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中文题名:

 我国教育政策扩散中的政策再创造研究——以F市普通高中多样化发展政策为个案    

姓名:

 杨烁    

保密级别:

 公开    

论文语种:

 中文    

学科代码:

 120403    

学科专业:

 教育经济与管理    

学生类型:

 博士    

学位:

 教育学博士    

学位类型:

 学术学位    

学位年度:

 2021    

校区:

 北京校区培养    

学院:

 教育学部    

研究方向:

 教育管理    

第一导师姓名:

 余凯    

第一导师单位:

 北京师范大学教育学部    

提交日期:

 2021-06-22    

答辩日期:

 2021-05-28    

外文题名:

 RESEARCH ON POLICY REINVENTION IN THE DIFFUSION OF EDUCATION POLICY IN CHINA——A CASE STUDY ON THE DIVERSIFIED DEVELOPMENT POLICY OF GENERAL HIGH SCHOOLS IN F CITY    

中文关键词:

 教育政策 ; 政策扩散 ; 政策试点 ; 政策再创造    

外文关键词:

 Education policy ; Policy diffusion ; Policy pilot ; Policy reinvention    

中文摘要:

以政策试点为代表的政策试验被认为是中国实现经济腾飞并适应内外部复杂环境的关键。试点政策的扩散转移已经成为我国地方教育政策的常规供给方式,但政策实践的丰富性与政策理论的匮乏性形成鲜明的对比。纵览我国政策科学领域现状,政策创新扩散仍然是一个有待开拓的研究领域。在这一背景下,本研究结合当前国际政策扩散研究的发展前沿,将教育政策扩散中的政策再创造作为研究旨趣,试图探索和解释我国教育政策再创造的过程,以期能够丰富我国政策扩散相关理论。

研究以F市普通高中多样化发展政策为个案,通过对不同层级教育行政部门官员、项目学校校长和教师的访谈,对市教育局基础教育处日常工作的观察以及实物资料的收集等方法开展实地调研。在借鉴嵌入性理论和政策适应理论相关概念基础上,利用Nvivo12.0软件对大量一手资料进行了登录、编码,并以类属分析和情境分析相结合的方式呈现了政策再创造中的政策行动主体及其行为表现、情境性影响因素以及政策再创造的产出及其过程,从而建构了我国教育政策扩散中政策再创造的逻辑框架。

首先,政策再创造作为一项政策实践活动离不开政策行动主体,在F市普通高中多样化发展政策再创造过程中,市教育局、区(县)教育局和项目学校三大行动主体呈现出从核心到边缘的角色地位。由于政策认知和偏好不同,市教育局在政策再创造中体现的是一种“有限范围内的自主稳健行为”,区(县)教育局更多是一种“忠实执行上级政策要求”的行为,而项目学校作为政策目标群体,其行为表现体现出“借助政策谋发展”的特点。

其次,从情境性影响因素方面而言,政策扩散中的再创造可以被视为政策创新嵌入并适应新情境的过程。根据多级编码和类属分析,F市普通高中多样化发展政策再创造受到了结构性、制度性和关系性多重情境因素的影响。结构性因素是指政策创新受到社会结构背景的影响,包括政策资源、政策需求和场域压力;政策再创造也是政策嵌入到当地制度网络的过程,包括路径依赖、推动方式及行政文化等因素;政策行动主体与所处的社会结构和制度环境存在着交互作用,因此政策再创造也是一个嵌入到这种交互作用形成的社会关系结构中的过程,关系性因素涉及到政策属性以及政策再创造中的利益矛盾。

再次,从政策再创造产出及其过程来看,政策再创造是政策行动主体与所处情境要素相互作用下的产物,F市普通高中多样化发展政策再创造的产出归纳来讲,包括了政策体系、政策成果和政策偏差。其中,政策体系是指F市出台的普通高中多样化发展相关的系列政策;政策成果包括了量化指标,赋于特色高中合法性身份,政策引领促进学校发展,增强政策的区域影响力;政策偏差则包括专业性指导不足、政策缺损以及政策意外结果。然后结合原始资料,在梳理了F市普通高中多样化发展政策再创造过程的“故事线”基础上,建构了从制度化政策到借鉴、调整和重塑,再到政策产出和影响的政策再创造的逻辑框架。

此外,作为一项探索性研究,还得出以下初步结论:(1)我国教育政策的扩散或转移不是无差别的传播、复制的过程,政策在扩散过程中存在着重新解释和再创造的现象;(2)政策试点和政策学习是政策再创造中使用的重要工具,政策再创造是一个以“稳”为主的渐进性过程,同时政策学习对象具有多元性,是综合多个政策先行者政策实践基础上的行为;(3)教育政策扩散中的政策再创造可以被视为政策嵌入和适应新情境的过程,这个过程在受到政策行动主体认知、偏好和互动影响的同时,还受到多重情境性因素的影响;(4)教育政策改革的力量取决于执行者根据其自身制度环境和实践的理解对其进行重新解释,即政策行动主体与情境因素的交互作用是政策再创造产出的主要影响因素;(5)政策再创造并不能保证政策目标的完全达成,其结果不能简单地以成功或失败来评判,由于受到多重复杂因素的影响,可能会产生政策成果也可能会产生偏差;(6)政策再创造的产出在获取合法性后会成为制度化政策的部分,并影响着其他跟随者的政策采纳行为。

外文摘要:

The policy experimentation represented by the policy pilot is considered to be the key to realize China's economic take-off and adapt to the complex internal and external environment. The diffusion and transfer of pilot policies have become the conventional supply mode of local education policy in China, but the richness of policy practice is in sharp contrast to the scarcity of policy theory. Concerning the current status of policy science in China, policy innovation diffusion is still a research field worth of an exploration. In this context, combined with the current development trend of international policy diffusion research, this study takes policy reinvention in education policy diffusion as the research purport, attempting to explore and explain the reinvention process of China's education policy in order to enrich the relevant theories of China's policy innovation diffusion.

This study takes the diversification development policy of general high schools in F City as a case, through interviews with officials of different levels of education administrative departments, principals and teachers of project schools, observation of the daily work of the basic education department of the Municipal Bureau of education and collection of physical data. Based on the theory of Embeddedness and the theory of policy adaptation, this paper uses Nvivo12.0 software to log in and code a large number of primary data. It presents the subject of policy action and its behavior, situational influencing factors, and the output and process of policy reinvention by combining generic analysis and scenario analysis to construct the model of policy reinvention in China's education policy diffusion.

Firstly, as a policy practice activity, policy reinvention is inseparable from policy actors. In the process of a generally diversified development policy reinvention in F City, the three main actors of City Education Bureau, district (county) Education Bureau, and project school show their roles from the core to the edge. Due to different policy cognition and preference, the Municipal Bureau of education embodies a kind of "independent and steady behavior within a limited range" in policy reinvention, while the district (county) bureau of education is more of a kind of "faithful implementation of the superior policy requirements". As the target group of policy, the behavior of project schools reflects the characteristics of "seeking development with the help of policy".

Secondly, from the perspective of situational factors, reinvention in policy diffusion can be regarded as the process of policy innovation embedding and adapting to the new situation. According to the multi-level coding and category analysis, the reinvention of the diversified development policy of senior high schools in F City is affected by structural, institutional, and relational multiple situational factors. Structural factors mean that policy innovation is influenced by social structure background, including policy resources, policy demand, and field pressure. Policy reinvention is also the process of policy embedding into a local system network, including path dependence, promotion mode, and administrative culture. There is an interaction between the subject of policy action and the social structure and institutional environment. Therefore, policy reinvention is also a process embedded in the social relationship structure formed by this interaction. The relational factors are related to the policy attribute and the Conflict of interests in policy reinvention.

Thirdly, from the perspective of policy reinvention output and its process, policy reinvention is the product of the interaction between policy actors and situational factors. Generally speaking, the output of policy reinvention in the diversified development of general high schools in F City includes policy system, policy achievements, and policy deviation. Among them, the policy system refers to a series of policies related to the diversified development of general high schools issued by F City. The policy achievements include quantitative indicators, giving the characteristic high schools’ legitimacy status, policy guidance to promote the development of schools, enhancing the regional influence of policies. The policy deviations include insufficient professional guidance, policy defects, and unexpected results of policies. Then, combining the original data, based on arranging the "storyline" of the reinvention process of the diversified development policy of general high schools in F City, the logical framework of policy reinvention is constructed from institutionalized policy to reference, adjustment and remodeling, and further to policy output and influence.

         Besides, as an exploratory study, the following preliminary conclusions are drawn: (1) The diffusion or transfer of China's education policy is not a process of indiscriminate dissemination and replication. There is a phenomenon of reinterpretation and reinvention in the process of policy diffusion. (2) Policy pilot and policy learning are essential tools used in policy reinvention. Policy reinvention is a gradual process focusing on "stability". Meanwhile, policy learning objects are diversified, based on the practice of multiple policy pioneers. (3) The policy reinvention in the diffusion of education policy can be regarded as the process of policy embedding and adapting to the new situation. This process is affected not only by the cognition, preference, and interaction of policy actors but also by multiple situational factors. (4) The power of educational policy reform depends on the executors reinterpreting it based on their existing institutional environment and practical understanding; that is, the interaction between the subject of policy action and contextual factors is the main factor influencing the output of policy reinvention. (5) Policy reinvention does not guarantee the complete achievement of policy objectives, and its results cannot be judged simply by success or failure. Due to the influence of multiple complex factors, policy achievements or deviations may be produced. (6) After gaining legitimacy, the output of policy reinvention will become a part of institutionalized policy and affect the policy adoption behavior of other followers.
参考文献总数:

 270    

作者简介:

 杨烁,男,河北石家庄人,研究方向为教育政策、学校管理,博士就读期间发表论文7篇,其中CSSCI 5篇,并参与多项国家级课题。    

馆藏地:

 图书馆学位论文阅览区(主馆南区三层BC区)    

馆藏号:

 博120403/21003    

开放日期:

 2022-06-22    

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