美国博士生教育质量评估体系发展研究
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摘要
博士生培养质量是知识经济时代高等教育质量的向标也是国家综合创新实力的一个重要指标。因此，博士生教育质量管理成为一个重要的社会问题。作为一种重要的应对举措，博士生教育质量评估很快成为高等教育研究领域重要的国际议题之一。鉴于发展水平和文化比较优势，本研究以美国博士生教育评估为对象，以评估体系的有效性为切入点，从历史发展和结构分析两个维度，全面解析了美国博士生教育质量评估体系的特征与未来走向。
从历史的视角，围绕促进博士生教育质量提升的终极目标，以评估目标、测量指标、评估主体、评估方法等为指标，可以发现美国博士生教育评估大约经历了三个阶段。第一，20世纪初叶的资格准入阶段：当时美国博士生教育改革的呼声与专业自我保护意识的觉醒，催生了美国的专业认证制度，这种严格的资格准入制度在美国博士生教育规范化管理中发挥了重要作用；第二，评估体系构建阶段：20世纪30年代以来对博士专业质量判断需求推动的博士生教育排名体系，形成了强大的外部驱动力，刺激了博士专业内部评估体系的变革，学术机构在他律与自律的合力推动下，建立了严格的内部评估体系；第三，评估体系的反思与重构阶段：20世纪90年代以后，在现实需求与学术研究的引领下，评估目标从规范化管理到提升质量、评估标准与质量的相关性逐渐增强、评估主体由单一走向多元、评估方法的选择上逐渐科学化和多样化。实践表明：有效性诉求是推动美国博士生教育评估体系发展的持续动力。
从结构分析的视角，美国博士生教育评估体系主要包括了专业认证、内部自评、社会排名等三种评估形式。它们各自遵循不同的评估模式和评估程序，在共同的质量价值追求下，致力于博士专业质量提升：专业认证组织以严格的程序对不同的专业进行评估，保证博士专业质量达到基本要求，实现规范博士专业的目的；全国性博士专业质量调查正在以不段完善的评估方法产生的强大影响，形成强大的外驱力，刺激着博士专业内部的变革；在外部刺激和组织内部自律合力推动下形成的专业内部评估体系，正以严格的内部自评、完备的过程评价、持续进行的形成性评价共同促进博士专业要素的理想组合。结构分析表明：美国博士生教育质量评估体系有效性取决于评估体系结构的合理性和不同层次评估体系的协调运行。
反思与重构是美国博士生教育评估体系自20世纪90年代开始的新主题。公众的质疑和评估体系的有效性问题成为反思的焦点。一系列的评估质量调查随即展开。基于调查分析，学术界为提高评估有效性提出了一系列对策建议：提高评估过程的科学性、增强评估结果的有用性和影响力、通过元评估提高评估质量。在现实需求与学术研究的推动下，美国博士生教育评估体系正在批判性反思中实现着自我超越，将会以有效性诉求为发展动力，发生一系列变迁，逐步向理想的目标迈进。
本研究的主要贡献在于基于对大量一手资料的分析，形成评估体系有效性的分析框架，对美国博士生教育评估体系发展进行了全景式的描述，并对其有效性进行了客观的分析，以期为中国博士生教育质量治理提供可资借鉴的评价模式参照，最终推动我国高等教育质量评估理论和评估实践的发展。
The quality of doctoral education is both the landmark of higher educaton and animportant index of the innovation capability of a country at the era of knowledge-basedeconomy.Therefore,the governance of doctoral education has drawn worldwideattention.As an important countermeasure,the assessment on the quality of doctoraleducation has become one of the most important international hot topics.Based on thedevelopmental level and the cutural comparative superiority,the disseration focuses onassessment at doctoral level from the perspective of histroy and structure,probes into itscharacterstics and future trend comprehensively.
Historical speaking,judged by the objectives,measurements,evalutors,methods ofthe assessment.,American assessment system at the doctoral level has experienced threeperiods on fulfilling the goal of promoting the enhancement of doctoral education quality.First,the period of certification admittance in the 20~(th) centry:the calling for doctoraledcuation standardization and the self consciousness of program self-protectionstimulated the birth of American program accreditation at that time,the rigorousaccreditation systesm had played an important role in the phase of Amercian doctoraledcuation standardization.Second,the period of the evaluation system construction:Since the 1930s,the information demand-driven ranking system started and became astrong external driving force to stimulate the internal reformatin of most docotoralprograms.Thus,many institutions began to set up rigorours internal assessment system.Third,the period of reflection and reconstruction on the system:pushed by the socialdemand and academic research,the evaluation objectives have changed fromstandardization to improvement,the assesment criteria is becoming more related to theprogram quality,more and more stakeholders engaged,various methods can be chosen tocollect evidence.The reality shows that the calling for effectiveness is the contiunousmotivation.of the assessment system development.
Structurally speaking,the American Assessment system at the doctoral level mainly consists of program accredition,internal self-review,external ranking system.Based on different models and procedures,they are in pursuit of the same value andcommitting themselves to the enhancement of the doctoral program quality.Accreditation is assuring the programs to meet the minimum requirements,and realizingthe purpose of standardization.The national research doctoral program ranking system isdeveloping more effective method to stimulate the internal development of programs.The internal assessment system which formed under the external stimulation andself-control is now trying the ongoing informative assessment to promote the idealalignment of the key elements of doctoral program.
Reflection and reconstruction has become a new topic on the American Assessmentsystem at the doctoral level since the 1990s.The effectivenss of Amercian docotraledcuation assessement system has been questioned and criticized.Thereafter,severalinvestigations on the assessment were launched then.Based on the investigation andreassessment,the researchers put forward a series of strategies:first,make the process ofassessment more scientfic;second,enhance the utility and influence of the evalutionresult,third,advance the quality of evaluation by launching meta-evaluation.TheAmerican assessment system at thedoctoral level is exceeding itself by continuouscritical reflection,and it will be promoted by the pursuit of effectivenss,and reaching itsfinal ideal gradually.
The dissertation gives a panoramic description and an objective analysis on theeffectiveness of the American assessment system at doctoral level.It intends to providea valuable assessment reference for the quality governance of Chinese doctoral education.Finally,it expects to stimulate the development of higher education assessment bothpractically and theoretically.
从历史的视角，围绕促进博士生教育质量提升的终极目标，以评估目标、测量指标、评估主体、评估方法等为指标，可以发现美国博士生教育评估大约经历了三个阶段。第一，20世纪初叶的资格准入阶段：当时美国博士生教育改革的呼声与专业自我保护意识的觉醒，催生了美国的专业认证制度，这种严格的资格准入制度在美国博士生教育规范化管理中发挥了重要作用；第二，评估体系构建阶段：20世纪30年代以来对博士专业质量判断需求推动的博士生教育排名体系，形成了强大的外部驱动力，刺激了博士专业内部评估体系的变革，学术机构在他律与自律的合力推动下，建立了严格的内部评估体系；第三，评估体系的反思与重构阶段：20世纪90年代以后，在现实需求与学术研究的引领下，评估目标从规范化管理到提升质量、评估标准与质量的相关性逐渐增强、评估主体由单一走向多元、评估方法的选择上逐渐科学化和多样化。实践表明：有效性诉求是推动美国博士生教育评估体系发展的持续动力。
从结构分析的视角，美国博士生教育评估体系主要包括了专业认证、内部自评、社会排名等三种评估形式。它们各自遵循不同的评估模式和评估程序，在共同的质量价值追求下，致力于博士专业质量提升：专业认证组织以严格的程序对不同的专业进行评估，保证博士专业质量达到基本要求，实现规范博士专业的目的；全国性博士专业质量调查正在以不段完善的评估方法产生的强大影响，形成强大的外驱力，刺激着博士专业内部的变革；在外部刺激和组织内部自律合力推动下形成的专业内部评估体系，正以严格的内部自评、完备的过程评价、持续进行的形成性评价共同促进博士专业要素的理想组合。结构分析表明：美国博士生教育质量评估体系有效性取决于评估体系结构的合理性和不同层次评估体系的协调运行。
反思与重构是美国博士生教育评估体系自20世纪90年代开始的新主题。公众的质疑和评估体系的有效性问题成为反思的焦点。一系列的评估质量调查随即展开。基于调查分析，学术界为提高评估有效性提出了一系列对策建议：提高评估过程的科学性、增强评估结果的有用性和影响力、通过元评估提高评估质量。在现实需求与学术研究的推动下，美国博士生教育评估体系正在批判性反思中实现着自我超越，将会以有效性诉求为发展动力，发生一系列变迁，逐步向理想的目标迈进。
本研究的主要贡献在于基于对大量一手资料的分析，形成评估体系有效性的分析框架，对美国博士生教育评估体系发展进行了全景式的描述，并对其有效性进行了客观的分析，以期为中国博士生教育质量治理提供可资借鉴的评价模式参照，最终推动我国高等教育质量评估理论和评估实践的发展。
The quality of doctoral education is both the landmark of higher educaton and animportant index of the innovation capability of a country at the era of knowledge-basedeconomy.Therefore,the governance of doctoral education has drawn worldwideattention.As an important countermeasure,the assessment on the quality of doctoraleducation has become one of the most important international hot topics.Based on thedevelopmental level and the cutural comparative superiority,the disseration focuses onassessment at doctoral level from the perspective of histroy and structure,probes into itscharacterstics and future trend comprehensively.
Historical speaking,judged by the objectives,measurements,evalutors,methods ofthe assessment.,American assessment system at the doctoral level has experienced threeperiods on fulfilling the goal of promoting the enhancement of doctoral education quality.First,the period of certification admittance in the 20~(th) centry:the calling for doctoraledcuation standardization and the self consciousness of program self-protectionstimulated the birth of American program accreditation at that time,the rigorousaccreditation systesm had played an important role in the phase of Amercian doctoraledcuation standardization.Second,the period of the evaluation system construction:Since the 1930s,the information demand-driven ranking system started and became astrong external driving force to stimulate the internal reformatin of most docotoralprograms.Thus,many institutions began to set up rigorours internal assessment system.Third,the period of reflection and reconstruction on the system:pushed by the socialdemand and academic research,the evaluation objectives have changed fromstandardization to improvement,the assesment criteria is becoming more related to theprogram quality,more and more stakeholders engaged,various methods can be chosen tocollect evidence.The reality shows that the calling for effectiveness is the contiunousmotivation.of the assessment system development.
Structurally speaking,the American Assessment system at the doctoral level mainly consists of program accredition,internal self-review,external ranking system.Based on different models and procedures,they are in pursuit of the same value andcommitting themselves to the enhancement of the doctoral program quality.Accreditation is assuring the programs to meet the minimum requirements,and realizingthe purpose of standardization.The national research doctoral program ranking system isdeveloping more effective method to stimulate the internal development of programs.The internal assessment system which formed under the external stimulation andself-control is now trying the ongoing informative assessment to promote the idealalignment of the key elements of doctoral program.
Reflection and reconstruction has become a new topic on the American Assessmentsystem at the doctoral level since the 1990s.The effectivenss of Amercian docotraledcuation assessement system has been questioned and criticized.Thereafter,severalinvestigations on the assessment were launched then.Based on the investigation andreassessment,the researchers put forward a series of strategies:first,make the process ofassessment more scientfic;second,enhance the utility and influence of the evalutionresult,third,advance the quality of evaluation by launching meta-evaluation.TheAmerican assessment system at thedoctoral level is exceeding itself by continuouscritical reflection,and it will be promoted by the pursuit of effectivenss,and reaching itsfinal ideal gradually.
The dissertation gives a panoramic description and an objective analysis on theeffectiveness of the American assessment system at doctoral level.It intends to providea valuable assessment reference for the quality governance of Chinese doctoral education.Finally,it expects to stimulate the development of higher education assessment bothpractically and theoretically.
引文
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