【作者】 陈国华；

【导师】 杨昌勇；

【作者基本信息】 西南大学 ， 教育学原理， 2014， 博士

【摘要】 民族地区在完成九年义务教育的普及任务之后,巩固成了新的问题。为此,地方政府部门、学校、社会团体及基层组织投入了大量的人力、物力、精力来解决巩固效果差的问题,而学生的厌学、短期流动、辍学现象依旧严重,学业成绩低下,教育治理面临着“有增长无发展、有维持无创新、有效率无公平”的困境。因此,本欲通过制定规章制度、配置教育资源、采取治理措施、联合各方力量促进教育发展的教育治理活动,却陷入了“内卷化”的困境。“内卷化”的教育治理阻碍了民族地区教育优先发展战略的实现以及民族地区经济社会发展。而现有关于教育治理的研究中,理论研究较多,实践研究较少,而涉及到民族地区教育治理的研究更少。因此,本研究欲采用质的研究方法,以云南省勐海县作为研究个案,深入其义务教育治理的实践过程,呈现出义务教育治理内卷化的表现,探讨其形成的原因,并提出去内卷化的对策。在研究设计上,本研究秉承“社会学的想象力”,利用社会学的分析视角探讨义务教育治理问题,认为民族地区义务教育治理内卷化是结构性因素和个体行动因素共同作用的结果,探讨隐含在民族地区义务教育治理背后的结构性因素。在义务教育治理实践的探讨中,把教育治理实践置于民族地区社会转型的背景之下进行探讨,注重民族地区现代化背景下的社会转型对民族地区生产生活、思想观念、行为方式及治理方式的影响。本研究尝试从一个县域的义务教育治理实践出发,提出教育治理的内卷化问题,描述民族地区义务教育治理内卷化的表现,探讨内卷化形成的原因,提出走出内卷化的策略。本研究主要探讨了三个问题：首先,通过实地调查研究,呈现民族地区义务教育治理内卷化的表现。第一,多元参与的网络化治理与治理低效,县级地方政府、乡镇政府、村委会、缅寺组成了多元化的治理主体；其次,科层制下技术化治理与治理的形式化,主要采取制定繁复的规章制度、精细化的“数字”治理等手段。再者,压力型体制下行政化治理与治理的目标错置,主要采取了层层分解的目标责任制,检查监督和评比奖惩等手段。最后,学校内部治理实践与自主性的缺失,学校采取了各种繁杂和精细化的治理手段进行内部治理,主要有软硬兼施——“千方百计请进来”、“不出事逻辑”与“安全第一”、寻求支援与联合治理等。教育治理的相关行动者在治理过程中,表现出或顺从或抵制的应对策略。其次,义务教育治理内卷化形成原因分析及理论探讨。社会转型与封闭的地理位置是教育治理内卷化的时空背景,文化障碍是教育治理内卷化的内部根源,教育治理的国家意志是教育治理内卷化的外部根源,工具理性是教育治理内卷化的价值取向,义务教育治理过程中各项政策的交互作用对教育治理产生的副作用和由制度定型带来的义务教育治理的渐进性变革与制度化促进义务教育治理陷入了内卷化困境。再者,义务教育治理去内卷化的建议,即走向教育善治。解决教育治理“内卷化”的策略即是走向教育善治。教育善治是对权力的合理运用,资源的均衡分配,参与主体积极主动的行动,将有助于教育政策的顺利实施,优化教育资源配置,促进教育均衡发展,提高教育效益。开放性,适切性,可持续发展性,公共性是教育善治的价值取向。因此,教育善治的实现可以从以下五个方面着手：第根据实际情况,统合协调各种治理工具;第二,尊重群众的教育需求,引导其教育价值观和行为方式；第三,加强学校与地方社会互动和联系；第四,提升治理主体的专业化水平；最后,重视教育治理中的情感投入。本研究具有一定的实践意义和理论意义。首先,本研究提出了“教育治理内卷化”的理论命题,解释了社会转型期民族地区义务教育治理的性质和运作机制,有利于探索民族地区义务教育治理性质及其过程中问题,改善民族地区义务教育治理方式,实现教育优先发展的战略,促进民族地区教育发展和社会进步。其次,通过质的研究方法进行教育治理的研究,能够较深入地了解教育治理的具体运行,了解教育治理相关行动者对于教育政策、教育改革的认识和理解,倾听他们的意见,提高民族地区义务教育政策执行成效。理论意义方面,本研究利用社会学的视角分析民族地区义务教育治理内卷化问题,并尝试从“结构—行动”的维度去分析这一问题,不仅丰富了教育治理研究的学科视角,也丰富了教育社会学的研究内容。把教育治理引入民族地区教育问题的研究,丰富了民族教育领域的研究。本研究的创新之处表现在三个方面：首先,提出了“教育治理内卷化”的命题,并将“善治”理念引入了民族地区的义务教育治理,作为指导民族地区义务教育治理的价值取向。其次,本研究秉承“社会学的想象力”,运用社会学的理论和方法分析了民族地区的教育治理问题。再者,本研究在义务教育治理实践的探讨中,把教育治理实践置于民族地区社会转型的背景之下进行探讨,注重社会转型对民族地区教育治理的影响。由于民族地区教育治理的重要性和复杂性,有进—步研究的必要。因此,针对本研究的不足提出进一步研究的建议：首先,本研究缺少不同县域之间的比较研究,研究的结论具有一定的局限性,因此,后续研究可以对比民族地区不同县域内的义务教育治理状况。其次,本研究未对历史上的教育治理经验做深入探讨,也是本研究的不足之处之一,后续研究可以做一进步的文献梳理,挖掘教育治理的历史经验和教训。再者,本研究较多的从政府部门机构的角度来阐述了教育治理的实践,而较少从政府官员个体行动者的角度来阐释其行为策略,而政府官员也是教育治理的主要执行者,其在具体教育治理实践活动中的行为方式和策略则也是今后进一步研究的方向。更多还原

【Abstract】 After completing the task of popularizing nine-year compulsory education in the ethnic areas, consolidation becomes into the new problem. Therefore, local government departments, schools, community groups and grassroots organizations put into a lot of manpower, material and energy to solve the problem of poor consolidation, but the students are still weary of studying, and drop out frequently, have poor academic performance, the educational governance faces the plight of "grow and no development, maintain and no breakthrough, efficient and no fair". Therefore, by formulating rules and regulations, allocating of educational resource, taking governance measures, jointing all forces, the activities of educational governance prepare to promote the development of education, but fall into the plight of involution. The involution of educational governance in minority areas hinders the realization of precedence development of education and the development of economic and society. But the existing research on education governance, theoretical studies more, practical research less, and the research related to the educational governance in minority areas much less. Therefore, this study employs the qualitative research method take the Menghai in Yunnan as the case study, penetrates the practice of their compulsory educational governance, shows the outward manifestation of involution of compulsory educational governance, explores the reasons of its formation, and proposes measures to solve the problem.Adhering to the"sociological imagination" in the design of the study, using the perspective of sociology to explore the compulsory educational governance, thinks that the involution of compulsory educational governance in minority areas are the working together result of structural factors and individual action factors, discuss the structural factors what hidden the back of compulsory educational governance in minority areas. In the discussion of the practice of educational governance, place the practice of educational governance under the background of social transformation in minority areas, pay attention to the influences from the social transformation under the background of modernization to the production, living, ideas, behavior and the means of governance.Begin with the practice of compulsory educational governance in the minority area, this study brought the problem of the involution of compulsory educational governance, showed the outward manifestation of involution of compulsory educational governance in the minority area, discussed the reasons of the formation of involution of compulsory educational governance, and put forward the suggestions to solve the problem. The study focuses on the following three questions:Firstly, by means of fieldwork, shows the outward manifestation of involution of compulsory educational governance in the minority area. Firstly, the network governance with multi-body participation and low efficiency of governance, the multiple governance body includes the local county government, township governments, village committees, education coordinators and temple. Secondly, the technical governance under the bureaucracy and the formalization of governance, takes the means of formulating the complex rules and regulations, precision digital governance.Thirdly, the administrative governance under the pressurized system and the goal displacement of governance, takes the means of target responsibility system, inspection, supervision and appraisal rewards and punishment. At the end, internal governance practices of school and the lack of autonomy, the school takes a variety of complex and sophisticated governance actions to conduct the educational governance, for example, take the steps of carrot and stick-"does everything possible to please come in","no accident" and "safety first", seek to support and joint governance. In the process of educational governance, the relevant actors of educational governance act the action strategy of obedience or resistance.Secondly, explores the reasons and the theoretical explanation of the formation of involution of compulsory educational governance. Social transformation and closed location are the background of the formation of involution of compulsory educational governance, cultural barriers are the internal root of the involution of compulsory educational governance, the will of the state of educational governance are the external source of the involution of compulsory educational governance, instrumental rationality is the value orientation of the involution of compulsory educational governance, the interaction negative effect of the policies in the process of compulsory educational governance, working together with the evolutionary change and the institutionalization of educational governance bring the compulsory educational governance into the plight of involution.Thirdly, the study put forward the strategy to solve the involution of educational governance is to the good educational governance, which is the rational use of power, balanced allocation of resources, participants act actively. The good governance will promote the implementation of educational policy successfully, optimize the allocation of educational resources, and accelerate the balanced development of education, increase the benefit of education. Openness, fitness, sustainability and publicity are the values of good governance. So the realization of good governance can take actions from the five aspects:firstly, according to the actual conditions,focusing on the integration and coordination governance tool, secondly, educational governance should respect the educational needs of the local community, thirdly, strengthen the interaction and contact between the local schools and society, fourthly, promote the professionalization of the educational governance body, fifthly, pay attention to emotional investment in the process of educational governance.This study has some practical and theoretical significance. Firstly, the study put forward the theoretical proposition of the involution of educational governance, which explain the nature and operation mechanism of educational governance in minority areas well in the period of social transformation, is beneficial to explore the nature and problem of the educational governance in the minority areas, to improve the means of educational governance, realize the strategy of priority to the development of education, promote the development of education and the progress of society. Secondly, by the qualitative research method, we can understand the running of the educational governance deeply; know the relevant actors’awareness and understanding of educational policy and educational reform, and listen to their opinions, improve the effectiveness of policy implementation. On the theoretical significance, the study analyzed the involution of educational governance through the perspective of sociology, and tried to analyze the problem by the dimension of "structural-action", not only enriched the research perspective of educational governance, but also enriched the content of sociology of education. At the same time, brought the educational governance to the research field of ethnic education, enriched the research of ethnic education too.The innovation of the study as follows:Firstly, the study put forward the proposition of the involution of educational governance, and brought the idea of "good governance" to the educational governance in minority area as the value orientation of educational governance. Secondly, the study adhering to the"sociological imagination", analyzed the educational governance in the minority area by the theory and method of sociology. Thirdly, in the discussion of the practice of educational governance, place the practice of educational governance under the background of social transformation in minority areas, pay attention to the influences from the social transformation to the educational governance.Because of the importance and the complexity of the educational governance in the minority area, it is very necessary to do the further study. So, based on the shortcoming of the study, the paper put forward the suggestions for the further study as follows:Firstly, this study lack of the study of the comparison among different county region, the conclusion of the study has some limitations, so the further study should make the comparison among different county region on the educational governance. Secondly, the study did not very well on the discussion of the historical experience of the educational governance, and the further study may make the literature review further, excavate the historical experience and lesson of educational governance. Thirdly, the study did more discussion on the practice of educational governance from the government department or agency and less from the individual actors of government officials, but the government officials are the main executives, their behavior style and strategy in the practice of educational governance are the direction of further study.更多还原