【作者】 姚佳胜；

【导师】 张维平；

【作者基本信息】 西南大学 ， 教育学原理， 2014， 博士

【副题名】基于云南省M县中小学布局调整政策的田野考察

【摘要】 自2010年全国范围内实施中小学布局调整政策以来,该政策取得了一定的成效,但随之衍生的问题也越来越多,国家在2006年和2010年先后三次对该政策调整无效的情况下,于2012年暂停了这项政策。其问题的核心是这项政策在实施过程中没能真正做到对学校布局进行合理的调整。单向度的并校行动导致大量原本不该撤并的学校被撤并了,引发学生辍学率升高、教育资源浪费、上学安全存在隐患等一系列直接影响基础教育未来发展的严重问题。那么究竟是什么原因导致中小学布局调整政策的实施产生如此后果?布局调整政策作为教育政策的一种,其政策的制定和实施关乎哪些要素?各要素间的关系如何?对这些问题的回答,不仅能够透析中小学布局调整这个原本应具有重大价值的教育政策却问题丛生的深层次原因,回应这一教育政策暂停的事实;更为重要的是通过对中小学布局调整这一具体政策的剖析,寻找教育政策制定的基点,探索教育政策制定、执行与政策环境间的关系和互动规律,以免类似的教育政策失误再次发生,增强教育政策的适切性。基于以上问题,本研究采用田野考察的方法,探明政策制定和实施的具体过程和情况；以澄清现象及其背后的问题与成因；而这个问题又集中反映在M县中小学布局调整政策实施之中。M县作为少数民族地区,又是我国边疆地区,而且它在中小学布局调整政策实施过程中引发的问题又最为严重,具有典型性和代表性。同时运用深度访谈和参与观察等研究方法,力求探明政策制定和实施的具体过程和情况,澄清现象及其背后的政策问题与成因。本研究从政策执行的结果入手,沿循如下步骤对问题进行了层递式探究。第一步,中小学布局调整政策探析与并校问题呈现。运用文献法与田野考察法对不同层级的中小学布局调整政策进行梳理,对M县中小学布局调整进行历史与现状的考察,分析并校的成效与问题。研究发现：从短视的角度来看,M县特别适合集中办学,甚至这里集中办学的表层价值远远超过非民族地区。但是从民族和教育长远发展的角度来看,M县最不适合集中办学。而M县并校问题直接源自于中小学布局调整政策实施,因此需要进行政策归因分析。第二步,政策归因分析。基于布局调整政策和田野考察点的特点,主要选择了政策过程理论和政策生态学理论为本研究的理论基础,并在此基础上构建起本研究的分析框架。具体从中小学布局调整政策的制定、执行和政策环境三方面对并校产生的问题进行归因分析。将政策过程中的政策制定和政策执行两个核心部分置于政策生态环境背景之下进行阐释。主要原因在于政策定位不准,政策执行缺乏文化关照和地方特殊性政策环境因素考量不足等。第三步,法理探讨。由于教育政策效用的有限性,并校问题的许多原因在政策实施过程中又不可避免,所以有必要进一步探究政策本身的合理性问题,探讨教育政策制定的法理学基础。其原因在于教育政策出台缺乏严密法律程序的规制和教育政策对教育法的僭越。第四步,解决问题。在政策归因分析与法理探讨的基础上,从理论与实践两个层面提出本研究的问题解决建议。通过以上研究得到的结论是：1.教育政策实施的成败不仅与政策制定、执行和政策环境三者的协调相关,更为重要的是教育法、教育政策和地方管理三者的协调统一问题。2.教育政策制定与出台的出发点应该是“求实”,而非“唯上”,即教育政策的制定不能仅仅从理性出发,更为重要的是从教育发展的实际出发,要以人为本,要认识到教育政策效用的有限性。基于以上研究结论,本研究提出两方面的政策建议：第一,在教育政策实施的宏观方面,需构建政策行动一体化的政策过程体系；具体包括：宏观的,教育法、教育政策和地方管理的一体化；中观的,教育政策制定、教育政策执行和教育政策环境的一体化；微观的,教育政策精神与教育政策主体的一体化。进而使政策的出台更为有理有据,有法可依；使政策的实施不以人的主观意志为转移,形成前后连贯的逻辑体系；打破政策仅仅简单的贯彻和执行,使其成为人行动的基本理路。第二,在民族地区中小学布局调整政策实施的具体建议方面,主要根据政策行动一体化理论体系提出民族地区未来中小学布局调整的具体政策建议,即,增强政策主体关照民族文化的政策价值观；采取文化安全至上的政策实施原则；提升小规模学校发展的政策保障水平；关照民族地区特殊性政策环境因素；保障学生就近入学的权利。更多还原

【Abstract】 Since the implementation of layout adjustment policy of primary and secondary schools in2010nationwide, the policy has achieved some success, but the attendant problems have also arisen more and more. In the case of ineffective adjustment thrice in2006and2010, this policy was suspended in2012. Its core issue is that this policy was not really reasonable adjustment to the school layout in the process of implementation. Unidirectional consolidation school action lead to a lot of schools which should not be merged were merged, causing a series of serious problems which directly affect the future development of basic education such as a waste of educational resources and student drop-out rate increases. What is that causes such consequences that school layout adjustment policy implementation produce? As an educational policy, what elements are related to the policy formulation and implementation? What about the relationship between these elements? The answers to these questions can not only analyze the deep-seated reasons why the policy which should originally have significant value was problematic at last, but also respond to the fact of the its suspension. More importantly, through analyzing this particular policy, the purpose is to find the starting point of making the education policy, to explore the relationship and interactive laws among educational policy making, implementing and policy environment, in order to avoid similar mistakes happening again and strengthen applicableness of education policy.Based on the above issues, adopting fieldwork methods, this study verifies the specific process and circumstances of the policy formulation and implementation to clarify the underlying issues and causes of the phenomenon. This issue has epitomized in the school layout adjustment policy implementation in M county. As one county in minority and border areas, its problems in school layout adjustment policy implementation process are the most serious and also typical and representative. The use of depth interviews and participant observation strive to ascertain the specific process and the situation of policy formulation and implementation, clarify the underlying policy issues and causes of the phenomenon. In this study, the following steps to explore issues in progressive style are as follows. The first step is school layout adjustment policy analysis and merging schools issues presentation. The use of literature and fieldwork methods sorts out different levels of school layout adjustment policies, investigates M county school layout adjustment history and current situation and analyzes its effectiveness and problems. The study has founded that from short-sighted perspective, M county is especially suitable for centralized school sponsoring, and its surface value even far exceeds the value of the non-ethnic school districts. However, from the perspective of long-term development of the nation and education, M county is not least suitable for centralized school sponsoring. The merging schools problems are mainly derived from the implementation of the policy on school layout adjustment, so that the policy attribution analysis is needed. The second step is the policy attribution analysis. Based on the characteristics of the layout adjustment policies and fieldwork place, the policy process theory and policy ecology theory are chosen as the theoretical basis of the study, to build up the analytical framework of the study. The problems produced by merging schools are analyzed from the formulation, implementation of school layout adjustment policies and policy environment. The two core parts of the policy formulation and implementation in the policy process are placed under the background of the policy ecology environment to explain. The specific reason is that the policy positioning is inadequate, that the policy implementation is lack of culture care and that local special policy environmental factors are lack of consideration. The third step is the legal discussion. Due to the limited effectiveness of education policy, many reasons for merging schools problems in policy implementation process are inevitable, it is necessary to further explore the rationality of the policy itself, to explore the jurisprudence basis of education policy formulation. The reason is that education policy producing is lack of strict regulation and that education policies transgress education laws. The fourth step is to solve the issues. The suggestions solving the issue are put forward from two levels of the theory and practice on the basis of policy attribution analysis and legal discussion.Through the above examination, the findings are as follows.(1) Not only the success or failure of the implementation of education policy is related to the coordination between policy formulation, implementation and policy environment, even more importance is of the harmonization between education law, education policy and the local management.(2) The starting point of making and producing of educational policy should be realistic, rather than authority-centered. That is to say, the formulation of education policy cannot proceed from rationality, but from the actual situation of the educational development and being people-oriented. The limitations of education policy effectiveness should be recognized. Based on these research findings, two aspects of policy recommendations in this study are put forward:First, in the macroscopic aspects of education policy implementation, it’s need to build policy process system included an integrated policy actions, specifically including the integration of education law, education policy and local governance, the integration of policy formulation, policy implementation and policy environment, as well as the integration of policy spirit and policy subjects. Thereby the introduction of the policy is more reasonable and well-grounded. The implementation of the policy is independent of man’s will and forms a coherent logic system. The basic thought that the policy is simply to be implemented and enforced should be broken. Second, in the specific proposal of school layout adjustment policy implementation in ethnic areas, the specific policy recommendations of future school layout adjustment policy in ethnic areas under the guidance of the theoretical system of integrated policy action are put forward. That is, Strengthen the policy values that the policy subject cares for the national culture; Take the principle of policy implementation that the cultural security comes first; Enhance the policy guarantee level of small-scale school development; Take care of special policy environment factors in national regions; Guarantee the neighborhood school right.更多还原