美国公立高等院校内部问责制研究
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摘要
当前,高等教育质量问题已成为各国高等教育领域关注的焦点。美国高等教育领域通过高等教育问责制来有效回应高等教育利益相关方的责任诉求,提升高等教育质量。在美国高等教育走向大众化的进程中,公立高等院校内部教育质量与管理潜在的问题使得公众对高等教育的信任下降,同时公立高等院校面临着高等教育经费有限、市场竞争激烈、教育成本增加等诸多的问题。1972年,美国宾夕法尼亚州立大学教授肯尼斯在其著作《高等教育问责制》中第一次提出了“内部问责制”的概念,此后格拉汉姆·派翠西业、马丁·特罗、约瑟夫·博克等学者呼吁高等院校加强内部问责制,倡导高校内部评估与改革。公立高等院校内部问责制逐渐成为高等教育问责制的重要转向与发展趋势。作为自我管理的一项制度和一种实践手段,内部问责制是美国公立高等院校以改进完善为目的的自我评价监督过程与学校内部教育质量保障的自觉行动。内部问责制是公立高等院校内部质量主体基于质量契约而履行责任的过程,其宗旨在于提升内部教育质量。
从历史上看,在社会契约论及新公共管理理论的影响下,履行责任、,绩效评估的理念被引入美国高等教育领域,公立高等院校开始被追究责任,高等教育评估运动也随之兴起,美国公立高等院校内部问责制逐渐形成。20世纪60年代以前,美国联邦政府通过《莫里尔法案》、《退伍军人权利法案》、《国防教育法》等加强了对公立高等院校的管理：从60年代至80年代,《初等和中等教育法案》和《科尔曼报告》的出台强化了教育问责制,公共信任危机和高等教育则政危机的冲击使得内部问责制得到初步发展；80年代以后,美国政府进一步规范了公立高等院校的权责范围,公立高等院校内部问责制逐渐走向成熟并日渐成为美国公立高等院校自我管理与提升内部教育质量的重要制度。
从理论上看,伯顿·克拉克建构了高等教育系统的“三角协调模型”,此后约瑟夫·博克、马丁·特罗、罗宾·米德赫斯特构建起“问责制三角形”,揭示了高等教育与政府、市场相互制约的基本思想。以莫里斯·柯根、布伦达·纽曼、理查德·艾尔默、约瑟夫·博克为代表的专业主义理论派学者认为,内部问责制是一种专业问责制,是学校内部学术机构的自我问责和规范行为。德怀特·弗林克和理查德·克里姆斯基的角色理论、里昂·莱森格的行为主义理论扩展了内部问责制的理论视域。通过对以上理论的考察,可以构建由政府、高等院校与市场组成的高等教育问责制模型：问责制与信任是此三角模型的核心矛盾体,美国公立高等院校处于外部行政问责制、专业内部问责制、市场外部问责制的动态博弈中,此模型蕴含着国家、高等教育与市场协调发展的内在逻辑。
从构成要素上看,以校长为代表的学校高级行政管理者和以学术权力为代表的学术评议会是美国公立高等院校内部问责制的主体,教师、学生等质量主体是内部问责制的客体,内部问责制的实质是内部利益相关者之间的相互问责并形成了一种质量文化。课程与教学、学术与科研、教师与学生、学校组织机构的质量是内部问责制的主要内容；作为内部问责制的核心要素,绩效指标一般由州高等教育协调委员会和公立高等院校共同设计,由于其具有全面性、深入性、政策导向性等特点,在公立高等院校的管理和发展中起到了越来越重要的作用；内部组织机构的运行为内部问责制提供了可行的技术路径和坚定的组织保障。内部问责制经过近四十年的发展已建立起相对完善的运行机制,其实施途径包括内部审查、内部评估、内部审计和自愿问责制等。美国公立高等院校通过提交或发布内部审查报告的方式对内部问责制的实施效果予以记录,美国德克萨斯大学奥斯汀分校的案例证明内部问责制取得了积极的成效。
内部问责制强调专业问责,强调高等院校质量主体的责任意识,重点关注学生的成绩,倡导外部实体的监督,内部问责的目的不是为了追究责任,而是为了改进高等院校的教育质量。内部问责制对美国高等教育的发展产生了积极的影响。内部问责制增强了美国公立高等院校的主体责任意识、提升了教育质量、形成了质量文化、为各国高等教育内部质量保障体系的构建树立了典范。同时,内部问责制也面临着一些挑战。根据巴巴拉·罗姆泽克的问责制理论,内部问责制是高等院校的专业问责制,表达了对专业知识和高校自治权的尊重。内部问责制与外部问责制是对立统一的关系,形成“以外促内、内外结合”的质量保障体系是美国公立高等院校质量保障体系的总体目标。高等院校的多样性与差异性使内部问责制没有统一的评价标准。
内部问责制的理念与我国倡导提升高等教育质量的理念是契合的。《国家中长期教育改革和发展规划纲要(2010-2020年)》、《关于全面提高高等教育质量的若干意见》均提出加强高校自我评估,健全高等院校校内质量保障体系。内部问责制给我国高等院校内部质量保障体系的构建带来以下几点启示：明确高等院校内部责任权限,建立内部质量主体相互制约的平衡关系模式；构建高等院校内部质量保障机制,构建多层次、多结构的内部质量保障机制；设计内部评估指标体系,坚持多样性与统一性相结合的原则；设立内部质量评估机构,监控与评估高等院校内部教育质量;营造高等院校内部质量文化,构建“以人为本”、“人人有责”的质量文化。
Higher education quality problem has become a focus of the field of highe r education all over the world at present. Through higher education accountabilit y, higher education sector in the United States effectively responded to the pers uit of higher education stakeholders and improved the quality of higher educatio n. In the process of popularization of higher education in United States, internal quality and potential management problems of public institutions of higher edu cation made the decline of public trust in higher education. At the same time, public colleges and universities was facing many problems, such as the higher e ducation funds was limited, market competition was intense, educational costs w as increased and many other issues. In1972, professor of Pennsylvania state un iversity Kenneth P. Mortimer firstly put forward the concept of "internal accoun tability" in his book "Accountability in Higher Education". Later, Graham Patric ia Albjerg, Martin Trow and Joseph C. Burke called for colleges and universitie s to strengthen internal accountability and promote the internal assessment and r eform. Internal accountability of public colleges and universities had become an important steering and the development tendency of higher education accountab ility.
As a system of self-management and a practical method, internal accountab ility is the process of self-evaluation for improvement and the internal education al quality assurance conscious action inside U.S. public colleges and universities. Internal quality subjects of public colleges and universities conclude a contract ual relationship based on the quality responsibility, internal accountability is the process of undertaking of responsibilities. The core idea of internal accountabilit y is to enhance the internal quality of public colleges and universities.
Historically, under the influence of Social Ccontract Theory and New Publi c Management Theory, the idea of responsibility and performance evaluation wa s introducaed into Ameirican higher education area. Public colleges and universi ties began to be held accountable, higher education evaluation movement also ri sed immediately, internal accountability of public institutions of higher education had gradually formed. Before the nineteen sixties, the United States federal go vernment strengthened the management of public institutions of higher education through "Morrill Act","GI Bill" and "National Defense Education Act". From60's to80's,"Elementary and Secondary Education Act" and "Coleman report" and "Coleman Report" reinforced the educational accountability; Public trust cris is and the financial crisis of higher education made internal accountability get p reliminary development. Since the nineteen eighties, U.S. government furtherly st andardized the responsibility scope of public institutions of higher education, int ernal accountability gradually became mature and became a system of self-mana gement which improved the internal quality of public colleges and universities.
From a theoretical point of view, Burton R. Clark constructed the "triangle of coordination" of higehr education system. After that. Joseph C. Burke. Mart in Trow and Robin Middlehurst established "accountability triangle" which revea led the basic idea of interaction of government, market and higher education. T he professional theory scholar Maurice Kogan, Brenda Neuman-Sheldon, Richard F. Elmore and Joseph C. Burke regarded internal accountability as a kind of p rofessional accountability, a kind of self-accountability and regulate behavior in public colleges and universities. Dwight D. Frink and Richard J. Klimoski's Rol e Theory, Leon M. Lessinger's Behavioral Accountability expended the view of internal accountability theory. Through the investigation of the theory above, we can build the ideal model of the accountability of higher education:accountabil ity and trust are the core contradiction in the triangle model, U.S. public colleg es and universities dominated by the dynamic game of external administrative a ccountability. Professional internal accountability and market external accountabili ty. This model contains the intrinsic logic of the development of the country, hi gher education and market coordination.
From the constituent elements of view, the principal with the colleges and universities's senior administrators and the academic power with the academic se nate are the subjects of internal accountability. Teachers, students and other qual ity of main body are the objects of internal accountability. The essence of inter nal accountability is the mutual accountability between internal stakeholders whi ch formes a culture of quality. The quality of curriculum and teaching, academi c and research, teachers and students, the school organizations are to be held ac countable in internal accountability. As the core elements of internal accountabili ty, performance indicators are generally designed by State Higher Education Coo rdinating Council and public institutions of higher ecuation. Performance indicat ors have the characteristics of comprehensive, deeping-going and policy-guidance, so they play a more and more important role in the management and develop ment of public colleges and universities. At the same time, the operation of int ernal organizations for internal accountability provides a feasible technology path and a strong organization guarantee.
After nearly forty years of development, internal accountability has establish ed a relatively perfect operation mechanism, the implementation ways including internal reviews, internal audit, internal assessment, internal audit and the volunt ary system of accountability. The U.S. public colleges and universities submit or publish institutional reports to record the implementation effect of internal acco untability. The University of Texas at Austin case proves that the implementatio n of internal accountability has achieved positive results.
Internal accountability emphasizes professional value orientation and stresses the responsibility of quality of main body, focus on student's achievements and advocates the supervision of external entities. The purpose of internal accounta bility is not to be held accountable, but to improve the educational quality of p ublic colleges and universities. Internal accountability has a positive effect in th e development of American higher education. It enhances responsibility consciou sness of the main body in U.S. public colleges and universities, improves the q uality of U.S. public colleges and universities, constructs the culture of quality and sets a good example for constructing internal quality assurance system of hi gher education for other countries. Also, internal accountability faces some chall enges. According to Barbara S. Romzek's accountability theory, internal account ability is a kind of professional accountability in public colleges and universities which expresses the respect for professional knowledge and university autonom y. The realationship between internal accountability and external accountability is unity of opposites, to form "promoting the outside, combination of inside and outside" quality guarantee system is the overall goal of U.S. public colleges and universities. There is no unified evaluation criterion for internal accountability because of the diversity and difference of U.S. public colleges and universities.
The idea of internal accountability corresponds to the concept of improving the quality of higher education in our country."National medium and long-ter m educational reform and development plan (2010-2020)" and "Some suggestion s on improving the quality of higher education comprehensively" propose to stre ngthen self-assessment and establish internal quality assurance system in colleges and universities. Internal accountability can bring the following enlightenments for constructing internal quality guarantee system in colleges and universities in our country:firstly, making the internal responsibility clear in colleges and univ ersities, establishing, the balance relationship model of internal quality subjects r estrict each other; secondly, constructing internal quality guarantee mechanism of higher education, building the mechanism of multi-level, multi-structure internal quality assurance; thirdly, designing internal evalution indicator system, adhere t o the principle of combination of diversity and unity; fourthly, setting up intern al quality assessment agencies, monitoring and evaluating the internal quality of education in colleges and universities; fifthly, constructing the internal culture o f quality of colleges and universities, building "people-oriented" and "everybody-responsibled" quality culture.
从历史上看,在社会契约论及新公共管理理论的影响下,履行责任、,绩效评估的理念被引入美国高等教育领域,公立高等院校开始被追究责任,高等教育评估运动也随之兴起,美国公立高等院校内部问责制逐渐形成。20世纪60年代以前,美国联邦政府通过《莫里尔法案》、《退伍军人权利法案》、《国防教育法》等加强了对公立高等院校的管理：从60年代至80年代,《初等和中等教育法案》和《科尔曼报告》的出台强化了教育问责制,公共信任危机和高等教育则政危机的冲击使得内部问责制得到初步发展；80年代以后,美国政府进一步规范了公立高等院校的权责范围,公立高等院校内部问责制逐渐走向成熟并日渐成为美国公立高等院校自我管理与提升内部教育质量的重要制度。
从理论上看,伯顿·克拉克建构了高等教育系统的“三角协调模型”,此后约瑟夫·博克、马丁·特罗、罗宾·米德赫斯特构建起“问责制三角形”,揭示了高等教育与政府、市场相互制约的基本思想。以莫里斯·柯根、布伦达·纽曼、理查德·艾尔默、约瑟夫·博克为代表的专业主义理论派学者认为,内部问责制是一种专业问责制,是学校内部学术机构的自我问责和规范行为。德怀特·弗林克和理查德·克里姆斯基的角色理论、里昂·莱森格的行为主义理论扩展了内部问责制的理论视域。通过对以上理论的考察,可以构建由政府、高等院校与市场组成的高等教育问责制模型：问责制与信任是此三角模型的核心矛盾体,美国公立高等院校处于外部行政问责制、专业内部问责制、市场外部问责制的动态博弈中,此模型蕴含着国家、高等教育与市场协调发展的内在逻辑。
从构成要素上看,以校长为代表的学校高级行政管理者和以学术权力为代表的学术评议会是美国公立高等院校内部问责制的主体,教师、学生等质量主体是内部问责制的客体,内部问责制的实质是内部利益相关者之间的相互问责并形成了一种质量文化。课程与教学、学术与科研、教师与学生、学校组织机构的质量是内部问责制的主要内容；作为内部问责制的核心要素,绩效指标一般由州高等教育协调委员会和公立高等院校共同设计,由于其具有全面性、深入性、政策导向性等特点,在公立高等院校的管理和发展中起到了越来越重要的作用；内部组织机构的运行为内部问责制提供了可行的技术路径和坚定的组织保障。内部问责制经过近四十年的发展已建立起相对完善的运行机制,其实施途径包括内部审查、内部评估、内部审计和自愿问责制等。美国公立高等院校通过提交或发布内部审查报告的方式对内部问责制的实施效果予以记录,美国德克萨斯大学奥斯汀分校的案例证明内部问责制取得了积极的成效。
内部问责制强调专业问责,强调高等院校质量主体的责任意识,重点关注学生的成绩,倡导外部实体的监督,内部问责的目的不是为了追究责任,而是为了改进高等院校的教育质量。内部问责制对美国高等教育的发展产生了积极的影响。内部问责制增强了美国公立高等院校的主体责任意识、提升了教育质量、形成了质量文化、为各国高等教育内部质量保障体系的构建树立了典范。同时,内部问责制也面临着一些挑战。根据巴巴拉·罗姆泽克的问责制理论,内部问责制是高等院校的专业问责制,表达了对专业知识和高校自治权的尊重。内部问责制与外部问责制是对立统一的关系,形成“以外促内、内外结合”的质量保障体系是美国公立高等院校质量保障体系的总体目标。高等院校的多样性与差异性使内部问责制没有统一的评价标准。
内部问责制的理念与我国倡导提升高等教育质量的理念是契合的。《国家中长期教育改革和发展规划纲要(2010-2020年)》、《关于全面提高高等教育质量的若干意见》均提出加强高校自我评估,健全高等院校校内质量保障体系。内部问责制给我国高等院校内部质量保障体系的构建带来以下几点启示：明确高等院校内部责任权限,建立内部质量主体相互制约的平衡关系模式；构建高等院校内部质量保障机制,构建多层次、多结构的内部质量保障机制；设计内部评估指标体系,坚持多样性与统一性相结合的原则；设立内部质量评估机构,监控与评估高等院校内部教育质量;营造高等院校内部质量文化,构建“以人为本”、“人人有责”的质量文化。
Higher education quality problem has become a focus of the field of highe r education all over the world at present. Through higher education accountabilit y, higher education sector in the United States effectively responded to the pers uit of higher education stakeholders and improved the quality of higher educatio n. In the process of popularization of higher education in United States, internal quality and potential management problems of public institutions of higher edu cation made the decline of public trust in higher education. At the same time, public colleges and universities was facing many problems, such as the higher e ducation funds was limited, market competition was intense, educational costs w as increased and many other issues. In1972, professor of Pennsylvania state un iversity Kenneth P. Mortimer firstly put forward the concept of "internal accoun tability" in his book "Accountability in Higher Education". Later, Graham Patric ia Albjerg, Martin Trow and Joseph C. Burke called for colleges and universitie s to strengthen internal accountability and promote the internal assessment and r eform. Internal accountability of public colleges and universities had become an important steering and the development tendency of higher education accountab ility.
As a system of self-management and a practical method, internal accountab ility is the process of self-evaluation for improvement and the internal education al quality assurance conscious action inside U.S. public colleges and universities. Internal quality subjects of public colleges and universities conclude a contract ual relationship based on the quality responsibility, internal accountability is the process of undertaking of responsibilities. The core idea of internal accountabilit y is to enhance the internal quality of public colleges and universities.
Historically, under the influence of Social Ccontract Theory and New Publi c Management Theory, the idea of responsibility and performance evaluation wa s introducaed into Ameirican higher education area. Public colleges and universi ties began to be held accountable, higher education evaluation movement also ri sed immediately, internal accountability of public institutions of higher education had gradually formed. Before the nineteen sixties, the United States federal go vernment strengthened the management of public institutions of higher education through "Morrill Act","GI Bill" and "National Defense Education Act". From60's to80's,"Elementary and Secondary Education Act" and "Coleman report" and "Coleman Report" reinforced the educational accountability; Public trust cris is and the financial crisis of higher education made internal accountability get p reliminary development. Since the nineteen eighties, U.S. government furtherly st andardized the responsibility scope of public institutions of higher education, int ernal accountability gradually became mature and became a system of self-mana gement which improved the internal quality of public colleges and universities.
From a theoretical point of view, Burton R. Clark constructed the "triangle of coordination" of higehr education system. After that. Joseph C. Burke. Mart in Trow and Robin Middlehurst established "accountability triangle" which revea led the basic idea of interaction of government, market and higher education. T he professional theory scholar Maurice Kogan, Brenda Neuman-Sheldon, Richard F. Elmore and Joseph C. Burke regarded internal accountability as a kind of p rofessional accountability, a kind of self-accountability and regulate behavior in public colleges and universities. Dwight D. Frink and Richard J. Klimoski's Rol e Theory, Leon M. Lessinger's Behavioral Accountability expended the view of internal accountability theory. Through the investigation of the theory above, we can build the ideal model of the accountability of higher education:accountabil ity and trust are the core contradiction in the triangle model, U.S. public colleg es and universities dominated by the dynamic game of external administrative a ccountability. Professional internal accountability and market external accountabili ty. This model contains the intrinsic logic of the development of the country, hi gher education and market coordination.
From the constituent elements of view, the principal with the colleges and universities's senior administrators and the academic power with the academic se nate are the subjects of internal accountability. Teachers, students and other qual ity of main body are the objects of internal accountability. The essence of inter nal accountability is the mutual accountability between internal stakeholders whi ch formes a culture of quality. The quality of curriculum and teaching, academi c and research, teachers and students, the school organizations are to be held ac countable in internal accountability. As the core elements of internal accountabili ty, performance indicators are generally designed by State Higher Education Coo rdinating Council and public institutions of higher ecuation. Performance indicat ors have the characteristics of comprehensive, deeping-going and policy-guidance, so they play a more and more important role in the management and develop ment of public colleges and universities. At the same time, the operation of int ernal organizations for internal accountability provides a feasible technology path and a strong organization guarantee.
After nearly forty years of development, internal accountability has establish ed a relatively perfect operation mechanism, the implementation ways including internal reviews, internal audit, internal assessment, internal audit and the volunt ary system of accountability. The U.S. public colleges and universities submit or publish institutional reports to record the implementation effect of internal acco untability. The University of Texas at Austin case proves that the implementatio n of internal accountability has achieved positive results.
Internal accountability emphasizes professional value orientation and stresses the responsibility of quality of main body, focus on student's achievements and advocates the supervision of external entities. The purpose of internal accounta bility is not to be held accountable, but to improve the educational quality of p ublic colleges and universities. Internal accountability has a positive effect in th e development of American higher education. It enhances responsibility consciou sness of the main body in U.S. public colleges and universities, improves the q uality of U.S. public colleges and universities, constructs the culture of quality and sets a good example for constructing internal quality assurance system of hi gher education for other countries. Also, internal accountability faces some chall enges. According to Barbara S. Romzek's accountability theory, internal account ability is a kind of professional accountability in public colleges and universities which expresses the respect for professional knowledge and university autonom y. The realationship between internal accountability and external accountability is unity of opposites, to form "promoting the outside, combination of inside and outside" quality guarantee system is the overall goal of U.S. public colleges and universities. There is no unified evaluation criterion for internal accountability because of the diversity and difference of U.S. public colleges and universities.
The idea of internal accountability corresponds to the concept of improving the quality of higher education in our country."National medium and long-ter m educational reform and development plan (2010-2020)" and "Some suggestion s on improving the quality of higher education comprehensively" propose to stre ngthen self-assessment and establish internal quality assurance system in colleges and universities. Internal accountability can bring the following enlightenments for constructing internal quality guarantee system in colleges and universities in our country:firstly, making the internal responsibility clear in colleges and univ ersities, establishing, the balance relationship model of internal quality subjects r estrict each other; secondly, constructing internal quality guarantee mechanism of higher education, building the mechanism of multi-level, multi-structure internal quality assurance; thirdly, designing internal evalution indicator system, adhere t o the principle of combination of diversity and unity; fourthly, setting up intern al quality assessment agencies, monitoring and evaluating the internal quality of education in colleges and universities; fifthly, constructing the internal culture o f quality of colleges and universities, building "people-oriented" and "everybody-responsibled" quality culture.
引文
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30.美国纽约州立大学http://www.suny.edu/
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33.加州大学伯克利分校http://www.berkeley.edu/index.html
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35.特拉华州立大学http://www. desu.edu/
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37.科罗拉多州立大学http://www.colostate.edu/
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