The Genesis of Race to the Top: A Case Study of Policy Change by Rachel Dinkes B.A. in English, May 2002, George Washington University M.Sc. in Social Research Methods (Statistics), December 2004, the London School of Economics and Political Science A Dissertation submitted to The Faculty of The Columbian College of Arts and Sciences of the George Washington University in partial fulfillment of the requirements for the degree of Doctor of Philosophy May 15, 2015 Dissertation directed by Steven J. Balla Associate Professor of Political Science, Public Policy and Public Administration, and International Affairs The Columbian College of Arts and Sciences of The George Washington University certifies that Rachel Dinkes has passed the Final Examination for the degree of Doctor of Philosophy as of January 27, 2016. This is the final and approved form of the dissertation The Genesis of Race to the Top: A Case Study of Policy Change Rachel Dinkes Dissertation Research Committee: Steven J. Balla, Associate Professor of Political Science, Public Policy and Public Administration, and International Affairs, Dissertation Director Kathryn Newcomer, Professor of Public Policy and Administration, Committee Member Yas Nakib, Associate Professor of Education Policy, and Public Policy and Public Administration, Committee Member ii Dedication This dissertation is dedicated to my sons, Max and Spencer. Never quit. iii Acknowledgements I wish to thank the many policy actors who generously offered their insights and observations and, without whom, this dissertation would not have been possible. I would also like to thank my advisor, Dr. Steven Balla. This project took a long hiatus, but Dr. Balla always welcomed me back to his office with open arms, kindness, and inquisitiveness. Without Dr. Balla’s support, this project would not have come to fruition. I am forever grateful for his stewardship of this project. Dr. Kathryn Newcomer supported me throughout my doctoral studies. She not only cared about my studies, but about me personally. That care made all the difference to my continued pursuit of this dream. Dr. Yas Nakib taught my first class on education policy at GW and taught me to think about the unintended consequences of policy making. His comments on this dissertation have made it a stronger piece of work. I would also like to thank my two examiners: Dr. Peter Cookson who provided thought provoking conversations throughout the dissertation process, and Dr. Donna Infeld who provided guidance throughout my studies. My husband, Jason Hoffman, who has never been infamous, offered support, encouragement, and sense of humor throughout this very long journey. I would also like to thank my parents, Ellen and Larry Dinkes, for always promoting the value of education, for their guidance, love, and for the tremendous value they put on education. My sister, Michelle Dinkes, a public school teacher, always keeps my research grounded. Finally, I would like to thank the American Institutes for Research (AIR) which has financially supported this effort from classwork, comprehensive exams, to dissertation. My colleagues’ encouragement to continue on this endeavor was invaluable. iv Abstract of Dissertation The Genesis of Race to the Top: A Case Study of Policy Change This study examined the factors that led to the rise and eventual adoption of the state incentive grants program, later known as Race to the Top (RTT), in the American Reinvestment and Recovery Act in 2009. Until the Recovery Act in 2009, reauthorizations of the 1965 Elementary and Secondary Education Act (ESEA) had been the primary law, and mandate the primary mechanism that federal policy makers used to influence state and local education policy. However, the Obama administration used the Recovery Act and a competition mechanism to advance their education agenda. Based on analyses of relevant documents and interviews with highly knowledgeable policy actors, this study sought to establish a narrative of the factors that led to the genesis of RTT. Consistent with established theories that seek to explain policy change, this study found that policy windows, elections, policy entrepreneurs, the decline of previously powerful interest groups, new interest groups, and venue change were all important factors in the genesis of RTT. In addition to traditional factors that explain policy change, this study found that speed, minimal verbiage, and a small, tight-limited group of actors were key factors in the genesis of RTT. This study has important implications for policy makers seeking to advance federal education reforms. Given the structural limitations of ESEA and the lack of constitutional authority for the federal government to make state education policy reforms, future Presidents and administrations will continue to seek alternate pathways for their education reform agendas like RTT. Understanding the factors and conditions v that led to the genesis of an alternate pathway to federal education reform in 2009 may be a useful case study for future policy makers. vi Table of Contents Dedication .......................................................................................................................... iii Acknowledgements ............................................................................................................ iv Abstract of Dissertation ...................................................................................................... v List of Figures ..................................................................................................................... x List of Tables ..................................................................................................................... xi Chapter 1: Introduction ....................................................................................................... 1 Purpose of Research and Intended Contribution .................................................... 3 Research Question .................................................................................................. 5 Need for Study ........................................................................................................ 6 Assumptions ............................................................................................................ 7 Delimitations and Limitations ................................................................................. 8 Qualitative Methods ................................................................................................ 9 Sample....................................................................................................... 10 Data Collection and Analysis.................................................................... 11 Findings................................................................................................................. 11 Definitions and Key Terms ................................................................................... 12 Organization of the Dissertation ........................................................................... 13 Chapter 2: Literature Review ............................................................................................ 14 Introduction ........................................................................................................... 14 ESEA..................................................................................................................... 14 The EIC and Education Reform Movement ......................................................... 23 ARRA and RTT .................................................................................................... 28 Understanding Policy Change............................................................................... 38 RTT Research ....................................................................................................... 44 vii Analytical Framework .......................................................................................... 48 Conclusion ............................................................................................................ 48 Chapter 3: Methodology ................................................................................................... 50 Research Question and Design ............................................................................. 50 Case Study Approach ................................................................................ 51 Sample....................................................................................................... 52 Interview approach.................................................................................... 53 List of Potential Interviewees ................................................................... 55 Interview Protocols ................................................................................... 60 Interview Questions .................................................................................. 62 Analysis of Interviews .............................................................................. 64 Validity of Findings .................................................................................. 65 Human Participants, Ethical Considerations, and the IRB ....................... 69 Data Collection ......................................................................................... 70 Interviews .................................................................................................