【作者】 孙士杰；

【导师】 周鸿；

【作者基本信息】 西南大学 ， 教育学原理， 2010， 博士

【摘要】 社会资本理论作为继物质资本理论、人力资本理论之后又一个解释经济社会发展的理论体系和分析框架,融合了文化人类学、社会学和经济学等三大学科,被广泛应用于社会学、经济学、管理学、政治学、教育学等领域,在解释国家和企业发展、劳动力就业、职位获取与升迁等方面显示出了很强的解释力。社会资本理论从20世纪90年代中期引入中国以来,产生了深远和广泛的影响。这一个方面是因为我国具有“关系本位”的文化传统,同时也是由于1978年启动的改革开放加速了我国社会的转型,使社会资本的价值凸显,近些年我国倡导和谐社会的建设也需要社会资本理论的指导。伴随着我国社会的转型,适应社会主义市场经济体制的学校管理体制与运行机制的逐步建立,学校获得发展所需资源和取得竞争优势的竞争日益加剧,要求学校必须重视社会资本的投资或生成；但是由于我国学校间社会资本的存量和开发意识方面存在着很不均衡的问题,一些学校管理者在培育和投资社会资本的观念上也还存在一些问题,尤其是对如何去生成社会资本的理性认识不是很清晰,急需学校社会资本生成的理论指导。但是由于我国理论界引入社会资本理论分析我国教育改革与发展的时间还比较短,加之社会资本理论本身的不成熟和复杂性,有关学校社会资本的理论和实践的研究还亟待深入和完善。学校社会资本研究中存在的问题主要有：一是很多研究没有从“社会资源”上去认识学校社会资本的本质；二是很多研究的对象只是针对学校中某一类人如教师、校长、学生等,对学校层次社会资本的研究不够；三是关于学校社会资本与学校发展的关系研究较多,而针对学校社会资本自身是如何生成的研究不够。本论文以“学校社会资本的生成研究”为题弥补了学校社会资本研究的不足,能够在一定程度上增强学校管理者关于社会资本生成的理性认识,为学校社会资本的生成提供理论指导。本论文在研究过程中,参阅了大量的有关社会资本与学校管理的学术文献,问卷调查了281位中小学和幼儿园的学校领导,访谈了包括高等学校、中初等学校在内的十所学校领导,搜集了比较丰富的材料,为本研究的展开和结论的得出提供了比较充分的支撑。依据社会资本理论、学校管理和经营理论,本论文将学校社会资本界定为学校这一社会行动者所拥有的社会资本,具体是指学校存在(包括客观存在和主动建构的)于社会网络关系之中并能够被学校投资和利用以便实现学校目标的社会资源。本研究认为,学校社会资本的生成存在一定的规律性,或者说制约学校社会资本生成的诸要素间存在规律性联系。本研究将制约学校社会资本生成的要素区分为四个层面,其分别是学校社会资源观、学校社会关系网络、学校社会信任以及学校社会地位。这四个方面的内在联系是：因为学校社会资本就其本质而言是学校潜藏在社会关系网络中的社会资源,学校社会资本之所以对学校具有不可替代的价值就在于其是学校发展不可或缺的社会资源,所以学校社会资本生成的第一步就是要确立其“汲取社会资源”的目标取向,树立“学校社会资源观”,学校社会资源观统辖着学校社会关系网络的构建、学校社会信任的赢取以及学校社会地位的获取;而学校社会资源是依托社会关系网络流动的,学校社会关系网络是其流通的渠道或者承载的载体,所以学校要生成其社会资本必须构建其社会关系网络,这是学校社会资本生成的第二步；社会关系是通过互惠和信任而建立和维系的,社会信任是学校社会关系的“粘合剂”和“润滑剂”,其直接影响着学校利益相关者动用其资源支持学校发展的意愿,同时社会信任也影响到学校的社会声望,所以社会信任是学校社会资本生成的机制,学校要生成其社会资本还必须赢取社会信任,这是生成学校社会资本的第三步；最后,因为学校在社会结构中的位置亦即学校社会地位也是制约学校社会资本生成的一个重要因素,学校所拥有的财富、权力是学校完成自身使命、履行社会责任、参与社会交换、与利益相关者互惠的前提,声望是标识学校地位的一个综合指标,其既是影响社会信任的一个前提,又是影响社会信任的一个因子,所以学校要生成其社会资本还必须从提升自己的社会地位着手,这是学校社会资本生成的第四步。上述四个层面是学校社会资本生成的制约因素,四个步骤反映着社会资本生成的过程特征。这四个层面的相互影响或互动过程反映了学校社会资本生成的路径和逻辑。本研究的价值体现在理论和实践两个方面。先从理论价值来看,本研究尝试借鉴和运用社会资本理论揭示学校社会资本生成的规律,不仅拓展了社会资本的研究领域,而且也在一定程度和特定范围上丰富了社会资本特别是社会资本生成的理论；本研究从学校所处的环境和社会结构出发,研究了学校社会资本的生成规律,从行动与结构的理论视角探讨了学校发展的路径和学校运行的逻辑,为学校管理学提供了方法论的指导和新的研究框架。再从实践价值上看,由于学校的性质决定了学校社会资本生成的价值取向只能是促进学生发展、教师发展和学校发展,所以其实践价值首先表现在,本文尝试探讨的学校社会资本的生成规律,对学校生成其社会资本、促进学校发展具有一定的指导意义,学校行动者通过这些规律的认识和运用有助于其先赋社会资本的维护和自致社会资本的生成；本研究可以使学校行动者从社会结构中认识学校,改变其原子主义的认识方法论,克服学校的“孤岛现象”,为构建教育“功能共同体”和获取各种所需资源提供指导；有助于学校树立正确的社会资本观,避免将社会资本庸俗化。本研究也在尝试进行一些创新,具体表现在以下三个方面。首先是选题,该选题从生成方面研究学校社会资本,在教育研究领域中具有新颖性；其次是逻辑体系,该文把学校社会资本的生成逻辑概括为“树立社会资源观”、“构建学校社会关系网络”、“赢取社会信任”和“获取学校社会地位”,相对于企业和其他社会组织的社会资本的生成研究也是一种创新；再次是观点方面,首次系统论述了“学校社会资源观、学校社会关系网络、学校社会信任以及学校社会地位”与学校社会资本生成的关系。更多还原

【Abstract】 Following the theories of physical capital and human capital, the theory of social capital also serves as a theoretical system and analytical framework used for explaining economic and social development. Because of its integration of three disciplines, namely, cultural anthropology, sociology and economics, the theory of social capital has been widely applied in the fields of sociology, economics, management, politics and pedagogy, and has gained strong explanatory power in terms of the development of nations and enterprises, employment, landing of jobs and promotion. Since its introduction into China in the mid-1990s, the theory has had an extensive and far-reaching effect for the following three reasons:China’s long established cultural tradition of "Relation (Guanxi) Orientation", the bulging value of social capital spurred by the ongoing social transformation since the reform and opening up in 1978, and social capital as theoretical guidance in the construction of harmonious society.With China’s ongoing social transformation and the formation of the school-managing and-operating mechanism adjusted to the socialist market economy, the competition for resources to push the development of schools and for their sharper competitive edges is becoming increasingly fierce. Under such a context, schools have to attach great importance to the investment and generation of their social capital. Unfortunately, there is an imbalance among schools in terms of their stock of social capital and level of awareness of its exploitation, and there are also, on the part of some school administrators, problematic views about the cultivation and investment of social capital, plus their lack of a clear idea of how social capital is produced, hence a cry for the theoretical guidance on the generation of school social capital.The theory of social capital is relatively a new thing in explaining China’s educational reform and development, plus its immaturity and complexity, so studies concerning the theory of school social capital and its application suffered in depth and comprehensiveness. The problems in these studies are:Some studies didn’t approach the nature of social capital from the perspective of "social resources;" other studies limited their subjects to such school personnel as schoolmasters, teachers and students, lacking in the research of social capital on the school level; still other studies focused only on the relationship between school social capital and school development, failing to investigate how school social capital is generated. This dissertation, entitled "A Study of the Generation of School Social Capital", intends to make up for the inadequacy of the above studies, enhance school administrators’theoretical knowledge of the generation of social capital, and offer some guidance to the generation of school social capital.In carrying out the research and finally reaching the conclusion, the following has been done: Academic literature concerning social capital and school management was widely collected and read; questionnaires were given to 281 administrators of kindergartens, primary and secondary schools; and 10 schoolmasters and university presidents were interviewed. Based on theories of social capital and school management, this dissertation defines school social capital as the social capital possessed by schools as social actors, specifically speaking, the social resources that are generated from the social network where schools are in (automatically "in" and actively "involved in") and that can be invested and exploited by schools for the realization of their goals. This study holds that the generation of school social capital follows its own laws; or rather there exists a law regulating the relationship between the elements that affect the generation of school social capital. The elements determining the generation of school social capital are respectively a school’s outlook on social resources, its social networks, social credibility and social status, and the intrinsic relationship among the four elements may be explained as follows:School social capital is in nature a kind of social resources embedded in a school’s social network, and it is of irreplaceable value to a school’s development; the first step for a school to take in generating school social capital is to set its value orientation for "occupying social resources" and form its "outlook on social resources," because such an outlook determines the construction of a school’s social network and the gaining of its social credibility and social status. The second step for a school to take is to construct its social network because its social capital flows in its social network, or in other words, the latter is the circulation channel or carrier of the former. The social network of a school is formed through the mutual profit and trust between the school and the parties concerned, so its social credibility, the "adhesives" or "lubricants" in forming the network, may directly affect its social prestige and the will of those parties concerned to use their resources in support of the school’s development, hence the third step in generating school social capital: gaining social credibility. The fourth step is to upgrade the social status of schools. A school’s social status may include its wealth and power and its prestige in the social structure, and in generating school social capital, the wealth and power of a school may help the school carry out its missions, take its social responsibilities, participate in social exchanges and win mutual profit among schools and their benefit-related counterparts, whereas social prestige is a comprehensive index signifying the social status of a school in that it is the precondition as well as the element for the gaining of social credibility. The above-mentioned four elements determine the generation of school social capital, and the four steps described show the process of its generation and characteristics. The interplay and interaction between the four elements eventually forms the law that governs the generation of school social capital.The study is of both theoretical and practical value:Theoretically, in using the theory of social capital for revealing the generating rules of school social capital, the research expands the theory’s field of application, and enriches, in the specified field, the theory of social capital and of its generation especially. Moreover, the paper, based on the milieus and social structure that schools are in, explores the generating rules of school social capital, discusses, from the theoretical perspective of action and structure, the routes and logic along which schools may develop and operate, and offers methodological guidance and a new research framework to school management. Practically, the exploration of the generating rules of school social capital may guide the actual generating process in that schools as social actors, by mastering and employing the rules, may defend their given social capital and strive for more. Besides, the research may enable schools as social actors to know school from the angle of social structure, to end their atomist epistemology and the resultant phenomenon of schools as "isolated islands", and to afford guidance to the construction of a "functional community" of education and to the obtaining of various kinds of resources needed.There are three creative points in the paper as follows:Firstly, the topic itself is creative in that the perspective-the generation of school social capital-from which the study is conducted is new in the research field of education. Secondly, the logical system used is creative:The paper strictly follows a logical line in summarizing the generation of school social capital, from "forming the awareness of social resource" to "constructing school social network," to "winning societal trust" and finally to "obtaining school social status", and it is new as compared with studies about the generation of social capital in enterprises and other social organizations. Lastly, the arguments raised are new:It is the first time that the relationship between the generation of school social capital and three factors about school-"the awareness of social resource," "social network of schools,""societal trust of schools"and "the social status of schools"-has been systematically discussed.更多还原