growing higher education market internationally as a result of rapid economic growth over the past few decades (Shin & Harman, 2009). Some fast-growing economies in the Asia-Pacific have demonstrated successful development models over the past decades. Reaching a 34.9 % share in 2019, the region has become the biggest contributor to global GDP (Asian Development Bank, 2020). Home to 60 % of the world’s population, the middle classes are fast growing with a burgeoning demand for higher education. The past decades have witnessed some remarkable progress, including a vast expansion of higher education and rapidly expanded access in nearly all countries throughout the region. Meanwhile, higher education development has met a number of challenges from quality control to inequalities. With major differentiation between the experiences of a few Western societies, such as the United States, Canada, Australia, and New Zealand, and the non-Western majority, this chapter focuses on the latter. It shows that while the immense complexity of the region poses a great challenge to making sense of its higher education trends, some features of the development have been identified and comparable.

Impact of Globalization Globalization is changing the very fundamentals of human relations and social life. With increasingly intensified globalization, everything is rapidly becoming organized around a much more compressed view of space and time. As knowledge is fundamental to globalization, globalization has also a profound impact on the transmission of knowledge. With rapid socio-economic changes, higher education systems and institutions in the Asia-Pacific have been greatly influenced by globalization in a variety of aspects.

Massification Globalization increases the demand for higher education. In the context of globalization, many higher education systems in the region have experienced massification that has greatly enhanced access and brought many challenges as well. Within the region, industrialized countries achieved universal higher education in the twentieth century while many developing countries are still moving toward universal higher education. Enrolment rates therefore vary much depending on their economic and socio-cultural contexts. South Korea, the United States, and Australia, for example, had a tertiary enrolment rate in excess of 70%. With the move to mass higher

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education, many Asian and Latin American countries have substantially increased their enrolment rates. The impressive growth of higher education enrolments was particularly a feature for non-traditional students who were female, part-timer, or of mature age. Indeed, over half of the total student population was female and over 10% aged 40 or above (Shin & Harman, 2009, p. 5). In most countries, the growth of tertiary enrolments was primarily supported by public funding. With massive expansion come quality issues. In the shift from elite to mass form, while there are strong pressures to expand access, there are urgent needs to overcome shortfalls such as low quality. Furthermore, the rapid expansion of higher education has often caused a lack of sufficient financial support to maintain quality teachers, facilities, and library sources. Leaving much to the market with limited state capacity to regulate the growth and quality of higher education has caused a series of issues of quality and equity, especially in developing countries with widening gaps between rich and poor. Private institutions are generally seen to hire part-time academic members with low salaries and insufficient time in the Philippines, Indonesia, and Vietnam in Asia and even more so in many countries in Latin America for an extended period of time (Mendoza, 2020). Some countries in the region have continued to struggle with a variety of issues related to gaps in higher education between social classes, ethnicities, genders, and geographical regions (Hawkins, 2016).

Governance Increasingly intensified globalization, fast-accelerating market forces, and insatiable demands from knowledge-based economy on the one hand and diminishing social and financial support from the public on the other hand have made governance one of the central foci of higher education reforms worldwide. The Asia-Pacific is no exception. Major issues include mechanisms of policy-making in higher education, new governance structures at both institutional and global levels, the changing relationships between higher education, the state and the market, as well as governance within higher education institutions. In the context of the changed role of the state, constrained financial resources, growth of private institutions, and strong social demand evidenced by an increase in enrolments, the move toward increased autonomy of higher education institutions is generally a major reform strand in higher education. Consequently higher education institutions are compelled to enhance their quality of service and delivery, while striving for cost-effectiveness and global competitiveness. Different forms of state regulation traditions exist among the Asia-Pacific societies. Those of European origin are more likely to enhance the role of the market (King, 2007). Such an approach of strong market involvement prioritizes efficiency and effectiveness and emphasizes performance and national and international competitiveness. Within such a tradition, the governments have largely adopted market mechanisms, deregulation, and decentralization while stressing accountability at the same time. By so doing, they can take tight control over higher education institutions and the people within these institutions. Meanwhile, institutional and individual initiatives could be fully exploited.

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Such a move has led to decreased public funding for higher education, increased public accountability, and intensified competition between higher education institutions. While such measures are more in line with the European tradition in governance, many Asian societies with vastly different traditions have also adopted them, causing many culturally thorny problems for them. Direct governmental involvement has generally decreased in many countries throughout the region in order to allow greater flexibility and autonomy in management. In such a climate, many new organizations, such as agencies of quality assurance and public funding allocation, have been established. To some extent, the legal status of higher education institutions has been transformed from a component of state government to independent entities (Shin & Harman, 2009). The incorporation of public universities not only happened in traditionally decentralized higher education systems but also in those that have long been characterized as highly centralized systems such as China (Yang, 2007). Through separating public institutions from direct governmental intervention, incorporation of public universities intends to ensure institutional leaders and academics have sufficient autonomy, freedom, and flexibility, together with enhanced accountability. Much firmer management approaches are emphasized to achieve the goal of incorporation of public universities which was implemented in Malaysia in 1998, in Japan in 2004, and in Singapore in 2006 (Kaneko, 2009). During the mid-1990s, incorporation was also much discussed in South Korea and Taiwan. The state is traditionally strong in these societies with direct and tight control over the higher education sector. As greater autonomy is granted to institutions, the states have been able to maintain their control via indirect mechanisms, such as funding schemes and quality assurance agencies (Shin & Harman, 2009). The way things are done has also been much changed within higher education institutions. Previously, especially in the European tradition, academics especially senior scholars, enjoyed great professional authority and autonomy. They were at the center of university governance and much relied on in decision-making (van Vught, 1994). Today, university governance aims increasingly at managerial efficiency, economic benefits, and international competitiveness. University leaders are now called managers, while management authority is becoming increasingly centralized within institutional governance in order to achieve enhanced performance and efficiency. Lower levels of authorities such as departmental heads are losing their power. As shared and professional governance declines, some fundamental relationships within institutions are changing, accompanied by fading collegiality (Ferlie et al., 2008). This has happened rapidly, not only in Western societies featured traditionally by individualism, but also in East Asian societies that have long been seen as highly relational.

The Market and Privatization The 1990s saw increasing intensification of globalization worldwide. Against such a backdrop, the market was introduced into higher education at institutional and systemic levels throughout the region. It was strongly promoted and privileged by

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and through globalization into the higher education sector, with growing competitions between institutions and systems both within and across nations. Such a move has exerted enormous impact on most aspects of higher education provision from governance and financing and further to research, teaching and knowledge exchange (Marginson, 2006; Stromquist, 2007). Among the triangle (market, government, and academic professions) developed by Clark (1983), market competition has now become extremely prominent and powerful throughout the systems in the region. Within such a context, what higher education is and how it should be practiced have been much changed within and outside the higher education sector. Since the mid-1990s, governments began to decentralize power and emphasize the importance of institutional performance (Henkel, 1997; McLendon et al., 2006; Volkwein & Tandberg, 2008). National policies placed central emphasis on the role of higher education in economic competitiveness and knowledge production (Altbach, 2009; Deem et al., 2008). With growing emphasis on economic development, education was increasingly seen by the states in the region as an important service sector to enhance the productivity of their national labor force. Higher education was at the forefront due to its significance in the knowledge-based economy, in which knowledge is the main determinant of economic competitiveness. There have been dramatic changes in higher education and ideology defining standards and global competiveness (Rust & Kim, 2015). Once a market mechanism is widely functioning in higher education, goods and services are exchanged between providers and consumers, leading to increased competition between providers. Competition goes beyond regional and national boundaries all the way to the global level. It is therefore not entirely incidental to see the huge expansion of numbers of international students traveling from the Global South to the North. A number of higher education systems in the Asia-Pacific, such as South Korea, Japan, and the Philippines, achieved higher education massification mainly through their private higher education institutions. At the same time, via playing a significant role in higher education massification, the private sector has established itself in higher education provision. This has become a reality in many societies in the region, even in the societies that claim to be socialist such as China (Mok, 2021) and Vietnam (Asian Development Bank, 2012; Welch, 2007). As prominent private higher education institutions, such as Harvard, Yale, and Princeton in the United States, have become unprecedentedly influential on the global stage, in many other countries private universities have also been gaining growing significance in the context of massification and commercialization of higher education (Levy, 2006). Private provision of higher education was supported by government policies and by some supranational organizations that emphasized the rate of return in higher education, such as the World Bank (Bennell, 1996). The then highly influential neoliberal ideology facilitated the movement to a great extent. Consequently, many private higher education institutions that had been non-profit became more oriented to income generation, while more for-profit institutions spread fast in many AsiaPacific countries. Furthermore, many public institutions also transformed into for-profit institutions through joint programs with institutions in other countries

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and recruiting international students, as shown by many American and Australian universities that run joint degree programs in other countries (particularly in the Asia-Pacific region) as profit-generating enterprises, while they are non-profit in their own countries (Marginson, 1997).

World University Rankings Combined with the impact of globalization and the development of the global knowledge economy, another powerful competitive force is the rise of global university rankings that have triggered the transformation of world higher education (Marginson, 2020). Although there are controversies about ranking surveys (Marginson, 2007), they quickly attracted close attention from policy-makers and higher education administrators in many nations and have influenced university administrators, political leaders, students, and the media worldwide. For instance, leaders in China, Korea, and Malaysia have initiated research and development (R&D) policies that aimed to increase the performances of their flagship higher education institutions in such global league tables (Hazelkorn, 2008). Global rankings have continued to influence attitudes to the point that almost every nation is now conscious of its global standing in higher education. Everyday more and more universities compete to hire highly cited researchers in order to boost their performances in global rankings (Shin & Harman, 2009). Global university rankings take on particular importance in East Asian societies which are particularly keen to join the race to have their national premier universities climb the ladders of the world’s competitive league tables. According to Philip Hallinger (2014, p. 231), universities in East Asia are “riding a tiger” of global rankings in order to climb the list of the world’s top 100. The Chinese metaphor of “riding the tiger” refers to situations in which they face an uncomfortable set of choices. It vividly portrays a dilemma faced by East Asian universities: perched on the back of the tiger, one can hang on “for dear life” or jump off and face the prospect of being eaten. Hallinger’s assessment of the impact of global rankings on East Asian universities shows that the world university rankings are akin to the tiger. “Pressure to perform on the world university rankings is carrying universities towards goals that may threaten long-term capacity development and societal contribution of many of the region’s universities. Yet, the alternative - jumping off the back of the tiger and ignoring the rankings - is potentially even more dangerous” (p. 231). However, East Asia’s (especially China’s) experience throws light on how to manage world university rankings with broad implications especially for higher education systems in many non-Western societies. It proves that, even if global university rankings are a monster, they could be tamed to serve good purposes. Such an observation deserves much attention from researchers, policy-makers, and frontier practitioners in higher education. The Academic Ranking of World Universities (ARWU) by Shanghai Jiao Tong University was the earliest of global university rankings, established in 2003. Since then, a number of other global ranking schemes have been established. Although never officially acknowledged, China has been

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using global rankings of universities as the key performance indicators of worldclass universities. China treats leading American and British research universities as good examples of world-class universities, using them as development models to be imitated and learned from by Chinese universities. It is worth noting that ARWU was the direct yet quite unexpected result of China’s world-class building. It evidently shows China’s strategy for catching up as a latecomer to modern university development. Answering the call for world-class universities, researchers at Shanghai Jiao Tong University undertook a project to find out what a world-class university looked like and what the key performance indicators were, in order to identify due strategies for Chinese universities and particularly for their own institution to gain world-class status. Consequently, a number of key indicators were created to measure how much Chinese universities lagged behind. Such work gave rise to ARWU. Therefore, although appearing almost entirely Western in terms of its benchmarks, the Shanghai-based ranking system was created to serve China’s strategic purpose. This is an important reminder because many universities around the globe aim at world-class level without understanding what the level actually means and how to operationalize their strategies. China’s experience has implications for many others who are also keen to catch up in university development. Facilitated by world university rankings and global competition, another change brought directly by globalization to higher education systems and institutions in many Asia-Pacific societies is a change of reference. As an effort to govern today’s global space of higher education, world university rankings are one of the primary modes of the governance in global higher education. Higher education in the region is now going global. Some even aim at world-class status (Mok & Yu, 2013). This shows a change to the frame of reference in higher education reforms with a passionate embrace of international norms, especially at the top layer of their finest universities. Many Asia-Pacific universities once competed with their national peers only without looking outward at their international peers for standards. Only in the recent decades have their top universities embraced a larger international sense of themselves. For instance, in today’s East Asian discussions of university reforms, best universities in the West have always and frequently cited as benchmarks, showing East Asia’s proactive embrace of international standards and repositioning in the global community. In short, the most fundamental impact of globalization on higher education development in the Asia-Pacific is the further expansion of Western academic models. Modern universities are uniquely European in origin and characteristics (Altbach, 2001). The idea of a university is arguably the most successful Western export to the rest of the world. The export of the university, fueled particularly by the rise of the English language, has helped the West effectively dominate world scholarship and cultural development, leading to inefficacy of universities in nearly all non-Western societies, as Western learning has been the only system that is institutionalized in all societies worldwide (Yang, 2013). The Asia-Pacific is no exception. While there have long been different higher learning traditions in the region, only Western academic models have been established as the real one. This

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means that the societies with other traditions need to follow the Western pattern. Facilitated by new technologies and the prevalence of the English language, non-Western societies in the region have endeavored to continue to learn from the West in the context of globalization, with both extraordinary achievements and enormous difficulties. It goes without saying that globalization has brought many positive changes to higher education. At the same time, many non-Western societies in the Asia-Pacific need to become aware of some other elements of globalization, and in particular some deep inequalities it has caused. Some of them were pointed out by Philip Altbach (2004) nearly 20 years ago. First, a few countries dominate global scientific systems, while new technologies are owned primarily by multinational corporations or academic institutions in the major Western industrialized nations. Secondly, the dominance of English creates advantages for the countries that use English as the medium of instruction and research. Thirdly, all this means that many non-Western developing countries find themselves dependent on the major academic superpowers.

Internationalization of Higher Education Ever since the mid-1980s, the international dimension and positioning of higher education in the global arena has been high on the agenda of national governments and higher education institutions (Altbach et al., 2009). Internationalization is a focal point at all levels from national and regional governments to institutions and individual knowledge workers. The process has been particularly facilitated by supra-national and regional initiatives such as the Bologna Process. While many are aware of the close links between globalization and internationalization, few can articulate their differences. Altbach (2004, p. 3) defines globalization as the broad economic, technological, and scientific trends that directly affect higher education and are largely inevitable. It refers to trends in higher education that have crossnational implications, such as mass higher education; a global marketplace for students, faculty, and highly educated personnel; and the global reach of the new Internet-based technologies. Although often found on the lips of people in higher education, the concept of internationalization has been elusive. People use this same term with very different meanings (Callan, 1998; Knight, 1997). While higher education institutions worldwide are promoting internationalization, achieving a common definition has not proved simple. There has even been “an increasing fuzziness of the subject characterized by unclear demarcation of concepts” (Kehm & Teichler, 2007, p. 262). To Altbach (2004), the internationalization of higher education includes specific policies and programs undertaken by governments, academic systems, and institutions and even individual departments or institutions to cope with or exploit globalization, such as policies relating to recruitment of foreign students, collaboration with academic institutions or systems in other countries, and the establishment of branch campuses abroad.

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Institutions and governments choose their ways in which they deal with the new environment, with much room for initiative. While the forces of globalization cannot be held completely at bay, it is not inevitable that higher education systems and institutions will necessarily be overwhelmed by them or that the terms of the encounter must be dictated from afar. Based much more on local and national conditions, the internationalization of higher education is highly contextual (Buckner, 2019). Internationalization therefore means differently to different higher education systems and institutions depending on where their countries are located within the contemporary global knowledge system, which is unfortunately culturally biased and politically unfair, for historical reasons (Akena, 2012; McCullagh, 2000). This explains the highly differentiated scenarios of the internationalization of higher education in the Asia-Pacific countries. For societies in the European tradition, their higher education is usually located close to the center in world knowledge production and dissemination. Activities of internationalization mean largely business as usual, ideally adding more flowers to their bouquet such as cross-cultural collaboration and exchange. What is often more substantial is hosting a growing number of international students to come to learn from them. For the non-Western majority in the region, as later-comers to modernization, the internationalization of higher education means something far more drastic and even revolutionary. It is directly related to higher education quality and even their national salvation as in the case of China (Yang, 2020). The internationalization of higher education means a total change of their intellectual mind from their traditional to the dominant Western knowledge and values. This has been an extremely arduous task for them ever since the Western expansion in modern world history. Taking international students as an example, some studies have shown that growth rates in incoming students to China, Japan, and Southeast Asia has dramatically outpaced those of established destinations, at least until the onset of the COVID-19 pandemic in 2020 (Shields & Edwards, 2010). In contrast to the primary financial motive evident in many Australian, UK, and American universities (Cantwell, 2015; Buckner, 2019), recruiting international students to some existing and emerging study destinations, such as Japan, China, and Malaysia (Welch, 2010), does not aim focally at economic benefits. Instead, these societies are keen to spread their cultural values. More than often, they do not profit from international students. Instead, they spend a great deal to attract international students. Such practices not only add to their national soft power policies, they are more fundamentally caused by the contemporary global geo-politics and their direct impact on higher education. For example, Australian universities often claim their commitment to internationalization that is much defined in terms of international student markets and services (Marginson, 2009). A disciplinary perspective is much neglected in understanding globalization and internationalization (Gunaratne, 2009). The meaning of internationalization, the means to implement it, and the extent of internationalization policies depend greatly on specific subject matter. The “hard” sciences usually attain higher levels of internationalization than the “soft” (Cannon & Djajanegara, 1997; de Wit & Callan, 1995).

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Development in the “hard” sciences, like engineering, tends to be much more emphasized, while the humanities and social sciences become under-represented in international programs (Altbach, 1998; Kuhn & Weidemann, 2010). Due basically to the varied ideologies, paradigms and discourses inherent in the humanities and social sciences, and the high dependency on language to convey their meanings, these fields give more weight to domestic considerations than in the natural sciences, technology, and medical sciences. In non-Western societies such as East Asia, humanities and social sciences scholars have not achieved the emerging visibility of their natural science and engineering peers in the international community (World Bank, 2000). Few publications produced by non-Western social scientists have appeared in international citation indices (Zhang & Yuan, 2011). Studies continue to show that people’s overall positive view of the internationalization of higher education persists (Buckner, 2019), even in the face of calls to resist the undue emphasis on economic imperatives (Kreber, 2009). Most definitions are based on the experiences of developed Western societies, which have had few external cultural values and knowledge imposed on them in recent centuries. The most widely cited definition of the internationalization of higher education is by Jane Knight (1994, p. 3) when she describes international dimensions as “a perspective, activity or service which introduces or integrates an international/intercultural/global outlook into the major functions of an institution of higher education.” She later revised the definition slightly as the process of integrating “international, intercultural and global dimensions into the purpose, functions or delivery of postsecondary education” (Knight, 2004, p. 11). However, internationalization has been a painful experience for many non-Western societies, resulting from history of political colonization and cultural imperialism. While people in the West often forget this history, institutions and individual in non-Westerners never do. In this sense, the internationalization of higher education in non-Western societies has been poorly understood. Concepts and theories based only on Western experiences do not always serve non-Western societies well. East Asian higher education experience serves as an example here. East Asia societies have constantly reflecting their changing position in the world with a significant role in preparing for their rising global roles (Neubauer et al., 2013). Their theoretical understanding, policies, and practices of the internationalization of higher education have always been influenced by their economic and political realities. In comparison, a cultural perspective has been much lacking throughout the region, although East Asian societies all have their rich and long history. With various forms and shapes, the actual experiences of internationalizing higher education in various East Asian nations differ markedly, often with strikingly different costs and benefits. Patterned after Western experience, their modern universities were only established in the nineteenth century to learn Western knowledge and technology. Imitation has always been a significant part of their learning from the West (Palmer & Cho, 2012). The internationalization of higher education thus started from the very beginning. For example, the internationalization of higher education has always been China’s survival tool since the nineteenth century. Historically and culturally, with

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external values imposed on Chinese people and society, China’s experience of higher education internationalization compares sharply with those of Western societies (Yang, 2017). China’s internationalization has rarely been peaceful and pleasant. Instead, the process has been shot through with intense ideological and cultural conflicts. Western theoretical frameworks do not apply well in the Chinese context (Guo et al., 2021). For China, modern universities are an imported concept, and the so-called “international” perspective has been imposed on them from the outset. Striking cultural differences cause continuous conflicts between the traditional Chinese and the imported Western ideas of a university, with China’s unique traditions functioning as a problem rather than as an asset. The two value systems do not tolerate each other and have never been on an equal footing and their coexistence proves extremely challenging for China, as Western academic models continue to influence the direction of change in China’s higher education. Overall, the higher education landscape in the Asia-Pacific countries has become increasingly internationalized over the past 50 years or so owing to a plethora of factors. The most recent three decades have seen particularly remarkable achievements in the internationalization of higher education in the region, especially in East Asia. In turn, this has contributed to the current transformation of some Asia-Pacific higher education systems into the largest and arguably most promising ones in the world. Internationalization has multidimensional meanings to Asia-Pacific higher education systems, with substantial differentiation among them. While it has been a strategy for development and a path to the societies to embrace and integrate with the global community, its most fundamental meaning is cultural, aiming at integrating their indigenous values of higher learning with those imported from the West. AsiaPacific internationalization of higher education reflects and relates closely to the much larger global geopolitics in culture, economy, and knowledge. Although the region’s recent higher education development deserves to be noted, many of the systems have a considerable distance to go before their aspirations to become fully internationally integrated and are fulfilled.

Concluding Thoughts Most of the major spiritual and philosophical traditions emerged simultaneously and independently in China, India, Iran, Israel, and Greece during the Axial Age (Jaspers, 2010). They continue to define us, at a point when we confront a second Axial Age, an era of dramatically accelerated cultural evolution with a new global consciousness and connectivity (Tu, 2009). the Asia-Pacific is a geographical, not cultural entity. Within its territorial boundaries, there have been several main civilizational traditions. The region therefore has rich diversity in a variety of social dimensions. It has caught global attention especially over the past decades for its progress in many aspects of social development (Social Development Division, United Nations ESCAP, 2017). According to dependency theory, the region has both center and periphery higher education systems. Those currently sitting at the center are keen to maintain their advantage, and such positioning determines their

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definition of and approaches to globalization and internationalization. In contrast, higher education in the vast majority of countries in the region is peripheral, with some moving steadily closer to the center. For them, development to a great extent means responding strategically to those at the center. This determines their understanding of globalization and how they implement their internationalization of higher education. As a Western-style higher education system has been strongly institutionalized throughout the region, Western knowledge is regarded as superior and seen as the only knowledge that counts. While universities are “a key site of struggle, where local knowledge meets global knowledge in a battle to represent different worlds in different ways” (Pennycook, 1996, p. 64), the intellectual mind on Asia-Pacific campuses is often more Western than indigenous. The impact of colonialism on most Asia-Pacific higher education systems has been profound and enduring, disrupting local traditions, and raising thorny issues of how to preserve local strengths, epistemic, linguistic, administrative, and cultural, in the face of often imperious imports (Welch, 2019). Such a truth, although inconvenient, has significant theoretical and practical implications. Yet it has been much neglected in the current debates. While all traditions need to understand each other, they are not on an equal footing. Although it is imperative for Western systems to learn about others, it is even more urgent for non-Western systems to synthesize the dominant Western and their own higher learning traditions. In this regard, the Asia-Pacific systems of higher education have much to learn from each other. Nearly a century ago, China successfully created a number of world-class universities, notwithstanding its modern era of suffering (Yang, 2021). Such a fact is particularly significant because it demonstrates the tremendous achievements of China’s early modern higher institutions in terms of integrating Chinese and Western ideas of higher learning. It proves that it is possible, albeit extremely difficult, for Chinese educators to adapt a Western model of the university to the Chinese situation. As a revealing facet of modern Chinese history, the achievement has great implications for university development today and deserves much research, especially now when East Asian societies intensify their aspiration to catapult their premier universities to the forefront of global rankings. Unlike the Western idea of a university that developed as practical experience accumulated, East Asia’s understanding of modern universities predated practice and came fast to its adulthood during the Late Qing reforms. Over the past decades, tremendous strides have been made by East Asian universities. One significant yet much neglected achievement is that a growing number of East Asian scholars have demonstrated a distinctive bicultural identity in their fields. Such an intellectual condition embraces Western learning as an important element of their modern knowledge systems (Reagan, 2000). With strong implications for university development in the region and beyond, it reminds us that East Asia’s progress in higher education can be viewed as an experiment against a backdrop of the globally predominant Western influence that has become a precondition for modernization of all non-Western societies. The success enriches, rather than overturns, the currently dominant academic models that are European in structure,

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organization, and concept (Altbach, 2009), confirming that plurality, rather than mutual exclusivity, is the only possibility to allow the space for both East Asian and Western traditions to interact with each other (Peters, 2019). The intellectually liberating bicultural mind equips East Asian universities to embrace Western values while cleaving to their own traditions, moving beyond an either-or dilemma and providing much food for thought for many other non-Western societies.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Development of Private Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Private Higher Education in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Factors Driving Private Higher Education in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Demographic Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Regime Change, Laws, and Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cambodia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Myanmar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Philippines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Vietnam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Internationalization and Regionalization of Higher Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Challenges and Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

This chapter traces the development of private higher education in the Asia and Pacific region, both the growth of the private higher education sub-sector and the increasing privatization of public higher education, by reviewing the relevant laws and policies and the various factors (e.g., government policies, institutional governance and funding, demographics, and socioeconomic factors) which influence the development and/or regression of private higher education in the Asia and Pacific region. Country cases (e.g., Cambodia, China, Myanmar, the Philippines, and Vietnam) are also presented on top of a regional analysis presented. The chapter argues that internationalization and regionalization of higher education including in the Asia-Pacific region has seen various initiatives that blur borders between public and private HEI, making it difficult to classify proliferating international branch campuses in the region. Private higher R. Y. Chao Jr. (*) Division of Education, Youth and Sports, ASEAN Secretariat, Jakarta, Indonesia © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_127

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education in the Asia-Pacific differs in scale, maturity, and faces different challenges. Demographics, political regime change, laws, and policies support or discourage private higher education. As seen in the country cases, structural changes in public higher education have been initiated, implemented, or planned with a common trend on the use of new public management further advancing the privatization of public higher education. However, the chapter also argues that there is a limit to both the development of private higher education and the privatization of public higher education, and that the interplay of various factors (e.g., supply-demand dynamics, and the thin, blurred line between what is private and public higher education institutions) increases the complexity of sustainable growth of private higher education in the coming decades. Keywords

Private higher education · Privatization · Asia-Pacific · ASEAN · New public management

Introduction Higher education systems are traditionally classified into state-oriented or marketoriented models (Clark, 1986). North America, Latin America, and East Asia being market-oriented systems with long-standing traditions of private higher education often brought about by colonial influence and religious institutions. Europe, the Middle East, Africa, and South Asia were predominantly public state-oriented systems (Buckner, 2017, p. 300). This traditional classification has changed with increasing globalization, neoliberalization and the view that higher education is a central actor in the knowledge-based economy leading to marketization of higher education and the growth of the private higher education sector and the privatization of public higher education institutions. The growth of the public higher education sector has also been catalyzed by the changing perspective of higher education from an essential public good to an individual private good subject to market forces (Buckner, 2017, pp. 301–303) and the view that the public and private sectors are equal partners in development (Bjarnason et al., 2009, p. 52). Within the context of the human capital and knowledge-based economy discourse, and the massification of education advocated by the global community through the Education for All, Millennium Development Goals, and the Education related 2030 Sustainable Development Agenda, the world, including the AsiaPacific region, has seen a significant increase in higher education enrollments. Higher education is seen as an instrument for socioeconomic development and poverty alleviation with economic returns for higher education graduates estimated to have a 17% increase in earnings compared to 10% and 7% for primary and secondary education (World Bank, 2021). The growth of the private higher education sector can be attributed to a combination of various factors including the increasing massification of education (including higher education), the global

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acceptance of the human capital theory especially in relation to the knowledge-based economy, national governments shift toward new public management, and internationalization and regionalization of higher education. New public management originated in the 1980s where managerialist model for public management was adopted in some countries experiencing fiscal crises focused on strategies that include cutting services, increasing taxation, reducing public expenditure, and enhancing efficiency (Wu & Zha, 2018, p. 32). Although private higher education is often defined in terms of nongovernment ownership and management, the increasing regulation of private higher education institutions by governments, adoption of new public management by public higher education institutions, and funding by governments to private higher education institutions makes it difficult to accurately define private higher education. Categorizing privately owned but state regulated and/or state subsidized institutions further adds complexity to defining private higher education. However, for the purpose of this chapter, private higher education are nongovernment owned institutions of higher education, while privatization of public higher education is focused on the increased private funding usually associated with the adoption of new public management. According to the latest UNESCO Institute of Statistics data, the global participation rate in higher education has increased from 13.62% in 1990 to 40.24% in 2020. There is also a significant difference in private higher education enrollments between the developing and developed world where 37.8% and 25.2% are in the private sector, respectively (Bothwell, 2018). In the East Asia and Pacific region, participation in higher education has increased from 7.31% in 1990 to 51.02% in 2020 (UNESCO UIS, n.d.). During the period 2000–2009, private higher education institutions (HEIs) account for most of the new higher education institutions established particularly for regions that previously had few private HEIs including the Middle East and North Africa, South Asia, Europe, and Sub-Saharan Africa (Buckner, 2017, p. 300). In the Asian region, private HEIs accounted for more than 60% and 70% of all HEIs established during the periods 1960–1969 and 2000–2009, respectively (Buckner, 2017, p. 300). It should be noted that several Asian countries, including Myanmar and China, traditionally did not have a private higher education sector. With the massification of higher education, privatization of higher education has become a shared responsibility between state and non-state actors with an increasing number of private HEIs being for-profit institutions a shift from the traditional notfor-profit private HEIs. In the last decades, there has been an increase and diversification of non-state funding for public HEIs, and an increase in the number of private HEIs worldwide (Altbach et al., 2021). Private HEIs are mostly demand absorbing providing access to students from lower socioeconomic groups at lower cost (Levy, 1986) to broaden access and advanced training. However, Levy (2011) has also pointed out instances of decline in private higher education brought about by social and political factors including demographic changes and political regime change and regulation.

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Tracing the development of private higher education in the Asia and Pacific region, this chapter reviews the relevant laws and policies and the various factors, including government policies, institutional governance and funding, demographics, and socioeconomic factors, which influence the development and/or regression of private higher education in the Asia and Pacific region. Both the growth of the private higher education subsector and the increasing privatization of public higher education are considered in this chapter.

Development of Private Higher Education Private HEIs are broadly divided into for-profit and not-for-profit institutions with the former usually registered as corporations and receive no funding support from the public sector and the latter gained legitimacy in the 1990s (Varghese, 2002). On the other hand, privatization in higher education refers to the process where institutions operate in a business-like and market-oriented manner taking into consideration funding, competition, labor market conditions, adopting management practices such as contracting with private firms, decisive decision-making, treating students as customers, and a focus on profitability and the success of the institution (Kwiek, 2003). The academic literature (Altbach, 1998; Altbach & Levy, 2005; Levy, 1986, 2011; Buckner, 2017; Altbach et al., 2021) has presented the development of private higher education across the globe. Prior to the late 1980s, the private and public higher education sectors (and in many policy fields) often work together, and the sharp division between private–public higher education was not dominant (Levy, 1986, 2011). The rise of the nation state in the nineteenth and twentieth centuries focused on nation building and higher education was seen as an instrument to create national citizens and promote national economic growth and human capital development (Meyer et al., 1997). After independence, post-colonial nations tended to nationalize private HEIs and expanded the establishment of higher education institutions across their respective countries. The growth of the welfare state in the twentieth century also ushered in the expansion of the State role in finance and rule-making shifting enhancing the dominance of public higher education over private higher education (Levy, 2011). However, this rapid growth in higher education enrollments included admission quotas and the idea of the demand absorbing function of private HEIs is largely absent (Buckner, 2017). In the late 1980s, the increasing acceptance of neoliberalism, increasing economic globalization, and the notion of a knowledge-based economy resulted to revisiting the role of the State with the increasing shift from a welfare state model toward the competition state (Cerny, 1997 cited in Buckner, 2017) including in the higher education sector. Globalization and the acceptance of both the human capital and knowledge economy discourses placed higher education as a central actor for national development ushering the growth of a market-oriented private higher education sector. The universalization of scientific authority with HEIs as a primary source led to a diffused model of national development through broadening access

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and enhanced research production with the aim of enhancing global competitiveness (Drori et al., 2003; Buckner, 2017). International organizations’ (e.g., Asian Development Bank, International Monetary Fund, UNESCO, World Bank) role in advocating views and policies for the expansion of private higher education and private financing in promoting the public good, national economic development, and competitiveness in a global knowledge economy further contributed to the expansion of private higher education especially in developing countries (ADB, 2012; Bjarnason et al., 2009; Buckner, 2017; Dang, 2009; Edwards et al., 2021; Chao & Horta, 2018). Although there are various types of private HEIs, majority of private HEIs have been demand-absorbing and other non-prestigious (mostly for-profit) HEIs (Levy, 2011) filling the gap of state-funded higher education. Religious and a select few private HEIs usually form a portion of elite or world class higher education institutions particularly in developing countries. The above-mentioned development of private higher education also holds true in the Asia-Pacific region.

Private Higher Education in the Asia-Pacific According to the Asian Development Bank (2012) report “Private Higher Education Across Asia: Expanding Access, Searching for Quality,” two significant changes during the 1990s were the growth of private HEIs and financial diversification in public HEIs through the introduction of tuition fees and increased reliance on nongovernment sources of funding. These changes are largely brought about by the disparity between public sectors capacity and the increasing demand for higher education following countries’ successful efforts in increasing the number of secondary school graduates as a result of massification of education. However, recommendations of international development organizations also played a role particularly in promoting for the establishment of private HEIs, the introduction of tuition fees, and the promotion of other revenue-generation activities. As Postiglione (2005) pointed out the trend to massification comes along with privatization in many East Asian higher education systems. There has been a significant increase in participation in higher education in the Asia-Pacific over the past decades. As shown in Table 1, gross enrollment ratio in higher education in the East Asia and the Pacific region from 7% and 15.5% in 1990 and 2000 to 28% and 51% in 2010 and 2020, respectively. However, Table 1 also shows that the growth in and current participation in higher education differs based on subregion and national economic development. As of 2020, higher education participation rate in countries in the East Asian and Oceania subregions, and Singapore ranges roughly between 60% (China) and 115% (Australia) in contrast to the developing Southeast Asian countries, namely, Cambodia, Lao PDR, and Myanmar whose gross enrollment ratio ranges between 10% and 15%. Middle income Southeast Asian countries participation rate in higher education ranges roughly between 28% (Vietnam) and 49% (Thailand) highlighting the influence of economic development in increasing participation in higher education. However, the

1228 Table 1 Gross enrollment ratio in selected the AsiaPacific higher education (%)

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East Asia China Hong Kong Japan Korea Southeast Asia Brunei Cambodia Indonesia Lao PDR Malaysia Myanmar Philippines Singapore Thailand Vietnam Oceania Australia New Zealand East Asia & Pacific

1990

2000

2.97 18.13 29.36 36.53

7.59 46.23 76.66

0.66 8.38 1.13 7.18 5.05 24.59

12.69 2.48 14.88 2.69 25.62 10.93 30.35

15.86 2.76

34.88 9.46

35.36 39.34 7.31

15.55

2010 24.20 59.60

2020

102.79

58.42 84.39 64.10 98.45

15.46 3.39 24.08 16.65 37.03 14.18 29.56 83.94 50.37 22.82

31.99 13.96 36.31 13.48 43.06 10.61 35.48 91.09 49.29 28.64

28.14

115.95 80.30 51.02

Source: Compiled by author from UNESCO UIS database

support for the increased participation in higher education from the private sector is not adequately justified by subregional and/or economic development arguments. Welch (2021) advanced a tripartite taxonomy of public–private relations in regional higher education, namely, higher education systems that: a) remain largely public with limited Private HEI enrollments (e.g., China, Vietnam, and Kyrgyzstan); b) where private and public HEIs are more comparable, in terms of role and status (e.g., Malaysia and Hong Kong); and c) private HEIs enroll the majority and some of equivalent quality to major public HEIs (e.g., Japan, Korea, and the Philippines). However, the dynamic nature of the Asia-Pacific region may result to higher education systems shifting from one category to another (ibid.). Common types of private HEIs in the Asia-Pacific include: religious-affiliated; elite/semi-elite; demand absorbing/non-elite; and serious demand absorbing HEIs (ADB, 2012, pp. 8–14). Furthermore, the distinction between nonprofit and for-profit HEIs may be blurry with some nonprofit HEIs operating like for-profit institutions.

Factors Driving Private Higher Education in the Asia-Pacific Beyond the capacity gap of governments to address the increasing demand for higher education, demographics, economic development, government policies, and internationalization/regionalization of higher education can be considered as key drivers

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for the development and/or regression of private higher education in the Asia-Pacific region. Demographic trends, be it a young or an aging population, affects a country’s higher education supply-demand dynamics. East Asian countries, including Japan, Korea, and China, are characterized as rapidly aging population in contrast to most Southeast Asian countries with a large youth population. Economic development contributes to household financial capacity to pursue higher education including private higher education, while changes in political regimes, government policies, and directives provide or reduce support for private HEIs and the privatization of public HEIs. Changes in political regimes and government policies may result to structural reforms in public higher education including their governance, funding, decision-making, and fund raising and entrepreneurial initiatives. Furthermore, internationalization and regionalization of higher education with the focus on increasing competitiveness of public and private HEIs in a global higher education market also contributes to private higher education. In particular, the establishment of international branch campuses and initiatives to establish new HEIs within a public HEI or new partnerships with foreign HEIs may be considered part of private higher education.

Demographic Trends Demographic trends have significant impact on higher education including that for private higher education. An aging population and the decline in the working age population has economic effects on individuals, households, the national economy, and the higher education sector. Immigration, including attracting foreign students and workers, is seen as one of the opportunities to address demographic challenges, maintain socioeconomic competitiveness, and enhance government revenue to support national development. On the other hand, a youth and working population bulge provides the necessary workforce and entrepreneurs that supports national economic development. A large youth population provides the demand for both public and private higher education considering that government’s lack of capacity or unwillingness to address the gap between higher education demand and public higher education provision and funding. Most East Asian countries have a rapidly aging population. Japan is the world’s oldest country with 27% of Japan’s population above 65 years old, while South Korea is the fastest aging country in the world with its fertility rate reaching a 7-year low. Furthermore, China’s population is expected to peak at 1.44 billion in 2029 followed by a rapid decline (Quacquarelli Symonds, 2019). The youth population of South Korea and China are expected to drop by 31% and 21%, respectively, between 2015 and 2050 (Sharma, 2018). After peaking at 128 million in 2008, Japan’s population has been gradually declining due to low fertility and longer life expectancy and, with the inclusion of foreign nationals, is estimated to be at 124 million and 107 million in 2025 and 2040, respectively (Sharma, 2018; Yonezawa, 2020, p. 43). Japan’s aging population impacts the country’s less prestigious private HEIs where 27.8% and 45.8% did

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not meet government enrollment quotas in 2000 and 2014, respectively, and frequent closures or suspension for their new enrollments since mid-2000s (Yonezawa, 2020). Similar to the Japanese experience, provincial universities and less prestigious private HEIs are expected to face enrollment shortfalls, and universities (public and private) are expected to close in the future in Taiwan, South Korea (Sharma, 2018). Mergers of universities and encouraging international students to study in their respective countries are initiated to address the demographic challenges in higher education. However, Japan and South Korea’s gross enrollment ratio in private higher education has been stable at roughly 78% and 80%, respectively, from 2000 to 2020 (see Table 2) hinting that the distribution of enrollments between public and private HEIs has not changed. Based on ASEAN Secretariat (2021, pp. 3–11) statistics, the Association of Southeast Asian Nations (ASEAN) region currently has a demographic premium. In spite of the decline in annual population growth from roughly 2.0% prior to 1992 to 1.1% during the last 5 years, ASEAN’s working age population (aged 15–64) increased from 54% to 60% of its total population during the period 2000–2020. However, ASEAN youth (aged 0–19) declined from 42% of total population in 2020 to 33.1% in 2020. With average life expectancy increasing from roughly 61 in 1980 to Table 2 Private HE enrollmenta in selected the Asia-Pacific countries (% of total enrollment)

East Asia China Hong Kong Japan Korea Southeast Asia Brunei Cambodia Indonesia Lao PDR Malaysia Myanmar Philippines Singapore Thailand Vietnam Oceania Australia New Zealand

2000

2010

2020

3.31 77.52 80.59

15.49 16.46 78.64 80.65

14.91 20.07 78.86 80.40

67.79 62.79 23.38 35.22

59.97 58.16 28.23 43.14

10.16 68.12 59.40 19.20 46.83

68.69 60.60 19.54 13.05

60.78 64.32 17.57 15.02

54.27 23.17 15.64 12.90

12.45

20.74 9.77

Source: Compiled by author from UNESCO UIS database Based on UIS definition, private educational institutions are institutions that are controlled and managed by a nongovernmental organization or its governing board consists mostly of members who have not been selected by a public agency. (See: http://uis.unesco.org/ node/3297445)

a

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72.2 years in 2020, ASEAN’s elderly population (aged 65 and over) increased from 5.3% in 2000 to 7.2% in 2020 and will continue to increase in the coming decades. During the period 2000–2020, all ASEAN Member States had an increase in the share of their elderly population with Singapore and Thailand have the most significant increase from 7.2% and 9.1% in 2000 to 15.2% and 13.0% in 2020. On the other hand, Brunei Darussalam, Cambodia, Indonesia, Lao PDR, Malaysia, Philippines, and Vietnam recorded increasing share of working age population (aged 15–64), ranging between 4.6 and 11 percentage points, potentially increasing the gap between public higher education provision and demand. As shown in Table 2, enrollment in Singapore’s private higher education sector has significantly decreased from 60.60% in 2000 to 23.17% in 2020, while all other ASEAN Member States showed a slight reduction (Indonesia, Lao PDR, Philippines, Thailand, and Vietnam) or an increase (Cambodia, Malaysia) in private higher education enrollments during the period 2000–2020. The reduction in participation in private higher education can possibly be explained in terms of political regime change and policies (Philippines) and the establishment of International Universities within Thailand and Vietnamese public HEIs. Policy regime changes in the Philippines have ushered several laws, which has an impact on private higher education. During the Corazon Aquino administration, the 1991 Local Government Code paved the way for local governments to establish and operate Local Universities and Colleges (LUCs) to provide free or low-cost public higher education to their constituents. The number of LUCs has increased from 50 in 2005 to 93 in 2010 with its share of total higher education enrollments increasing from 2.27% and 2.86% in 1999 to 2005 to 7.3% in 2020 (Chao, 2012, 2022). The passage of the Universal Access to Quality Tertiary Education Act in 2017 (during the Duterte administration 2016–2020) provides free access to public higher education for those taking their first degrees. The above-mentioned two laws, and the financial difficulties brought about by the ongoing COVID-19 pandemic, resulted to a shift from private to public higher education in the Philippines. The establishment of International Universities within Thai and Vietnamese public higher education institutions (Chao, 2014), and the vagueness of labeling HEIs established with foreign partners (Welch, 2021) may have contributed to the decrease in enrollments in their respective private higher education sectors. Examples of the former include the International Universities/colleges of Ho Chi Minh University and Burapha University (https://hcmiu.edu.vn/en/; https://buuic.buu.ac. th/web/home/) in Vietnam and Thailand, while the latter include the VietnameseGerman University and University of Science and Technology of Hanoi, which are both listed as public HEIs.

Regime Change, Laws, and Policies Regime change, government laws, and policies play a significant role in the development of private higher education and the privatization of public HEIs. The views of a political regime are often translated to laws and policies that support systemic

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changes related to establishing private HEIs, changes in public HEIs governance, funding, and management. However, it should be noted that external and internal factors such as the influence of international multilateral organizations (e.g., Asian Development Bank, UNESCO and the World Bank), demographic trends, and socioeconomic development, which affects supply-demand dynamics of private higher education in respective countries. Furthermore, the increasing popularity of international higher education, partnerships between national and foreign HEIs, and the establishment of international branch campuses also influence the private higher education sector.

Cambodia Since the Cambodian government implemented privatization policies in 1997 the private sector has been allowed to be involved in higher education and public HEIs have been authorized to enroll nongovernment scholar students on a fee-paying basis. From having no recognized private higher education sector, the establishment of Norton University as the first private HEI in Cambodia in 1997 was just the start of the increasing number of private HEIs in the country. In 2012, there are 91 Cambodian HEIs composed of 34 public and 57 private HEIs across the country enrolling 246,069 students 91% of which are fee-paying (ADB, 2012, pp. 2–14; Rany et al., 2012). The challenges on quality and relevance of an expanding public and private higher education system brought forth initiatives on institutional autonomy coupled with accountability and institutional quality assurance by the Accrediting Agency of Cambodia.

China China’s higher education had its share of development and declines from pre-1949 China with a vibrant private higher education sector; to the nationalization of its nationalization of its national higher education institutes following the Soviet model in the early 1950s; the rapid expansion of HEIs including the minban (people-run) colleges to meet the increasing demand for higher education during the Great Leap Forward (1958–1962); the interruption of higher education development during the Cultural Revolution (1966–1976); and the modernization of Chinese higher education during the post-Mao era with a focus on establishing an academic degree system composed of bachelor, masters, and doctoral education and quality assurance. The post-Mao era also ushered in the shift from fully state-funded to a cost-sharing mechanism in China’s public higher education sector with the gradual increase in the cost of higher education by students. In 1985, a limited number of fee-paying students were allowed to be admitted to higher education in excess of government quota for enrollments. In 1989, all students were required to pay tuition fees with those within the government quota paying significantly less than those admitted outside the quota system. In 1982, China Social University became the first minban

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(people-run) established during the post-Mao era, and the number of minban HEIs continued to expand contributing to the expansion of China’s private higher education sector (Wu & Zha, 2018; Wang, 2014). China’s private higher education sector is composed on minban (people-run), which are nonprofit institutions operated by individuals or nonpublic institutes, and independent colleges, which can be operated by both private and public partners. These private HEIs are usually low capital expenditure, high student-staff ratio, and have a prevalence of low-cost programs leading to low-quality education. In 2010, there were 323 independent colleges with 91.9% of their 2.4 million students enrolled in bachelor’s “ben ke” degree programs, while the 353 minban HEIs mostly offered 3-year “zhuan ke” diploma programs. The expansion of public and private education providers has resulted to the significant expansion of higher education institutions in China from 1071 and 2305 in 1999 and 2009 (Shen, 2018), to 2738 in 2020 with 14.9% of higher education enrollment in private HEIs (MoE, 2021; UNESCO UIS, n.d.). Private higher education institutions have increasingly provided undergraduate and vocational-technical education particularly for those that did not manage to pass the College Entrance Examination “gaokao” (Shen, 2018). Aside from the minban and independent colleges, there are currently nine SinoForeign cooperation universities in China including the University of Nottingham Ningbo China, Beijing Normal University-Hong Kong Baptist University United International College, Xi’an Jiatong-Liverpool University, and New York University Shanghai, which were established in 2004, 2005, 2006, and 2011, respectively (Lu, 2018). These universities accept both international and local students and charge significantly more in tuition compared to prestigious Chinese universities. So far, it is difficult to classify these universities into either public or private HEIs similar to the cases of Vietnamese joint ventures with foreign universities and international colleges/universities established within Thai and Vietnamese public HEIs.

Myanmar Following the regime change toward a semi-democratic power-sharing scheme with the Military government, Myanmar has pursued a comprehensive education reform agenda including that for higher education. Similar to Cambodia and Vietnam in the early 1990s, Myanmar has no recognized private higher education sector. Although several private HEIs have been operating in the country, the recognition of diplomas and degrees by the national government is unclear and rather vague. However, there are clearly initiatives that promote the privatization of public higher education in Myanmar. The National Education Law, passed in 2014 and amended in 2015, is promoting for corporatization of HEIs through the establishment of university charter, institutional autonomy, accountability, and promoting a move away from depending on public funding toward a mix-funding model including self-financing and private sector financing. With the goal of undertaking transformational shifts in Myanmar’s higher education sector, the National Education Strategic Plan 2016–2021 (Government of the Republic of the Union of Myanmar, 2016, ch.11)

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incorporated strategies that strengthen governance and management capacity and improving quality and relevance in Myanmar HEIs. These include preparing their respective charters, development plans, and budgets and verification through annual reports and external quality assurance assessment (Chao, 2018). The draft Private Education Law requires that the Union Minister of the Ministry of Education establish a multi-stakeholder supervising committee, which will have power to approve and cancel licenses to operate private schools and higher education institutions. The draft law also requires corporatization of private HEIs, mandates minimum requirements on infrastructure, teaching and non-teaching personnel, and regulations that need to be followed including submitting the curriculum to be taught to students. Private HEIs in Myanmar are still not recognized and to date the Private Education Law, which is supposed to institutionalize and grant legitimacy has not been passed. However, the current private HEIs in Myanmar includes demand absorbing (particularly for those that have not passed the Matriculation examination), institutions that offer foreign curriculum (usually foundation programs), and religious (Monastic) schools and institutions (Private Higher Education Institutions Association, 2022; Chao, 2018).

Philippines Being a former colony of Spain and the USA, the Philippines has a long-standing legacy of Private higher education institutions particularly with the establishment of Sectarian HEIs including Ateneo De Manila University, University of Santo Carlos, University of Santo Thomas, and Silliman University during the Spanish colonial era, and non-sectarian for-profit demand absorbing private HEIs during the American colonial era especially during the war reconstruction years. These colonial legacies of different private HEIs have shaped Philippine private higher education, which eventually merged with the establishment and expansion of public higher education after independence in the mid-1940s. Although these developments resulted to a mix of public and private HEIs in Philippine higher education, in academic year 2019–2020, 72% (1729) of the total 2396 higher education institutions (356 of which are sectarian private HEIs) in the Philippines are private institutions enrolling 54% (1,832,780) of the total 3,408,425 higher education students in the country (Chao, 2022, p. 2). Furthermore, the cost of tuition in private HEIs is roughly three times that in public HEIs as the former’s funding source is mostly from tuition fees and philanthropy, while the latter has a mix funding source including national and local (for Local Universities and Colleges) budgets and tuition fees. Furthermore, the cost of tuition in private HEIs is roughly three times that in public HEIs as the former’s funding source is mostly from tuition fees and philanthropy, while the latter has a mix funding source including national and local (for Local Universities and Colleges) budgets and tuition fees (Chao, 2012, 2019, 2022). However, there seem to be a de-privatization in Philippine higher education with the public HEIs rapidly expanding, and the passage of the Universal Tertiary Education Act of 2017, which grants free first-degree higher education in Public

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HEIs particularly in State Universities and Colleges (Chao, 2022; Saguin, 2022). The share of enrollments in Private HEIs has actually been declining from 71%, 65.89%, and 61% in 1999, 2005, and 2010 (Chao, 2012, p. 38) to 54% in 2020. Partly influenced by international multilateral organizations who supported the development of various Philippine education reports including: Congressional Committee on Education Report (1991), Philippine Committee on Education Report (2000), and the Philippine Task Force on Education Report (2008), the Philippine higher education sector HEIs adopts both (partial) cost-recovery and cost-transfer model, through tuition and fees, the use of funding formulas, and a shift from dependency from public funding. The expansion of State Universities and Colleges through satellite campuses in the early 2000s can also be considered supporting privatization of Philippine public HEIs (ADB, 2012). The Manual of Regulations for Private Higher Education, adopted in 2008, sets clear standards for the establishment, operations, and quality assurance of private, and, since 2009, Philippine public HEIs. The manual is quite comprehensive and includes minimum standards for infrastructure, library facilities, internal organization, operations and recognition of programs, internal organization and governance arrangements, qualifications of faculty and management arrangements (CHED, 2008), and adheres toward private sector management and practices.

Vietnam Vietnam’s adoption of its “Doi Moi” political and economic reforms in 1986 to transition from a centrally planned to a market economy brought forth structural changes in the country including that for higher education designed to transform itself into an industrialized country. Vietnam’s Higher Education Reform Agenda 2006–2020 aims to increase participation, boost quality and efficiency, improve industry-academic linkages, and governance of its higher education (Chao, 2014). Nonpublic (private, semi-private, and people-founded) HEIs managed by the state were established in 1993, 1994, and 2000 and allowed to charge tuition fees (London, 2006; Hoang, 2019). Private HEIs are established by private organizations or individuals using private investments and contributions, while people founded HEIs are established by socioeconomic organizations or professional associations with initial investments from nonpublic sources. In 2006, people-founded HEIs were allowed to convert into private HEIs, and the distinction between for-profit and notfor-profit HEIs in Vietnam were promulgated in the 2012 Higher Education Law (Hoang, 2019). Similar to most private HEIs, these nonpublic HEIs tend to be demand-absorbing institutions and tend to provide undergraduate programs requiring minimal investments and programs in demand by society such as business administration and informatics. Although Vietnam’s Ministry of Education and Training (MOET) promotes and even set a 40% share of the total higher education sector (Chao, 2014), gross enrollment ratio in Vietnam nonpublic HEIs in 2016 (latest available date) is only 12.9% of the total higher education sector (see Table 2). There are currently

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65 universities with over 260,000 students in Vietnam’s private (nonpublic) higher education sector (Altbach et al., 2021, p. 21). In line with the country’s shift toward a market-oriented economy, there has been a shift in governance with a balance between institutional autonomy and accountability, a move away from solely relying on public funding toward multiple funding sources including tuition fees for nongovernment funded students, and other revenue generating activities/initiatives. In 2014, the Vietnamese government had 14 participating HEIs pilot being financially autonomous public HEIs independent from public funding to encourage HEIs to diversify their sources of income (Hoang, 2019).

Internationalization and Regionalization of Higher Education With the internationalization and regionalization of higher education including in the Asia-Pacific region, there have been various initiatives that borders between public and private HEI or is difficult to classify including the proliferation of international branch campuses in the region. In fact, international higher education has transformed higher education from a national to a global business particularly through cross-border and transnational education. Funding pressures due to privatization and reduction to research budgets were cited as reasons for the establishment of international branch campuses (Siltaoja et al., 2019). OBHE/C-BERT (2017, p. 6) defined international branch campus as an “entity that is owned, at least in part, by a foreign education provider, operated in the name of the foreign education provider, and provides an entire academic program, substantially on site, leading to a degree awarded by the foreign education provider.” There are currently 305 international branch campuses worldwide including roughly 118 hosted in the Asia-Pacific countries where top host countries – China, Singapore, and Malaysia – host 42, 16, and 14 international branch campuses, respectively (C-Bert, 2020). How these international branch campuses are classified will impact data on private HEIs in the region considering that they enroll both local and international students into their campuses.

Challenges and Conclusions Private higher education in the Asia-Pacific differs in scale, maturity, and face different sorts of challenges. In spite the mature private higher education sector with significant participation rates in the East Asian countries Japan and Korea, their rapidly aging population impacts enrollment rates in provincial universities and less prestigious private HEIs. With gross enrollment ratio increasing from 83.94% in 2000 to 91% in 2020, Singapore’s private HEIs rapidly declining participation rate (from 60.60% in 2000 to 23.17% in 2020) in private higher education shows the impact of the country’s aging population. Demographic trends clearly have an impact in mature private higher education systems. Although the ASEAN region

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and ASEAN Member States, with the exception of Singapore and Thailand, currently have a demographic premium with an increasing working age population, decreasing fertility rates and longer life spans will eventually lead to similar challenges faced by Japan, Korea, and Singapore in the future. Political regime change, laws, and policies support or regress private higher education. With no legitimate and recognized private higher education sector in the early-1990s, Cambodia, Myanmar, and Vietnam private higher education sectors developed in different ways and pace. Although all three countries have low but increasing participation rate in their respective higher education sectors, Cambodia’s private higher education sector enrolls almost 70% of all higher education students in contrast with Myanmar, which still has no recognized private higher education sector, and Vietnam with its private higher education sector accounting for only 12.90% of total enrolled higher education students. Both Cambodia and Vietnam have passed laws and policies that support the development of the private higher education sector in their respective countries. However, Vietnam only strengthened its push for its private higher education sector (e.g., allowing people-founded HEIs to become private HEIs) and clarified the distinction between private and public HEIs in the mid-2000s and in 2012, respectively, resulting to the low participation rate in private higher education. The effect of political regime change can be clearly seen in China, Myanmar, and the Philippines with varying results. China’s changes in political regime and/or leader resulted to serial eras of development and decline in its private higher education sector. China’s post-Mao era and its globalization era supported the growth of its private higher education sector to develop human capital to support economic development. However, it appears that China’s minban and independent colleges are limited to providing pre-bachelor’s and bachelor’s degrees. In Myanmar, higher education reforms, including passing and amending the National Education Law, however, the private higher education law, although already drafted as early as 2014, did not manage to pass to date. This may be due to Myanmar’s semi-democratic government, which has a power-sharing arrangement with the former Military government. However, in spite of not being officially recognized by the government, there is a striving private higher education sector in Myanmar. In spite of having a long history of private higher education, the Philippines share of enrollments in private HEIs have been decreasing from 68.69% in 2000 to 54.27% in 2020. This can be explained with the expansion of State Universities and Colleges through establishing satellite campus, the difference in tuition between public and private HEIs, and the Universal Tertiary Education Act of 2017 granting free tuition and fees for those taking their first degrees at State Universities and Colleges initiated and implemented by different government administrations. Furthermore, all the country cases presented in this chapter have initiated, implemented, or are planning to make structural changes in their respective public higher sector. Although implemented at different speeds, there is the directive to use new public management in public higher education including establishing a governing structure to enhance effectiveness, cost reduction, and effectiveness, promoting cost-sharing and cost transfer, promoting institutional autonomy balanced

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with quality assurance and accreditation, and a shift away from depending on public funding toward a more diverse source of funding. However, the Case of China, Thailand, and Vietnam vague classification (public or private) of institutional cooperation such as the Sino-Foreign Cooperation Universities in China, the jointly established universities in Vietnam (e.g., University of Science and Technology in Hanoi), and the establishment of international colleges/ universities by Thai and Vietnamese public HEIs remains an issue to be addressed. Together with international branch campuses, how these institutions will be classified will distort data and development in private higher education in the Asia-Pacific region. Considering the various country cases and the different factors (e.g., demographic trends, political regime change, laws and policies, and internationalization/regionalization of private higher education, there is clearly a limit to both the development of private higher education and the privatization of public higher education. The interplay of the above-mentioned factors, supply-demand dynamics, and the thin line between what is private and public HEIs, given increasing privatization of public higher education, increase the complexity of sustainable growth of private higher education in decades to come. Although some countries still reveal low participation rates and low private higher education share of enrollments, the demographic trend of rapid ageing is likely to spread in most Asia-Pacific countries in the coming decades.

References Altbach, P. (1998). Comparative higher education: Knowledge, the university and development. Greenwood. Altbach, P., & Levy, D. (2005). Private higher education: A global revolution. Sense. Altbach, P., De Wit, H., & Woldegiyorgis, A. A. (2021). Public vs. private participation in higher education: Realities and debates. UNESCO. ASEAN Secretariat. (2021). ASEAN key figures 2021. ASEAN Secretariat. Asian Development Bank (ADB). (2012). Private higher education across asia: Expanding accesss, searching for quality. Asian Development Bank. Bjarnason, S., Cheng, K.-M., Fielden, J., Lemaitre, M.-J., Levy, D., & Varghese, N. (2009). A new dynamic: Private higher education. UNESCO. Bothwell, E. (2018, March 8). Global boom in private enrollments. Retrieved February 12, 2022, from Inside Higher Education: Of the 179 countries showing enrollment by sector, only 10 nations appear to have no private higher education, according to the analysis. Buckner, E. (2017). The worldwide growth of private higher education: Cross-national patterns of higher education institution foundings by sector. Sociology of Education, 90(4), 296–314. Chao, R. J. (2012). Democracy, decentralization and higher education: The Philippine case. AsiaPacific Social Science Review, 12(1), 31–44. Chao, R. J. (2014). Regionalization, international organizations and east Asian higher education: A comparative study of east Asian higher education reforms. Retrieved February 14, 2022, from City University of Hong Kong. https://scholars.cityu.edu.hk/en/theses/regionalization-interna tional-organizations-and-east-asian-higher-education(559b032d-a82e-4474-91866be1f5d0ef1f).html Chao, R. J. (2018). Higher education systems and institutions, Myanmar. In J. Shin & P. Teixeira (Eds.), Encyclopedia of higher education systems and institutions. Springer Nature B.V.

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Quacquarelli Symonds. (2019, August 8). How aging populations are impacting the higher education sector. Retrieved February 14, 2022, from Quacquarelli Symonds. https://www.qs. com/aging-populations-impacting-the-he-sector/ Rany, S., Zain, A. N., & Jamil, H. (2012). Establishment of institutional policies for enhancing education quality in Cambodian universities. International Journal of Higher Education, 1(1), 112–127. Saguin, K. (2022). The politics of de-privatisation: Philippine higher education in transition. Journal of Contemporary Asia. Sharma, Y. (2018, April 6). Declining populations point to a sombre future for HE. Retrieved from University World News. https://www.universityworldnews.com/post.php?story¼20180406110 416788 Shen, G. (2018). Building world class universities in China: From the view of national strategies. Retrieved February 14, 2022, from Global University Network for Innovation. https://www. guninetwork.org/articles/building-world-class-universities-china-view-national-strategies Siltaoja, M., Juusola, K., & Kivijärvi, M. (2019). ‘World-class’ fantasies: A neocolonial analysis of international branch campuses. Organization, 26(1), 75–97. UNESCO UIS. (n.d.). Distribution of enrollment by type of institutions. Retrieved 02 12, 2022, from UNESCO UIS Database: http://data.uis.unesco.org/Index.aspx?themetreeid=1 Varghese, N. V. (2002). Private higher education. International Institute for Education Policy (IIEP). Wang, L. (2014). The road to privatization of higher education in China: A new cultural revolution? Springer. Welch, A. (2021). Private higher education in East and Southeast Asia: Growth, challenges, implications. UNESCO. World Bank. (2021, October 22). Higher education. Retrieved February 12, 2022, from The World Bank. https://www.worldbank.org/en/topic/tertiaryeducation#1 Wu, H., & Zha, Q. (2018). History of Chinese higher education. In Encyclopedia of educational philosophy and theory. Springer. Yonezawa, A. (2020). Challenges of the Japanese higher education amidst population decline and globalization. Globalisation, Societies and Education, 18(1), 43–52.

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Seu’ula Johansson-Fua and Michael Crossley

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Foundations of Higher Education in the Island States of Oceania . . . . . . . . . . . . . . . . . . . . . . . The Scope, Nature, and Achievements of Contemporary Provision . . . . . . . . . . . . . . . . . . . . . . . . . . Contemporary Challenges, Tensions, and New Priorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Existential Challenges of Climate Change and the COVID Pandemic . . . . . . . . . . . . . . . . . . Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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The chapter reflects upon the history and development of higher education in the island states of Oceania, while documenting the nature, achievements, and challenges of changing contemporary provision. Particular attention is given to an interrogation of the influence of international agendas on developments within the sector; an analysis of research and pedagogic priorities articulated within the region; an awareness of enduring sociopolitical tensions; and an exploration of related environmental, cultural, and epistemological implications for the higher education sector. In doing so, the chapter draws upon the potential of combined insider–outsider positionings grounded in respect for context sensitivity and oceanic cultures and values. Keywords

Oceania · Higher Education · University of the South Pacific · Pacific cultures knowledge S. Johansson-Fua (*) The University of the South Pacific, Tonga, Tonga e-mail: [email protected] M. Crossley University of Bristol, Bristol, UK e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_89

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Introduction In this chapter, we aim to provide an accessible, up-to-date, and locally informed overview of the nature and development of higher education in the island states of Oceania. This is carried out with reference to contemporary issues and trends in the international higher education literature, while paying particular attention to locally and regionally grounded perspectives, priorities, and challenges. In doing so, we draw upon our own engagement within higher education in the region, related comparative research, and a distinctive combination of insider and outsider positioning and experience (Crossley et al., 2016). The global expansion of higher education has been increasingly evident since the 1980s, driven partly by the emergence of the knowledge economy. Western, neoliberal models, values, and assumptions have dominated this process, leading to the policy transfer of funding regimes favoring marketization, the rise of the private sector, increased reliance upon student fees and governance processes seeking intraand intergovernmental coordination, and the harmonization of higher education systems, curricula, standards, and qualifications frameworks. The internationalization of higher education has also been intensified by the impact of competitive global league tables and university rankings influencing status, reputations, enrollments, and the flow of research funds. At the same time, such processes and new “governance mechanisms” have been increasingly challenged and problematized, especially in the work of comparative and international researchers, a growing corpus of postcolonial scholars and supporters of indigenous knowledge who have long called for greater context sensitivity and the critical interrogation of policy flows in all sectors of education (Crossley, 2019; SteinerKhamsi & Waldow, 2012; Tikly, 2020; Thaman, 1993; Koya et al., 2018). In terms of higher education policy and practice, the mediating role of active “agency” can also be seen in the ways in which local political and cultural priorities are mobilized to engage with and modify international models in ways that better fit the economic and political agendas and overall strategic plans of the governments in question. This is the wider global context, with its attendant possibilities, challenges, and tensions, within which the higher education sector in the island states of Oceania has emerged, and it is to the history and foundations of higher education in this context that we now turn.

The Foundations of Higher Education in the Island States of Oceania The region that comprises the Pacific Islands stretches from Papua New Guinea and the Federated States of Micronesia located in the western and northern boundaries of the Pacific Ocean, to Hawai’i and French Polynesia in the north–east and south– western sectors, respectively. Between these boundaries can be found a diversity of what UNESCO calls small island developing states (SIDS), including the Solomon Islands, Nauru, Vanuatu, New Caledonia, Tuvalu, Fiji, Tonga, Kiribati, Tokelau, and

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the Cook Islands. Within the Pacific, however, the concept of the small state has long been contested with Epeli Hau’ofa’s (1993) seminal work leading many writers across the arts and the social sciences to refer to the region as a “sea of islands” made up of large ocean states. For these reasons, we also prefer to use the title “Higher Education in the Island States of Oceania” for this chapter. Modern forms of formal education in the Pacific were introduced by various missionary groups during the early nineteenth century. Key players in this process were the London Missionary Society (LMS) and the Catholic Church. The purpose of formal education at that time was to teach skills that were needed to convert to Christianity and eventually to participate in a colonial administration and economy (Kavaliku, 1966; Helu, 1981; Helu-Thaman, 1999; Coxon et al., 2020). What is often missed or ignored in standard historical accounts is the enduring colonial nature of the underlying administrative structures, values, and processes that are embedded within these systems. Also frequently overlooked is the nature and significance of the traditional knowledge systems that were replaced, discarded, or at best redefined as “non-formal education” and “in-formal education.” These traditional knowledge systems incorporated the induction of new generations into values, cultures, and skills of Pacific people’s astronomy, agriculture, fisheries, oceanography, meteorology, medicine, economy, politics, religion, arts (performing arts, body art, sculpture), languages, mathematics, architecture, sea transportation, warfare, trade, and history. These traditional knowledge systems enabled Pacific people to survive and thrive in Oceania for over 2000 years, long before Western forms of modern formal education were introduced. However, Christian religion has continued to grow and strengthen within postcolonial administrations. The role of the church, and “lotu” or faith, has thus come to define much within social and economic village life and thereby influencing Pacific cultures. Indeed, it can be argued that Christianity has been a major lasting legacy of colonialism, and a legacy that Pacific cultures have redefined for themselves. In sum, from the outset, modern forms of what is now seen as formal education throughout Oceania were defined by external agencies and competing religious denominations and funded by international donors or colonial administrations. It is within this historical context that higher education in the island states of Oceania must be viewed. As a starting point, the history of higher education in the region was “almost exclusively confined to theological colleges for over one hundred years” during most of the nineteenth and the first half of the twentieth century (Crocombe & Meleisea, 1989, p. 3). One of the earliest higher education initiatives in the Pacific was the introduction of theological colleges, such as the Malua Theological College in Samoa that was established in 1844 (www.malua.edu.ws). Today, there are several theological colleges spread across the region, from Kiribati to Marshall Islands to Tonga and to American Samoa. The theological institutions also include regional bodies such as the Seventh Day Adventist’s Fulton College (later university) that was established in 1940 (www.fulton.ac.fj), and the Pacific Theological College that was set up in 1965 (www.ptc.ac.fj). As the Churches ran the early schools, many of these colleges were also involved in teacher training; to be followed from the late

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1920s by the provision of medical training, such as that provided by the Central Medical School that was established in Fiji in 1929 (www.fnu.ac.fj). Following World War II, decolonization advanced rapidly generating increased aspirations for education throughout the Pacific, including pressure for access to university courses abroad. Within the region teachers’ colleges expanded in size and number, although little international support was given to the establishment of homegrown university provision until the colonial powers were in the process of withdrawing. As more of the Pacific countries gained independence from their former colonial powers, an increasing number of higher education institutions were established in the 1960s. One of the first national higher education institutions in the region, The University of Papua New Guinea, UPNG), was founded in Port Moresby in 1965 (www.upng.ac.pg). This was established by the Australian Government, along with other tertiary-level institutions that later became the four public universities in Papua New Guinea (PNG) that we see today (PNG public universities – University of Papua New Guinea, Papua New Guinea University of Technology, University of Goroka, and the University of Natural Resources and Environment). PNG also now hosts two private universities with one managed by the Catholic Church and the second run by the Seventh Day Adventists. With the establishment of The University of the South Pacific (USP) in 1968 (to serve the Pacific territories of the United Kingdom), a distinctive regional approach to the provision of higher education came to dominate the islands of Oceania, with powerful international aid agencies arguing that, as with The University of the West Indies in the Caribbean, this was the most cost-effective strategy for small islands; and a strategy that would also concentrate resources and be the best way to ensure high academic standards (Caston, 1993). Challenges to the dominance of the regional model can, however, be seen in the locally generated literature and homegrown higher education initiatives that emerged from the 1980s with work by pioneers such as Futa Helu (1988), and Crocombe and Meleisea (1988). Since then, a more diversified higher education sector has grown throughout Oceania with the creation of national-level initiatives being especially significant (Chandra, 2011b), and the place of distance education and blended learning becoming strategically important in reaching isolated communities as digital technologies have advanced (Lingam et al., 2015). In the Northern Pacific, for example, the University of Guam was originally founded in 1952 as a teacher training institution and later became a university in 1965 (www.uog.edu). In 1987, the Universite’ Francaise du Pacificque was established with two centers, with one in French Polynesia and the other in New Caledonia. The second center later became the University of New Caledonia in 1999 (www.unc.nc). By 1984, Samoa, already a member of the USP, became the first member country to establish a national university: The National University of Samoa. It was not until 26 years later in 2010 that Fiji followed with the establishment of the Fiji National University through an amalgamation of government-owned higher education institutions. Shortly after, in 2013, Solomon Islands followed with the establishment of

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the Solomon Islands National University, again through an amalgamation of several government-owned higher education institutions (www.sinu.edu.sb). In 2019, Vanuatu also established the National University of Vanuatu/Universite’ Nationale de Vanuatu (www.univ.edu.vu). All four countries, Samoa, Solomon Islands, Fiji, and Vanuatu, continue to be USP member countries. Today, higher education in the Pacific region is thus provided by a combination of government institutions, faith-based organizations, and the private sector. In recent years, international higher education institutions have also been set up in the Pacific, with full funding support from international governments and bodies such as the Australia Pacific Training Coalition (founded in 2006) with locations in Samoa, PNG, Kiribati, Solomon Islands, Vanuatu, Tuvalu, Nauru, and Fiji (www.aptc. edu.au). Externally operated online programs, some with varying levels of quality and legitimacy, are also increasingly available within the region; and a number of important initiatives are supported by innovatory bodies such as the Virtual University for the Small States of the Commonwealth (https://www.col.org/programmes/ vussc/virtual-university-small-states-commonwealth-vussc). In a short chapter such as this, it is not possible or appropriate to cover every state and territory in detail, so in what follows we focus upon the development of higher education within the 12 member nations of The University of the South Pacific (USP). References cited within the chapter, such as the edited volume Pacific Universities: Achievements, Problems and Prospects (Crocombe & Meleisea, 1988), do, however, provide additional information, insights, and resources.

The Scope, Nature, and Achievements of Contemporary Provision The Regional University, USP, retains its status as the center of higher education excellence within the islands of Oceania, being funded largely through membership contributions from the 12 countries, student fees, and contributions from external agencies. Fiji is the largest contributor to the budget, a fact that underpins ongoing tensions, although financial support is also received from New Zealand and Australia and other specialist partners and donors. The university’s total recorded income for 2019 was FJD$177.3 m, which was 12% lower than 2018. The students’ tuition fees continue to be the largest source of revenue for the university and saw an increase to 45% in 2019 from 39% in 2018. This is compared to development assistance, which decreased from 21% of the total budget in 2018 to 17% in 2019. Government contributions in 2019 contributed 21 and 17% came from all other income. In 2019, the university recorded net assets that totaled FJD$163.9 m, an increase of FJD2.4 m from 2018 (USP Annual Report, 2019). Overall, the university’s financial report for 2019 reveals the initial impact of the global pandemic and a decrease in both government and development assistance contributions. The implications of reduced funding for a small but geographically spread organization can be felt quickly as there is limited access to additional sources of funding. The university has largely depended upon its funding from student fees and the government contributions. While there is access to external research funding, this remains

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minor in comparison to the funding received through student fees and the government contributions. Fortunately, the university has managed to hold the student fees steady. However, this has come at a cost to staff recruitment, staff remuneration, and a hold on major renovations and infrastructure developments. The implications include a high number of vacancies and heavy workload on existing staff. As such, any attempts to diversify the university’s sources of funding will be challenging given limited internal human resources and the external pressures of COVID-19 on the economy of the USP member states. The university offers a comprehensive range of programs from pre-degree and undergraduate qualifications to postgraduate levels in the sciences and technology, business and economics, arts and humanities, and agriculture and ocean sciences. Programs include foundation-level courses, and technical and vocational options through its Pacific Technical College. In terms of location, USP has a total of 14 campuses spread across 12 countries and students are able to access courses through online platforms and a range of blended modes of learning, including faceto-face teaching and tutorials. While most undergraduate courses are available online, students must move to the main Laucala campus in Suva, Fiji, to attend more senior-level courses. This is especially so for teaching in the sciences and engineering requiring access to specialist laboratories and equipment. There are also research institutions and faculties based outside Fiji, such as the University’s School of Law located at the USP campus in Vanuatu, the School of Agriculture located in Samoa, and the Institute of Education based in Tonga. The 14 regional campuses offer online courses that are mainly taught from the Laucala campus in Suva, from the campus in Vanuatu or from Samoa. The regional campuses also offer face-to-face tutorial support, library services, IT services, and general campus life. In 2019, 80% of the USP courses were offered online, with 29.2% in Blended mode (meaning both face-to-face and online), and 16.2% in print mode (USP, Annual Report, 2019). All of the 14 regional campuses have Campus Directors that report to senior management in the main Laucala campus in Fiji. The smallest of the regional campuses is in Tokelau with an enrollment by EFTS of 46.9 in 2019. The largest of the campuses is the main Laucala Suva campus with an enrollment by EFTS of 11,402.8. The total number of students studying at USP in 2019 was 31,310, with 16,068 (51%) of them studying at bachelor level and 3164 (10%) students studying at postgraduate level. The Fiji students represent 57.9% of the student population, followed by Solomon Islands representing 15.6%. Students from smaller member countries that include Niue, Cook Islands, Tokelau, and Nauru individually have less than 0.5% of the total student population. In 2019, with a total EFTS of 18,724.1 over 10,863.2 (58%) were female students (USP, Annual Report, 2019). A total of 5965 students graduated from USP in 2019, a reduction from 6140 in 2018. Of the graduates in 2019, 61.8% were of Fijian nationality, followed by 13.8% of Solomon Islands nationality and less than 1% from Niue. Fifteen doctorates were awarded, an increase from 13 in 2018. In 2019, USP had a total of 305 academic staff, of which the bulk of them are at teaching assistant to lecturer level, with only 15 professors (4%). Since 2020, there have been no Pacific women at professorial level nor at the

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senior management level of the university (USP Calendars 2020 and 2021). Gender and leadership within the university continue to be a priority issue for attention but one that currently remains difficult to resolve. The main Laucala campus holds 73% of the total staff, followed by 7% at the Vanuatu campus, and 2.8% being located at the Solomon Islands campus (despite the high number of students in the Solomon Islands) (USP, Annual Report, 2019). The USP enjoys an extensive IT network, including USPNet satellite technology, providing service and support across the 12 member countries, and has over 50 years of experience in delivering innovatory distance and flexible learning to multiple sites (Chandra, 2011a). This IT infrastructure includes connectivity via satellite and fiber optic cable depending on each country’s availability. During the global pandemic, the university managed to continue delivering courses to member states through online systems and, indeed, made more options available in this mode. Pressures generated by the pandemic did, however, reveal significant limitations in the distance learning modality by highlighting serious connectivity and infrastructure problems at the village level when many students seeking isolation from the virus returned to their own highly dispersed communities and remote islands. With some irony, given USPs prior commitment to a rapid move to digitization and online systems, during the COVID pandemic teaching departments often returned to the provision of traditional printed course packages for the use of more remote communities and students. Given the more than five decades since its foundation, the achievements of USP as one of the two most prominent regional universities in the world warrant international recognition. In parallel with the University of the West Indies, it has pioneered the development of this regional model, being particularly innovative in widening access to higher education through distance education and blended learning modalities, in decentralizing activity through a network of university centers, national campuses, and specialist institutes, and by generating a distinctive high-quality research profile focused upon regional priorities and Strategic Themes that include cutting-edge work on, for example, Oceans, Ecosystems, and Climate Resilience (https://www.usp.ac.fj/research/strategic-research-themes/). From 2013 to 2019, there has been a steady increase in the number of total research outputs, from 144 to 222 in 2019, with these including books, book chapters, conference proceedings, and journal articles (USP, Annual Report, 2019). USP systems and personnel have also made significant contributions in supporting the publication and dissemination of regionally important research and scholarship through, for example, the early and innovative work of the Institute of Pacific Studies, research carried out by the Institute of Education based in Tonga, and material stemming from the Vaka Pasifiki Education Conference and the Oceania Comparative International Education Society’s International Education Journal: Comparative Perspectives (McCormick & Johansson-Fua, 2019). In doing so, and reflecting global internationalization trends, collaboration with international organizations and research funding agencies has become increasingly visible and important for USP, with New Zealand

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and Australia continuing to be the most important and consistent core sources of material and personnel support. As one of the region’s leading development agencies, USP also plays a key role in the implementation of the Pacific Regional Education Framework as the region’s response to the United Nations’ Sustainable Development Goals (SDGs) and, in particular, SDG 4 that focuses upon education. This is being implemented in collaboration with the South Pacific Community (SPC) UNESCO and UNICEF for 15 Pacific countries (see also Pacific Island Forum Countries, 2018). The Institute of Education also plays a role in the implementation of policy areas within the Pacific Regional Education Framework. The interface between the global agenda of the SDGs, the regional architecture (including the regional nature of the USP) and the national demands of member countries, thus generates a highly complex and often contested development context for the region, and one that underpins many of the challenges and tensions for higher education that are considered below. At the level of national provision, the national universities of Samoa, Fiji, Vanuatu, and Solomon Islands complement USP provision and tend to emphasize technical and trade programs at certificate level while offering selected degree programs up to postgraduate level. The programs offered by these national universities more closely reflect the contexts and priorities of each country. In Samoa, Fiji, Vanuatu, and Solomon Islands, for example, there are courses in Fisheries, Agriculture, and Forestry, as well as for Health. Solomon Islands University offers a strong Fisheries program reflecting the country’s Tuna industry and Samoa’s National University also offers Samoan Studies at graduate and postgraduate level. Also present in the national universities are Maritime programs directly reflecting the countries’ oceanic geography. For all four national universities, Tourism and Hospitality programs also feature clearly in their offerings – again reflecting the role of tourism in Pacific economies. The Fiji National University and the National University of Samoa both offer postgraduate programs and have students carrying out research in various fields. Since the global pandemic, more online options have been made available from the national universities and there have been additional efforts to build up their distance and flexible learning programs. While each of these national universities receive primary funding from their home government’s budget, the quality of their online learning platforms can, unfortunately, be seen to be highly variable as it rests on existing country connectivity and what are high costs for small national budgets. The relationship between the USP and the national universities has also shifted over the years as the number of national universities has increased and as USP continues to prioritize international recognition. This is evident in the evolution of USP’s strategic plans where there has been a slow erosion of strategic ties to national institutions and the importance of Pacific community service and engagement (USP Strategic Plan 2019–2021). It can be argued that the types of support and relationships that now exist between the USP and the national universities are largely at individual collaboration levels with pockets of institutional partnerships at school and discipline level. This includes the work of the USP’s Institute of Education with the Tonga national teacher training institute (Tonga Institute of Education) and also

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the Solomon Islands National University through aid-funded projects (JohanssonFua et al., 2020).

Contemporary Challenges, Tensions, and New Priorities As indicated at the outset of this chapter, international trends and agendas have increasingly influenced the nature and development of higher education systems and organizations worldwide, with Western neoliberal models having perhaps the most impact. At the same time, local “agency,” on multiple levels, can also be seen to engage with such global trends in ways that may challenge or adapt influential models and strategies to better meet local needs and priorities. In the case of higher education in the islands of Oceania, the impact of internationalization has been far reaching and persistent, at the same time as varying degrees of local mediation, and challenges to external influences, continue to have a significant effect (Pacific Island Forum Countries, 2018). This helps to understand many of the contemporary developments, challenges, and tensions that currently command attention within the higher education sector throughout the island states of Oceania. At perhaps the broadest level, international influences, and colonial models in particular, can be seen to have shaped the basic foundations and form of the higher education sector. The decolonization process within the Pacific then raised fundamental challenges, disrupting the status quo and inspiring changes in the contemporary higher education architecture with all its ongoing complexities. It can also be seen how this distinctive history continues to underpin many of the most enduring challenges and tensions that continue to dominate the sector today. For those working within higher education, perhaps the most visible challenges relate to tensions between increasing internationalization, the maintenance of regional strategies and the growth of national aspirations. Related to teaching, for example, internationalization increases pressures for quality assurance defined in terms of “international standards” and standardized curricula and assessment, while supporters of regional and national priorities often do more to highlight Pacific cultural values and local economic relevance. The quality of teaching (and research) in higher education is thus a fundamental and enduring challenge, but one that has long been characterized by the question of “whose quality is to be legitimised?” (Thaman, 2009). At present, the USP is accredited by the Western Association of Schools and Colleges (WASC) Senior College and University Commission (WSCUC). There are also internationally accredited programs of the USP linked to various university and professional organizations from Australia, the United Kingdom, and New Zealand (https://www.usp.ac.fj/why-usp/accreditation-andranking/). For national universities in the region, their accreditation is either linked to USP or to universities and institutions in Australia and New Zealand. The process of seeking accreditation can be expensive in terms of human resources and funding. Similarly, with regard to research, USP prioritizes high international standing, emphasizing how “we have become a global brand, with uniRank placing us amongst the Top 50 universities in Oceania and top 9% internationally.” More

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specifically, while USP does focus upon Pacific contextual priorities, all four of its strategic research themes are international in origin, “derived from the UN’s Sustainable Development Goals (2015 – 2030) and underpinned by globally prominent conceptions of Innovation, Empowerment and Sustainability” (https://www.usp.ac. fj/research/strategic-research-themes/; USP Strategic Plan 2018–2021). In theory, these need not be irreconcilable goals and aspirations but there is much to suggest from contemporary higher education experience across Oceania that this is harder to achieve in practice. To cite the USP website once again: “USP is a comprehensive university with a dynamic role in the region. We endeavour to work collaboratively with local, and regional stakeholders and partners whilst remaining open to global opportunities” (https://www.usp.ac.fj/office-of-the-vice-chancellor-and-president/ office-of-the-vcp/home/). Indeed, it could be argued that some of the dilemmas encountered in higher education reforms across the region could be related to the practical realities of such aspirations, challenges, and tensions, especially in times facing multiple global crises and rapid change. “Relevance” is, therefore, a multidimensional challenge that is both prioritized and contested. From an institutional level, the national universities thus more closely align their research agendas to their own national development goals and strategies. This is reflected in the research plan for the National University of Samoa, with a focus on economic development and TVET, on Samoan language, health, and wellbeing, and on environmental protection and sustainability (NUS Research Plan 2018–2023). The same national alignment can also be seen in the research projects and plans for the Solomon Islands and the Fiji national universities. As indicated above, funding is a systemic priority in both teaching and research. Student fees have become increasingly important as is the case worldwide, and there are only a few research projects that are directly financed by each university. In line with international trends and modalities, external finance often has to be secured and research projects are expected to win competitive bids for external funds. Larger research projects are generally financed through partnerships with international universities with funds from major donors in the region – namely, New Zealand, Australia, the Asian Development Bank, and The World Bank. Such research partnerships are often driven by the sponsors and the leading international university. It is common, therefore, to find that the research agenda and methodologies are also shaped largely by the donor and the international universities involved. Further to this, academic publications that are generated out of such research are again too often driven by the international partners, generating interpersonal tensions and highlighting the need for greater efforts to be made to ensure improved relevance and more equitable partnerships and benefits for Pacific researchers and organizations. While this has long been seen as the cost of “internationalization,” in some contexts, fields, and disciplines this is changing (see Crossley et al., 2011). The emergence of the global decolonization movement is also adding increased support, legitimacy, and urgency to the decolonization of knowledge production as the work of writers such as Robinson-Pant and Singal (2013), Coxon and Munce (2008), and Walker and

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Martinez-Vargas (2020) demonstrates. There has also been a steady stream of new Pacific researchers redefining the research space in Oceania and building upon the pioneering path established by Hau’ofa’s (1993) early decolonization philosophy. Contemporary Pacific writers include Thaman (2009), Nabobo-Baba (2008), Johansson-Fua (2014), Koya et al. (2018), and researchers who have contributed to the development of culturally grounded ethical research tools and protocols (‘Otunuku, 2011; Sanga et al., 2018; Fa’avae et al., 2016). This has included the development and use of the traditional communication protocol of Talanoa by Polynesian academics (Vaioleti, 2006; ‘Otunuku, 2011; Johansson-Fua, 2014), in conducting research. Similarly, there is the emerging work on the traditional communication protocol of tok stori by Melanesian academics (Sanga et al., 2018). Further to this, within Pacific cultures knowledge is considered a collective good and is created in the collective. As deeply relational people (Johansson-Fua, 2020; Thaman, 2008), knowledge is considered as belonging to everyone and for the benefit of the community (Johansson-Fua, 2014; Naisilisili, 2014; Nabobo-Baba, 2008). As such, issues of intellectual property become even more complicated as they are closely linked to tradition and to the collective community. The sharing of sacred knowledge with a wider audience can, therefore, be complex, involving multiple sets of negotiations and dialogue within Pacific communities. A further epistemological challenge and priority relates to the international/global assessment of research publications in peer-reviewed, ranked journals. This has the effect of forcing Pacific scholars to seek publication in “international journals” that may not be easily accessible or affordable within the region. The related power and prestige accorded to international publishing houses additionally devalues the legitimacy of locally produced and published journals, to the detriment of regional publishing agencies and further limiting the local dissemination of research findings. The pressure placed upon academics to publish in the English language is also a challenge common for indigenous scholars around the world. While an international language has many advantages, its dominance can contribute to the loss of diverse knowledge systems, epistemologies, and ontologies when associated value systems remain hidden from the world. This is especially significant within Oceania because this is one of the most linguistically diverse regions in the world. A case in point is Vanuatu, as having a total of 106 languages of which 81 are described as living languages that are actively spoken (Lynch, 2001). Further to this is the English-based pidgin language of Bislama, while additional languages of English and French are also spoken in Vanuatu (stemming from a time where there were dual education systems). Moreover, with the continuing dominance of the English language (and French in the French territories) in Pacific education systems, combined with the limited teaching of indigenous knowledge and languages, the potential for advancing Pacific pedagogies and cultures through formal education remains a further challenge and priority. Nevertheless, English, with all its strengths and limitations, remains the language of higher education for USP and the national universities for Fiji, Samoa, and Solomon Islands.

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The Existential Challenges of Climate Change and the COVID Pandemic The Pacific region, like other SIDS worldwide, has long been at the forefront of the climate crisis. With low-lying atolls and fragile infrastructure, each cyclone season and each king tide highlights the vulnerability of Pacific communities to the effects of environmental change. In the sections above, it can be seen that many regional research priorities have been developed to relate to climate change and sustainable development. Pacific academics (Thaman, 2009; Johansson-Fua, 2014) have also long been calling for greater attention to be given to environmental uncertainty and the potential of indigenous knowledge systems in both school curricula and in higher education. As argued above, this remains as a significant challenge and priority for the sector, partly because the drive for international ranking and “internationalization” has been at the cost of recognizing the potential of Pacific knowledge systems and the wider inclusion of indigenous peoples, perspectives, and values in higher education. The global COVID pandemic also continues to present many challenges for the future of higher education in the region. Prior to the pandemic, USP had introduced two key policies to “future proof” the university (Naidu, 2016). These focused on the widespread provision of flexible learning and open education resources. While throughout the pandemic the university moved further into increasing online programs, as argued above, it took the 2021 lockdown to reveal the technical limitations of online provision and the fact that remote student access to the Internet was in fact much lower than previously assumed. As the islands of Oceania face the two biggest challenges of our times – climate change and the global pandemic – there is every reason to hope that the higher education sector will help the region to address and deal with these deep and multidimensional issues. Such existential challenges and tensions will, however, be harder to resolve if the potential of indigenous knowledge systems and local “voices” to contribute to research and policy deliberations and solutions continues to be undervalued.

Conclusions In conclusion, it is argued that the tensions that exist between sovereignty, regionalism, and internationalization are also played out in higher education in the island states of Oceania. Regionalism itself is also undergoing reconstruction in the Pacific as expressed in ongoing work to strengthen initiatives within the design for the 2050 Strategy for the Blue Pacific Continent (www.forumsec.org). While this is not without criticism for continuing a tradition of regional plans that have not quite worked in the past (Fry, 2015; Slatter, 2016; Tarte, 2016), the future of higher education in the islands of Oceania will continue to be determined by the complex and rapidly evolving relationships between USP as the leading regional institution and national aspirations for greater sovereignty and ownership of higher education provision.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Asia Rising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Origins and Development: The Past Haunts the Present . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Postcolonial Developments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Achievements and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Governance/Corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Demographic Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Privatization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Regionalism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion: Tradition and Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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The rise of higher education in the Asia-Pacific region is part of the wider shift to the East. Just as the economies of India, Indonesia, and China have grown substantially over recent decades, so too have higher education systems and institutions across the region, albeit very differentially. China now has by far the largest higher education system worldwide, attracted (pre-COVID) half a million international students to its universities, and lists almost 60 of its universities among the leading 500, worldwide. Its wealth and higher education profile contrast sharply with very poor countries such as Laos, Afghanistan, and Myanmar, whose higher education systems and institutions serve national goals, but are much less well known internationally. But the current picture tells only part of a much longer story. Ancient scholarly centers such as Takshila, Alexandria, and Baghdad attracted scholars from far and wide. Major forms of higher learning such as Confucianism were the basis for A. Welch (*) School of Education and Social Work, University of Sydney, Sydney, NSW, Australia e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_95

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scholarly development, including of scholar officials, for two thousand years, and were influential in Japan, Korea, and Viet Nam. The current challenge for Asia-Pacific higher education systems, arguably, is to draw on indigenous epistemic traditions, while adapting elements from the West – an intricate synthesis that none have entirely achieved. But the rise of Asia-Pacific higher education is set to continue, and will increasingly challenge the traditional dominance of the West. Keywords

Higher Education · Asia-Pacific · China · South-East Asia · Shift to the East · History · Achievements · Current challenges · Prospects

Introduction The rise of higher education in the diverse Asia-Pacific region is part of the wider global shift to the East. Beginning with the rise of Meiji Japan, and much later Taiwan and South Korea, the economies of India, Indonesia, and China, for example, have grown substantially over recent decades. So too have higher education systems and institutions (HEIs) across the region, albeit very differentially. Issues of governance, and corruption, as well as the limits of finance and state capacity vary widely across the region. With around 40 million students enrolled, China now has by far the largest higher education system worldwide, attracted (pre-COVID) half a million international students to its universities, and lists almost 60 of its universities among the leading 500, worldwide (Li, 2021; Singh, 2010). By contrast, the other Asian giant, India, lists only one. At the other end of the scale, tiny but amply developed Singapore has two highly ranked universities. The wealth and higher education profile of this whale and minnow contrast sharply with very poor countries such as Laos, Afghanistan, Timor Leste, and Myanmar, whose higher education systems and institutions serve national goals, but are much less developed and less well known internationally. Pacific nations’ higher education systems and institutions are both important repositories of intellectual and cultural tradition, as also a major pillar of development. Nonetheless, they remain peripheral in world terms and are less well understood than their national importance merits. The region embraces Micronesia, Polynesia, and Melanesia, including countries such as Fiji, Vanuatu, Solomon Islands, and Papua New Guinea. Some are very diverse internally, and have little in common with the countries of Asia (Crossley et al., 2011). Significant educational aid partnerships with regional neighbors such as Australia and New Zealand are now under threat, as the former, if not the latter, cut its aid budget significantly in recent years (Tolley & Coxon, 2014). From 2020, the expenses involved in responding to the COVID pandemic raised debt levels. Notwithstanding some increased strategic interest in the region from both China and Western nations, years of reduced aid from neighboring Australia, among others, may well limit educational efforts in Pacific nations in the coming years (Wood T. 2020).

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Asia Rising Asia’s ascent is clearly changing the world, although this is still not always recognized, nor it is not always clear in which ways. Adding to the complexity are the different and uneven paths to development. National identities are widely promoted within education systems but are also challenged by the strength and persistence of local affiliations, languages, and ethnic ties that at times defy national borders (Welch, 2018). Indeed, linguistic diversity is a feature of several systems, with Indonesia alone, for example, featuring 300 languages, and Papua New Guinea, with a population of under eight million, 850 languages (Economist, 2017). Of ASEAN (Association of Southeast Asian Nations) member states, only Singapore has reached developed country status, following a model of stable authoritarianism. Others such as Malaysia and Thailand struggle to transcend middleincome status. Strong-man authoritarian regimes are not unknown in the region. Myanmar and Thailand are ruled by military elites, Cambodia, although formally a constitutional monarchy, is effectively a one-party state. In such contexts, too often, colonialism in the Asia-Pacific left a destructive legacy of militarism, and authoritarian forms of governance that continue to marginalize much of the population (Keane, 2022). Decades of neoliberal reforms, albeit selectively applied, have further widened the gap between rich and poor. Too often, “Elections are about personalities, charisma and narrow clientelist promises,” rather than a contest of ideas and a commitment to shared wealth and power (Slater, 2022, see also Welch, 2022, Hawkins & Welch, 2022). Such environments tend not to be ones where higher education can fully flourish. But what is embraced by the term Asia-Pacific? The term Asia, alone, is complex enough, both geographically and conceptually. Some have argued that Asia is indeed a European cultural artifact, imposed on a diverse range of “others”: peoples, cultures, and languages. It is generally held to include some 45–50 nations, with a total population of some 4 billion. Subregions give greater definition and borders to the concept. They include South Asia (India, Pakistan, Nepal, Bangladesh, Bhutan, Maldives, and Sri Lanka), Central Asia (Turkmenistan, Kyrghyzstan, Afghanistan, Uzbekhistan, Kazakhstan, and Tajikhistan), East Asia (China [including Taiwan, Hong Kong, and Macau], Mongolia, Korea (s), and Japan), Southeast Asia (the ten member states of ASEAN), and parts of the Middle East (Israel, Jordan, Bahrain, Iran, Iraq, Kuwait, Lebanon, Qatar, Saudi Arabia, Syria, United Arab Emirates, and Yemen) and what is commonly called the Caucasus (Turkey, Armenia, Azerbaijan, and Georgia). (Afghanistan is here included in Central Asia, but is sometimes/often included in South Asia.) In addition, Pacific Island nations are themselves very culturally and linguistically diverse, and present a substantial test for national education systems. High population growth is common, and demand for higher education is growing, but regional challenges include the fact that higher education systems are relatively less developed, and at times struggle to maintain quality and respond sufficiently to demand. (For more, see ▶ Chap. 64, “Higher Education in the Island States of Oceania”).

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Origins and Development: The Past Haunts the Present The current picture, however, tells only part of a much longer and richer story. Historical accounts of higher education development conventionally begin with institutions such as Bologna, Oxford, and Paris, and perhaps Salerno and Salamanca. Such narratives ignore the role and importance of ancient Asian scholarly centers such as Takshila, Nalanda, Alexandria, Cairo, and Baghdad, some with extensive libraries, and which attracted scholars from far and wide (Welch, 2008, 2019; Ravi et al., 2019). But much more than institutions were involved, major models of higher learning such as Confucianism were the basis for institutional forms and scholarly development, including the selecting of scholar officials, for 2000 years, and were influential in East and Southeast Asia, notably in Japan (somewhat briefly), Korea, and Việt Nam (Welch, 2010, 2019). The first major institution of higher learning in Asia was the Jixia academy, founded in the state of Qi, current Shandong, around 318 BCE, although some argue this was a restoration, rather than an establishment. The importance of Jixia, according to some, is that it was “the first time on record a state began to act as a patron of scholarship out of the apparent conviction that this was a proper function of the state” (Lewis, 1999, p. 643, see also Hartnett, 2011). Scholars, or men of erudition (博 士, boshi) were granted stipends, the chief scholar held the title of Grand Prefect, while others were known as Master (先生, xiānshēng) and honored accordingly. More than one thousand scholars included Daoist philosophers such as Tian Pia, Shen Dao and Peng Meng (and possibly Zhuangzi), Zou Yan, founder of the Naturalist school, the Mohist Song Xing, as well as Confucians such as Mencius, Xun Zi, and Chunyu Kan. Many traveled from afar to study and live at the academy. According to Hayhoe, Jixia is held up by some intellectuals in China as “a model that balanced a vibrant intellectual freedom with scholarly responsibility for affairs of the state.” A feature of the academy was debates among contending schools of thought embracing the “responsibility for guiding the Qi rulers in major issues of governance, while remaining separate from the governing process” (Hayhoe, 2013, p. 322). A major intellectual influence in the region was Confucius (孔夫子, Kǒng Qiū) (c.551 to c.479 BCE) and the school of thought based on his teachings. The model came into being around the same time as the Platonic academy but was formalized in the Tang and Song dynasties more than a millennium later, with a core curriculum based on the Four Books and Five Classics, and persisted until the earliest years of the twentieth century, in both China and Việt Nam. It spread through parts of what is now East and Southeast Asia, notably Japan (somewhat briefly), Korea, and Việt Nam. Based on principles of personal cultivation and emulation of moral exemplars, that were married to “practicing benevolent governance” in the external world, intellectuals were selected through a rigorous examination process to serve as scholar-officials (Zha, 2022). The model, including the examination system, endured in China until the dying days of the sclerotic Qing dynasty, and in Việt Nam until the early twentieth century. When the reforming Cai Yuanpei, chancellor of Peking University from 1916–1926, wanted to introduce some innovations, he deliberately

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called upon both the rencai spirit of the Jixia academy as well as the Confucian emphasis on self-cultivation and moral virtue. Scholars such as Yang have argued that its core principles continue to influence Chinese higher education governance to this day (Yang, 2020). Ancient India, too, gave birth to some important models of higher learning, such as its ancient Pathashalas (पाठशाला) and Madrassahs (‫)ﻣﺪﺭﺳﺔ‬. The influence of important but long-faded institutions of higher learning such as Nalanda (नालन्दा) and Taxila (त्षिशला) are still invoked today, as seen in the reestablishment of Nalanda university, in current Bihar (Ravi et al., 2019; UWN, 2014). Operating from the late fifth century to 1197 CE, at its height the famed Buddhist center of higher learning attracted thousands of students from the region, including from present-day Nepal, China, Tibet, Central Asia, and as far away as, Greece, Iran, and Korea. Xuanzang (玄奘), one of its most illustrious alumni, was responsible for bringing Buddhism to China. Taxila, ancient name Takhshasila, founded around 2700 years ago in what is now Pakistan, featured a broad curriculum featuring both the sciences and arts. Teaching was rigorous, but examinations and fees were eschewed. Mention must also be made of major early centers of Islamic higher learning, notably Baghdad’s famed Bayt al Hikma (‫ﺍﺍﻝﺡﻙﻡﺓ†ﺏﺕ‬, House of Wisdom), and Al Azhar (‫ )ﺍﻝﺵﺭﻱﻑ ﺍﻝﺃﺯﻩﺭ ﺝﺍﻡﻉﺓ‬in Cairo, is still revered by many Muslims as a major center for higher study, with significant numbers traveling from Southeast Asia. Both centers functioned as major hubs of scholarship and learning in diverse fields (mathematics, astronomy, medicine, and philosophy) but also as magnets for numerous scholars from within and beyond the Islamic world (Dar al-Islam). Early Islamic centers of higher learning in India, included the Hauz Khas madrassah in current Delhi, founded in 1352 by Firuz Shah. It was one of the foremost Islamic institutions of the Tughluq Sultanate, and one of the largest and best-equipped seminaries in Dar Al-Islam (the Islamic world). Lastly, the area now known as Southeast Asia also included notable hubs of higher learning. The knowledge center of Angkor Wat, part of the mighty Khmer empire, attracted scholars from various parts of the region (Hayhoe, 2019). All these examples of ancient centers of higher learning make it clear that the current spectacular growth of Asian higher education, both quantitative and qualitative, should not be seen as just a rise but, at least as much, as a renaissance. The current transformation of the world of higher education from the “West and the Rest,” into a much more multipolar world of knowledge, is largely an Asian phenomenon. The longstanding respect for learning and education within East and Southeast Asian cultures provides one strong pillar for the further development of higher education within the region, but additional elements are also required. The ensuing debate resonates to this day. A key current challenge for many, if not all, Asia-Pacific higher education systems, arguably, is to draw on indigenous epistemic traditions, while selectively adapting the best elements from the West – an intricate synthesis that none have entirely achieved. The first in Asia to seek knowledge from the international realm was Meiji Japan (1868–1912), whose Iwakura Mission scoured Europe and America in 1872 for the most advanced

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institutional models and forms of learning (Nish, 1999). At the time, the German system had greatest influence on Meiji-era higher education. Keio University (Keiō Daigaku, 慶應義塾大学), Tokyo University (Tōkyō Daigaku, 東京大学) (1877), and Kyoto University (京都大学) (1897) were early institutional models forged during that reformist era. But the concept of Wakon Yosai (Japanese Spirit and Western Learning) continued to resonate in higher education and society. The earliest examples of Chinese universities to be influenced by Western ideas and institutional models include Peking University (Běijīng Dàxué, 北京大学), 1898, Tianjin University (Tianjin Dàxué, 天津大学), 1895, and (Shanghai) Jiaotong Dàxué, 上 海交通大学) 1896. Once again, as with Japan, the Chinese idiom of zhōngtǐ xīyòng 中体西用 “Chinese Learning as Substance, Western learning as application” remains an ongoing debate and challenge. India’s Hindu (later Presidency) College in Calcutta (now Kolkata) in 1817 was the first “European” institution of higher learning on the subcontinent. The subsequent universities of Calcutta, Bombay, and Delhi in 1857, like the University of London upon which they were modeled, functioned initially only as examination bodies. Debates continue over Westernization and its impact on Indian culture, including in higher education, which has been heavily influenced by Western models (Altbach, 1989).

Postcolonial Developments Colonialism’s impact on Asian higher education, profound and enduring, remains contested. Post-World War II, Japan’s higher education system was reshaped along American lines, during the US occupation (1954–52). India, Malaya, Singapore, and Burma (now Myanmar) were strongly influenced by British colonialism, whereas the countries of Indochina were more influenced by French ideologies and institutional models (Agarwal, 2009; Basu, 1989). Spain influenced the early development of higher education in the Philippines, while Russia and the USSR influenced the Central Asian Republics and, for a time, China, Việt Nam, and Afghanistan (Welch, 2011; Welch & Wahidyar, 2013). US influence was most evident in the Philippines last century, post-war Japan, and the south of Việt Nam, prior to the country’s reunification in 1975. The effect was to continue to tie the local system to the metropole, in defiance of postcolonial ambitions. This did not mean that such influences were uncontested, both during and after independence. While Altbach has argued that no Asian university is truly Asian in origin, this omits how strongly local tradition reshaped, and at times resisted, Western models, which clashed with the nationalist ideals of independent minded students. Việt Nam’s Ho Chi Minh and China’s Deng Xiaoping each spent time in France, but while influenced by (Western) Communist ideals, were also determined nationalists (Columbia, n.d.; Wang, 1982). Gandhi’s scathing assessment of 1931 blamed the colonial failure to pay due regard to longstanding local epistemological and pedagogical traditions, for the fact that India (and Burma) was then, he claimed, less literate than 50 or 100 years earlier.

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For several Southeast Asian states, formal independence was gained in the aftermath of World War II: Indonesia 1946, Philippines 1946, and Malaysia 1957. But colonial influences were not so easily overcome: challenges for higher education included replacing colonial administrators and academics with local staff, at a time of limited state capacity, and widespread competition for skilled personnel. But the rise of the developmental state model associated with East Asia and present in Southeast Asia to different degrees harnessed higher education to the overall goal of accelerated national development (Welch, 2017). A lingering legacy of colonialism is linguistic. Local languages have struggled to compete with the global rise of English as a medium of instruction. In Malaysia, private universities are permitted to teach in English, while public universities must teach in the national language of behasa melayu. English has persisted as a medium of instruction in Indian higher education but constitutes a significant social and educational divide. Effectively, students from non-Muslim upper classes most commonly study in English, while it is least likely among students from the country’s scheduled castes. Adding to inequality is the fact that English medium instruction is most common among private unaided HEIs, whose fees largely exclude the poor (Borooah & Sabharwal, 2017).

Achievements and Challenges The rise of Asia-Pacific higher education on the world stage is set to continue and will increasingly challenge the traditional dominance of the West. The three mostdeveloped East Asian systems of China, Japan, and Korea are the best-placed contenders, with tiny Singapore also competitive in world terms. The Australian system too, while something of an outlier in Asia, has six universities among the world’s top 100, despite being underfunded (Welch, 2022). It has long been far more successful in attracting students from Asia, however, than it has at managing to attract its own students to enroll in universities in Asia. To some extent, this reflects wider unresolved issues for the country, notably longstanding tensions between its British colonial legacy and its geography, surrounded by Asian and Pasifika neighbors (Welch, 2014b; Wesley, 2011). Several key themes underline substantial achievements in the Asia-Pacific region, while also revealing challenges that remain. Major issues include quality assurance; the changing demands of the knowledge society; the push for greater equality; the limited impact of regionalism; changing modes of governance amid rising neoliberalism; the influence of COVID 19; the influence of rising US-China tensions on higher education; the effects of corruption; the Janus face of privatization, and the ongoing quest for an East-West synthesis in higher education. While not all can be given due prominence in a single chapter, the following selected examples underline both achievement and challenge, including, to differing degrees, potential limits to the ongoing renaissance of Asian higher education.

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Governance/Corruption Clearly, governance models differ within the region. At the same time, Western influence is present to greater or lesser degree across the region and is again a legacy of colonialism (Yang, 2020). In East Asia, the so-called developmental state model, in which the state plays an active role in fostering economic and social development, has often been seen as productive of the region’s strong, swift development. The pivotal role played by an interventionist, dirigiste state in fostering first an industrial, and most recently a postindustrial, economy is clearly distinct from the laissez-faire, neoliberal Western model of the state, and associated socioeconomic development, including in higher education (Welch, 2021a). While good governance was widely touted as the goal, what resulted in practice often embodies neoliberal principles: market approaches with emphasis on market-like competition among public organizations, results-oriented outputs, performance measurements, empowering managers to fire and hire temporary employees, privatization, efficiency, steering government versus rowing government, and getting rid of bureaucratic rules and regulations. (Farazmand, 2013, p. 27)

In higher education, a growing divide resulted between older tenured academic staff and younger colleagues on unstable short-term and at times precarious contracts, as well as a greater emphasis on performance, as measured by research outputs (Chou, 2021; Welch, 2021b). East Asian cultural and philosophical models, too, differ significantly from dominant Western frameworks, often rejecting, for example, the taken-for-granted dualisms and antinomies of the West in favor of more relational forms of thought, and embodying a more mutually beneficial orientation to the individualism of the West (Mou, 2009). This, too, plays out in different governance traditions in higher education within the Asia-Pacific, for example (Yang, 2020; Zha, 2022). Meiji Japan was the first instance of the developmental state in the region and proved an important exemplar for subsequent developments in Korea, and Taiwan, including in higher education (Nish, 1999). In several systems in the region, higher education has been shaped by this guided development model. Governance traditions in Pasifika nations have been influenced by indigenous epistemic and ontological traditions such as Talanoa (Hawkins & Welch, 2022). This approach is dialogical and relational: “a personal encounter where people story their issues, their realities and aspirations” (Vaioleti, 2006, p. 21; Vaioleti, 2016). Talanoa ontology and epistemology are based on the importance of face-to-face encounters, kinship systems, rank, age, and gender regimes, spiritual order, church obligations, and other cultural concepts that are basic parts of the cultures of Pasifika peoples in systems such as Tonga Fiji and Samoa (Vaioleti, 2006, 2016). In recent decades, the spread of neoliberal economic regimes in the region, to greater or lesser degree, has seen a move toward more managerial, corporatist, and hierarchical forms of governance, at the cost of previous more collegial forms (Ka, 2007). Often termed “steering at a distance,” a form of devolution emerged which nonetheless maintained an indirect but effective government presence. Indeed, some

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characterize the model as resulting in more steering, less distance. University “governance in Hong Kong, for example, . . . shifted from the traditional collegial approach to management-oriented and market models.” (Mok, 2005). More recently, Hong Kong moved to institute a regime of “total quality control,” utilizing the audit method and a variety of outcome measurement tools (Hawkins, 2016, p. 14, see also Li, 2021). In Malaysia and Indonesia, the new century saw a handful of leading universities granted greater autonomy, although in the former case they are still “closely monitored and controlled by the respective ministries” (Saleh et al., 2015, p. 38). Institutional leaders are effectively appointed by government and tend to be aligned with the ruling party. Cronyism is one alleged outcome. In the Indonesian case, devolution was reversed some years later: universities reverted to the pre-2000 status of Perguruan Tinggi yang Diselenggarakan Pemerintah (PTP), or government-administered universities. Effectively, public universities became once more a “unit of a government agency under the direction of the Department of National Education” (Kusumadewi & Cahyadi, 2013). But beyond this, the cancer of corruption substantially afflicts much of the region, to differing degrees. No account of regional higher education systems and institutions can afford to ignore its baleful impact. Of East and Southeast Asian systems, only Singapore rates highly on measures of transparency. Other Asian systems, as well as some in the Pacific, also score poorly. Defined as the abuse of entrusted power for private gain (personal or material), corruption in higher education includes practices of nepotism and cronyism, fraud, theft, bribery, collusion, extortion, cheating, plagiarism, misrepresentation, and sexual harassment and abuse, among others (Heyneman, 2004). Evidence of such practices in the region is widespread and undermines the integrity of academic governance at system and institutional levels (Welch, 2020). Most recently, the spread of globalization and the growth of crossborder flows in the region, both legal and illegal, have widened the impact of corruption across national borders, including in higher education (Welch, 2012a, 2014a, 2018). The often inadequately regulated expansion of higher education in the region, and the common failure of state support to match spiraling enrolments, at least in per-student terms, also offers more opportunities for corrupt practices to flourish (Jakarta Post, 2004, 2005, 2006). As a president of an Indonesian university lamented some years ago: “My main task is to raise funds and obtain money” (Jakarta Post, 2006) (Table 1).

Demographic Profile Sharply differing population profiles also have a major impact on higher education across the Asia-Pacific region. While the East Asian systems of Japan, Korea, Taiwan, and shortly China face an aging population profile, with serious implications for higher education enrolments, India and ASEAN member states exhibit a much younger population contour, with 25–35% of their populations under the age of 15. The consequences for higher education differ appreciably: Whereas insufficient enrolments mean that numerous private HEIs face closure in Japan, Korea, and

1264 Table 1 Corruption perceptions index (CPI) 2018, Selected Asia

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Country Singapore Australia Japan South Korea Malaysia India China Indonesia Philippines Thailand Việt Nam Myanmar Papua New Guinea Cambodia Afghanistan

CPI score 85 77 73 57 47 41 39 38 36 36 33 29 28 20 16

World ranking 3 13 18 45 61 78 87 89 99 99 117 132 137 161 172

Source: Transparency International (2019). Corruption Perceptions Index 2019 Table 2 Population growth 1990–2050, Selected Asia (millions)

Country China India Indonesia Japan Pakistan Bangladesh Papua New Guinea

1990 1177 873 181 125 108 103 4.6

2019 1434 1366 271 127 217 163 8.8

2050 (Projected) 1402 1639 331 106 338 193 14.2

Source: UNDESA (2019). World Population Prospects 2019: Highlights: 14; Population Pyramid (n.d.): Japan 2050 Note: Japan’s population decline is projected to be large enough to fall out of the world’s Top 10 by 2050

Taiwan, for example, in Southeast Asian systems, and somewhat differently in the Pacific, higher education is largely still expanding, to cater both to demographic demand and rising aspiration levels (Korea Herald, 2021; Thonden, 2020). In India, enrolments increased fourfold from 2001–2018 (Ravi et al. 2019, p. 10). The very different population trajectories of selected states in the region over ensuing decades are seen in the following Table 2.

Privatization Like ancient statues of Janus, there are two faces to privatization in the Asia-Pacific. One focuses on the swifter expansion of private higher education than public sector growth, in several higher education systems. To some extent, this development stems

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from an increasing mismatch between spiraling enrolments in higher education, in response to unflagging demand, and the incapacity and/or unwillingness of the state to match this growth. While overall budgets in higher education may have increased, a decline in per-student terms is evident in several systems in the region. China presents a powerful example: while enrolments rose more than fivefold in the years following 1998, state support increased by a much smaller proportion. Private higher education enrolments in the two socialist market economies of China and Việt Nam swelled, and now account for between 12% and 15% of the total (Welch, 2012a; ▶ Chap. 63, “Private Higher Education in the Asia-Pacific Overview, Development, and Challenges,” by Chao, in this volume). The second face of the phenomenon gazes upon the increasing privatization of public sector HEIs in the region, and the increasingly blurred line between public and private institutions (Welch, 2011). Once again, this trend was driven by contradictory imperatives: on the one hand pressure to increase enrolments and access, while on the other, plateauing financial support by the state. In Australia, this resulted in a sustained entrepreneurial drive by its universities to recruit fee-paying international students, to compensate for declining state support, at least in per-student terms (Altbach & Welch, 2010; Welch, 2022). In the case of Southeast Asia, a common recourse was to establish parallel, for-profit arms at public HEIs, with lower (or no) entry requirements, marketing “Executive” or “Diploma” courses for high fees. Taught by the same academic staff from the mother public HEIs, at night or weekends, and sometimes in shopping centers, the private arms were designed to boost the bottom line of the public HEI (Welch, 2011, 2012a). But criticisms soon mounted of poor quality, and lack of financial transparency. From 2009, Malaysia’s National Consumer Complaints Center (NCCC) fielded numerous complaints regarding “Executive” courses offered by public HEI “subsidiaries.” In more than one system, poor financial transparency led to allegations that deans and other senior personnel were personally profiting from such exercises. Cases in which the nominal student allegedly paid someone else to complete academic work set for the degree underlined the failure of adequate governance processes at both institutional and arguably national levels (Welch, 2018, 2020). Systemic cultures of corruption not merely erode institutional efficiency and effectiveness, but also weaken trust in institutions and those who work in them, more generally.

Regionalism Even in Europe, where regionalism in higher education is at a much more mature point, with advanced regulatory architecture and well-developed mobility schemes for staff and students, harmonizing diverse higher education systems is proving complex, especially in the face of rising nationalism and nativism. As long ago as 1990, Clark Kerr pointed to the tensions between internationalization of higher education and what he termed the nationalization of higher education goals (Kerr, 1990). Now, with nationalism and nativism rising in Eastern Europe, the UK, and

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even in Europe’s heart of France and Germany, his warning seems even more prescient. In the Asia-Pacific region, too, nationalism is on the rise to varying degrees, including in the Philippines, China, and Việt Nam. Myanmar and Malaysia exhibit forms of nativism that discriminate against ethnic minorities, including in higher education. Neither sentiment is particularly supportive of extending and deepening regional developments in higher education. By contrast with Europe, however, this occurs within a context where regionalism is much less well developed in general, and in higher education in particular (Jayasuriya, 2003, 2010; Welch, 2012b, 2018). Regional trade is on the rise, boosted by the passage of both the Trans-Pacific Partnership (TPP) in 2018 and subsequent 15-country Regional Comprehensive Economic Partnership (RCEP) in 2020. The former did not include China while the latter did – important since for most ASEAN member states China is their largest trading partner, with significant implications for higher education collaboration. Higher education regionalism, too, is affected by geostrategic considerations, notwithstanding examples such as Campus Asia, a mobility scheme embracing China, Japan, and Korea, who themselves have disputatious relations at times (Campus Asia, n.d.). Higher education elements are often part of existing regional organizations, and institutions such as UNESCO Bangkok. The Southeast Asian Ministers of Education Organization (SEAMEO) do promote regional initiatives, and harmonization. University Mobility in the Asia-Pacific (UMAP) and more recent examples such as Australia’s New Colombo Plan serve as platforms for regional higher education exchange. The ASEAN University Network (AUN), a consortium of major universities across Southeast Asia to promote exchange and collaboration, also has links with select universities in East Asia (Japan, Korea, and China), and some links to Europe (AUN, n.d.). But national ministries of education in ASEAN have at times been reluctant to cede much authority to regional initiatives, and rhetoric regarding regionalism has largely not been matched by implementation (Jayasuriya, 2003, 2010; Welch, 2012b). Overall, the EU’s Bologna agreement, with its well-developed academic mobility schemes, remain aspirational in the Asia-Pacific. A final element affecting regionalism and internationalization more generally has been the rising rivalry between the USA and China. The trade war, increasingly recognized as a technology war and even a culture war, is leading to a certain degree of decoupling of academic systems, with US visas of Chinese researchers being revoked, and increasing “audits” of bilateral research agreements involving China (Welch, 2022). China’s dramatic scientific rise in the last decade or two has meant that the push for decoupling had greater impact, effectively weakening international mobility and research collaboration. A relatively common concern across ASEAN, however, was to avoid becoming collateral damage between China and America. Most wished not to have to take sides. As Parag Khanna, author of The Future is Asian, responded in a 2019 interview, “No one wants to choose sides. We live in a multipolar system. No smart country sides with only one power. Instead, they play all the powers off each other to derive maximum benefit for themselves” (Schuman, 2019).

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Conclusion: Tradition and Change Notwithstanding some of the issues treated above, higher education in the AsiaPacific is clearly on a growth trajectory, both quantitatively and qualitatively. Its leading institutions compare with leading Western HEIs, and aspire to even greater achievements. Darker episodes in higher education must also be acknowledged, however – Afghanistan, Cambodia, and China have all borne witness to periods during which just being an academic was itself perilous (Welch, 2019). The region’s dynamism and diversity presents a major challenge to any analyst of higher education. But a key motif across the region, to greater or lesser degree, is the dialectic of the local and the global, of tradition and change. The importance of indigenous traditions is emphasized in both Asian and Pasifika systems, using different idioms (Hayhoe, 1996; Underwood et al., 2014; Welch, 2019; ▶ Chap. 62, “Globalization and Internationalization of Higher Education in the Asia-Pacific”). Whereas the Japanese expression wakon yosai and the Chinese zhōngtǐ xīyòng deploy metaphors of place, the Maori saying, ka mua, ka muri (we walk backward into the future) uses the hinge of time. In each case, dialogue and change are central. In each case, culture is seen as dynamic, and the dialectic hinges around cultural tradition and change. The future of higher education in the Asia-Pacific continues to hinge around this dialectic of tradition and change.

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Section VIII Learning and Human Development Carol K. K. Chan

Learning is key to human development and societal progress and is taking on even more significance as the COVID-19 pandemic has shown the pervasive need for learning new ways of living, thinking, and working. In the face of globalization and knowledge explosion, and with the ever-changing demands in the post-truth, postCOVID-19 world, educated citizens need to develop the capacities to learn how to learn, inquire into and solve problems, dialogue with others, and engage in creative knowledge work. Educational reform and pedagogical change for meeting new societal demands are widely advocated, but there are also many rhetorics. This section introduces theories, research, and practice in learning and human development to address these issues and consider possibilities and implications. Specifically, it brings together researchers from multiple disciplines of neuroscience, psychology, curriculum, literacy studies, learning sciences, information sciences, and educational technology to address the issues of learning, pedagogy, and innovation in the contemporary era using an Asia-Pacific research lens. The collection has wide coverage from diverse disciplines and perspectives, but there is also a focused inquiry examining how people learn and how learning can be fostered considering socio-cultural-contextual differences in our complex changing world. Three interrelated questions and themes emerge from these contributions: How do people learn and how does learning take place? How to design pedagogy and technology to promote learning and development? and What are the cultural and contextual processes that influence learning and development? The first theme concerns how people learn and how learning takes place. A fundamental notion starts with examining the common beliefs about learning in regular schooling. Learning sciences researcher Keith Sawyer coined the term “instructionism” to denote this widespread belief in schools – learning is about acquiring a body of knowledge and skills consisting of sets of facts, content, and procedures; students have learned if they possess a large collection thereof; teachers’ job is to put this body of knowledge and skills into students’ heads by first teaching easy and then complicated content, often determined by syllabi and textbooks; evaluation of learning is conducted via testing to find out how many of these facts

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and skills have been acquired. Sawyer’s characterization of instructionism echoes Paulo Freire’s banking metaphor of education and Bereiter’s mind as container, all of which allude to depositing knowledge into students’ heads. These conceptions are common globally but may be more prevalent in the Asian educational systems with examination culture – research into learning and pedagogy in the Asia-Pacific therefore provides some most interesting contexts for examining new learning epistemologies and practice. This section has included contributions that introduced a new science of learning that explains the theoretical foundation and new epistemologies of learning. The contributions from Jun Oshima, Jan van Aalst, and Jin Mu provide a historical review of changing learning theories from cognitive, social, and sociocultural perspectives and explain the paradigmatic shifts from studying individuals, groups, and communities. They discuss decades of research have shown students do not learn through osmosis but via meaning-making; construction of understanding; interacting with persons, tools, and artifacts; and developing social practice in their evolving environments. Traditional schooling typically emphasizes individual achievements; these new views of learning, alongside changing societal needs, reconceptualized learning as the acculturation of social practice and collective creative work. Chan and Tan discuss such new learning models as knowledge building and knowledge creation, integrating social, cognitive, and sociocultural perspectives in Asian classrooms and supporting students’ innovative learning for creative, collective knowledge work. In both chapters, the theoretical foundations and models of learning are supported with empirical evidence illustrating how these new learning epistemologies and approaches work in the Asia-Pacific classrooms. Another key theoretical foundational theme emphasizes the pivotal role of context in human development, echoing the postulation of “situated cognition” in learning sciences research. Contributors in different chapters emphasize students’ learning and development as embodied, contextualized, socially and culturally situated, understood in their ecologies, and affected by those ecologies. Different contributions examine how individuals, groups, and communities come together with context, influenced by developmental and contextual factors. For example, Ranganathan and Wakhwa argue that adolescent development is a constructive enterprise shaped by reciprocal biological and contextual processes, accenting studying development in context and how context influences development. Even neuroscience research is not purely biological. Using empirical evidence, Chan, Yeo, and Fu examine how the brain interacts with metacognitive and contextual processes and discuss neuropsychological implications for lifelong learning. Problem-solving is important but must be situated and contextualized. The chapter from Lee, Skillen, and Williams argues that problem-solving is not just about solving textbook problems, which is common in the Asia-Pacific schools; it involves students tackling ill-structured problems in real-life situations. Primarily, learning and development are contextually and culturally defined and manifested in different ways in these Asia-Pacific research studies. The second theme examines pedagogical issues in designing and promoting learning and development for addressing new educational goals. Different

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contributors have focused on theoretically informed designs, programs, and practice, capturing the dynamics of change and showing how theories, empirical research, and practice come together, demonstrating advances in the Asian-Pacific research. One key emerging theme concerns designing learning environments based on theories and principles of how people learn (see theme 1). For example, Ke Zhao and Xiaojing Bai re-conceptualize learning about academic literacy as going beyond acquisition of reading and writing skills; students learn through constructing meanings and participating in social practice. Based on constructive, metacognitive, and collaborative learning principles, they designed pedagogical innovations using collaborative inquiry with assessment practice to promote academic literacy among tertiary students in Mainland China. Chwee Beng Lee, Maree Skillen, and Caitlin Williams discuss designing for problem-solving, alluding to theories and principles of intentional learning and metacognition. The new discourse is about designing learning environments and design principles, such as prior knowledge, metacognition, reflection, agency, and scaffolding discussed in the chapter by Oshima, van Aalst, and Mu, illustrated with different programs. The terminology of “designing” and “learning environments” is also explained in OECD documents to enrich possibilities for developing innovative capacities. Aligned with the learning principle of agency and ownership, learning environments can provide developmentally appropriate contexts supporting students’ high-level agency, rather than following teacher-pre-determined guided activities. Technology is a key driver in learning and innovation, and contributors have indicated the importance of theory-pedagogy-technology integration. Carol Chan and Seng Chee Tan discuss knowledge-building principles underpinning the design of emergent knowledge building, for which Knowledge Forum provides a flexible collaborative space. So, Ha and Kim discuss how they employed scaffolding principles to support Korean students’ academic emotions in online learning, linking assessment and scaffolding. Elizabeth Koh and Xiao Hu discuss technologyenhanced learning analytics programs in Singapore and Hong Kong classrooms to show how learner-generated big data can be deployed by teachers based on learning principles of regulation and feedback; learners can use visualization to help them reflect on their learning trajectory and consider knowledge gaps for improvement. These chapters show how technology has the rich potential to help students become better learners, provide examples of aligning technology with pedagogy, and describe the principles of how people learn. From such different disciplines and theoretical lenses as the learning sciences, curriculum, and knowledge building, contributors discuss philosophical and theoretical rationales, emphasizing the role of subject-matter knowledge and human agency in designing learning for educational development. From a curriculum perspective, Zongyi Deng argues that the common approach of developing twentyfirst-century skills is inadequate and cautions against overlooking the centrality of subject-matter knowledge. This converges with the emphasis on the role of conceptual knowledge in learning sciences. These chapters remind educators about the fallacy of relying on generic, soft, or twenty-first-century skills without developing subject-based conceptual knowledge when adopting new pedagogical approaches.

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Deng’s chapter on curriculum restructuring using didactic and Chan and Tan’s chapter on knowledge building coming from different disciplines both emphasize the need to harness human power and student agency to empower learners for the sustained pursuit of learning in the complex changing era. A third key theme examines cultural and contextual dynamics, their influences on learning and development, and the implications for the contemporary era. Learning and development intersect with culture in important ways. Frederick Leung and Shintia Revina’s chapter on mathematics learning and East Asia learners reports on new empirical evidence drawn from IEA international tests and neuroscience studies demonstrating how culture impacts mathematics thinking and learning, explaining students’ superior mathematics performance. Contributors also discuss cross-cultural research and debates. Luan and Tsai suggest the general structure of epistemological beliefs is primarily similar between Asian and Western learners while pointing out specific dimensions of differences. Zi Yang Wong and Gregory Liem explain further the debate of universality and contextualization – postulating that while the underlying structure of motivation could be similar across cultures, the correlations tend to vary with different factors depending on the cultural context. In this way, motivation can be both universal and culturally contextually-based. These studies would have design implications for developing culturally responsive programs for cultivating students’ learning and inquiry capacity, harnessing motivation and personal epistemology. Ranganathan and Wadhwa discuss using both the universal and culturalcontextual lenses to understand adolescent development and examine how Asian adolescents cope and develop in changing cultural contexts of Asian societies. These chapters discussing universality and particular cultural differences could enrich the academic discourse on the central roles of culture on learning and development and also enrich theoretical inquiry and advances. Questions have been raised about whether learning principles are universal and how they would work in different cultural contexts. Contributors showed how they employed theory-based approaches and appropriated the designs for Asia-Pacific classrooms. For example, Chan and Tan discuss Biggs and Watkins’ paradox of the Chinese learner and explain how the Western-based knowledge-building approach was appropriated in Asian classrooms – teachers and learners transcended East-West dichotomies and developed transformative pedagogy adhering to knowledge building principles but developing different pedagogies and practice. In the face of increased use of Western innovations in educational reforms in the Asia-Pacific, these chapters suggest the importance of transcending dichotomies and not just grafting Western ideas onto Asian settings or mimicking the form or procedures. There needs to be a third space as a rise-above plane considering adherence to core learning and design principles while developing culturally sensitive learning designs and situated practice; these pedagogical designs and classroom practice are then examined and revised continually considering theoretical and contextual processes for improvement. Learning is a broad, varied, and multifaceted phenomenon nested in ecologies and evolving in time, and learning needs to be examined across different levels, time and space using diverse perspectives. This section includes contributions from the

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Asia-Pacific that examine learning from different perspectives including neurological, biological, psychological, behavioral, cognitive, social, and organizational dimensions. Darren Yeo and Fu Yu Kwok and Annabel Chen examine patterns and changes in neural connections and how these impact learning processes. Namita Ranganathan and Toolika Wadhwa Hui Luan and Ching-Chung Tsai examine psychological processes of epistemological beliefs influencing academic outcomes; Wong and Liem examine psychological and behavioral constructs of achievement motivation while Hyo-Jeong So, Seunghye Ha, and Eunyoung Kim discuss academic emotions and behaviors in online learning. Lee, Skillen, and Williams discuss cognitive processes and conceptual change in problem-solving, and Chan and Tan examine sociocognitive dynamics and social practice in collaborative knowledgebuilding communities. Learning can also be viewed as organizational change with cultural shifts in tools and practice, as in Ronghuai Huang, Rongxia Zhuang, and Shuang Chen’s chapter on how the COVID-19 pandemic transformed education towards flexible learning in China. Contributors across different chapters in different ways allude to developing new ways of understanding learning – and cultivating learners’ capacities to learn more effectively in a changing, complex world. Primarily, learning and development for educational transformation can be enriched when examined from varied dimensions and perspectives. This collection of chapters suggests research into learning and development in the Asia-Pacific will continue to advance, gaining energy from the tensions and synergy among different scholarly traditions; diverse disciplines, theories and methodologies; dialectics of universal and cultural-contextual particulars; and changing practice of individual, groups, communities, and societies. Building on these established research programs, the continued discourse and research inquiry into learning, development, and innovation situated within cultural-contextual ecologies would inspire new possibilities for pedagogical innovation and educational development in both the Asia-Pacific and internationally.

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Jun Oshima, Jan van Aalst, Jin Mu, and Carol K. K. Chan

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Phase 1: Emergence of the Learning Sciences (The Late 1980s–2000) . . . . . . . . . . . . . . . . . . . . . . Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . New Learning Sciences Methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Major Programs Using Design Experiments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Learning Sciences and the Asia-Pacific Contribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Phase 2: Establishment of the Learning Sciences (2001–2010) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Design-Based Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cognitive Perspective: How People Learn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Social Perspective: Learning in Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Knowledge Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Productive Failure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Phase 3: Flourishing of the Learning Sciences (2011–Current) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Design-Based Implementation Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Computer-Supported Collaborative Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Political Turn: Equity and Social Justice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Discussion and Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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J. Oshima (*) Shizuoka University, Shizuoka, Japan e-mail: [email protected] J. van Aalst University of Twente, Enschede, The Netherlands e-mail: [email protected] J. Mu Ludwig-Maximilians-University of Munich, Munich, Germany C. K. K. Chan Faculty of Education, The University of Hong Kong, Hong Kong SAR, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_49

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Abstract

This chapter introduces learning sciences research, focusing on scientific inquiry into how learning takes place and how learning can be facilitated by expanding theories, pedagogies, and technologies. Specifically, we discuss the development of the learning sciences field using a historical perspective, both internationally and highlighting Asia-Pacific research. Three phases are included, each with several unique aspects, including theory, method, and pedagogy. In Phase 1, the learning sciences field emerged from cognitive sciences going to schools, with several Asia-Pacific researchers as forerunners. Researchers developed novel research methods for theorizing learning, including design experiments and protocol-interaction analysis. In Phase 2, learning sciences continued to mature as a discipline, and design-based research was established as a robust methodological approach. Many programs were established, and knowledge building and productive failure are influential programs internationally and in the Asia-Pacific. In Phase 3, learning sciences researchers innovated technology-enhanced learning environments with powerful pedagogical approaches, such as scripting and argumentation in computer-supported collaborative learning (CSCL). To meet emerging societal needs and to expand the study of learning, researchers developed design-based implementation research (DBIR) methodology for researching sustainable and scalable learning and extended interests to equity and social justice in learning sciences research. For implications and future development, three decades of theoretical and empirical research on pedagogical and technological advances will provide a strong foundation and inspire new questions on studying and designing learning for future education. The emphasis on researcher-teacher-stakeholder co-inquiry in learning sciences will encourage the bridging of research and practice for impacting educational change in the Asia-Pacific and internationally. Asia-Pacific researchers have made important contributions and will continue to cross linguistics, disciplinary, and epistemological boundaries to work with international scholars, creating new ideas and advancing inquiry into new forms of learning to meet changing societal and educational needs. Keywords

Learning sciences · Pedagogy · Technology · Design-based research · Learning environments

Introduction Educational systems like schools are developed and grounded in societal requirements. For most of the last century, our society developed in an industrial age, and people were trained as routine experts to sustain and develop the industrial world (Hatano & Oura, 2003). In the industrial age, human expertise is often considered the

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competence to remember and reproduce answers already found by someone else (Hatano & Oura, 2003). Schools had, therefore, been tuned as an educational system where learners are educated into experts who could correctly store and retrieve knowledge and skills. However, society’s requirements have changed as we enter the knowledge age. As knowledge workers in the twenty-first century, educated citizens are now expected to develop adaptive expertise (Hatano & Oura, 2003) needed to create new ideas to address unforeseen and unsolved problems. The traditional educational system developed in the last century no longer meets society’s requirements. It was not designed to regard knowledge as improvable and situated in the community, as the norms in professional communities (Bereiter, 2002). Globally, current educational reforms are urgently seeking a paradigm shift in which schools, as incubation centers, engage students in authentic practices doing knowledge work related to innovations and inventions. The learning sciences emerged as a new discipline as society’s requirements changed. Learning sciences primarily investigate learning in real-world contexts and examine how it can be facilitated (see International Society of Learning Society, https://www.isls.org/). Beyond traditional educational studies, the learning sciences started by proposing new educational goals based on different epistemological views of learning and instructional approaches (Sawyer, 2022). Over the last few decades, researchers have advanced new epistemological views, including learning as “social practice” and “knowledge creation” beyond “knowledge acquisition” (Paavola et al., 2004; Sfard, 1998). They have also conducted major pedagogical and technological innovation programs based on these epistemologies (Kollar et al., 2013; Sawyer, 2022). In the learning sciences, researchers consider learning as authentic practices where people can learn deep disciplinary knowledge rather than acquiring surface knowledge and skills. Learning sciences researchers, therefore, attempt to develop new theories of learning connected with authentic practices in real-life situations. Unlike phenomena targeted in traditional educational research, authentic disciplinary practices are learning phenomena enhanced by technologies, artifacts, and other community members. Learning sciences researchers develop learning theories and improve learning designs with evolving learning systems by investigating how learners engage in their surroundings through practice. Since the learning sciences aim at improving human learning as authentic practices, the target of learning sciences studies is not only on teaching activities, such as instruction, but also on learning environments as systems where learners engage in their practices. In authentic practices, learning is not a mere cognitive activity without support from the learners’ environment. Learners collaborate to construct deep conceptual understanding meaningful to their communities of practice, and they use a variety of artifacts and technologies in their environments. The distinctive approach in the learning sciences is to develop the learning environments by designing artifacts, technologies, and participatory structures of activities (Nathan & Sawyer, 2022). As a central theme of learning sciences, computer-supported collaborative learning (CSCL) has been developed as an effective learning environment attracting focused research investigation (Stahl et al., 2022).

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Researchers need to develop new methodologies for new learning sciences goals by combining and integrating the disciplines in which the learning sciences are grounded. Since the learning sciences have two main goals (i.e., developing new theories of learning as authentic practices, and designing learning environments to improve learning), a new methodology involving analytical and engineering approaches is necessary. Accordingly, many studies conducted in the discipline’s early phases worked on the new methods of design-based research as a unique and representative methodology (Barab, 2022). The methodological establishment accelerated the development of learning theories from multi-epistemological perspectives and learning environments supported by computer technologies and artifacts. This chapter discusses the development of the learning sciences discipline over three phases: (a) Phase 1: Emergence of the learning sciences (the late-1980s to 2000), (b) Phase 2: Establishment of the learning sciences (2001–2010), and (c) Phase 3: Flourishing of the learning sciences (2011–present) with a particular focus on the contribution of research from the Asia-Pacific. Although the learning sciences is an established discipline in the USA and other Western countries, it is still relatively unknown to educators in the Asia-Pacific. Similar research can also be conducted under different names. While there have been many discussions of learning sciences in the international literature (Nathan & Sawyer, 2022), there has not been a systematic synthesis using a historical perspective and highlighting the contribution of Asia-Pacific researchers. This systematic review could help highlight key advances in learning sciences research for relevance to educational and pedagogical innovation internationally and in the Asia-Pacific. The learning sciences is also an interdisciplinary field intersecting with other fields, including education, psychology, cognitive science, sociology, linguistics, computer science, educational technology, mathematics, science, and literacy education. Therefore, this chapter also aims to help familiarize scholars and researchers from related disciplines and enrich its possibilities for collaborative and interdisciplinary research to advance the study of learning in the current knowledge era.

Phase 1: Emergence of the Learning Sciences (The Late 1980s–2000) Background Many researchers have referenced a prominent study on learning sciences’ emergence from the cognitive sciences, the Schools for Thought project, funded by the James M. McDonnell Foundation (e.g., McGilly, 1996). The project introduces several masterpiece studies on the learning sciences: (1) Computer-Supported Intentional Learning Environments (CSILE) (Scardamalia et al., 1989), (2) the Adventures of Jasper Woodbury (Bransford, 2013), and (3) Fostering Communities of

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Learners (Brown & Campione, 1994). In each research project, the findings from basic research were successfully transformed into principles for designing a learning environment for scaffolding student learning and classroom practices. These early studies have continued to influence international and Asia-Pacific research, such as CSILE extending to Knowledge Building (see ▶ Chap. 67, “Knowledge Building Model for Educational and Pedagogical Innovation and Cultural-Contextual Influences,” by Chan and Tan, this volume). We discuss CSILE below, as it has continued from the early days to the current era. CSILE (called Knowledge Forum in later years), the longest-standing CSCL (computer-supported collaborative learning) technology, is based on the findings derived from basic cognitive studies of written composition and human expertise. Scardamalia et al. (1984) invented the “procedural facilitation” pedagogy to support learners’ knowledge-transformation strategy in writing in conjunction with other instructional supports such as thought modeling and direct strategy instruction (Scardamalia et al., 1984). Scardamalia et al. (1984) found that the difference between novice and expert writers depended on the presence or elaboration of bi-directional communication between the two cognitive spaces (rhetorical and content spaces). Novice writers often just write out what they already know as knowledge telling, whereas expert writers move between the two spaces for knowledge transformation. Experts’ written composition is represented as a reflection of the interaction between the writer’s rhetorical and content spaces. Procedural facilitation, a pedagogical approach, is designed to help novice writers link the two cognitive spaces by stimulating their reflective process using cue cards for selfquestioning (e.g., “An important point I have not considered yet is . . .”). Specifically, novice writers can use these prompts to activate their reflective processes supporting them to focus on the interaction between the rhetorical and content spaces. Based on these studies of written composition and human expertise, Scardamalia et al. (1989) developed the pioneering computer-supported learning environment, CSILE, to support learners’ deep learning as knowledge transformation. CSILE demonstrated and instantiated many early-phase learning sciences findings into design principles: First, learners can learn more when they externalize and articulate their developing ideas related to what they need to know. In CSILE, learners can externalize their thoughts by posting ideas (computer notes) and using multimedia objects with hyperlinks to other ideas and web resources. Providing a new medium for learners to externalize their ideas opened a new horizon. Second, scaffolding is provided for learners to improve their writing of ideas, just like using cue cards in the basic research on procedural facilitation. Various thinking scaffolds (e.g., “I need to understand,” “My theory,” “New information”) based on the learning processes of experts are provided on CSILE/Knowledge Forum. Third, learners’ reflection is encouraged by building on and commenting on each other’s ideas and revising their original thoughts based on their peers’ comments. The digital space is not only a personalized space for individual learners but also a public space where students work together as a community of learners.

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New Learning Sciences Methodology Design Experiments. The methodology of the learning sciences studies was first introduced with the name of design experiment (Brown, 1992) and improved by learning sciences researchers as design-based research (Design-based research collective, 2003). When many studies on learning during that time used lab-based and experimental paradigms in controlled contexts, Brown (1992) pioneered researching learning and creating interventions in the complex buzzing classroom as learning contexts. Learning sciences would take a new approach to studying learning, situating it in natural real-world contexts. The unique features of this approach include (1) designing and engineering the learning environments based on how people learn and (2) inquiring into how learning happens among learners in these designed learning environments with iterative change for theory and design improvement. The nature of learning sciences research and rationale for design research can also be clarified by considering the Stokes’ Quadrants classifying science research into basic, applied, and use-inspired research (Stokes, 2011). Compared with various educational research, learning sciences research is neither basic nor applied but use-inspired research. There is a dual focus on developing learning theories and changing/impacting learning in real-world contexts. To develop learning theories in authentic contexts, researchers design and engineer learning to test whether and how they can help improve learning. Brown (1992) was the first scholar to propose and discuss this methodological approach for the new educational research paradigm. The idea of design experiments has been systematically improved in learning sciences and related disciplines. Protocol and Interaction Analysis. A key goal of the learning sciences is to investigate students’ learning processes. A popular methodology for dealing with process-oriented qualitative data is protocol analysis that focuses on analyzing verbal data. Chi (1997) discussed a method for quantifying qualitative data developed and used in cognitive science, including the following – “reducing the protocols,” “segmenting the protocols,” “developing or choosing a coding scheme or a formalism,” “operationalizing evidence for coding,” “depicting the mapped formalism,” “seeking pattern and coherence in the depicted data,” “interpreting the pattern and its validity,” and “repeating the whole process.” These eight steps of protocol analysis have been applied to identify which instructional designs facilitate what cognitive operations in learning and to analyze how different learners produce different levels of learning outcomes. These methods, focusing on analyzing cognitive and learning processes, are central to conducting learning sciences research for international researchers and widely adopted by researchers in the Asia-Pacific. While Chi (1997) summarized the methodology to examine the cognitive process of individual learners, Jordan and Henderson (1995) explained interaction analysis, an ethnographic approach to examine the social interaction among actors, including their surroundings. Interaction analysis is based on the assumptions that human knowledge is social and situated in the context and that the phenomena of the target interaction are accessible to analysts observing and analyzing video recordings.

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The original video recordings are transcribed with nonverbal behaviors included and elaborated in cooperation with participants of the studied interaction. The interactive analysis, and other ethnographic methods, have been a crucial part of the analysis of learning practices in the learning sciences research to discover how learners interact to learn rather than conducting hypothesis testing of known phenomena (Goldman et al., 2014).

Major Programs Using Design Experiments The Adventure of Jasper Woodbury was an iconic research project proposed by John Bransford when learning sciences started in the 1980s (Bransford, 2013). The project was designed to help elementary-school students learn mathematics concepts deeply by collaboratively solving problems. Researchers developed a series of video materials – story characters were presented with real-life challenges, and students were to use their mathematical knowledge and skills to solve these problems. It was not just a simple allocation of their knowledge to the problems; students had to find information and think of which mathematical equations should be used to solve the problems. In anchored instruction, researchers immersed students in real-world problem-solving; students’ inert mathematical knowledge can be anchored and activated by problem contexts, helping them develop overt mathematical knowledge by considering how to use it in situ. Building on anchored instruction, the research group further developed a systematic framework for the SMART instructional approach, combining problem- and project-based learning. They proposed four design principles for SMART, including (1) learning goals are developed including descriptions to guide students’ design activities/experiments in projects that help them reflect on their understanding, (2) balancing students’ autonomous design activities and integration of these activities with curriculum and subject-matter knowledge, (3) frequent formative assessments to help learners modify the direction of their projects just in time, and (4) social organization is built to promote and sustain learners’ participation and agency through appropriate scaffolds.

Learning Sciences and the Asia-Pacific Contribution Asia-Pacific researchers have contributed to learning sciences research ever since the emergence of the field. Giyoo Hatano, an influential Japanese researcher, proposed a new theory of learning and human expertise called adaptive expertise, contrasting it with instructionism (Hatano & Oura, 2003). Instructionism, common in traditional schooling and a useful approach for the industrial age, considers human expertise the routine acquisition of essential knowledge and skills. In the knowledge age, however, human expertise should be adaptive to various contexts and problems with innovative solutions. Hatano proposed different ways to support adaptive expertise, including how learners can (a) develop and refine their knowledge and skills when

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immersed in dynamically changing contexts, (b) enrich their learning by engaging in social settings for collaborations, (c) learn in ways that are not time-pressured just for task completion, and (d) learn as a community where learners share their epistemic aim of deep learning. Naomi Miyake, another influential learning sciences scholar from Japan, theorized a new learning mechanism through social interaction between learners – collaboration as constructive interaction (Miyake, 1986). In her seminal work, published in 1986 in Cognitive Science, Miyake studied how a pair of graduate students “collaborated” to discover the mechanism of working with a sewing machine. Using protocol analysis to analyze collaborative problem-solving, she examined how adaptive experts and learners developed deep understanding through social interaction. Her work was one of the first studies using learner interaction to examine learning and cognition by having learners “naturally [explain] not only what they have been thinking about, but why they think it” (Miyake, 1986, p. 159). This study is significant, revealing how collaboration could bring about deeper learning than individual learning. This research in the late 1980s is pioneering as most studies then focused on individual learning. Currently the investigation of learner interactions is a pivotal theme in the learning sciences and a fundamental principle in learning and pedagogy. Carol Chan and Jun Oshima began their research of learning sciences in doctoral study in the 1990s in Canada, and they continued contributing to the field as they returned to the Asia-Pacific (Hong Kong and Japan). In the early research, Chan et al. (1997) examined how individual and collaborative “conflict” and “assimilative” instructions influenced conceptual change as deep learning for learners. Based on the pre-posttest paradigm combined with process analysis of discourse, results indicated how “conflict” instruction helped learners experience more conceptual change. However, the influence was present and stronger only when learners used a knowledge-building strategy in their “conflict” context. This study contributes to key themes of learning sciences for unpacking learning, demonstrating how effective instructional approaches, such as the conflict condition (or others), need to be mediated by learners’ active strategies and epistemic aims of knowledge building. Oshima et al. (1996) conducted one of the first studies to apply the current learning analytics approach using log files of learners’ operations and writing in CSILE. The study examined how Grade 5–6 students developed a conceptual understanding of electricity through exploratory activities supported by CSILE. Results indicate no correlations between learners’ conceptual progress and basic study skills and log-file analysis unveiled students’ learning processes. Comparison of high-low progress groups showed that the high-conceptual progress groups were constructing their knowledge centered around problems (i.e., with information flow between problembased and topic-based knowledge). In contrast, the low-conceptual progress groups were only concerned with topic-based knowledge. In the first phase of learning sciences (the late 1980s–2000), a new field emerged, focusing on studying learning as authentic practices in real-life settings for theory advances and designing new environments and interventions for supporting

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learning. Researchers developed theoretical and design foundations, established new methodological approaches, and created learning environments supported by empirically based design experiments. These early ideas have continued their influences; many current projects are generated based on the first phase’s grounding works

Phase 2: Establishment of the Learning Sciences (2001–2010) The 2000s saw considerable development in the field. Two European ComputerSupported Collaborative Learning (CSCL) conferences were held in 2001 and 2003, and the International Society of the Learning Sciences was founded in 2002. The International Journal of Computer-Supported Collaborative Learning published its first volume in 2005, and the first international Handbook of learning sciences was published in 2005 (Sawyer, 2005), followed by several others. This section first describes the continuing development of the design-based methodology followed by the cognitive and social perspectives of learning, and then discusses two major research programs (i.e., knowledge building and productive failure) highlighting the contributions from the Asia-Pacific.

Design-Based Research In the 2000s, design research developed considerably, continuing with the historical development of design experiments from the early 1990s. Special issues of Educational Researcher in 2003 and the Journal of the Learning Sciences and Educational Psychologist in 2004 attempted to establish design research more firmly as a research approach for the learning sciences. The goal is that design research should not only demonstrate that “things work” but also make theoretical contributions on “how things work.” diSessa and Cobb (2004) described ontological innovations as theoretical contributions. An ontological innovation is a new category to be studied. For example, the mathematical discourse in classrooms that Cobb, Lampert, and others studied was neither the way mathematicians talk nor the mathematics talk typically found in classrooms – it was something new. Sandoval (2004) introduced the idea of refining conjectures as one moves through the iterations of a design study, an idea he would develop into the conjecture method for mapping a decade later (Sandoval, 2014). Designs are analyzed for both the theoretical conjecture and the design conjecture; the latter is a conjecture about the design features that can be used to support the learning envisioned by the former. Both types of conjecture changed during the design’s evolution. This method helps to decide what to change between iterations, with the previous iteration becoming a control for the current one. A Handbook for design research in education was published in 2008 (Kelly et al., 2008). In phase two, researchers conduct design experiments, engage in the inquiry of the methods, and establish design-based research as a key methodology in learning sciences.

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Cognitive Perspective: How People Learn At the beginning of the decade – or slightly before – a seminal review of research on learning was published, the How People Learn report (NRC, 2000). This report, catering to the broader educational audience, has had much influence and is consistent with learning sciences research. This report analyzed evidence from studies on learning and expertise, particularly from a cognitive perspective, from the previous three decades. It made three recommendations that set an agenda for the field. (1) Prior knowledge is pivotal, and not considering that students bring prior knowledge to a learning task when designing instruction and learning environments will likely lead to disappointing outcomes. (2) Expertise involves knowing many facts and concepts, but students also need to build frameworks that organize them. Without this organization, knowledge is unlikely to be recalled when relevant to a task. (3) Metacognitive reflections make important contributions to conceptual learning, by which students become aware of their ideas, which can help them think more deeply about what they know and what they are learning. The report recommended that metacognitive reflection should be emphasized in all school subjects, not as a general psychological strategy. An update to the report two decades later (How People Learn II) published in 2020 would draw substantially more attention to social interaction, cultural context, social justice and equity, and the key role of digital technologies.

Social Perspective: Learning in Activity After the works of Lev Vygotsky and other Russian scholars became available in the West in the 1970s, the social, interactional, and situated aspects of learning came into focus. In the 1990s, the distributed cognition perspective, in which cognition is distributed between humans and between human and material actors, emerged, along with situated cognition, according to which learning involves the context in which it occurs (e.g., the availability of material resources) (Brown et al., 1989; Hutchins, 1995; Salomon, 1993). Lave and Wenger’s work on legitimate peripheral participation and communities of practice was also very influential (Lave & Wenger, 1991; Wenger, 1998). In the 1990s, there was an extensive debate between proponents of the cognitive view, which implies that knowledge consists of representations of the world and Cartesian dualism, and interactionism, which implies that knowing is situated in social interactions (Sfard, 1998). According to the interactional view, learning physics is not merely learning the concepts and methods of physics but learning to think, talk together, and think together like a physicist does (Roth & Tobin, 2002). Intersubjective meaning-making is at the core of the interactionist view, drawing from the Bakhtinian notion that words do not have objective meanings but receive meanings when invoked. Although the theoretical issues have not been resolved, there is a consensus in the field that cognition does not happen in a vacuum but is social and situated. The field has been greatly expanded by what one might call a

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turn to the socio-cultural as a major epistemology. Attention to the material resources in the ecology of learning, for example, has led to significant advances in our understanding of embodied cognition and collaborative learning (e.g., Nathan, 2021). We mention briefly one research program with a socio-cultural orientation: group cognition (Stahl, 2006). This research studied online chats of groups of students and teachers who studied math problems. One of the theoretical contributions of that work is the emergence of group-level collective achievements going beyond the level of individual learning. For example, Çakir et al. (2009) found that groups who were asked to solve mathematics problems could collectively solve problems that none of the group members had been able to solve independently. In education and psychology, collaborative learning is commonly seen as a method or a pedagogy for improving individual learning. It is established now that the group can solve more difficult problems together, benefiting individual group members. Learning scientists further argue that collaboration is not just an instructional approach to promote individual learning; group-level collective achievement is in itself a worthwhile learning goal, which echoes collective knowledge in knowledge creation (see ▶ Chap. 67, “Knowledge Building Model for Educational and Pedagogical Innovation and Cultural-Contextual Influences,” by Chan and Tan, this volume). The emergence of group-level cognition is also shown in the study of problem-solving by “smart” elementary school students. Barron (2003) concluded that collaboration – the social interactions involved – is an important achievement in its own right; individual, group, and community-level achievement should be assessed.

Knowledge Building Amidst the many learning environments developed internationally in the second phase, one of the prominent examples of design-based research in learning sciences is knowledge building, reported as 30-year design-based research (Chen & Hong, 2016) and continuously improved. Knowledge building develops from CSILE, the earliest study in learning sciences, continuing the influences. As a theoretical model, Knowledge Building developed from its socio-cognitive roots by the early 2000s. Bereiter (2002) postulated the “mind as container” view, arguing against the mind containing knowledge and instead emphasizing the mind as learning of networks in response to multiple constraints, emergence, and self-organization. His argument suggested that the knowledge-building model could be seen as an illustration of this new concept of mind. His approach draws heavily from Karl Popper’s theory of objective knowledge (critical rationalism, see van Aalst et al., 2022, Chap. 6). In the same year, Scardamalia (2002) developed a system of principles describing the essential features of knowledge building, based on practices developed over the previous decade and theory. These researchers established knowledge building as a principle-based approach rather than a procedure-based approach, which is more typical in regular classrooms with teachers using routines, procedures, and activities. Knowledge building encourages an emergent principle-based approach with the

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teacher and their students co-designing their learning journey. The principles gave teachers a set of concepts for designing the classroom learning environment and discussing knowledge-building. Scardamalia argued that ideas should be at the center of what goes on in classrooms rather than the steps and procedures of teaching. These principles were intended to bring about the emergence of ideas and new learning, more typical in innovative communities. An important study later in the decade analyzed a case of knowledge building by fourth graders using these principles, especially the central principle of collective responsibility for community knowledge (Zhang et al., 2007). This study showed that opportunistic collaboration was more effective, in which students joined collaborative groups and had the opportunities to move around working on different problems that interested them (akin to authentic scientific practice). These effects were shown on many outcome variables of knowledge building compared to students assigned to specific groups, the more typical school practice. These outcome variables included knowledge quality and knowledge diffusion in the community. The knowledge-building theme in the learning sciences has been much taken up in the Asia-Pacific, developing its particular characteristics relevant to educational contexts, specifically focusing on assessment. Van Aalst, Chan, and colleagues researched assessment on knowledge building, focusing on one of the principles, “embedded and transformative assessment” (e.g., Van Aalst & Chan, 2007). Their approach asked students to self-assess the state of knowledge building in their class’s online work, using a simplified set of principles to develop digital portfolios centered on these principles. This work was noted because it was, in a sense, “meta,” it put learning to build knowledge central, but it remained connected to learning the subject matter. The portfolios revealed high metacognition, which involved assessing the evidence for the principles in subject-focused discussions. The portfolio narratives were generative in that developing them helped students understand the important features of knowledge building and the extent to which their work exemplified them. In this sense, creating the portfolios was embedded in knowledge building itself – it was a way to figure out the next step by which a community grows in its ability to build knowledge together. Developing portfolios is cognitively labor-intensive. Researchers have extended the use of assessment enriched with analytics tools in parallel with growing international and Asian-Pacific interests in learning analytics (see ▶ Chap. 70, “Learning Analytics for Learning: Emerging International Trends and Case Studies from the Asia-Pacific,” by Koh and Xiao, this volume). Many KF analytics have also been developed in the global knowledge building community. Specifically, knowledgebuilding researchers in Hong Kong and Mainland China have focused on using analytical tools to provide evidence to support student reflection (e.g., Yang et al., 2020). The first study involved academically weak students, revealing how students could use this approach to improve their knowledge building to levels similar to those observed among regular students, and also later examined in different contexts with different learners (Yang et al., 2022). The use of learning analytics in knowledge building continues to expand in the Asia-Pacific, such as Oshima et al. (2012) and Lee and Tan (2017). Asia-Pacific researchers have made

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significant contributions in expanding the research theme of knowledge building (see ▶ Chap. 67, “Knowledge Building Model for Educational and Pedagogical Innovation and Cultural-Contextual Influences,” by Chan and Tan, this volume).

Productive Failure Educators attempt to prevent failure. It seems like their Hippocratic Oath. Thus, the most common instructional method is to explain new content as clearly as possible before students practice it and make it part of their toolset. However, is this the most effective way? Working with both Western and Singaporean schools, Manu Kapur turned things on their head. Kapur advocated letting students fail so teachers knew where their prior knowledge was insufficient and how instruction should be designed so students would learn the content needed. He called his method productive failure, which aimed to determine how harm could be avoided. His research program, beginning in the 2000s and later expanding to studies in Singapore and other places, has shown that in learning mathematics, students benefit from struggling with math problems first as they could not solve them and before being shown how to solve them. (Kapur, 2008). Their struggle, in a sense, prepares students for the explanation when it is given. In the 2010s, Kapur continued to study this approach in detail (Kapur, 2015) and differentiated it from unproductive (hence undesirable) failure and unproductive success (Kapur, 2016). Unproductive failure, for example, occurs during discovery learning, a now-discredited post-Sputnik-era approach in which students were expected (but regularly failed) to discover scientific laws by themselves (Hodson, 1996). Productive failure is a promising educational approach, particularly in the AsiaPacific, because it stays close to conventional instruction and does not require an overhaul of instructional methods, as some innovations do. It also is deeper than “learning from mistakes.” Continuing with building on fundamental principles like “reflection” developed since Phase 1, students do not learn from their mistakes unless they reflect on the experience and learn how to improve. Productive failure does not mean making students fail; students simply do not yet know how to succeed. A crucial message is that students (and teachers) need to learn that it is acceptable not to succeed initially, provided they do not give up. Productive failure is a two-step process – failure is followed by success. The “failure” then helps to bring out the novelty and significance of what is to be learned so that students can better give the new content a place (i.e., know what it is useful for). Phase 2 of learning sciences continued with the development of design-based research as a major methodology for studying learning in real-life contexts, both in formal and informal environments. The discussion also illustrates the cognitive and social perspectives evolving into different variants (e.g., socio-cultural) as the major epistemologies underpinning and influencing learning sciences research. The review also shows that learning is social and situated, and both individual and collective learning need to be assessed. Asia-Pacific researchers have contributed to two major

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research programs in learning sciences, including knowledge building and productive failure, that are influential both in the Asia-Pacific and internationally.

Phase 3: Flourishing of the Learning Sciences (2011–Current) In Phase 3, starting in the second decade of this century, the learning sciences field has seen the emergence of new methodology, advanced pedagogical approaches, innovative new technological tools for supporting such processes, and diverse and novel theoretical perspectives. There has also been an expansion of research interests and activities in the Asia-Pacific. While the early international learning sciences conferences were held in the USA and Europe, four were held in the Asia-Pacific during this period (Hong Kong, Australia, Singapore, and Japan; an early one was held in Taiwan in 2005). In this section, we first report on the methodological development of design-based implementation research extending from earlier design-based research. We also discuss the expansion of cognitive and social perspectives reflected in research on computer-supported collaborative learning and political turns-equity of learning in the learning sciences.

Design-Based Implementation Research With learning sciences moving to the third phase, design experiments (Phase 1) and design research (Phase 2) develop further into design-based implementation research (DBIR). Going beyond classroom levels, DBIR was developed as an approach for fostering organizational change and quality improvement. It emerges from a concern that many well-researched classroom interventions, even those effective in carefully designed randomized field trials, subsequently fail to produce the desired effects when employed in real-world settings for sustained effects (Fishman et al., 2013). Therefore, DBIR seeks to reconfigure the roles of researchers and practitioners to support their partnerships and produce effective, scalable, and sustainable innovations. DBIR focuses on adapting innovation to meet the needs of diverse learners across diverse settings, in both formal and informal education (Fishman & Penuel, 2018). The approach draws on a long history of collaborative approaches to improvement, such as evaluation research, community-based participatory research, design experimentation (introduced in Phase 1), and design research (Phase 2). DBIR is a theory of action informed by four main principles that employ collaborative and systematic inquiry, design tools and processes to improve teaching and learning, creating a balance between researcher and practitioner expertise (Fishman et al., 2013; Fishman & Penuel, 2018; Penuel et al., 2011). These principles include: (1) a focus on persistent problems of practice from multiple stakeholders’ perspectives, (2) a commitment to iterative, collaborative design, (3) a concern with developing theory related to both classroom learning and implementation through systematic

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inquiry, and (4) a concern with developing the capacity for sustaining change in the systems. According to Penuel et al. (2011), one-way DBIR works inherently is its emphasis on negotiating problems of practice and equity issues. The problem is motivated by practical and policy questions, and importance is given to identifying and negotiating the problems and respecting the interests and experiences of practitioners, researchers, and other stakeholders. DBIR also aims to contribute to the growing knowledge and theory base. For example, the fourth principle iterates the importance of orienting the entire collaborative problem identification and design process toward what it means for the innovation to be useful in sustaining change past initial development. In the Asia-Pacific region, Looi et al. (2015) presented a case in Singapore for adopting DBIR for computer-supported collaborative learning (CSCL) integration to meet school needs. They discuss a specific CSCL innovation with the potential for sustainable transformation in classroom practices. The research innovations are discussed from a systemic change perspective that led to meaningful impact (at the micro level), mediated by systemic approaches to working with teachers in the schools (at the meso level), guided by Singapore’s strategic planning for scalability (at the macro level of educational systems). In this way, the CSCL research is integrated with a systemic effort to align the interests and goals of various stakeholders, policies, pedagogies, assessment modes, and classroom practices. While this case study is situated in the socio-cultural context of research and practice in Singapore, the principles of research and planning for sustainability can be adapted for other countries and school districts. To bridge the gap between research and practice, Oshima et al. (2018) utilized DBIR principles to design lesson study to facilitate Japanese teachers’ comprehension of student engagement in their collaborative work. KBDeX, the discourse tool for analyzing students’ online writing using socio-semantic network techniques, has been used in different international and Asia-Pacific classrooms. This DBIR approach moves beyond individual classrooms – these researchers developed the DBIR approach incorporating the use of KBDeX and knowledge-building pedagogy, working to promote a new form of lesson study through partnerships among teachers, the school, the district education department, and researchers.

Computer-Supported Collaborative Learning Computer-supported collaborative learning (CSCL) research originated in Phase 1, developed rapidly in Phases 2 and 3, and is now a significant learning sciences subfield. The International Journal of Computer-Supported Collaborative Learning is one of the two flagship journals of the International Society of Learning Sciences. CSCL is primarily concerned with understanding how learners collaborate to learn using computers and designing computer-supported environments to promote collaboration. CSILE and Knowledge Forum (described in Phases 1 and 2) is a

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forerunner of CSCL continuing its development in Phase 3. We now discuss other major CSCL research programs. Argumentation and Knowledge Construction. Argumentative Knowledge Construction is one of the CSCL areas that has attracted the most research attention (Stahl & Hesse, 2010). Argumentation is an important educational goal, and CSCL researchers have designed environments to help students learn to argue/argue to learn and assess how learners construct arguments and knowledge. Drawing from the learning sciences research (Chinn, 2006), researchers have attempted to develop different methods to analyze arguments. One dominant method is to map the structure of arguments according to Toulmin’s Argument Pattern (TAP) using claims, grounds, warrants (linking grounds to claims), backing for warrants, rebuttals, and qualifiers (e.g., “most,” “probably,” “possibly”). Researchers can also examine how these components are used in argumentation sequences that reveal how learners interact with their partners using arguments and counterarguments (Noroozi et al., 2013; Stegmann et al., 2012). Nussbaum and Edwards 2013 proposed drawing from Walton’s dialogue theory of argumentation schemas to enrich argumentation analysis. Their work extends previous theoretical frameworks for argumentation by considering: (1) types of argumentation dialogue depending on whether the goal of the participants is to persuade, negotiate, acquire information, deliberate, inquire, express emotion and grievances, or a mixture of these (Walton, 2013); (2) argumentation schemes in different types of dialogue, such as an argument from expertise (“Statement X is likely true because an expert said so”) or an argument from consequences (“Do Action A because it will lead to positive consequences”); and (3) related critical questions that participants in the dialogue should ask to evaluate the arguments associated with that scheme. Nussbaum and Edwards offer researchers a valuable alternative to the Toulmin model. Beyond the argument structure, researchers would need to pay greater attention to the content and quality of students’ arguments. In line with learning sciences’ emphasis on learning processes, these detailed analyses and formulation of analytics frameworks could help unpack how students collaborate with their peers as they engage in argumentation for knowledge construction. These CSCL environments also have implications for designing scaffolds and support to help students improve argumentation processes and quality in classrooms. Scaffolding and Scripting. While there are many advantages for students working collaboratively in computer-supported collaborative environments, putting students together does not mean they know how to collaborate. Accordingly, “scripting” learners’ collaborative interactions has developed as a major CSCL approach. Dillenbourg (2002) described scripts as a sequence of phases, each characterized by the following five attributes: (i) type of task to be accomplished, (ii) group composition, (iii) task distribution within and among groups, (iv) type and mode of interaction, and (v) timing of the phase. Dillenbourg and Hong (2008) further distinguished two kinds of scripts: Micro scripts are dialogue models embedded in the designed environment to inform learners what to do and how to engage in specific learning activities. Macro-scripts are pedagogical models supporting

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collaborative learning by grouping and regrouping learners, distributing resources, and sequencing different learning arrangements. Fischer et al. (2013) developed a script theory of guidance (SToG) for scaffolding collaboration focusing on optimizing the connections between internal and external scripts. The internal scripts include hierarchically organized components that describe learners’ prior knowledge and expectations of how collaboration will evolve. There are four components: (1) play (i.e., knowledge about the learning and collaboration settings), (2) scene (i.e., knowledge about types of activities within the setting), (3) scriptlet (i.e., knowledge of sequences of activities within the setting), and (4) role (i.e., knowledge of roles that organize activities by specific participants with the setting). This research highlights the importance of considering both internal and external scripts: The internal script components are evolving dynamic cognitive structures (learners), and external scripts (guidelines) are effective only when targeted at the appropriate level of the internal collaborative script (Kollar et al., 2018). CSCL research is attracting attention in the Asia-Pacific, and researchers have conducted various studies elaborating on the scripting approach. For example, Chen and Chiu (2016) designed a set of computerized collaboration scripts for multi-touch computer-supported learning for Taiwanese students and showed its effects on multiple aspects of metacognitive self-regulation. In another study, Splichal et al. (2018) developed and evaluated a computer-mediated learning environment for project-based learning to facilitate Japanese students’ internal scripts for regulation by designing external scripts for effective reflection. One of their contributions was a methodology for examining the progress in student regulation using the script theory of guidance discussed above (Fischer et al., 2013). Chen et al. (2021) proposed a pedagogical model, the Spiral Model of Collaborative Knowledge Improvement (SMCKI), that can be regarded as a macro-script to design and implement effective collaborative learning in a multi-layered authentic networked classroom. The study was conducted with pre-service teachers in Singapore and different phases of SMCKI include: Phase 1 encourages the generation of diverse ideas among students, and Phase 2 involves students seeking synergy through consensus-seeking, leading to knowledge improvement within the group. Phase 3 promotes class-wide knowledge contribution giving the necessary ingredients for Phase 4 refinement, and a final recollection during Phase 5 individual achievement allows the consolidation of knowledge improvement spiraling from the individual to the group, to the class, and back to the group and the individual. This model has been employed in various contexts, including different grades and subjects in Singapore. Results revealed that the five phases’ macro scripts effectively supported collaborative knowledge improvement.

Political Turn: Equity and Social Justice One noticeable change in the field since the mid-2010s was what has been called the political turn (Pham & Philip, 2021), which has emerged in response to the growing

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awareness of inequity and social injustices in our societies associated with educational inequity. One aspect of this is the realization that the growing social movements and activisms would provide interesting contexts for research. Learning has diverse aspects beyond classrooms and schools, which would help reveal new aspects of community-based learning that have not been brought into focus. Another aspect is that the research and designs in learning sciences have a moral imperative to improve the social world. The research attention to equity and social justice has become a new theme, and several special issues have appeared in the Journal of the Learning Sciences in recent years. Tabak and Radinsky (2014) introduced a special issue on the emerging theme. As a collection, the five papers examine learning in the contexts of agency in the face of oppression, contested racialized and gendered identities, and learners’ reasoning about equity and injustice. For example, Dascalu et al. (2015) created an intervention that successfully engage African American teenage males in computer science. They further explored the pattern in participants’ face-saving tactics these young men used to negotiate between maintaining cultural values and identifying with computer science learning. The findings identified a set of design principles for other longterm learning environments supporting young African American males. A second special issue, guest edited by Bell et al. (2017), further suggested how a design-based research focus might enrich our understanding of the role of learners’ self-identification with disciplinary endeavors concerning the design of and their participation in learning environments. For example, Nasir and Vakil (2017) highlight how school-level processes of racialized and gendered storylines circulating in the setting about STEM disciplines can impact students’ disciplinary identification, sense of belonging, and forms of participation in schooling. The study of Allen and Eisenhart (2017) shares this interest in STEM-related identities – using ethnographic and longitudinal data, these researchers investigated the educational pathways – how learners fight for the desired versions of a future self as they are entangled in discursive and social relations that threaten to position them differently. These papers examine particular groups of learners generally isolated in varied contexts of learning: African American and Black students (Nasir & Vakil, 2017) and young women of color (Allen & Eisenhart, 2017). Another recent special issue, guestedited by Curnow and Jurow (2021), encouraged learning scientists to examine learning that happens through collective action. This special issue aims to underscore the significance and complexity of learning in social movements and to position social movement learning in relation to an ongoing trajectory of scholarship and activism in the field. Regarding equity and political turns, some preliminary studies exist in the AsiaPacific. Given the cultural and contextual background, equity issues also pertain to the digital divide and diverse learners’ access. Higher-order thinking and educational innovation are commonly believed to be only suitable for capable students and highachievers. In contrast, low-achievers only need basic skills, yet such beliefs would widen their gaps with more educational inequity. Yang et al. (2020) investigated knowledge building using reflective assessment to help low-academic achievers and at-risk learners (students in a Band 3 school in

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Hong Kong) engage in high-level collaborative inquiry and knowledge building. The researchers started by examining the difficulties facing low academic achievers and proposed a design premised on KB principles enriched with reflective assessment for promoting their metacognitive, collaborative, and epistemic growth. One contribution of this study is that it is not just a proof-of-concept study indicating that high-order thinking is possible with low-achievers. This study also provides a design framework on how low-achievers can be supported that may be adapted for diverse learners in other inquiry-based technology environments. Learning encompasses different dimensions, and increasing attention has also been paid to the role of academic emotions in Asian culture, as evidenced by the rapid growth in empirical studies and meta-analytic reviews (e.g., Hall, 2019). Academic emotions refer to emotions experienced by students in various educational settings, which can be classified into positive (e.g., joy, hope, and pride) and negative (e.g., anxiety, boredom, and hopelessness) (Pekrun, 2016). Environmental and structural factors facing particular groups of students lead to disparities in social and emotional well-being that are crucial to learning (Grossman et al., 2021). For example, those who have to deal with structural bias and racism, explicit discrimination, hate crimes, and negative stereotyping – e.g., some students of color, immigrants, English language learners, and lesbian, gay, bisexual, transgender, and queer students – are much more likely to experience negative emotions (Grossman et al., 2021). Lee and Jang (2021) examined the patterns of Korean learners’ academic emotions to inform the design of online video-based learning. They provided effective affect-sensitive interventions to support the online learners experiencing motivational difficulties. Given the massive transition to online video-based learning during and after COVID-19, this line of research would have implications concerning detecting and intervening for potential issues associated with learners’ motivation and affective states. These papers on social-political-turns broaden our thinking about equity and social issues, point to new ways of conceptualizing learning, and help consider the potential of how our research and design work can effect meaningful social change.

Discussion and Conclusion As discussed in the chapter, the learning sciences is a unique discipline in educational research as it entails both science and engineering aspects. From the scientific perspective, the new theories in the discipline have enriched our conceptual understanding of how people learn in authentic contexts, including formal and informal environments. From the engineering perspective, the learning sciences has focused on designing learning environments and design principles that challenged traditional notions of instructionism. Since the emergence of the field and throughout the past three decades, learning sciences research has examined how learning takes place in authentic contexts and how learning can be facilitated. The learning sciences proposed an inspiring message that learning research should start with researchers considering how to define learning involving learning epistemologies. With the

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strong belief in human agency as the most essential in learning, different forms of learning environments for various contexts of learning and different levels of learners have been developed highlighting the centrality of learners examined through design-based research for theory and design improvements. This chapter discusses learning sciences development using a historical perspective for key themes and trajectories. In the first phase, learning sciences, grounded in cognitive sciences, emerged with researchers taking major findings in basic research and transforming them into principles for designing learning environments. Learning sciences developed new learning theories in authentic contexts and created corresponding methodologies, including design experiments and protocolinteraction analyses. Asia-Pacific researchers are forerunners on adaptive expertise and collaborative interactions in the development of learning sciences. In the second phase, design-based research was established to conduct learning sciences studies in the classroom and other formal and informal learning contexts. Significant advances are made in pedagogical and technology designs and learning environments internationally, with Asian-Pacific researchers contributing to two influential programs, knowledge building and productive failure, impacting the learning sciences field. In the third phase, the discipline expanded its research focus to include methodologies for examining the sustainability and scaling of learning and extending the inquiry of learning to equity and social justice issues. Additionally, major computer-supported collaborative learning (CSCL) environments and sophisticated process-based evaluation methods have been developed – Asia-Pacific researchers also contributed in different ways to advancing CSCL and learning analytics research. Currently, there is widespread recognition of and an urgent need for educational transformation for addressing changing societal needs internationally and in the Asia-Pacific. The learning sciences has provided some theoretical and design perspectives supported by rich empirical evidence on how pedagogical and technological innovation can be advanced. The design-based research methodology and researcher-teacher-stakeholder co-inquiry also illustrated possibilities for bridging theory and practice for educational change. Through synthesizing major research internationally and in the Asia-Pacific, this review will hopefully contribute to new ways of studying learning, innovation and educational change using theories, pedagogies and technologies in the learning sciences. While many advances have been made, the learning sciences is a relatively new field in education and many questions remain to be addressed. The continuous development of the research paradigm is vital to inspiring future perspectives of learning to meet society’s new requirements. In the face of many challenges, learning sciences research will continue to provide epistemologies, approaches, and practices in addressing societal needs and futureoriented education. Twenty years have passed since the founding of the International Society of the Learning Sciences in 2002. While most members come from the USA, other countries in Europe and the Asia-Pacific regions have contributed to the sustainable development of the society and the discipline. In the first phase of the learning sciences, most of the learning sciences researchers in the Asia-Pacific regions were those moving back from the hot spots of learning sciences research at that time. Over

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time, they have developed laboratories and projects and continued advancing learning sciences research appropriate to their school contexts and educational systems. The Asia-Pacific research on learning sciences and computer-supported collaborative learning is becoming more visible, contributing to the international community, as shown in this chapter. Five international conferences on learning sciences have been held in the Asia-Pacific region (Taiwan, Hong Kong, Australia, Singapore, and Japan), where many scholars discussed issues related to their countries’ educational systems. Several major handbooks of learning sciences are translated into Japanese and Chinese to reach a wider audience of scholars and practitioners in educational research. Diversity is the key to the discipline’s sustainable development. Gathering findings and insights from global studies empowers our knowledge of how people learn (Sawyer, 2022). Senior learning sciences scholars have formally or informally established learning sciences curricula in graduate programs at their institutions and created the Network of Academic Programs in the Learning Sciences (NAPLeS) (https://www.isls.org/naples/). Different generations of learning sciences researchers are now working together as communities of scholars affiliated with the International Society of Learning Sciences (ISLS). Reflecting on the past and present and looking forward, new generations of international and Asia-Pacific scholars will continue to cross national, linguistic, disciplinary, and epistemological boundaries embarking on the collective inquiry into new forms of learning to meet changing societal and educational needs.

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Knowledge Building Model: Theory, Pedagogy and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theoretical Foundation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Principle-Based Pedagogy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Knowledge Forum Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A Classroom Example of Knowledge Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Knowledge Building Research in the Asia-Pacific . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fostering and Designing Knowledge Building Environments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Examining Effects and Impact of Knowledge Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Teacher Learning, Professional Development and Systemic Change . . . . . . . . . . . . . . . . . . . . . Technological and Methodological Advances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cultural and Contextual Influences: Barriers, Constraints and Opportunities . . . . . . . . . . . . . . . . Discussion: Key Themes, Contextual Influences and Research Direction . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Globalisation, knowledge economies, technology explosion, and COVID-19 pandemics have brought about unprecedented changes and the pervasive need to cultivate learners’ problem-solving, innovation, and creative capacity for knowledge work. This chapter discusses the knowledge building model that brings knowledge creation to classrooms for educational and pedagogical innovation, drawing from international and Asia-Pacific research. Originating in Canada, knowledge building is now implemented in K-12 and tertiary classrooms C. K. K. Chan (*) Faculty of Education, The University of Hong Kong, Hong Kong SAR, China e-mail: [email protected] S. C. Tan National Institute of Education, Learning Sciences & Assessment, Nanyang Technological University, Singapore, Singapore © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_53

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internationally and in the Asia-Pacific, including Singapore, China, Hong Kong, Taiwan, Japan, and New Zealand. Knowledge building emphasises student agency and collective responsibility; students are engaged directly in knowledge work pursuing sustained idea development, the foundational practice of knowledge creation. Knowledge Forum ® (KF) is a custom-built knowledge-building technology developed in tandem with advances in knowledge-building theory and practice. This chapter first introduces the knowledge building model’s theory, pedagogy, and technology featuring principle-based pedagogical innovation. Four major lines of knowledge-building research from the Asia-Pacific are discussed, including (a) Fostering and designing knowledge-building environments, (b) Examining effects and impacts of knowledge building, (c) Teacher learning, professional development and systemic change, and (d) Technological and methodological advances. This chapter also discusses cultural-contextual challenges and opportunities, including the examination of culture and the paradox of the Chinese learner, for adopting innovation in Asian classrooms. The contributions and implications of knowledge building research for advancing educational and pedagogical innovation internationally and in the Asia-Pacific are discussed. Keywords

Knowledge building · Pedagogy · Technology · Innovation · Knowledge creation

Introduction Internationally, there have been calls for educational reforms to prepare students for the knowledge society (OECD, 2013). Education in the Asia-Pacific is evolving to adapt to changing social, economic, environmental, and technological complexities and developments, and knowledge creation and innovation have become increasingly pervasive. Globalisation, technological explosion, and knowledge economies have highlighted the need for innovation, generating new knowledge and practice to solve future problems. New educational demands have emerged requiring the shifts from basic knowledge and skills in instructionism to deep understanding and creative knowledge work (▶ Chap. 66, “Development of the Learning Sciences: Theories, Pedagogies, and Technologies”; Sawyer, 2022). Although knowledge creation is now incorporated into major educational documents (e.g., UNESCO ICT competency framework for teachers, 2011), addressing it within education policies and school practices is challenging and misalignments abound in curriculum, pedagogy, technology, assessment, and school policy and practice (Tan et al., 2021a, b). Rhetoric about education reforms is extensive, also evidenced in the discourse about developing twenty-first-century competencies and soft skills. Global changes such as the fourth industrial revolution have cast doubts on whether current teaching and learning approaches could adequately prepare

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students to meet the demands of the digital age and the knowledge society. Many reform efforts seek to prepare students for the knowledge society by developing twenty-first-century skills and competencies for future application have met with challenges (▶ Chap. 71, “Recontextualizing and Translating Twenty-First-Century Competencies into Curriculum”; Tan et al., 2021a, b). While teachers and schools may try to implement the so-called “best” practices, rapid pedagogical and technological changes and advancements mean schools are always a few steps behind, forever playing catch-up. This chapter introduces a coherent framework emphasising the generation of new ideas and practices through sustained inquiry, collective responsibility, and progressive change for educational innovation. Knowledge building is grounded on theory-pedagogy-technology integration and a systemic approach to addressing new schooling demands in the knowledge age and post-COVID era. Knowledge building is a foundational learning sciences model focusing on learning as sustained idea improvements, supported by online collaborative pedagogy and technology and three decades of research (Chen & Huang, 2016; Scardamalia & Bereiter, 2014). Chan and van Aalst (2018) summarised knowledge building as a knowledge creation model integrating theory, pedagogy, and technology for innovative practice. Tan et al. (2021a, b) further explained the knowledgebuilding approach that positions schools—comprising school leaders, teachers, and students—as knowledge-creation organisations. Students are directly engaged in knowledge creation work through collective idea improvement; teachers work in professional communities to improve knowledge-building implementation; and international communities advance knowledge-building practices with researchers, school practitioners, and stakeholders. Primarily, knowledge building addresses emerging educational needs in international and Asian school systems as a model of self-sustaining and self-improving innovative practices at various education levels. Asian-Pacific researchers are key members of the global international knowledge-building community (www.kbi.com), collaborating with international teams designing and advancing innovative education. There are many definitions of knowledge building, an increasingly popular term in educational literature. This chapter focuses on the Knowledge-Building model (Scardamalia & Bereiter, 2014) developed at the University of Toronto in the early 1990s, which has since been implemented in 20 countries and is developing rapidly in the Asia-Pacific. This knowledge-building model emphasises knowledge creation through sustained idea improvement and collective responsibility. In this chapter, we first highlight the model’s key theoretical, pedagogical, and technological tenets relevant to bringing knowledge creation to schools in the post-truth, post-COVID-19 era. We review the Asian-Pacific research literature on knowledge building for empirical evidence identifying four major themes: (1) Fostering and designing knowledgebuilding environments, (2) Examining effects and impacts of knowledge building, (3) Teacher learning, professional development and systemic change, and (4) Technological and methodological advances. We also discuss the cultural-contextual constraints and emerging opportunities for implementing knowledge-building innovation. The contributions, future directions, and implications of knowledge-building research in Asian classrooms for educational and pedagogical innovations are discussed.

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Knowledge Building Model: Theory, Pedagogy and Technology Theoretical Foundation Knowledge building, also known as knowledge creation, involves participants adding value and extending their community’s knowledge frontier using collective responsibility (Chan & van Aalst, 2018; Scardamalia & Bereiter, 2014). While knowledge building seems to be a pedagogical approach, it is underpinned by the epistemological theory that new knowledge is created in a community through sustained inquiry and theory-building. These theoretical ideas are implemented in classrooms with school-aged students engaging in knowledge-creation work working as a community. In knowledge-building classrooms/communities, students work on authentic problems they need to understand (e.g., why rainbows have different colours? Why does poverty exist?). Using both classroom and online discourse and supported by Knowledge Forum (KF), a computer-supported collaborative learning environment (Fig. 1), students formulate problems, generate explanations, build on one another’s ideas, revise (improve) their theories, and rise above to higher levels of understanding as they pursue sustained inquiry for collective idea improvement.

Fig. 1 A knowledge forum view on the discussion and affordances of CSCL

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Knowledge building aims to acculturate students into a knowledge-creating culture, engaging them directly in knowledge work rather than merely preparing them with soft skills for future just-in-case applications. The knowledge-building/creation model originated in the 1980s in cognitive research on writing processes that distinguished between ‘knowledge telling’ (students retelling what they knew) and ‘knowledge transformation’ (students restructuring their knowledge) (Bereiter & Scardamalia, 1993a). In the early 1990s, research on expertise distinguished between task completion and progressive problem-solving—expert learners reinvesting cognitive efforts to understand and redefine problems at progressively deeper levels (Bereiter & Scardamalia, 1993b). This framework has also been used to examine expertise in teaching among Hong Kong teachers (Tsui, 2005). These early ideas underpin the knowledge building model, highlighting student agency and progressive problem solving for creative work toward developing expertise. Knowledge building shares similarities with other pedagogical models—such as problem-based, project-based, and inquiry learning—emphasising students co-constructing understanding. However, it is distinctive in its emphasis on advancing the frontier of community knowledge (Bereiter, 2005). Knowledge building advocates bringing Popper’s (1978) World 3 into classrooms—World 1 refers to the physical world, World 2 mental representations, and World 3 the public world— with ideas as conceptual artifacts that can be improved continually. Two key dimensions characterise the knowledge-building model: (1) learning versus knowledge-building and (2) belief-mode versus design-model thinking. First, while education’s key goal is to help students learn our intellectual and cultural heritage, for future-oriented education, students also need to take agency and engage in knowledge production to increase our intellectual capital. In engaging in this collective process, students also learn individually. Second, while critical thinking and argumentation are pivotal, caution is made against relying on “belief-mode” thinking (surface critiques, fragmentary evidence, and polarisation) prevalent in schooling and modern societies. Design-mode thinking encourages formulating problems, considering possibilities, identifying knowledge gaps, and revising one’s beliefs—when one problem is solved, new problems emerge for redesigning and problem-solving. Knowledge building as knowledge creation involves progressive and deepening cycles of inquiry for transformation rather than using simple arguments and superficial evidence based on pre-determined biases and beliefs (Chan & van Aalst, 2018). Knowledge building/creation is primarily supported and enabled via community ethos and dynamics. Knowledge building has been conceptualised as a third metaphor of learning, depicting learning as “knowledge creation,” extending the other two metaphors of learning as “knowledge acquisition” and “acculturation of practice” (Paavola & Hakkarainen, 2014). In knowledge communities, the collaborative creation of ideas (knowledge artifacts) is important to advance collective knowledge, engaging students directly and intentionally as knowledge creators. In a nutshell, knowledge building model emphasises the sustained pursuit of idea improvement through collective cognitive responsibility (Scardamalia & Bereiter, 2014). Rather

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than focusing on individual achievements common in schooling, knowledge building advocates developing school-aged students’ capacity to create and contribute to collective knowledge advances, setting new educational goals for future learning for addressing unpredictable societal and educational needs.

Principle-Based Pedagogy Scardamalia (2002) postulated twelve knowledge-building principles to instantiate knowledge-building theory in classrooms. Knowledge building focuses on innovation and adopts a principle-based, not procedure-based, pedagogy to maximize the emergence of new ideas (Tan, 2023). Rather than following predesigned scripted activities, teachers and students, guided by principles, co-construct the inquiry flow as it unfolds and emerges, creating conditions that facilitate new ideas’ emergence. These principles work as a system to enable teachers to talk about their understanding of knowledge building. Knowledge Forum provides a knowledge-creation space for realising these principles. An explanation of these 12 principles (italicised) is included as follows: One key common theme across several KB principles is collective idea improvement. At the core of knowledge building are students’ ideas, starting with authentic ideas arising from the problem of understanding. Students start with formulating authentic inquiry problems; they engage in epistemic agency, identifying problems and articulating their ideas and questions. In an open platform like KF, related and different ideas are likely to surface—KF provides the open platform where ideas are made visible, and diversity of ideas are welcomed. Similar to what is found in an innovative community, all ideas are viewed as improvable as students work collectively building on others’ views for collective inquiry. Students refine their ideas through the constructive use of authoritative information, bringing in useful resources and references as they revise their understanding. Another key principle is rise-above, in which multiple and conflictual ideas are examined not for mere accent or elimination of opposite views but for synthesis and progressively higherlevel conceptualisation. Another key common theme focuses on community processes. For idea improvement to happen, the nature of discourse among students is critical; rather than just sharing information common in online learning, knowledge-building discourse focuses on adding value to the community. Knowledge-building talks, which value epistemic evaluation and improvement of ideas, are encouraged. Embedded and transformative assessment encourages student agency in assessing epistemic value of ideas as innovative communities continually assess their own progress. Students take on collective cognitive responsibilities to improve ideas and benefit everyone in the community. Regardless of their abilities or levels, students can contribute to and benefit from the knowledge-building community, bringing symmetrical reciprocal advancement of knowledge. As part of the broader cultural effort of knowledge creation, pervasive knowledge building is emphasised to occur across subject domains and grade levels in formal and informal contexts. To summarise, knowledge building pedagogy is emergent and does not follow predesigned activities;

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the principles work as a system, underpinning the emergent pedagogy and appropriated to different teaching and learning contexts for continual improvement.

Knowledge Forum Technology Central to knowledge building is Knowledge Forum ® (KF), a collaborative learning space supporting the knowledge creation processes and how principles may be realised. Scardamalia and Bereiter (2014) designed a pioneering computer-supported collaborative learning (CSCL) environment in the late 1980s to make knowledgebuilding/creation processes accessible to school-aged students. Primarily, KF is a collaborative inquiry platform where students’ ideas and questions can be visualised and improved. Currently, there are many e-platforms and tools (e.g., Google Tools, Padlet, Mentimeter) that display and visualise students’ ideas/responses/answers after some tasks are completed. However, limited affordances or pedagogical attempts are made to help students build on and deepen their ideas for reflection and continued improvement. Knowledge building advocates theory-pedagogy-technology integration. On Knowledge Forum, different features support knowledge building (see Fig. 1). First, when writing forum notes, students are guided by a set of thinking scaffolds (e.g., I need to understand, my theory, new information, a better theory, putting our knowledge together) to support their theory-building processes —They pose problems, construct an initial explanation, use new information, revise their theory (explanation) to better ones, and synthesize diverse ideas for collective knowledge. These scaffolds can also be modified for different contexts; for example, in KF databases for teacher professional development, researchers include scaffolds on reflection and practice to support teacher knowledge building. Second, KF includes features supporting emerging ideas—students post their KF notes on “Views” representing different topics and inquiry problems. Views can include graphics and annotations to highlight the relationships between the networks of ideas and new questions, and different views (problems) can be linked. Third, KF encourages riseabove processes — The “reference notes,” including hyperlinks to peers’ notes, support higher-level conceptualization and synthesis of divergent peers’ ideas (somewhat similar to researchers’ literature review). Fourth, the assessment and analytics tools of KF enable researchers and teachers to analyze KF writing automatically for formative assessment and feedback, and students can also use these tools to reflect on their ongoing KF work. Theory, pedagogy, and technology are integral and examined in classroom practice for continued improvement (see next section on research evidence).

A Classroom Example of Knowledge Building In the following, we provide an example to illustrate how knowledge-building works. Fifteen graduate students in Singapore studying computer-supported collaborative learning (CSCL) engaged in knowledge building using Knowledge Forum

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and classroom discourse. One student used the KF scaffold and wrote, “[I need to understand] I had a question in my previous course that I felt it (sic) was unanswered.. why call it affordance when in other words, it can be understood better as features” (note A Fig. 1). Noteworthy is that this question reflects the student’s effort to understand the concept of affordance, which has been assumed to be understood. In some way, this student took epistemic agency, pursuing an important but overlooked problem, linking different pieces of knowledge from past and current courses that would be important for this class community. Intriguingly, this struck a chord with many other students. The note attracted six direct responses and triggered a much larger web of notes and diverse ideas presented (see Fig. 1). Some students provided interpretations based on the main readings, while others added new references and related concepts (e.g., Note B, Fig. 1), using constructive sources of information to support the community in pursuing collective knowledge building. When a new concept or reference was introduced, more questions were raised, and new lines of inquiry were triggered, questions bringing more questions. The “naïve” question eventually led to a deep discussion on several related lines of inquiry and concepts, including the nuanced understandings of affordances (hidden affordance, perceived affordance), related concepts such as constraints and affordances and contexts and affordances, how to assess affordances, roles of technologies in CSCL, and so on. Collective pursuit of knowledge was developed as students engaged in progressive problem-solving. This example illustrates how KF provides a platform for students to create their knowledge artifacts, build on one another’s ideas, and revise and improve their understanding through this deepening process. While it may be argued these students are not creating new knowledge, they are engaged in the knowledge-creation process, working collectively to extend the knowledge frontiers and adding value to the class community with intentionality for sustained idea improvement. This example is drawn from a tertiary classroom, but similar examples are widely practiced among K-12 classrooms and empirically examined across contexts and educational systems discussed in the following section.

Knowledge Building Research in the Asia-Pacific Knowledge building has been extensively studied in the Asia-Pacific, including Singapore, China, Hong Kong, Taiwan, Japan, and New Zealand. A literature search using Scopus and Google Scholar including search terms such as knowledge building, Knowledge Forum, and different Asia-Pacific countries and economies yielded close to 700 articles. After checking, 120 articles from 1998 to 2022 were organised into four key research areas. Table 1 summarises the key themes and major examples, including (a) Fostering and designing knowledge-building environments, (b) Examining effects and impacts of knowledge building, (c) Teacher learning, professional development and systemic change, and (d) Technological and methodological advances.

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Table 1 Key themes of knowledge building research in the Asia-Pacific Research areas and contribution Examples of publication (Authors, years, places) Fostering and designing knowledge-building environments Reflective assessment, analytics and knowledge-building culture Designing reflective assessment using van Aalst and Chan (2007), Hong Kong; e-portfolios for collective advance Lee et al. (2006) Hong Kong Explicit reflection into discourse; Lin and Chan (2018), China; Lei and meta-discourse and ref lective assessment Chan (2018), China Using learning analytics tools and Yang et al. (2020), Hong Kong; Yang (2022), approaches to enrich students’ reflective China assessment Knowledge Building as multi-player Bielaczyc and Ow (2014), Singapore epistemic games and using think-cards Knowledge building for diverse learners and culturally-responsive pedagogy Framework of metacognition, classroom Yang et al. (2020), Hong Kong talk, analytics, and culture formation for low-achievers Designing knowledge building for high-and So et al. (2010), Singapore low-achieving students Pedagogical transformation addressing Chan (2008), Chan (2009), Hong Kong; cultural-contextual constraints appropriating van Aalst and Truong (2011), Hong Kong Chinese and Western approaches Knowledge building in different contexts Using mobile Web 2.0 technologies for So et al. (2012), Singapore in-situ knowledge building Peer scaffolding and collaboration with Lai and Law (2016), Hong Kong international peers Examining effects and impacts of knowledge building Collective knowledge advances and Domain knowledge Reading comprehension (Grade 3) Hong et al. (2020), Taiwan Science learning (Grade 5); science Lin and Chan, 2018; Chan et al., 2012, achievement (Grade 12) Hong Kong Geography and earth science (Grade 9; van Aalst & Chan (2007); Lee et al. (2006); Hong Kong Grade 12) Zhao and Chan (2014), Lei and Chan, (2018) Business academic literacy (Year 1) China Stem learning (university teacher education) Hong and Lin (2019), Taiwan Collective agency, skills, and dispositions Collective epistemic agency Lai and Campbell (2018), New Zealand Depth of inquiry, scientif ic inquiry, process Lee et al. (2006); Chan et al. (2012), Hong Kong; (Grade 10, college) Li et al. (2020) Taiwan Classroom Discourse and Questioning Lossman and So (2010) Singapore; Tan and Seah Behavior (2011), Singapore Collaborative and creative behaviours Hong et al. (2014), Taiwan (college) Design thinking (college) Lin et al. (2020) Taiwan Depth of Knowledge building discourse Fu et al. (2016) Hong Kong (primary and secondary students in teacher networks) (continued)

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Table 1 (continued) Research areas and contribution Examples of publication (Authors, years, places) Epistemic views of learning and knowledge building Views of knowledge building (college Hung and Hong (2017), Hong and Chiu (2016), students) Taiwan Beliefs about collaboration Zhao and Chan (2014) China Nature of Science (Junior secondary) Goh et al. (2013) Taiwan Epistemology of Science (Grade 5) Lin and Chan (2018) Hong Kong Teacher learning, professional development and systemic change Pre-service teachers using principles to learn Chai and Tan (2009), Singapore; Chai and Zhu knowledge building (2021), China; Hong and Chai (2017), Hong et al. (2019a, b), Taiwan Pre-service and in-service teachers working Chai and Tan (2009), Singapore; Chan & as knowledge builders van Aalst (2006), Hong Kong Systemic approaches to teacher learning and Teo et al. (2021a) Singapore; Chan (2011), professional development Hong Kong Technological and methodological advances Technologies for analysis of social and idea Oshima et al. (2012), Japan networks (Knowledge-Building Discourse Explorer (KBDeX) Analysis of idea flow and promising ideas Lee and Tan (2017a, b), Singapore Integrating epistemic network analysis with Oshima et al. (2020), Japan; Tan et al. (2021a, b), KBDeX and other advances in analysis of Singapore ideas Mapping student open inquiry with official Teo et al. (2021b), Singapore curriculum expectation

Fostering and Designing Knowledge Building Environments Reflective assessment using e-portfolios and meta-discourse. One key issue in Asian classrooms is the focus on assessment and teachers’ concerns about whether students are learning from the knowledge-building approach. A major program emphasises using the KB principle of reflective assessment with students taking high-level agency to assess their own knowledge building. The first study (van Aalst & Chan, 2007) involved a joint Hong Kong-Canada course with Master of Education students—they started with a self-assessment of their online writing, and a critical turn took place when they recognised creative knowledge work could not be an individual effort, but rather involved group and community co-creation. The researchers (instructors) and M.Ed. students co-designed e-portfolios in which students assessed their collective knowledge-building using a set of four knowledge-building principles. This innovative, creative practice was taken up in a Hong Kong school context by one M.Ed. student for Grade 12 geography students and soon followed by another Hong Kong teacher for Grade 12 chemistry classes (van Aalst & Chan, 2007).

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Lee et al. (2006) systemically examined the role of e-portfolios further for a younger age group (Grade 9) using a quasi-experimental design to tease out the effects of reflective assessment versus the novelty of computers—results indicate the enhancing roles of principles and student agency for collective learning and domain knowledge over and above the effects of using Knowledge Forum. Reflective assessment has continued expanding to explicit reflection into discourse for Grade 5 students (Lin & Chan, 2018) and meta-discourse (discourse about discourse) among college students in mainland China (Lei & Chan, 2018). Across these different studies, students produced collective creative work, gained personal scientific and conceptual understanding, and increased awareness of what productive discourse entails. This e-portfolio design has both theoretical and practical benefits, addressing the long-standing issue of theorizing and assessing collective knowledge in collaborative learning, while also supporting the practical classroom needs for assessing students’ subject-matter understanding, collective and personal learning. Such approaches also shed light on the possibility of addressing the competitiveness issues in Asian classrooms, as personal and collective achievements alike are valued. Analytics-supported reflective assessment. With recent advances in learning analytics and the automatic analysis of student-generated data internationally and in the Asia-Pacific (▶ Chap. 70, “Learning Analytics for Learning: Emerging International Trends and Case Studies from the Asia-Pacific”), students’ reflective assessment of KF discussion was enhanced using analytics tools and visualisation. Yang et al. (2016; 2020) engaged a group of Grade 10 students in Hong Kong to visualise their discourse patterns on KF using the Knowledge Connection Analyzer; students then used these visualisations as feedback for metacognitive reflection, and to identify gaps in their discussion and plan their ways forward. This approach has been tested with different analytics tools and cohorts (e.g., Yang et al., 2022), indicating how analytics-supported reflection supported shared epistemic agency, manifesting in more high-level epistemic and regulative actions in collective knowledge building. Epistemic games for developing a knowledge-building culture. Bielaczyc and Ow (2014) proposed viewing knowledge building metaphorically, as a multi-player epistemic game to help students make collaborative strategic moves for collective idea improvement. Working with the primary students in a Singapore school, they started with socialising classroom students into knowledge-building practices using physical Think Cards, depicting the thinking scaffolds (see the section on technology). Customised cards printed with scaffolds including “My idea is...,” “New information...,” “I need to understand” and “A better idea is....” help make students’ thinking visible, enhancing their awareness of their epistemic knowledge-building moves as they compose their ideas. This epistemic game design allows students to engage in cyclical epistemic moves, examine the moves made by members of the class community, compare different moves, and consider the reasoning behind them. Students also see more clearly how other students can work on their ideas to improve progressively on collective explanation, and how they can advance together as a knowledge-building community.

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Learner diversity and community approach. Many teachers and educators, internationally and in the Asian-Pacific, commonly consider that inquiry and innovative approaches are only good for highly-competent students. So et al.’s (2010) study indicated that the benefits of knowledge building could be seen in both high- and low-achieving students in Singapore primary classrooms. Yang et al. (2020) examined knowledge building for academically low-achieving students (schools with Band-3 students) in Hong Kong. A design framework was postulated highlighting the dynamics of social metacognition, classroom talk, tool-supported reflection, and classroom culture to help low-achievers build competence for collaborative knowledge building inquiry. These studies suggest how the knowledge-building approach harnessing community dynamics helps dispel common myths and supports the viability of access and equitable knowledge-building for all. Contextual and culturally-relevant pedagogy. Chan (2009) illustrated how two high-school teachers in geography and Chinese in Hong Kong integrated the “Western-based pedagogy” of knowledge building in their Asian classroom. Primarily, the teachers employed transformative pedagogy fusing Western and Chinese approaches. They restructured the curriculum by integrating fragmented chapters, encouraged students to take epistemic agency by raising open questions integrated with textbook concepts, used contextually relevant strategies in writing “rise-above notes” and wrote e-portfolios to enhance both subject-matter learning and community knowledge. Consequently, these students exhibited deep subject-matter understanding and engaged in creative work for both individual and collective pursuit of knowledge. The students developed collective agency and “were attuned to contextual demands and employed approaches to learning that they could make the most meaning to them” (p. 248). Many other fruitful knowledge-building designs in Asian classrooms work to align with contextual features in the classrooms and systems. For example, So et al. (2012) experimented with mobile Web 2.0 technologies to help Grade 4 students in Singapore enter context-sensitive information and engage in in-situ knowledge building, bridging the formal and informal curriculum for seamless learning. Lai and Law (2016) investigated collaboration between fifth-grade students in Hong Kong and Canada, examining peer scaffolding and also addressing school needs for international exchange. Across different studies, researchers have obtained systematic data and evidence supporting the designs’ effectiveness. More systematic accounts of how knowledge building affects and impacts different knowledge domains, skills, and epistemic beliefs are discussed below.

Examining Effects and Impact of Knowledge Building Collective knowledge growth and domain knowledge. Knowledge-building studies have shown advances in collective knowledge, using discourse data from KF, portfolios, artifacts, and classroom events (e.g., Fu et al., 2016; Yang et al., 2020), and demonstrated effects on individual learning outcomes. Specifically, various studies have shown improvement in domain knowledge, including reading

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comprehension for Grade 3 (Hong et al., 2020), science learning for Grade 5 (Lin & Chan, 2018), and public-exam results for grade 12 (Chan et al., 2012); geography for Grade 12 and 9 (van Aalst & Chan, 2007), academic literacy for Year One business students (Zhao & Chan, 2014), and STEM education for teacher education students (Hong & Lin, 2019). There is also evidence indicating the benefits of academic outcomes for both high and low-achievers (So et al., 2010). Several reasons could explain why knowledge building could enhance domain knowledge. Hong et al. (2020) explained how knowledge building, as an ideacentric pedagogy, engages students in identifying key problems of understanding, questioning, elaborating, and constructing explanations, integrating diverse ideas, and deepening for rise-above. These cognitive, metacognitive, and epistemic actions support deep inquiry and understanding of domain knowledge and when taking place in a collaborative learning setting, avails students of a wider variety of ideas and pools of resources. Also, using technology (e.g., KF and analytics) extends the source of knowledge beyond the limited sources a student has access to in a physical classroom and support student reflection. Collective epistemic inquiry and development of skills and dispositions. Knowledge-building studies also illustrate its impacts on diverse areas of skills, disposition and discourse, including collective epistemic agency (Lai & Campbell, 2018; Yang et al., 2020), science inquiry and process skills (Chan et al., 2012; Li et al., 2020) classroom discourse (Lossman & So, 2010), questioning behaviours (Tan and Seah 2011), collaborative and creative behaviours (Hong et al., 2014), and design thinking (Lin et al., 2020). There is also an increased depth of knowledgebuilding discourse among primary and secondary students for teachers participating in a knowledge-building teacher network (Chan, 2011; Fu et al., 2016). While idea-centric principles help steer students towards a deep understanding of a topic, the focus on collective cognitive responsibility and the foregrounding of epistemic engagement (e.g., epistemic agency) for empowerment help develop concomitant skills and dispositions. Engaging students in knowledge-building discourse guide them to focus on epistemic interactions. Studies show knowledge building impacts collective aspects (e.g., shared epistemic agency) and individual dispositions and skills (e.g., scientific inquiry and design thinking). Lin et al. (2020) explained how design thinking and knowledge building are related—knowledge building’s emergent, self-organising, and sustained idea improvement aligns with design thinking’s iterative ideation and design process. Primarily, the former focuses more on sustained idea development, and the latter on thinking patterns emerging from designing products; both are important for developing innovative capacity. Epistemic views and beliefs about collective knowledge. Knowledge-building intervention also impacts students’ views and beliefs about knowing and knowledge, including shifting college students’ views towards knowledge building as improvable ideas and cultural practice (Hung & Hong, 2017) changing their views about collaboration (Zhao & Chan), and influencing students’ epistemology, including their views of science (Goh et al., 2013), and scientific epistemology as involving theory building (Lin & Chan, 2018).

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The pivotal role of epistemic beliefs in learning, thinking, and understanding has been extensively examined in the Asia-Pacific (see ▶ Chap. 76, “Advances in Personal Epistemology in the Asia-Pacific: A Content and Bibliometric Analysis”) but how epistemic beliefs can be fostered has been less investigated. How could the knowledge-building approach promote students’ epistemic views and beliefs, which are known to be resistant to change? Hung and Hong (2017), drawing on Dawkins’ (1976) theory of cultural transmission, argued that cultural values and ideas would remain as “psychological constructs” (knowledge gained) if simply taught or communicated to students; in contrast, in knowledge building, “these cultural ideas are tinkered, designed, reflected on, experimented on, transformed, discussed, debated, and more importantly, improved” (Hung & Hong, 2017, p. 179). Knowledge building provides opportunities for deep engagement with the cultural practices of idea improvement—students can see ideas are changeable, not fixed knowledge entities. Students engage experientially with sustained inquiry, and they may come to realise that knowledge is neither finite nor definitive but can be extended and modified in a community of inquiry. Shifting towards more sophisticated epistemic beliefs plays an important role in the current new wave of educational change in our complex changing societies.

Teacher Learning, Professional Development and Systemic Change Developing teachers’ capacity in knowledge building. As knowledge-building pedagogy focuses on principle-based design for collective inquiry, teacher learning and professional development also emphasises principles and communities. Research has demonstrated how teachers engaging as knowledge builders and working with principles in a knowledge-building community could support teacher learning (Chai & Tan, 2009; Hong & Chai, 2017; Chan & van Aalst, 2006). For example, Chai and Zhu (2021) examined how 39 pre-service teachers in China designed and implemented lessons using the knowledge-building approach. Analyses of discussions and lesson plans using the 12 knowledge-building principles showed that high-performing groups more often applied “improvable ideas,” “embedded and transformative assessment,” “democratising knowledge,” and “symmetric knowledge advancement” than medium- and low-performing groups. Hong and Chai (2017) discussed how pre-service mathematics teachers in Taiwan engaged in the knowledge-building experience, focusing on the principles of idea improvement, epistemic agency, and community knowledge. The participants generated lesson ideas, enacted their lessons, provided peer feedback, and engaged in collective idea improvement and reflection on their lesson design. Over two semesters, the participants’ collaborative engagement improved, and they moved towards more active and interactive teaching practices with a more adaptive disposition. In another study, twenty-five Taiwanese pre-service teachers, guided by the knowledge-building principle of “community knowledge,” showed enhanced collaboration over an 18-week semester and moved from procedure-oriented feedback to explanation-oriented feedback (Hong et al., 2019a, b). In different studies, the

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participants’ reflections showed more integrated teaching knowledge using the TPACK framework (technological pedagogical content knowledge) with other benefits, including teachers’ reflective capacity for design knowledge (Hong et al., 2019a, b) and adaptive practices (Hong & Chai, 2017). Teacher networks and systemic change. Aligned with the shifts towards tripartite school-university-government partnership, teacher professional learning and school implementation involving multi-level and multi-sector, systemic changes connecting teachers within and across schools have become a major research theme internationally and in the Asia-Pacific (Fishman et al., 2013; Tan et al., 2021a, b). The Singapore site is one of the largest knowledge-building hubs internationally amongst other school and teacher networks in Ontario and Quebec. Teo (2019) discussed a 7-year initiative of developing teacher and school networks in ten schools, focusing on expanding ‘co-designing’ and ‘co-creation’ practice elements to shape and sustain innovation. Emerging design considerations include considering multiple student/teacher/classroom and school leadership levels and examining how innovations align with different educational initiatives, including technology, curricula, and assessment integration. Another example is how Singapore’s teacher networks developed knowledgebuilding practices during the COVID-19 school closure (Teo et al., 2021a). Misalignments existed, such as disjoints between home and school, and between online and face-to-face pedagogy during the COVID-19 crisis. Several re-alignment themes emerged, including innovative practices around the centrality of ideas, transformative uses of technology, and symmetrical knowledge advances within and between school communities. The COVID crisis allowed teachers to develop networks of people, ideas, and resources and continually advance their knowledge-building practices. Chan (2011) discussed implementing knowledge building in a teacher network in Hong Kong classrooms, using a multi-level perspective. At the macro level, educational reform initiatives such as ‘Learning how to Learn’ and ICT reform policies implemented by the government facilitated classroom innovation. At the meso-level across schools, creating a knowledge-building teacher network provided the structure and platform to support teachers’ professional development and classroom innovation design efforts. At the micro or classroom level, teachers work with researchers using principle-based design to guide their pedagogical practices, transforming their pedagogy appropriating for contextual constraints when implementing knowledge building practice. Leveraging multi-level changes and alignments for systemic change and using design-based research, the hybrid culture forged helped teachers and researchers overcome the research-practice chasm.

Technological and Methodological Advances Analytical tools for analysing social and idea networks. A major research theme in knowledge building is how to analyse and assess the richness of students’ KF discourse. Additional to designing pedagogical approaches (e.g., van Aalst &

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Chan, 2007), Asia-Pacific researchers have contributed to developing tools and methodologies for analysing the KF discourse. Specifically, researchers from Japan have developed a tool called Knowledge Building Discourse Explorer, or KBDex© (Oshima et al., 2012), that allows researchers and teachers to extract data from the KF databases and analyze student writing and evolving progress. Using social network analysis (SNA) techniques, they can analyse how a learner contributes to the discussion—how different keywords (domain concepts) are used by different learners, and how keywords are connected in the evolving online KF discourse depicting collective knowledge advance. KBDex’s turn-by-turn analysis can reveal the pivotal points in students’ discourse that facilitated collective knowledge advancement. KBDex provides quantitative indices assessing personal and collective knowledge that can be used to enrich qualitative analysis and employed for different online platforms. Theory-pedagogy-technology integration is integral — KBDeX technology is increasingly adopted in global and the Asia-Pacific communities to support research analysis, teaching designs and theory building. For example, teachers can use KBDeX to find out what keywords students use in KF writing as a basis for providing feedback, and students can view KBDeX visualisation to reflect and plan ongoing KF discussions (Yang et al., 2022). Methods for analysing idea flow and promising ideas. Lee and Tan (2017a, b) developed data analytics methods to enhance the efficiency of analysis of ideas in students’ discourse. To identify how ideas flow in a discourse, Lee and Tan (2017a) developed a technique for identifying keywords in KF discourse using a text-mining tool — keywords are fed into KBDeX for temporal analysis to detect the emergence of keywords over time, and a Sankey diagram is used to visualise their proportions over time. In this way, the dominant ideas that reflect students’ foci of discussion over time can be identified. Coupled with other information (e.g., instructors’ actions), the possible driving forces behind the direction of discussions could be explained. Using similar analytical tools, Lee and Tan (2017b) developed the Idea Identification and Analysis (I2A) method to detect promising ideas. Advances in the analysis of collective ideas and temporality. Idea development is key in knowledge building, and different methodological advances are made. Oshima et al. (2020) proposed a methodological approach EPA that integrates social semantic network analysis (SSNA) using KBdeX and epistemic network analysis (Schaffer et al., 2009), a popular approach for analysing the temporality of online discourse. Analysis of the KF data from 39 Grade 10 students in Japan demonstrated differences in degree centralities patterns of high-performing versus low-performing groups and how the EPA analyses could reveal different epistemic actions among different groups. Using the EPA technique, Tan et al. (2021a, b) examined knowledge-building work among a group of in-service teachers and found a non-linear development of students’ shared epistemic agency across sessions that could be attributed to the nature of learning tasks of these sessions. Intriguingly, elements of regulative discourse seemed to mediate students’ development of shared epistemic agency. Other analyses, including lag sequence analysis (LSA), revealed a transition pattern of shared epistemic agency actions for higher-performing groups.

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Visualising idea development in relation to the official curriculum. While knowledge-building pedagogy encourages students’ epistemic agency and studentdirected inquiry, official curricula are highly important in many countries, particularly in the Asian classrooms. Teachers face many tensions when adopting innovations, completing the official curricula, and preparing students for examinations while simultaneously developing their agency in their inquiries. Teo et al. (2021b) developed the Curriculum-ideas Analytics (CiA) tool to address this challenge in a study with Singapore students engaging in scientific inquiry guided by knowledgebuilding principles and supported by KF. A unique element of the CiA tool is the feature of matching students’ use of keywords in their KF discussion with the concepts in the official science curriculum. Such analysis supported by CiA can help teachers and students visualise which of students’ use of vocabulary (keywords) in their discussion map with those in the official science curriculum and which concepts in the curriculum have been overlooked that need further work. This kind of mapping between open inquiry and official curriculum, enabled by tools such as CiA, would be important in particular in Asian classrooms. Using such analytics tools could spark further idea generation and improvement, bridging students’ inquiry-based knowledge building with core concepts in the official curriculum guidelines.

Cultural and Contextual Influences: Barriers, Constraints and Opportunities While the Asia-Pacific research themes from the literature showed many positive effects and evidence, it is also important to consider the constraints and barriers to knowledge building in Asian classrooms. Many of these classrooms and educational systems share common characteristics of high-stake examinations, heavy curricula, and competition at different levels of schooling. Implementing educational and pedagogical innovation, such as knowledge building, faces many constraints, as teachers and schools are concerned with curriculum coverage and examination demands. How does knowledge building in Asian classrooms illuminate classroom innovation in different cultural contexts, and how can the constraints be overcome and turned into opportunities? We discuss cultural and contextual challenges and possibilities and consider how research in knowledge building in Asian classrooms enriches our understanding of learning, teaching and educational innovation. Watkins and Biggs (1996) coined the term “the paradox of the Chinese learner” to depict the puzzling phenomenon of how Chinese learners, often perceived as rote learners, studying in cramped environments, excel in international tests. These researchers argue for the importance of moving beyond Western interpretations and examining learning situated in cultural contexts. Similarly, Marton (1996) addressed the paradox of the Chinese learners identifying the intertwined memorisation-understanding strategy. While memorization and understanding are often perceived as opposite, Marton argued that Chinese learners develop their deep learning approach integrating diverse strategies (e.g., using understanding to support

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memorization) in tackling the examination demands and appropriating their learning to the educational context. Building on these arguments, Chan (2008, 2009) discussed “transcending the dichotomy” and “transformative pedagogy” when examining knowledge building classroom innovations in Asian classrooms. For transcending dichotomies, central to knowledge building is the notion of shared epistemic agency—In the Asian classrooms, there is some evidence of students taking ownership to develop approaches integrating open inquiry with contextual demands. As an example, Chan (2009) discussed how a group of Grade 12 geography students explained how they wrote ‘rise-above’ and e-portfolio notes integrating the fragmentary information in the KF database into better, more coherent ‘theories’ for idea improvement, and making the discussion more useful to classmates preparing for public examinations. In their way, students took collective agency and developed their approach of synthesizing different ideas from peers, appropriating to their contextual demands, and advancing knowledge for their class community. As another example, Chan (2009) discussed how a Chinese language teacher negotiated the meaning of the knowledge-building approach remarking that the principle of ‘community knowledge’ struck a familiar chord, as ancient Chinese writings emphasise the collective. Interview excerpts with students indicate how they integrated cognitive and social aspects of peer relationships. One student noted, “we can be harmonious with our classmates though holding different viewpoints through KF discussion.” When providing an open, inquiry-based knowledge-building culture, Asian teachers and students can develop their cultural-based approaches and strategies, creating new meanings and knowledge for their community. For transformative pedagogy, a major tenet of knowledge-building pedagogy is the emphasis on principles rather than procedures, which provides advantages and possibilities for transformation. Specifically, knowledge-building teachers are encouraged to appropriate the designs by using key principles, not following pre-designed classroom activities. Across different classrooms, some patterns emerged distinctive to the Asian context as transformative pedagogy — First, Asian students have less experience expressing their ideas than Western students. While it is typical for Western classrooms to start with KF, many Asian teachers start with students sharing in front of the class, some even using textbook materials at the start. Other examples include different supports (e.g., think-cards, Bielaczyc and Ow 2014) and teachers developing their ways of building a collective classroom culture. Second, faced with a heavy curriculum, teachers commonly use curriculum mapping integrating different key ideas across chapters; KF provides the space for flexible organisation (e.g., Teo et al., 2021a). Third, Asian classrooms typically have much larger class sizes, and teachers use multiple and opportunistic groups to harness the diversity of ideas. Fourth, for assessment, open collective inquiry is integrated with examination demands (Chan, 2009), and students create e-portfolio to synthesise collective learning in support of personal learning (Chan, 2009; Lee et al. 2006). Current development in learning analytics helps Singapore teachers identify if what students discuss on KF aligns with the official curriculum expectations (Teo et al., 2021b). While the classroom activities may differ in Asian and Western classrooms,

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at a deep level, principle-based practice is highlighted, and the different manifestations support rich knowledge-building designs in different cultural contexts. A central theme in learning sciences is how learning is situated in context (Sawyer, 2022), and this aligns with the paradox of the Chinese learner (Watkins & Biggs, 2001) highlighting cultural and contextual influences on teaching and learning. Investigating knowledge building in Asian classrooms provides opportunities to examine what learning and innovation are about. In different ways, Asian learners and teachers are taking up agency, integrating seemingly dichotomous/ opposing approaches, transforming pedagogy and creating new meanings for knowledge building, given the constraints of the contextual demands and requirements of the systems. In considering Western and Asian approaches, it is helpful not just to copy the form or dichotomise; there can be a higher-level space for creative work and emerging new approaches. This is similar to the notion of a third space for not grafting western ideas on Chinese soil when implementing teacher development in China (Tsui & Wong, 2009). Transcending dichotomies and transformation also aligns well with the knowledge-building ideas of principle-based pedagogy and riseabove to deepen our inquiry into educational innovations in different cultural contexts.

Discussion: Key Themes, Contextual Influences and Research Direction In bringing together theory, research and practice, we summarize the key ideas of the knowledge-building model and explain why this is an important educational approach for future education. We also consider how research into knowledgebuilding in Asian-Pacific classrooms illuminates cultural-contextual processes and opportunities, and discuss research directions of knowledge building for educational and pedagogical innovation. This chapter has explained the pervasive need to address new education goals in the complex, uncertain, and ever-changing globalised post-COVID world. Knowledge building research highlights an education agenda developing students’ knowledge creation and innovation capacities for future education and societal progress in the knowledge era. Knowledge building and creation are not just for the elites; even from a young age, students from all backgrounds could see themselves as capable of innovating and generating new ideas and taking up agency to contribute and advance the knowledge frontiers of their class community. Knowledge building engages school-aged students directly in creative knowledge work through pedagogical design and technological support — students create and pursue idea improvement through taking up collective responsibility in the knowledge-building community. This approach offers alternatives to the commonly accepted approach of teaching generic twenty-first century skills for application; other alternatives to twenty-firstcentury competencies have also been advocated focusing on human power and agency (▶ Chap. 71, “Recontextualizing and Translating Twenty-First-Century Competencies into Curriculum”).

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There are now a wide array of new pedagogical approaches and activities in schools, and knowledge building advocates a principle-based approach connected to valued educational goals. Technology develops rapidly, and knowledge building emphasises integrating theory, pedagogy, and technology to harness student agency rather than just adding new tools. Knowledge building sees assessment as embedded in students’ evaluation of their idea development; individual and collective assessments are both prized for community advancement. Classroom innovation and new approaches are often viewed as suitable only for capable students; knowledge building, using community dynamics and social support, demonstrates the importance and possibilities of accessibility to all. Teachers’ professional development emphasises teachers as knowledge-builders, advancing their pedagogical practices for the teacher community (not just learning new teaching skills). In the global knowledge community, Asia-Pacific researchers and international peers collaborate with teachers, principals, engineers, and stakeholders to build knowledge about innovation and tackle constraints and challenges for continued improvements. Researchers in the Asia-Pacific have made substantial research progress in knowledge building, generating a body of research evidence in four key areas: (a) fostering and designing knowledge building environments, (b) examining effects and impact of knowledge building, (c) teacher learning, professional development and systemic change, and (d) technological and methodological advances. Research inquiry in these areas also illustrates how the socio-cognitive, cultural-contextual characteristics of Asian classrooms enrich the research and practice of knowledgebuilding, learning, and innovation. In designing knowledge building, researchers have capitalised on Asian classrooms’ emphasis on assessment—including reflective student-directed assessment using portfolios and learning analytics—to help students assess their knowledge building. Both individual and collective achievements are important for the class community, which may address the competitiveness issues in Asian classrooms. Compared to Western research, Asian studies have paid closer attention to knowledge building’s impacts and academic outcomes, which is needed to sustain classroom implementation given the examination requirements in Asian classrooms. These studies have therefore provided rich evidence of knowledge-building’s impacts benefitting the global research community. Teacher learning and school change involve conceptualising teachers as knowledge builders, and the systemic, multi-level, and macro
/meso
/micro-level aspects of Asian educational systems are examined. The contextual demands of curriculum and examination in Asian classrooms have inspired methodological advances such as developing the “curriculum analysis tools” for mapping students’ Knowledge Forum discussions against the official curriculum guide, which would be of benefit to international researchers. Despite cultural and contextual constraints of examination, research on knowledge building in the Asia classrooms has illuminated how the contexts provide new opportunities for conceptualising learning and designing educational innovation. Asian teachers and students can move beyond dichotomies and ‘rise above,’ making new meanings of learning and knowledge building. While good teaching and learning can be common across cultures at a deep level, they can have different

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manifestations influenced by social, cultural, and contextual factors. Research on knowledge building in the Asia-Pacific advocates and illustrates how it is possible to help students develop collective agency to advance their own and collective knowledge and align innovations with classroom conditions and socio-cultural and system contexts. Examining knowledge building in Asian classrooms also helps illuminate the importance of investigating how innovations occur in different cultural contexts. For research directions for knowledge building, with increasing attention given to education for knowledge creation, there needs to be more research enriching the conceptual and analytical frameworks. Research into knowledge building in the Asia-Pacific context with diverse processes and trajectories may inspire new theoretical development. Pedagogically, continued exploration of how the 12 principles (Scardamalia, 2002) support knowledge building in different cultural and learning contexts is needed. Additionally, how Asian teachers can embrace the more emergent principle-based approach against curriculum guidelines and institutional constraints requires more investigation. Knowledge-building research has focused on collective idea development; further studies should be broadened to include socioemotional-affective aspects as well as equity and identity issues. A major area of future inquiry concerns learning analytics, incorporating approaches such as AI technology and integrating with pedagogy and student agency. The continued exploration of how knowledge-building analytics can address open inquiry while meeting official curriculum requirements emphasised in Asian educational systems would be fruitful directions.

Conclusion The growing need for innovation and knowledge creation driven by globalisation, knowledge explosion, and technology revolution requires new educational models and approaches. The knowledge building model emphasising developing students’ capacity for sustained idea improvement and collective responsibility provides possibilities and raises new questions for enriching our epistemology and discourse for educational innovation. For more than three decades, knowledge building has continually expanded in research and school implementation globally and in the Asia-Pacific. This chapter introduces knowledge building theory, pedagogy, and technology and synthesizes major research evidence in the Asia-Pacific including (a) fostering and designing knowledge building environments, (b) impacts and effects of knowledge building, (c) teacher learning and professional development and systemic change, and (d) developing new technologies and methods. Some implications for educating students for knowledge building/creation include helping students engage in knowledge production generating new ideas/practice rather than merely receiving knowledge; pursuing and deepening inquiry not just completing assigned tasks; dealing with ambiguity and complexity not premature closure; moving beyond polarised views to dialogic inquiry and rise-above; working on explanatory coherence rather than using ad-hoc fragmentary evidence; and expanding fixed-group learning to interacting groups and communities and boundary crossing.

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Innovation is not elitist, and it needs to be accessible to all, and developing knowledgebuilding is a pervasive cultural change. Research in the Asia-Pacific has made major advances and enriched the knowledge-building model by considering culturalcontextual constraints and opportunities. Researchers in the Asia-Pacific, working with their counterparts in the international knowledge-building community will continue to build knowledge about knowledge building for advancing educational and pedagogical innovation.

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Linguistic, Cognitive, Social, and Educational Perspectives on English Academic Literacy Development in the Asia-Pacific

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Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theoretical Perspectives on English Academic Literacy Development . . . . . . . . . . . . . . . . . . . . . . . Genre-Based Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cognitive and Metacognitive Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sociocultural and Sociopolitical Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Social Constructivist Theories and Pedagogical Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methods and Procedures for Selection of Relevant Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Major Themes from Different Theoretical Perspectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Emerging Integrated Genre-Based Theories and Approaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cognitive Theories and Metacognitive Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sociocultural-Political Theories and Social Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Social-Constructivist Theories and Collaborative Assessment Approach . . . . . . . . . . . . . . . . . Discussion: Implications and Future Directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Theoretical Implications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Methodological Implications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Educational Implications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Abstract

English academic literacy development has become an increasingly important subject of inquiry in globalized and internationalized universities in Asian-Pacific areas. Research into English academic literacy is multifaceted, cutting across the cognitive, social, textual, and discourse practices intertwined with the various activities involved in lexical knowledge processing, interdisciplinary learning, K. Zhao (*) Shanghai University of Finance and Economics, Shanghai, China e-mail: [email protected] X. Bai Tsinghua University, Beijing, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2023 W. O. Lee et al. (eds.), International Handbook on Education Development in the Asia-Pacific, https://doi.org/10.1007/978-981-19-6887-7_138

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and knowledge building. This diverse and broad scope entails a further critical inquiry into the different facets of academic literacy development processes from linguistic, social, cognitive, and educational perspectives. This chapter discusses major theoretical traditions and analyses four lines of inquiry in the current literature to highlight the major progress in the field and to identify the gaps in promoting the intertwined linguistic, social, and cognitive processes of English literacy development in classroom settings. Key pedagogical and methodological questions emerging from this analysis can prompt insightful discussions on bridging the hiatus between theory and practice, specifically academic literacy in classroom teaching through information technology. This systematic literature review further identifies the prominent role of learning theories (e.g., sociocognitive theories, knowledge building, etc.) in designing, implementing, and developing English academic literacy in Asian-Pacific areas. We discuss theoretical, methodological, and educational implications and consider future directions for integrating research and educational practices to help develop the multiple dimensions of English academic literacy in classroom contexts. Keywords

English academic literacy · Learning theories · Design-based research · Assessment · Technology

Introduction Many governments in the Asian-Pacific countries, particularly those where English is not an official language, have implemented state-wide “English as a Medium of Instruction” (EMI) provision policies for selected courses or curricula in higher education. EMI is thought to cultivate highly calibrated international talents with proficient English communication competence, problem-solving capacities, and knowledge-creation abilities (Li, 2019). English academic literacy development has thus received growing attention in globalized universities in Asian-Pacific areas under internationalization and the construction of world-class universities. Driven by a strong desire to successfully study, work, and publish in international academic contexts, higher education students in this area require the promotion of English academic literacy to meet their needs in terms of academic communication and knowledge construction. Therefore, an increasing body of theoretical explorations, empirical research, and well-designed practices for teaching and developing English academic literacy has come to the fore. Examples are the English for Academic Purposes (EAP) orientation and English across the Curriculum (Wingate, 2018) in language education reforms in higher education, with the improvement of English academic literacy being the core objective. Informed by the current developments in applied linguistics and learning theories, English academic literacy in higher education is conceptualized as transcending the traditional view of reading and writing as component skills required for academic

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studies—an umbrella term referring to “the range of abilities that students have to acquire when starting out in a new academic discipline” (Wingate, 2018, p. 349). More recently, scholars in EFL settings have defined the term, using social, cultural, and socio-cognitive perspectives, as “learners’ competence to understand and use a variety of discourse features to engage in meaningful and purposeful yet disciplinevaried communication” (Chen & Li, 2021, p. 2) or higher-order learning/thinking and knowledge construction in the process of academic socialization in the pursuit of deep collaborative contextual meaning (Lea & Street, 1998). It has become a multifaceted subject of inquiry, cutting across cognitive, social, textual, and discourse practices (Zhao, Wang & Cai, 2013). This chapter aims to provide a broad overview of English academic literacy development in the Asia-Pacific, highlighting key theoretical and research landmarks along the identified strands, including applied linguistic, cognitive, social, and educational aspects. The chapter also focuses on the empirical studies reflecting the specificity of education practices that facilitate English academic literacy development. Additionally, it discusses the challenges posed by English academic literacy development research in ESL/EFL contexts in this region and proposes future directions to further the lines of inquiry.

Theoretical Perspectives on English Academic Literacy Development The conceptualization of academic literacy has undergone significant changes in recent years due to the rapid development in information communication technology and theoretical advances in genre theories, new literacy studies, cognitive science, and learning theories, in addition to a pressing need for the convergence of EAP theories and practices within higher education. In Asian-Pacific ESL or EFL contexts, the following four key theoretical strands underpinning academic literacy development have been identified: genre-based perspectives, cognitive and metacognitive perspectives, sociocultural and sociopolitical perspectives (Lea & Street, 1998), and socio-constructivist theories and pedagogical perspectives (Zhao & Chan, 2014). These four theoretical strands underpin research and empirical studies in English academic literacy and tend to converge in response to the changing needs of English academic communication, thinking, and collaborative knowledge building in disciplinary communities.

Genre-Based Perspectives The genre theories from Halliday et al.’s (1964) seminal work in register analysis are widely used to research and develop student academic literacy. Two main schools in the genre field – English for Specific Purposes (ESP) and the Australian Systemic Functional Linguistics (SFL) – have been developed in higher education in the AsiaPacific region in particular (Wingate, 2018). The ESP genre approach defines genre

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as a specific type of communicative event with a specific communicative purpose recognized by a specific discourse community. Its research foci have shifted from lexical-grammatical features to rhetorical moves and then to rhetorical contexts. In contrast, the SFL school focuses on texts and the relationship between texts and contexts by identifying and mapping families of academic genres within different discipline domains. The primary focus of the SFL approach is text structure and linguistic choice in relation to the social context and “effective” ways of constructing meaning in academic writing. At the core of both genre approaches is the notion of “the text in context,” which entails the prevailing adoption of textual analysis and explicit teaching to enhance students’ understanding of both academic conventions in general and the specific discourse community literacy practices.

Cognitive and Metacognitive Perspectives Another important theoretical perspective develops from and carries forward the cognitive traditions of literacy development (Bereiter & Scardamalia, 1987). This tradition considers cognitive and metacognitive processes of academic writing in a “write to learn” paradigm as a complement to the prescriptive genre pedagogies that may suppress students’ creativity and agency to learn and express. This perspective, therefore, places more emphasis on self-discovery learning, metacognitive processes (Flavell, 1979), and self-regulatory strategies (Teng et al., 2022), such as planning, drafting, revising, proofreading, monitoring, and evaluating, in parallel to students’ genre awareness and genre knowledge of academic literacy. Residing at the heart of metacognitive orientation lies the interaction between metacognition, selfregulation, and academic writing, where student writers rely on their knowledge, skills, and experiences to plan, monitor, and regulate their academic writing process (Teng, Wang, & Zhang, 2022). This convergence of genre approaches and cognitive and metacognitive process perspectives has been conceived as a foundation for academic writing pedagogy in the Asian-Pacific.

Sociocultural and Sociopolitical Perspectives An alternative theoretical approach considers how social, cultural, and sociopolitical forces situate, inform, and influence academic literacies. This perspective tends to focus on the academic socialization of students’ acculturating either to local disciplinary practices or literacy practices from an epistemological stance and through a sociopolitical lens, focusing on meaning-making, identity, power, authority, and the institutional nature of what counts as knowledge (Wingate, 2012). The academic literacies perspective, informed by the New Literacy Studies, contends that literacy is not a unitary concept of reading and writing skills but rather one of cultural and social practices and is thus context-dependent. In particular, more recent work on academic literacies as social practices conceptualizes academic reading and writing not only as diverse and situated in specific disciplinary contexts but also as

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ideologically shaped, reflecting institutional structures and relations of power. Thus, linguistic features and textual patterning are no longer the primary analytical focus. Rather, participants’ social practices, including students/writers and practitioners, have become the focus of investigation.

Social Constructivist Theories and Pedagogical Perspectives Informed by social constructivist learning theories and socio-cognitive traditions, another research strand conceptualizes academic literacy as the process of meaning negotiation, knowledge construction or knowledge building through collaborative dialogue or collaborative argumentation (Jin et al., 2020) in social, historical, and material contexts through shaping and constraining discourse and rhetorical conventions. Collaborative dialogues can engage students in problem-solving and knowledge building when they learn ways of thinking about, interacting with, and constructing knowledge of disciplinary communities and content through target literacy practices. Likewise, collaborative argumentation can raise students’ awareness of other perspectives and encourage them to evaluate and justify different ideas before synthesizing and creating new ones (Lu et al., 2011), which fosters knowledge elaboration, knowledge construction, and knowledge creation through the use of English. Collaboration further boosts academic literacy development by providing EFL students with a space for meaningful, productive, and communicative tasks. While the four perspectives mentioned above all broadly conceptualize the development of academic literacy (incorporating reading, thinking, and writing) as a dynamic socially situated learning process, it remains a major research concern as to what extent the current theories on academic literacy can inform the teaching and learning practices in higher education, particularly in the Asia-Pacific. Although some research argues that the ESP genre-based approach, process approaches, or context-based instructional practices are potentially supportive tools in discipline-specific settings, theoretically informed empirical studies and classroom research need to be conducted to evaluate their effectiveness in student academic literacy development and to investigate further how this development occurs in the dynamic interplay within the institutional and social-cultural contexts.

Methods and Procedures for Selection of Relevant Publications This study conducted a systematic literature review to construct a dataset of relevant research articles on English academic literacy development in the Asia-Pacific. It applied selection criteria and procedures to identify publications for inclusion, starting with a broad search for articles in two major scholarly datasets, Scopus and SSCI, using such keywords as “English academic literacy,” “academic writing development,” and “higher education” to narrow the scope of the search. The publications were limited to the 2001–2022 period and included forthcoming articles available online due to the focus on recent publications and in line with the recent

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rapid rise in the field of English academic writing. The limited scope of international refereed publications in English indexed in the two publicly accessible systems of Scopus and SSCI is hereby acknowledged. There may be issues with the hegemony of English and limited coverage, and consideration was given to including non-English articles, but this would have limited the transparency and accessibility of the data set for a general international audience (Chen & Flowerdew, 2018). The search generated a list of 226 articles and book chapters on English academic literacy/literacies in the Asia-Pacific. A quick screening identified the keywords of “genre pedagogy,” “social-cultural,” “metacognitive,” “self-regulatory,” and “technology” associated with academic literacy development. An additional search in the same publicly accessible datasets was conducted to identify a further 82 relevant research articles. Therefore, the dataset was constructed with 308 research articles, from which the relevant papers reporting on English academic writing development in the Asia-Pacific countries and regions were included. An analysis of the titles and abstracts identified 92 highly relevant articles for subsequent analysis, largely published in key journals such as English for Academic Purposes, Journal of Second Language Writing, System, Assessing Writing, and Language Learning and Technology. This study adopted a top-down and bottom-up approach using both major theoretical orientations in the field and analyzing and categorizing the selected articles into emerging categories. Multiple readings enabled these categories to be subsumed into four broad themes, generally corresponding to the prevailing theoretical perspectives on English academic literacy. In the following section, we discuss major emerging themes in the literature premised on the theoretical perspectives, including English academic literacy focusing on emerging integrated genrebased approaches, cognitive theories and metacognitive processes, sociocultural theories and social practices, and social-constructivist theories and collaborative assessment approaches.

Major Themes from Different Theoretical Perspectives Emerging Integrated Genre-Based Theories and Approaches The analysis of the selected articles revealed the following three sub-themes in genre-based theories and their application in higher education to enhance English academic literacy development in the Asia-Pacific. Integration of genre approaches and process genre The review of the current research demonstrated that genre theory provides a popular and workable framework for designing pedagogy to enhance EFL/ESL students’ academic genre awareness and knowledge and academic writing competence. Drawing on genre theory, genrebased pedagogy typically adopts explicit instruction to provide students with concrete knowledge about structural moves, linguistic forms, rhetoric awareness, and accessible contexts. For example, Zhang and Zhang (2021) reported positive

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outcomes from an intervention study, where the experimental group showed more significant gains in their knowledge of the structure of discourse moves, the language features specific to the argumentative genre, and the content, process, intended purposes, and audience awareness of producing more genre-appropriate texts in argumentation. In addition, the genre-based approach positively affected the experimental group’s argumentative writing development, as evidenced by their use of discourse move structures and the overall improvement in their writing quality. Moreover, there is an observed integration of genre-based and process-genre approaches in pedagogical design. For example, Hyland (2003) proposes a synthesis approach to teaching writing integrating process, purpose, formal and rhetorical text knowledge, and context perspectives to “ensure that learners have an adequate understanding of the processes of text creation; the purposes of writing and how to express these in effective ways through formal and rhetorical text choices; and the contexts within which texts are composed and read which gives them the meaning” (pp. 23–24). Similar to Hyland’s synthesis approach (2003), an increasing number of scholars advocate for an eclectic approach termed the process-genre approach (Deng et al., 2014; Huang & Zhang, 2020). This approach particularly focuses on developing both student writers’ knowledge of linguistic features, rhetorical structures and their writing skills so as to empower them to create texts that realize particular communicative purposes in the academic genre. Corpus-driven genre-based approaches Corpus-based approaches may inform and facilitate the teaching and learning of academic writing in different ways, which have gained increasing attention from EAP and ESP researchers and practitioners over the past three decades. Three foci can be identified in the related literature: corpus-based analysis of academic discourse, corpus-based academic language resources, and corpus-driven teaching and learning practices. Following the Swalesian tradition of genre analysis, a significant proportion of the research has been devoted to the corpus-based analysis of features and patterns in academic discourse, particularly research articles. Many of these studies have been motivated by practical needs and have significant implications for the academic writing classroom. Lin and Evans (2012), for instance, analyzed the generic structures of 433 empirical research articles from 39 disciplines, ultimately advising ESP practitioners to value structural patterns that do not conform to the conventional MraD (Introduction, Methods, Results, and Discussion) framework and to encourage students’ reflection on the disciplinary variations in academic writing practices. There are more recent investigations exploring such patterns and disciplinary variations (Gong & Barlow, 2022; Lu et al., 2021), special linguistic features (Jiang & Hyland, 2022), and linguistic features in the academic writing of writers with different language or disciplinary backgrounds (Lan et al., 2022; Parkinson et al., 2023; Yasuda, 2022).

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Corpus-based academic language resources range from single- and multiword lists to text collections. Building on an improved understanding of how vocabulary can be learned in another language (e.g., Nation, 2013), academic word lists are compiled, mainly using corpus-based approaches to identify academic words according to predefined principles (Coxhead, 2020). Among such lists, the Academic Word List (AWL) has been widely used and has contributed to more recent research in academic vocabularies, such as the development of the Academic Vocabulary List (AVL) (Coxhead, 2000; Gardner & Davies, 2014). These lexical resources are effectively exploited through web-based or stand-alone vocabulary profiling to accommodate and encourage different pedagogical needs in incidental and intentional vocabulary learning tools. Anthony (2016) provided a particularly insightful discussion of the commonly used corpora and corpus tools in the technical writing classroom, in which he examines the strengths and weaknesses of the datadriven approach, the applications, and how to measure the success of data-driven learning (DDL). Compared with the other two foci, corpus-driven teaching and learning practice has received less documentation. This is partly due to the difficulty and lack of agreement in defining and validating writing development (Pessoa et al., 2014). The combination of corpora and traditional approaches, however, is greatly needed in the real-world academic writing classroom (Chen & Flowerdew, 2018), and this is particularly true when fast-growing language technology is developing more mature corpora, corpus tools, and other corpus-based language resources. Chen and Flowerdew (2018) conducted a detailed review of 37 empirical studies on the DDL of academic writing, of which 12 were conducted in Asia. Of these 12, seven focused on error correction by learners, three used corpora to inform the writing of subsections in research articles, one explored the perceived benefits of corpus tools by learners, and one examined the effectiveness of corpus-based teaching of academic vocabulary. These studies showed promising results concerning the positive impact of corpus-driven learning. Multidimensional evaluation of genre-based approaches Chen and Flowerdew’s (2018) review also revealed that an increasing number of studies tend to evaluate the effectiveness of genre-based approaches, either traditional or emerging integrated, on student writers’ genre awareness, understanding, or knowledge in addition to merely their writing competence (Nagao, 2019). For example, Nagao (2019) used a genre-based approach within the SFL framework to assess the development of English learners’ understanding of the discussion genre. Participants in this study were 52 Korean undergraduates divided into three groups based on their English proficiency level. Surveys were administered at the beginning and end of the semester to assess the students’ ability to choose the appropriate lexico-grammatical features. Analyses of their pre- and postsemester writing tasks indicated that learners’ understanding of the discussion genre structure improved after adopting the genre-based approach/SFL framework regardless of their English proficiency. Concerns regarding the study’s validity could plausibly be raised, given its heavy reliance on questionnaires or the pre- and postdesign with no comparison groups.

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More recent studies (Zhang & Zhang, 2021) have utilized quasi-experimental designs to provide more robust evidence on the effectiveness of process genres embedded in genre-based pedagogy on student genre knowledge and writing performance in Chinese tertiary classrooms. They offset the limitation presented by the absence of a control group in intervention studies and used a more comprehensive measurement of students’ writing performance. However, these studies are limited in number and a deeper, more discursive understanding of how changes in writing performance are needed, particularly concerning how English academic literacy development takes place in Asian-Pacific teaching and learning contexts.

Cognitive Theories and Metacognitive Processes The cognitive tradition has attracted much research attention, and many recent studies in our dataset focus on the metacognitive processes of student academic literacy development (e.g., Apridayani et al., 2021; Bailey, 2019), including metacognitive strategies, metacognitive awareness, metacognitive experiences, and investigation of the implementation of corresponding metacognitive/self-regulatory strategy-based approaches with (Lee & Mak, 2018; Yeh, 2015) and without technology (Proske et al., 2012). A growing number of survey studies, drawing on a general framework of metacognitive processes or language learning strategy models, have developed English academic writing strategy instruments for Asian-Pacific areas. Kao and Reynold (2017) validated Oxford’s learning strategy taxonomy (1990) among EFL writing contexts among Taiwanese college students and uncovered that cognitive, social, and compensation strategies are used most, and affective strategies are used least. Bailey (2019) further investigated EFL students’ L2 writing strategies in South Korean universities, particularly in relation to the deductive reasoning of strategies pertaining to planning, problem-solving, and corrective feedback. The survey results indicated that problem-solving strategies were the most popular, followed by planning strategies, while corrective feedback strategies were reported the least. Further analysis found that moderate levels of L2 writing anxiety positively influence strategy use. In the same vein, Teng and Zhang (2016) designed and validated another self-regulated writing strategies questionnaire specifically in the Chinese EFL context with a sample of 790 university students. Their study identified nine strategies: goal-oriented monitoring and evaluating, idea planning, peer learning, feedback handling, course memory, interest enhancement, emotional control, text processing, and motivational self-talk under four broad themes: cognitive, meta-cognitive, social-behavioral, and motivational regulation. Zhang and Qin’s study (2018) further validated the questionnaires on metacognitive writing strategies and metacognitive awareness in multimedia learning environments in the same social-cultural context. Another research strand relates to intervention studies on metacognitive strategybased approaches to student English academic writing performance. For example, Yeh (2015) investigated the role of an online writing system based on metacognition, involving the stages of writing – planning, monitoring, evaluating, and revising, in

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students’ understanding and application of genre knowledge in academic writing. Drawing on data from multiple sources, including action logs, discussion transcripts in the forums, and an open-ended questionnaire, the results revealed that the designed system had a positive effect on academic writing performance by raising students’ metacognitive awareness and nurturing their metacognitive processes. Despite the absence of control groups in the design, the study still offers useful practical implications for instructional design to foster metacognitive processes and academic literacy. Primarily research in this tradition focuses on changes in individual students’ metacognitive and cognitive processes in developing academic literacy, whereas more recent work involves collaborative aspects of academic literacy.

Sociocultural-Political Theories and Social Practices Understanding English academic literacy development in the changing socialcultural and institutional contexts from social-political and social-cultural perspectives has been identified as another important research theme in higher education in the Asia-Pacific, where EMI is becoming a prominent issue along with the internationalization of higher education. The development of students’ English academic literacy has been conceptualized through ideological, epistemological, and socialcultural lenses to involve broader layers, where institutional policy and curriculum innovation (Galloway & Ruegg, 2020; Kim, 2018), power relations, and student writers’ identity, agency, and academic voice during academic socialization (Miller, & Kaufer, 2014) have come into the research spotlight. For example, Kim (2018) has explored the implementation of EMI curriculum innovation in China, Japan, and Korea to identify the challenges perceived and support required for EFL students’ academic literacy development against the backdrop of internationalization. Galloway (2020), for example, highlighted a well-felt need for collaboration in internationalized universities between language specialists and content instructors, which could provide solid support to students in Asian EFL contexts, as further supported by research findings in Hong Kong. Such research closely echoes the earlier proposal (Purser, 2011; Wingate, 2012) of curriculum-integrated academic literacy instruction based on the collaboration between EAP specialists and subject lecturers in Australian contexts but also sheds light on the indigenous challenges and expected support for student academic literacy development. Several empirical studies (e.g., Li et al., 2019) have investigated the actual implementation of language-content interdisciplinary collaboration, i.e., collaboration between language professionals and content specialists, identifying challenges and constraints, including institutional incentives, the deep-rooted departmentalization of disciplines, and increased resources. Another related theme of English academic literacies as social practices is an emerging sociopolitical orientation toward investigating students’ social identity, agency, and power relations. Internationalization creates culturally heterogeneous and more complex social network relationships in teacher-student and studentstudent interactions and a different educational ecology that inevitably influences

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academic literacy development and thus deserves increased attention. Cheng (2013), for example, premised on the theories of “community of practice” and “individual agency,” reported a qualitative case study on social and political interactions as well as collaboration between a nonnative participant and her native peers in completing group academic writing projects across two semesters. The analysis reveals the existence of power inequality, with the native peers initially assuming more powerful roles while the nonnative participant was placed on the periphery. However, the nonnative student gained disciplinary knowledge and developed coping strategies in the power-infused sociopolitical contexts, eventually resulting in a superior group writing experience. Primarily, research in this tradition focuses on examining the development of academic literacies influenced by social-political contexts and is less concerned with classroom intervention.

Social-Constructivist Theories and Collaborative Assessment Approach Our analysis has also identified a growing body of empirical research premised on social constructivist learning theories, which conceptualize academic literacy as the process of knowledge (co-)construction and knowledge building (Zhao & Chan, 2014), collaborative dialogue, and collaborative argumentation. Two salient research sub-themes emerged from the analysis – technology-enhanced collaborative writing as knowledge co-construction and assessment as peer collaboration for knowledge co-construction. Technology-enhanced collaborative writing as knowledge co-construction The use of technology in academic literacy development has aroused growing research enthusiasm. Despite significant progress in the research, concerns remain regarding how to enhance student collaborative processes (e.g., collaborative argumentation, collaborative knowledge building) and academic literacy. Previous studies have invoked the transformative role of technology in scaffolding metacognitive awareness and metacognitive strategies, yet most studies are from an individual discovery learning or self-regulatory perspective. A small number of studies have explored the relationships between online participation/discussion and writing practices, using online tutorial systems (Hsu & Liu, 2019) – e.g., Google Docs, Web 2.0 tools (e.g., wikis, blogs) – to foster academic literacy skills (Ardiasih et al., 2019; Zhao & Lei, 2017), and designing an online learning environment to promote critical thinking and scholarly communication (Jin, Su & Lei, 2020). However, there is a dearth of research examining the intertwined aspects of collaborative, social cognitive, and linguistic processes embedded in technology-enhanced learning environments. Aligned with the changes in learning theories from individual to collective understanding, recent studies in the Asia-Pacific draw on social-constructivist and socio-cognitive theories of collaborative argumentation (Guo et al., 2022; Su et al., 2021) and knowledge building (Zhao & Lei, 2017; Zhao & Chan, 2014). These

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studies have advanced our current understanding of how student academic literacy develops in group and community learning leveraged by the theory-informed use of technology, such as chatbots (Guo et al., 2022), wikis, and Knowledge Forum, an online collaborative learning environment (Zhao & Chan, 2014). Our review also reveals a clear progressive inquiry line into microlevel classroom discourses to unravel the intertwined linguistic, socio-cognitive, and knowledge co-construction processes. Ardiasih et al. (2019), for instance, focused on implementing the online collaborative writing technique (OCWT) through wikibased activities to enhance students’ argumentative essay writing in Indonesia. This study adopted a process approach utilizing both tests and observation data. While the data analysis demonstrated that integrating OCWT-using wikis into Moodle helps significantly improve students’ argumentative writing skills, it remains unclear why the student development in argumentative writing occurred and what the contributing contextual factors were. Further in-depth analysis would be needed to unravel the processes and contextual factors involved to inform future technology-enhanced instructional design for academic literacy development in practice. Su et al. (2021) examined how Chinese EFL students engaged in collaborative argumentation in a blended learning design over a semester to advance this inquiry line further. They utilized data from online discussion notes, interviews, and writing products, and students’ progress in collaborative argumentation and writing was characterized in face-to-face and online contexts analyzed from three aspects – cognitive, social, and linguistic. Cognitively, in face-to-face discussion, students’ understanding of argumentation developed and improved, as reflected in their incorporation of argument construction practices that were more diverse, requiring wording that illuminated higher-order thinking. Socially, the progression of collaborative argumentation was evident in how their argumentative interaction practices moved toward a greater collaborative tendency. Linguistically, the role of English as the second language shifted over time from impeding argumentation to facilitating it. The study also identified the contextual factors in the blended design that were likely to enhance academic writing development, including productive interaction patterns, students’ audience awareness, peer feedback, and flexible language use in different learning contexts, offering a solid foundation for future pedagogical design. Zhao et al. (2013, 2014), following the design-based research paradigm (Brown, 1992), further highlighted the alignment between design, cognition, and technology for academic literacy development. Premised on knowledge building and socialconstructivist perspectives on academic literacy and classroom learning theories, this series of studies evaluated the effect of a Computer-Supported Collaborative Inquiry Learning (CSCIL) environment on collaborative knowledge building and academic literacy development; examined the link between online participation and writing quality; investigated change trajectories and dynamics in interactions with contextual factors; and characterized socio-cognitive and collaborative processes of student academic literacy development and knowledge building mediated by technology. The participants were 102 Year 1 Business English students from four separate classes at a Chinese university and their two tutors. Two classes were provided with a designed CSCIL environment, informed by theory-guided principles, while

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the other two followed a regular project-based learning (RPjBL) approach. Each tutor taught one CSCIL class and one RPjBL class. Data from multiple data sources were obtained, including surveys, student writing, group portfolios, tests, interviews, and online interactions. Four dimensions of academic literacy were identified and rated. MANOVA analyses indicated that the CSCIL groups had significantly higher gains in conceptual understanding and argumentative development. Contrastive analyses of the online discourse of successful and less successful groups identified the interplay of social, cognitive, and technological dynamics that facilitates collaborative knowledge building and academic writing development. These studies contribute to the current research on academic literacy development in the Asia-Pacific, proposing an integrative framework from socio-cognitive, situative, and systems perspectives on fostering academic literacy and collaborative knowledge building. This line of research highlights the importance of aligning cognition, design, technology, and context when designing for learning innovation in promoting academic literacy. Assessment as collaboration for knowledge co-construction The alternative emerging research theme is related to the use of peer and group assessment and feedback and students co-constructing knowledge in academic writing. A paradigm shift has been observed from assessment of learning to assessment for learning, and even further to assessment as learning and collaboration (Dann, 2014). Against the backdrop of assessment as collaboration for knowledge co-construction, there is a growing body of research in academic writing focusing on the peer review process, student and teacher feedback (Xu et al., 2022; Yu & Liu, 2021), student engagement in feedback, and the constructive use of rubrics. A variety of approaches have been utilized in peer or group assessment activities, including teachers’ explicit instruction in student assessor training, corrective feedback, automated writing evaluation (Zhang & Hyland, 2018), and the use of rubrics. While there is increasing evidence to support the scaffolding role of peer review, feedback, or constructive rubrics on student academic writing among L2 learners, previous studies have observed its equivocal effect on academic writing development in authentic FEL classroom contexts where there is often more complexity due to interactions between social, cultural, institutional, and epistemological factors. The authors’ recent study (in progress), drawing from learning-oriented assessment (Carless, 2007) and the social-constructivist assessment process model, proposes a social-constructivist assessment loop in Chinese EFL academic writing classrooms, including co-construction of criteria, rubric-guided writing, rubric-guided peer assessment, and rubric-referenced reflection and revision, to align the design of assessment as collaborative knowledge building with authentic education contexts. At the core of the assessment loop reside genre theory-informed rubrics as a guideline for student discussion and writing. The rubrics also serve as the criteria for peer or group assessment and feedback provision and a guideline for understanding and incorporating peer and teacher feedback in revision.

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The proposed assessment loop endorsing the use of rubrics to enhance student academic writing and higher-order thinking in higher education has recently gained renewed research attention. Appropriately used, well-designed rubrics are conducive to engaging students’ understanding of writing, student autonomy, collaborative writing, and deep learning, particularly in EFL academic writing courses. The rubrics also help guarantee that student raters and learners meet teachers’ writing expectations and generate relevant and meaningful peer feedback. In addition, they can be used as reflection or revision guidelines to deepen critical reflections and meaningful revisions.

Discussion: Implications and Future Directions In this section, we discuss the theoretical, methodological, and educational implications with pedagogical and technological considerations for academic literacy development in the Asia-Pacific drawing from the four major theoretical traditions and research themes. Emerging trends, research challenges, and further research directions in designing and fostering academic literacy development are also discussed.

Theoretical Implications The review of research on English academic literacy development in the AsianPacific areas highlights four major theoretical underpinnings and empirical themes, including (1) genre-based theories and approaches, (2) cognitive tradition and metacognitive processes, (3) social-political-cultural theories and social practice, and (4) social-constructivist theories and technology-enhanced pedagogical approaches. The analysis revealed major theoretical developments and convergences of different strands that call for revisiting and re-conceptualizing academic literacy in the changing social, cultural, educational, and linguistic contexts in which it is nurtured and developed. First, there is theoretical development in the genre-based tradition showing the integration of genre-theory and process-genre approaches noted as a pedagogical initiative in developing academic literacy. Genre theory and analysis focus on text and its relationship to context, and – there is a tendency to further shift to the process approach involved in the construction of texts (Zhang & Zhang, 2021). Coupled with that tendency is the development of analyses that transcend the surface-level textual analysis of the academic genre to the situative analysis of the features, address the needs of the academic discourse community, and favor an in-depth analysis of the contexts and learning and writing processes that create texts. Second, parallel to this growing interest in the relationship between text and context are broad social-cultural and social-political perspectives concerned with academic socialization, i.e., students’ acculturation into disciplinary discourses through acquiring academic literacy practices, and academic literacies, i.e., the relationship between epistemology and acts of writing and literacy in certain

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disciplines. Though different in foci, these two models offer an alternative theoretical view on the relationship between the texts, epistemology, process, and the broader social, cultural, and institutional practices that facilitate or constrain the production of the texts. More recent research stemming from these perspectives has advanced our understanding of how EMI policy, curriculum innovation, the classroom climate (e.g., power relations, meaning negotiation), and individual characteristics (e.g., identity, agency) may affect student academic literacy development, particularly in Asian-Pacific higher education contexts. However, Lea (2004) contended that one challenge to these perspectives was their connection to pedagogy; this review of the relevant literature from the past 20 years demonstrated that the challenge remains. Further research efforts should be made to link research from this orientation to pedagogical practices in the hope of helping students develop in terms of epistemology, learning and collaboration, reflectivity, criticality, and academic literacy by participating in social-cultural and knowledge-construction practices. Third, another important theoretical development is informed by a paradigm shift from individual learning to social aspects of learning. Research in academic literacies has expanded from focusing on metacognitive processes at the individual learning level, such as metacognitive awareness and self-regulatory strategy use, to examining collaborative dialogues, such as collaborative argumentation, social cognitive process, and group knowledge co-construction processes (Zhao & Chan, 2014). Underlying these developments are learning metaphors describing learning as knowledge acquisition, knowledge participation, and knowledge creation. The third metaphor, knowledge creation, is similar to the concept of collaborative knowledge building or knowledge co-construction in that the emphasis is not merely on the situatedness of cognition or social practices but rather on the development of knowledge-building practices and artifacts through mediated activities. Therefore, academic literacy development tends to be viewed as both a process and a product of knowledge co-construction within the wider process of acculturating to a disciplinary community of discourse. These changing emphases from individual learning to collaborative knowledge building for academic literacy would also be important for addressing the changing goals of education and new demands of twenty-first century and postpandemics flexible learning. Such theoretical developments inspire instructional design and pedagogical approaches in Asian-Pacific areas. Project-based learning, technology-enhanced collaborative argumentation, and computer-supported collaborative learning designs have been innovatively used in classroom-based teaching and learning practices, providing students with opportunities to integrate linguistic and disciplinary knowledge co-construction with academic linguistic competence development. Other pedagogical approaches, such as assessment or technology-based approaches, are also utilized to promote the process and outcomes of collaborative writing. The theoretical traditions help to inform the design of pedagogical innovations in academic literacy development. Investigation into theory-based innovative pedagogical approaches also provided opportunities for illuminating the theoretical nature and processes of academic literacies conducted in authentic educational contexts for theory-design-pedagogy synergy.

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Methodological Implications This review of English academic literacy development revealed that diverse methods have been adopted, including textual analysis, discourse analysis, ethnographic studies, and quasi-experimental studies, in the service of varying research objectives concerning text, context, and design. For instance, the dominance of the textual analysis of student writing samples in genre perspectives on academic literacy development is now supplemented with data from surveys, interviews, or observation, providing information from multiple sources to understand the student text generation process as well as the factors contributing to students’ changes in writing, while also identifying challenges at different levels of social-cultural, institutional, and instructional practices. This review also revealed that a growing number of studies have begun to focus on the linkage between theory and pedagogy (Jin et al., 2020; Zhao & Chan, 2014) by evaluating the instructional effect or the effect of technology on writing outcomes. Researchers have utilized quasi-experimental research comparing the pre-, post-, and delayed effects of design (Xu et al., 2022) with corroborating evidence from mixed-method research design. These studies offer important research and pedagogical implications in validating innovative instructional design by integrating prevailing learning theories and English academic literacy development theories in specific social-cultural, educational, and linguistic contexts. Another influential methodological issue this review raises is the design-based approach (Brown, 1992) adopted by a small number of studies (Jin et al., 2020; Zhao & Chan, 2014; Zhao & Lei, 2017) that tend to address the dialectical relations between theory and design in specific contexts. Primarily, researchers design learning and assessment activities or technology-enhanced learning environments while simultaneously studying the phenomena to determine why and how students develop their academic writing, collaborative argumentation, and knowledge co-construction in complex contexts. Driven by authentic problems in student writing and learning, this method emphasizes the iterative processes of designing, implementing, and evaluating effects, examining in-depth why and how learning and development occur, and identifying crucial factors for the next design. Therefore, the designbased approach requires a wide array of methods that measure the design effects and examine microlevel classroom discourse to provide a deeper understanding of the change dynamics. Despite the value of design-based studies, some problems should be acknowledged. For example, design-based studies usually address authentic problems in learning and academic literacy development in complex classroom settings influenced by broader layers of social contexts, which require a systematic dynamic design over a longer time frame. Design-based research can be resource-demanding and often localized in classrooms, and increased attention needs to be given to social and ecological contexts and different stakeholders; for example, design-based research is now developing into design-based implementation research (Penual et al., 2011). Future work is needed to enrich academic literacy by developing a methodology to combine benefits of design-based research and studying changes in systems and networks from the perspective of complex dynamic systems theory.

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Educational Implications Pedagogical Issues This chapter reviewed the key pedagogical approaches from different traditions and showcased the wide spectrum that has been utilized, including explicit instruction, strategy-based instruction, project-based learning, collaborative inquiry, peer review, group assessment, peer feedback, corrective feedback, use of rubrics, automated writing evaluation (Zhang & Hyland, 2018), and technology-enhanced learning (Zhao & Chan, 2014). These approaches, largely supported by corresponding learning theories, have important practical potentials and implications for classroom implementation in the higher education context. Two emerging issues are how teachers may develop a better understanding of and increase their competence in adopting these pedagogical approaches, and how such pedagogical approaches can be more widely adopted and further examined. Another issue is the linkage between academic literacy, learning, and assessment, given the importance of assessment in the classroom, particularly in the Asia-Pacific. Alongside the paradigm shifts of learning theories and language education emphasizing collaborative learning and knowledge co-construction, collaborative social elements in assessment continue to be an under-explored area (Carless, 2020). This calls for more classroom-based research into theory-informed collaborative assessment models (e.g., peer and group assessment) to facilitate collaborative learning, writing, and academic literacy development. This review particularly identified the potential value of integrated approaches – specifically, genre-theory-informed rubrics – at the heart of a systematic assessment loop for peer collaboration, knowledge co-construction, and assessment literacy development (Zhao, in progress). Drawing on social-constructivist learning and assessment theories, current classroom-based studies provided a discursive understanding of utilizing student-teacher co-constructed rubrics as a core in a peer/group assessment loop in English academic writing classes against the backdrop of the complex social cultural and learning contexts in the Asia-Pacific areas. There are pedagogical implications for classroom implementation of theory-informed studies and incorporating innovative use of rubrics as well as collaborative assessment for synergistic theory-practice advance. However, more research is needed to bridge the nexus between theory and practice through translating, validating, and modifying the theory-informed assessment loop in English academic writing in authentic classrooms. Technological considerations While remarkable progress has been made in the infrastructure construction of information technology in higher education, there is insufficient evidence on the effect of educational technology on learning, collaboration, and academic literacy development in complex and real-world classroom settings. This review has introduced the theoretical strands and identified the key technological developments in the Asia-Pacific, including corpus-based technology, technology for social interaction and collaborative argumentation, knowledge

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co-construction, and knowledge building (e.g., Knowledge Forum) for academic literacy development. The analysis highlights the importance of not just focusing on the tools but pointing to the emergent need for integrating theory (in academic literacy and learning), pedagogy, technology, and context to investigate the roles of theory-informed technology in facilitating English academic literacy development in specific educational contexts. The review on corpus-based technology also raised several issues that required further attention. First, the use of concordancer and concordance activities was discussed in ten of these studies, highlighting the significance of this conventional corpus linguistics tool and encouraging reflection on the more diverse roles that the tool could play and how more innovative tools could be developed in the future. Second, Tono et al. (2014) analyzed the suitability of corpus-driven learning for different error correction tasks, reminding us how valuable the careful design of instructional activities and materials is for ensuring the effective incorporation of corpora into academic writing classrooms. Third, learners’ perception of corpusdriven learning and their training as effective corpus users were mentioned in eight studies (Chang, 2014; Flowerdew, 2015; Gilmore, 2008; Tono et al., 2014), which reinforces the necessity of developing pedagogy and technology to help students become autonomous users of corpora so they can benefit more from them while developing academic literacy. The changing landscapes in EAP in recent years have invited new attempts to address the issues faced by the EAP community by using corpus linguistics in more systematic ways and suggesting a more prominent position of corpus-driven approaches supported by technology in future academic writing classrooms. This review of social-technological tools highlights an alignment between how technology is used and the underlying design principles informed by theories emphasizing social metacognition, collaborative argumentation, and knowledge building. The effective use of computer technology in teaching and learning cannot rely solely on technological devices or media but must rather turn to the pedagogical philosophies underpinning learning theories (Chan & van Aalst, 2004; Chan & Yang, 2018; Davison, 2005). For example, the knowledge-building environment employs Knowledge Forum, but is designed in ways underpinned by principle-based pedagogy as a collaborative space for social literacy development and developing an academic discourse community. The use of technology transformed the routine classroom discourse pattern of “teacher initiates, students respond, and teacher evaluates” (Heap, 1985) to a more decentralized and freely expressive discourse in which students feel comfortable voicing their ideas and commenting on and building on those of others. Technology use will be increasingly important in the postpandemic new normal, and future studies need to consider theoretical principles and pedagogy when incorporating tools and technology and harnessing roles of collaborative assessment to enrich the affordance and input for collective student academic literacy development and disciplinary knowledge inquiry.

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Conclusion This chapter has provided a systematic review of the research on English academic literacy development in the Asia-Pacific, identifying four major theoretical traditions encompassing multifaceted linguistic, cognitive, social, and educational perspectives, including genre-based theories and approaches, cognitive perspective and metacognitive processes, social-political-cultural theories and social practice, and social-constructivist theories and technology-enhanced pedagogical approaches. This review argues for examining the theoretical underpinning considering the need to go beyond the simplistic definition of academic literacy as improvement of reading and writing and second language, etc., to embrace its multifaceted and evolving nature, and revisiting and re-conceptualizing academic literacy as a basis for pedagogical design in changing linguistic, social-cultural, and educational contexts for advances in theory and practice. This chapter also reveals the diverse research methods utilized in the corpus of Asia-Pacific research studies, from the conventional use of textual analysis and discourse analysis to a more sophisticated mixed-method design incorporating quasi-experimental and ethnographic studies. It particularly highlights the value of design-based research and developing further research methods from complex dynamic systems perspectives that address the dialectical relations between theory and design in specific teaching and learning contexts. Widely used pedagogical approaches and technological tools have been reviewed, and the significant principle of alignment between theory, design, and context has been highlighted. With internationalization and changing societal needs, research into academic literacies would contribute to the educational development of tertiary students in the Asia-Pacific and other places globally. With continuing development in this area and focusing on theory-research-practice synergy, we propose that future studies consider integrating theory, pedagogy, and technology, using multiple methods and iterative research investigations, and drawing upon the strengths of different theoretical traditions to enrich the affordance and input for students’ collective academic literacy development and disciplinary knowledge inquiry.

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Designing Problem-Solving for Meaningful Learning: A Discussion of the Asia-Pacific Research

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Chwee Beng Lee, Maree Skillen, and Caitlin Williams

Contents Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Understanding Problems and Problem-Solving: Different Types of Problems . . . . . . . . . . . . . . . Designing Problem-Solving: Dimensions of Problem-Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Intentional Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Cognitively Challenging Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Epistemological Beliefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Metacognition . . . .