领导转型：校长领导伦理的寻求与建构

【作者】 徐金海；

【导师】 张新平；

【作者基本信息】 南京师范大学 ， 教育领导与管理， 2011， 博士

【摘要】 校长在很多方面是学校场域中最重要、最有影响力的人,校长的有效领导是学校走向成功的关键,那么,校长何以实现有效领导呢？本文以思辨研究的方式,遵循理论梳理与分析—实践考察与验证—理论反思与建构等基本线索,在整合理论与实践、历史与现实及国内与国外等诸种关系的基础上,对校长领导行动的基础进行了理论探讨,对校长领导的现实取向进行了逻辑分析,对校长领导官僚化取向的合法性进行了学理阐释,在此基础上,对校长领导转型过程中的伦理寻求问题进行了理论概括与建构。就校长领导行动基础的理论探讨而言,主要从人与环境两个方面进行了理论分析。一方面通过对古典管理理论、行为科学管理理论、教育管理科学理论及后现代教育管理理论等理论中人性观的考察与反思,认为古典管理理论中的科学管理思想与科层制理论对校长领导的行为影响至深,为校长领导实践中非人性化思维与行为的出现“植入”了理论根基。另一方面文章以制度理论作为分析的视角,通过对制度环境与学校组织、制度环境与学校场域中的人及制度化与制度化教育等问题的理论分析,认为制度环境既为学校组织科层制的合法性奠定了基础,也为“规训”人的机制的形成做了铺垫,带给校长领导的是一种类似韦伯所说的“铁的牢笼”的控制与约束。理论分析是否符合校长领导的现实逻辑呢？文章从制度的角度即从校长负责制与学校组织机构、校长负责制与校长领导的责任性以及校长负责制与学校中人的发展三个层面来探讨校长领导实践的可能取向。认为校长领导的现实取向是一种“看不见人”的、“官僚化”的实践取向。该取向使校长领导行为具有了控制与规训的内涵,个体被束缚在层层的控制体系之下,使人处于一种不自由的学校场域中,个体便成为了被管理和操纵的一分子,致使学校场域中“普遍平庸”的出现。文章也对校长领导这一现实取向的生成机制及其日常呈现问题进行了探讨。校长领导“官僚化”的实践取向意味着行政权力已被推向前台,也意味着行政集权的出现,而行政集权无疑会对学校发展产生桎梏作用,这就需要重新审视校长领导权力的合法性问题。文章界定了合法性及校长领导权力合法性的内涵；阐释了校长领导权力合法性存在的基础；并重点分析了校长领导权力合法性危机及其表现形态,认为校长领导权力合法性危机即是指校长领导权力不具有正当性且未获得被领导者的认同、支持和服从,其实质是一种认同危机。其表现形态包括：公共性危机、程序性危机及价值性危机等。校长领导权力的合法性危机表明校长领导权力已无法体现其所赋有的价值和使命,无法获得下属的认同和满足其发展的需要,使得校长领导权力合法性处于需要变革的关节点上。认为校长领导权力合法性的重建需要从合法性危机的根源上去寻求,也就是从校长领导的行动基础即人与环境两个方面进行,一是要实现校长领导的人文回归与重塑；二是要实现校长领导的制度变革与创新。校长领导的人文关照首先应该在官僚制的体系中突出人的主体性,需要肯定人的价值以及人的价值观的作用。而德性伦理无疑是校长领导伦理寻求与建构并凸显人性内涵的最重要的理论依据。德性伦理是一种关注个人道德认识和道德修养,立足于个人道德品质的提高,并以实现主体自我完善和自我发展为终极目标的内指型道德。德性伦理是校长在领导过程中实现道德伦理的主体化、个性化以及将外在的伦理要求内化为个体自身道德品质的重要伦理诉求。要求校长领导行为应在真正的“人的意义世界”中展开；校长要慎用权力、以德服人,重视道德领导的作用与价值；校长应成为学习型领导者,并自觉提升自身领导力；校长应具有“生活世界观”和多系统的变化观等。最后认为善治是校长德性领导的有效模式,在走向善治的过程中,要体现校长领导的法治性、道德性、民主性及有效性等。德性伦理对校长领导内在品质的提升、人文精神的凝练及自我价值的实现具有积极的意义。但德性伦理之于校长领导价值的真正实现也存在一定的局限,仅仅求助于个体道德水准的提高来促进或维系领导效能的提升及学校教育的有效发展是很困难的,还需要借助于外在规范的有效约束来实现,也即是进行制度的伦理设计。文章认为制度伦理是制度所赖以建立和存在的伦理基础,或者是制度中所蕴涵的伦理价值、道德原则以及对制度所做的伦理评价。校长领导的制度一方面要遵循人道、正义及制度自由的伦理原则；另一方面也要关注人的全面自由发展程度、公共意志与公共利益的体现与满足程度、效率与效益的提升与协调程度以及教育公正的实现程度等价值评价标准。同时指出现代学校制度是校长领导制度伦理革新的有效模式,并对现代学校制度的内涵、价值意义及实践探索情况进行了分析。更多还原

【Abstract】 Principal is the most important and influential person in school field in many aspects. In a sense, principal’s effective leadership is the key to the success of the school. This paper explores the theoretical basis of the principal leadership action, conducts the logical analysis of its reality orientation, interprets the orientation legality of the bureaucratic leadership, and constructs the ethical pursuit of the principal leadership in leadership transformation on the basis of the integration of theory and practice, history and reality and all kinds of domestic and foreign relationships in a speculative research way. It follows the clues of theory coordination and analysis, practice of investigation and verification, theoretical reflection and construction.In the case of theoretical analysis of the basis of principal leadership action, two main aspects are discussed here:people and environment. On one hand, by reviewing and reflecting the human-nature-view in the classical management theory, behavioral science management theory, education management science theory and postmodern education management theory, the paper holds that scientific management ideas and hierarchy theory in the classical management theory, which profoundly impact on principals’leadership behaviors, "implant" the theoretical foundation for the emergence of the impersonal thinking and behavior in the practices of principal leadership. On the other hand, this paper theoretically examines the relationship between institutional environment and school organization and that between the institutional environment and the person, institutionalized and institutionalized education in school context. It holds that the institutional environment both provides basis for the legitimacy of school organizational bureaucracy and for a mechanism that "discipline" people, functioning as control and restraints like "iron cage" as Weber once called it.Does theoretical analysis meet the logic reality of principal leadership? This thesis explores the orientation possibility of the practices of principal leadership from the perspective of the system, which includes three levels:principal responsibility system and school organizations; principal responsibility system and the responsibility of principal leadership; principal responsibility system and human development. It holds that reality orientation of principal leadership is "invisible" and "bureaucratic" in practice. The orientation of the principal leadership has a connotation of control and discipline in which the individual is trapped in layers of control system under the comfortless school field. Thus, the individual will become managed and manipulated resulting in the emergence of "general mediocrity" in school field. In addition, the mechanism for the formation of reality orientation of principal leadership and its daily presentation are discussed.The bureaucratic orientation of principal leadership indicates the on-stage of executive power and the emergence of administrative centralization which is undoubtedly a shackle to school development. This leads to re-examine the legitimacy of principal’s power. This thesis defines the notion of legitimacy and the legitimacy of principal leadership power; it expounds the basis for legitimacy of principal leadership power and then analyses the crisis of principal leadership power legitimacy and its manifestations. The legitimacy crisis, it is argued here, is a fact that the principal leadership power is illegitimate and fails to be recognized, supported or obeyed by subordinates. It is indeed a crisis of recognition, manifested in such forms as public crisis, procedural crisis and value crisis. The legitimacy crisis indicates that the principal leadership power can no more commensurate its intended values and mission, nor have subordinates’recognition, nor meet employees’development needs. The legitimacy of principal leadership power is therefore a knot of reform. Reconstruction of the principal leadership power legitimacy should proceed from the root of the legitimacy crisis, i.e. in the two bases for principal leadership actions:people and environment. This means, on one hand, to come back to and rebuild principal leadership humanity, and on the other hand, to reform and innovate principal leadership system.Principal leadership humanity means firstly to highlight human subjectivity in the bureaucracy system and to emphasize the role of human and human values. Among them, the virtue ethics is undoubtedly the most important theoretical basis for principal leadership ethic pursuits and for the search and construction of humanity connotations. Virtue ethics is an inward morality which focuses on personal ethics and moral development and aims ultimately to realize the subject’s self perfection and self-development by improving personal moral qualities.Virtue ethics is the important ethical pursuits for principals, through its leadership practices, to become a moral and ethical subject, develop their own moral personalities and internalize ethical requirements into intrinsic moral qualities. Principal leadership actions should be conducted in the real "world of human significances", Principals should use their powers cautiously and morally, cherishing moral leadership and values, Principals should be learned leaders, and consciously enhance their own leadership, Principals should have the "life world view" and the multi-system view of changes and so on. It is concluded that the good governance is an effective mode of the principal virtue leadership. In the process towards good governance, legality, morality, democracy and effectiveness of principal leadership must be reflected.Virtue ethics has positive influence on the improvement of the inherent virtue, the coagulation of humanistic spirit and self-realization of principal leadership. Nevertheless, it has limits in realizing principal leadership values, as the improvement of leadership effectiveness and development of school education can hardly be maintained or promoted through individual moral improvement. It also requires effective constraints through outside norms, that is, the ethical system designs. This thesis argues that system ethics is the ethical basis for a system to be established and exist, or the total ethical values implied in system, moral principles and ethical evaluation on the system. Principal leadership system should on the one hand follow ethical principles including humanity, justice and system freedom, and on the other hand focus on value standards including the extent of people’s all-round free development, the extent of the presentation and satisfaction of public wills and interest, the extent of improvement and balance of efficiency and effectiveness, and the extent of realization of justice in education. It also points out that the modern school system is an effective mode for innovative principal leadership system ethics, in addition to analysis of the connotation, value significance and practices of modern school system.更多还原