【作者】 洪志忠；

【导师】 崔允漷；

【作者基本信息】 华东师范大学 ， 课程与教学论， 2011， 博士

【摘要】 2009年1月1日起,义务教育阶段学校开始实施教师绩效工资,教师绩效评价遂成一时鼎沸的话题。在落实过程中,教师绩效评价毁誉参半,这其中既有学校操作层面的原因,也有许多问题需要置于社会政策环境中才能更好地理解。本研究主要回答两个问题：如何从宏观视角理解教师绩效评价政策的复杂性,以及如何从微观行动增强学校层面教师绩效评价的可操作性。基于此,本研究围绕教师绩效评价“从何而来”、“因何而来”、“现在何处”、“面向何方”、“如何到达”等核心议题进行深入探讨。“从何而来”描述了教师绩效评价的历史演展。正式的教师绩效评价近三十年方才成型,它在不同国家／地区有着不同的发展轨迹和重点。英国的教师绩效评价经历了从奖惩性教师评价到发展性教师评价,然后过渡到PRP评价,再到目前的教师绩效管理；美国的教师绩效评价是围绕着教学专业化和绩效工资改革两个重点展开的；我国的教师绩效评价则经历了初建时期、重建时期、制度化时期、新发展时期等不同阶段。国内外的教师绩效评价都镶嵌在自身社会背景之中,回应政治、经济、文化变更的要求。“因何而来”揭示了影响教师绩效评价政策的思潮。在英国和美国,新自由主义主导了教师绩效评价的建立和变革。撒切尔、里根保守主义政府的上台营造了教师绩效评价总体的政策环境,推动了其快速发展。新自由主义对教师绩效评价的理念、方法、标准、结果处理等内部因素造成了巨大的冲击。在我国,教师绩效评价的宏观背景是社会正经历着告别全能主义的大转型。教师绩效评价政策与技术专家治国、治理变迁、绩效政府建设、新自由主义等复杂因素交错纵横。同时,教师绩效评价是事业单位改革的组成部分,其价值取向是教育公平与均衡发展。在此基础上,本研究以批判教育研究、市民社会理论、新权威主义为学理依据,构建了一个由“政党-国家、新自由主义、萌发中的公民社会、新公共管理”组成的四维框架,用于解释教师绩效评价政策的复杂性。“现在何处”介绍了不同国家／地区教师绩效评价的现状。当前教师绩效评价的实践可以大体分为专业标准取向和行政管理取向两种模式。前者以英国的教师绩效管理和美国密苏里州的教师绩效评价为代表,后者以我国台湾地区的教师成绩考核制度为代表。它们在评价的功能、标准、技术、实施等方面对我国教师绩效评价的发展和完善有着重要的启示和借鉴意义。与此同时,它们也在知识基础、过程、技术等不同方面存在着进一步完善之处。本研究在阐释教师绩效评价“面向何方”之时,将平衡的教师绩效评价视为未来发展的方向。平衡的教师绩效评价具有若干关键的特征：多重而恰当的评价目的、多元而深度参与的评价主体、完整而简约的评价过程、开放而可行的评价技术、专业而切己的评价标准。为此,夯实知识基础、规范评价过程、精细技术策略构成了“如何到达”的核心内容。在知识基础上,教师绩效评价汲取了管理学、教育学以及来自其他领域的经验。教师绩效是指与教育教学目标相关教师的行为和结果,这一界定来自于管理学对绩效内涵的解释。将教师绩效评价置于学校整体变革中做系统的思考,是绩效管理超越传统绩效考核之处。在教育学方面,教师工作的复杂性、有效教学研究、教师绩效研究、响应式建构主义评估等方面的内容,成为我们深入思考教师绩效评价内容、标准、主体等问题的凭据。医疗工作者绩效评价对教师绩效评价的参考价值在于如何将私营部门的管理方法,结合行业自身的特点,实现创造性的转化和应用。在评价过程上,为统合教师绩效评价的各个因素,本研究构建了一个教师绩效管理的过程模型,包括了绩效计划、过程控制、考核改进三个主要环节。在绩效计划环节,主要的任务是制定学校发展规划、制定教师绩效评价实施方案、开发评价标准。过程控制主要负责收集相关的教师绩效信息,并对教师进行绩效辅导。考核改进是在绩效管理的后期,学校管理者和教师对教师工作表现进行总结性评价、归因、反馈、改进等一系列的活动。在技术策略上,教师绩效管理需要学校发展规划、评价标准开发、课堂观察、绩效改进等方面的支持。学校发展规划是教师绩效评价的基础,教师绩效评价需要与组织的使命、愿景、目标、战略相联系,SWOT分析是制定学校发展规划的重要方法。评价标准分为绩效指标和绩效标准。改造后的泰勒模式和目标分解法在筛选和开发评价指标方面有着重要的价值。绩效标准可以从量化标准和描述性标准、绝对评价和相对评价以及SMART原则等不同的角度进行探讨。课堂观察是收集绩效信息和绩效辅导的主要手段,它在观察程序、观察框架、确定观察点、开发观察量表有着相应的专业要求。教师绩效改进需要在正确归因的基础上,制定合理的改进方案,为教师提供专业发展的支持。只有正确理解了教师绩效评价的价值取向,掌握了相应的评价流程和技术,在落实政策的过程中,方能蓄势待发、成竹在胸。更多还原

【Abstract】 Enforcing the teacher performance evaluation policy in the compulsory education nationwide in China from 2009, has apparently aroused a heated public debate. The implementation of the policy is as much praised as blamed, partly in relation to the school’s operational reason, partly to the broadly social systematical condition. Therefore, this study focuses on these two core issues, one is the matter of understanding the complexity of compulsory teacher performance evaluation policy from macroscopic social systematic view, the other is the matter of taking a great effort on school how to carry out this policy practically and efficiently at microcosmic action level. A series of key questions--where this policy derives from, why we need it, what status it stays around nowadays, what’s the direction it should go, in what ways it would be operated to achieve the aims--are about to be explored deeply.The teacher performance evaluation, which varies in different countries, has just come out for nearly three decades. In Great Britain, it evolves from the teacher evaluation system for accountability, the one for professional development, PRP-model, to teacher performance management system. In the United States, it has been carried out through the teaching professionalized movement and merit pay reform. In China, the teacher performance evaluation system experiences almost four phrases:the initial constructive period, the reconstructive period, the institutionalized period and the new-developmental period. As a worldwide policy, teacher performance evaluation responses to the change of politics, economic, culture etc.Ideological trend influences teacher performance evaluation policy. In Great Britain and US, the reason to build and to transform the teacher performance evaluation system is attributed to the neo-liberalism, which has a great impact upon values, methods, standards, outcomes etc. In China, this system was born in complex social background with political, economical, cultural issues. Along with the society transformation from the Totalism, Chinese teacher performance evaluation policy grows with the governance of technocrat, transition of government’s function, government performance construction, neo-liberalism etc. Being one part of Chinese public institutions reform, the system pursues the value of educational equity and balanced development. Basing on critical educational theory, civil society theories, and neo-authoritarianism, this study attempted to construct a systematic network with regards to the Party-Government, the neo-liberalism, the civil society, and the new public management theory, in order to explain the complexity of Chinese teacher performance evaluation policy.Literature review reveals that the current teacher performance evaluation system in practice can be divided into two forms, one is professional standard orientation, taking Great Britain and the state of Missouri in US as representatives; the other is administration orientation, as exemplified by the Taiwan area in China. All of them will provide significant experiences for Chinese current teacher performance evaluation development.The knowledge base of teacher performance evaluation spreads from management, pedagogy, to medicine or other related fields. Firstly, the concept of teacher performance derives from the management theory. In fact, modern performance management has successfully overcome the disadvantages of the traditional appraisal, which in some sense inspires us to explore the teacher performance evaluation in regards to the whole school systematic reformation perspective. Secondly, the variety of pedagogical studies about effective teaching, teacher evaluation, fourth generation evaluation contributes to further study. Furthermore, a great deal of experiences from medical work performance evaluation enriches the teacher evaluation in school-based environment too.Balanced teacher performance evaluation demonstrates several key features: multiple assessment objectives, multiple assessment participants, complete and concise procedure, flexible and feasible techniques, professional and suitable standards. This study constructs a procedural model for teacher performance management, including performance plan period, procedure control period, appraisal and improvement period. The performance plan period pays attention to producing the school developmental plan, to form the teacher performance evaluation program and assessment standards. In the second period, training teachers and collecting related information about their performance are necessary for the terminal evaluation. In the final period, school administers and teachers coordinately carry out terminal evaluation and give feedbacks and suggestions to improve performances in the future.There are some crucial technologies involving in the teacher performance management. Teacher performance evaluation should be based on the school developmental plan in regards to schools’missions, visions, goals, strategies. SWOT analysis is an important way of building school developmental plan. Then, one of the difficulties we face with is to develop performance evaluation indicators and standards. Remaking the Tyler Model, this study develops a tool to select performance indicators. Then KPI plays an important role in the process of decomposing the blueprints into personal evaluation indicators. Performance standards can be explored by means of quantitative and qualitative, absolute and relative ways, as well as SMART principles. Classroom observation is the main approach to collect materials, which includes some special procedure, framework, foci, and scales. Performance improvement adopts appropriate plan for teacher professional development based on correct attribution.In sum, only if we understand the value orientation of teacher performance evaluation and master special procedures and techniques, are we ready to apply this policy effortlessly and effectively.更多还原