【作者】 魏署光；

【导师】 刘献君；

【作者基本信息】 华中科技大学 ， 高等教育学， 2013， 博士

【摘要】 未来十年，我国将进入院校研究的“规范发展”阶段。作为一种专门的组织职能，院校研究将会更多出现于中国高校的组织架构中，院校研究人员将积极参与设计与建设学校管理信息系统。但建立院校研究机构和管理信息系统的目的是什么？想要实现什么功能？这是需要首先回答的问题。美国是院校研究的发源地，美国院校研究历史最为悠久，实践最为成熟，但美国对院校研究功能的认识，并不一致。因此，特别需要对院校研究的功能进行深入系统的研究。院校研究有多种功能，本研究选择其核心功能——决策支持功能作为研究对象。本研究以院校研究的组织智能理论、专业发展理论及结构-功能分析范式作为理论基础，进行研究设计。在文献阅读基础上，对院校研究机构负责人进行深入访谈，根据访谈结果设计问卷，并对问卷进行评审和修改。遵循严格的抽样程序，从美国院校研究会会员数据库中抽样，对美国院校研究人员进行问卷调查。论文主体部分从决策者、决策问题及决策过程三个维度对院校研究的决策支持功能进行分析。每一部分中，首先对院校研究的决策支持功能进行描述，然后从结构-功能分析的视角分析院校研究个人、办公室及学校特征等因素与院校研究决策支持功能之间的相关性，最后通过理论分析与模型构建对决策支持功能进行深入剖析。通过对美国院校研究决策支持功能的实证分析与探讨，得出以下五个结论：第一，院校研究主要由教务长主管，工作职责集中于入学管理及学生学习成果评估。院校研究机构大多向教务长汇报，教务长是院校研究的第一大“客户”。院校研究人员在学生学习成果评估、入学管理、教师及规划事务中参与很多，但职责主要集中于由教务长主管的入学管理及学生学习成果评估事务。第二，院校研究的决策支持功能与院校研究个人、办公室及学校特征相关。院校研究为高层决策者提供数据分析支持的程度与院校研究人员的财务数据获取程度、办公室规模及学校规模相关。院校研究人员在决策问题中的职责与其职位、学位、工作经验，办公室组织定位及数据获取程度，学校层次与类型等因素相关。个人观念与组织支持是影响院校研究人员在决策过程中参与程度的主要因素。第三，院校研究专业受认证机构及学校的影响，呈现出由分化到融合的发展趋势。20世纪80年代中后期以来，认证机构日益强调学生学习成果评估、学校效能及规划，院校研究专业开始分化。但近年来各高校在评估、效能及规划活动中，越来越意识到需要院校研究人员的积极参与，这推动院校研究专业开始由分化走向融合。第四，数据性、分析性、咨询性及领导性支持是决策过程支持的四个层次。数据性支持和分析性支持是决策过程支持的基础层次，咨询性支持和领导性支持是决策过程支持的高级层次。决策过程支持的层次越高，对院校研究人员技能与专业素质的要求越高。第五，院校研究的决策支持功能因个人观念及组织支持而动态演变。因院校研究人员观念及组织支持程度的不同，院校研究的决策支持功能将呈现充分发挥、部分被替代、无法发挥及发挥有限四种情况。因个人观念及组织支持的变化，院校研究的决策支持功能也发生动态演变。本文根据以上结论，提出我国院校研究开展的四点建议：推动院校研究规范发展，建立院校研究专业认同；规划院校研究的组织架构，为院校研究提供组织保障；以学生事务为突破口，逐步建立学校分析数据库；培养院校研究人员，为院校研究开展提供人才保障。本研究是美国院校研究领域中第一次对院校研究的决策支持功能开展的深入系统的研究。创新之处在于选择院校研究的决策支持功能作为研究问题，进行集中探索；引入新的视角，从专业社会学及结构-功能分析视角进行研究；研究方法与过程严格遵循实证研究的范式；通过实证分析与模型构建，论文得出了一系列富有创新性的结论。更多还原

【Abstract】 In the next decade, Institutional Research (IR) in China will enter the professionaldevelopment stage. IR will be embedded in the organizational structure of Chineseuniversities. IR officers will actively participate in the design and construction ofManagement Information System (MIS). What are the purposes of IR and MIS? Whatfunctions will they play? This is the question that should be answered firstly. IR in theUS has a long history and is the most mature. But the function of IR is still notwell-defined. So there is great need to research the function of IR through in-depth study.IR has many functions. This research chooses its core function of decision supportas the research topic. We based the research on the theory of IR as OrganizationIntelligence, Structure-Function Paradigm, Professionalization and ProfessionalAutonomy. On the basis of the literature review and in-depth interviews to IR officemanagers, we design, review and modify the questionnaire. Following a strict samplingprocedures, we sampled from the membership database of the Association forInstitutional Research and conducted the survey to IR officers in the US. Thisdissertation focused on the decision makers, decision issues and decision-makingprocesses and discussed the IR function as decision support. In each chapter, we firstlydescribe the function of IR as decision support, secondly analyze the relationshipbetween IR officer‘characteristics, office structures, institutional characteristics and thefunction of IR as decision support, lastly we explore further through theoretical analysisand model building.Through empirical analysis and discussion, we draw the following five conclusions:First, IR department usually reports to the Chief Academic Officer (CAO). IRofficers‘responsibilities are usually focused on enrollment management and studentlearning outcomes assessment. CAO is the first customer of IR. IR officers hasresponsibilities in student learning outcomes assessment, enrollment management,faculty issues and planning issues but focuses primarily on enrollment management andstudent learning outcomes assessment. These two issues are in the charge of CAOs.Second, the function of IR as decision support has some relationship with IRofficers‘individual, office and institutional characteristics. The frequency of IR studiesfor top decision-makers has some relationship with IR officers‘financial data access, IRoffice size and institutional size. IR officers‘responsibilities in various decision issueshave some relationship with IR officers‘role, highest degree, experience, office reportingline, data access, institutional level and type. IR officers‘perceptions about directly participating in decision-making processes and organizational support are the mainfactors that influence IR officers‘participation in the decision-making processes.Third, the profession of IR is affected by accreditors and the specific institution IRofficer works in. The IR profession is transforming from the differentiation to integration.Since the late1980s, regional accreditors have been increasing emphasizing on studentlearning outcomes assessment, institutional effectiveness and planning. IR professionbegan to differentiate. But colleges and universities conducting assessment, institutionaleffectiveness, and planning activities are more and more aware of the importance of IRofficers‘active participation in these activities. This promotes IR profession fromdifferentiation toward integration.Fourth, data, analytical, consulting and leadership support are the four levels of IRas decision support. The data support and analytical support are the basic level ofdecision-making process support. Consulting and leadership support are the senior-levelof decision-making process support. The higher level of IR officers‘decision-makingprocess support, the higher level of professional skills IR officers should obtain.Fifth, the function of IR as decision support will be in a dynamic evolution becauseof different perceptions of IR officers and organizational support. Due to the differentperceptions of IR officers and organizational support, the function of IR as decisionsupport will show four cases—full play, replaced, can not play, and limited play. Thefunction of IR as decision support will be undergone a dynamic evolution.In light of these conclusions, this paper put forward four proposal for IRdevelopment in China: to promote the professionalization of IR and establish IRprofessional identity; to plan the IR office reporting line and structure and provideorganizational guarantee for IR; to focus on student affairs as the breakthrough toestablish analytical database; to train IR officers to provide personnel guarantee for IR.This research is the first system and in-depth research on the function of IR asdecision support. The innovations of this research including choosing the function of IRas decision support as the research question and exploring on it; introducting newperspectives-the structure-function analysis and Sociology of Profession; following theempirical research paradigm as for the research process and method; concluding with aset of innovative conclusions.更多还原