【作者】 赵银生；

【导师】 吴志宏；

【作者基本信息】 华东师范大学 ， 教育经济与管理， 2008， 博士

【摘要】 教育行政部门问责制,是指对教育行政部门(或其委托授权组织)及其责任人履职情况进行合理性质询或责任追究的制度。其实施有利于提高教育官员的责任意识,为我国教育发展提供重要的制度保障。本文借鉴国内外行政问责制及教育问责制的理论方法,研究目前我国教育行政部门问责中出现的问题,力求建构中国教育行政部门问责制的理论和操作框架,对教育行政部门问责制实践发挥指导作用。本文研究的理论依据,一是行政问责制理论。其基础为民主政治理论、新制度经济学理论、新公共行政以及融合以上部分理论、直接推动国外行政问责制发展的新公共管理理论、政府绩效评估理论,还有新兴起的治理理论、新公共服务理论等。二是教育行政的相关理论,包括教育学、教育行政学、教育政策学、教育法学、教育评估理论等。本文运用了文献法、比较法、系统分析等研究方法,重点运用调查和个案法进行研究。全文沿以下思路展开:为什么要实施教育行政部门问责制→目前该问责制存在的问题→构建问责制的具体内容→相关的制度文化配套→总结与反思。在导言部分,论述研究教育行政部门问责制的意义,提出研究的目的和所要解决的关键问题;对相关概念进行界定、区分;明确调查抽样的范围;说明研究的思路和方法。第一章为文献综述。对西方行政问责制、英美教育行政问责制实施情况进行介绍,对我国教育行政部门问责制及相关的行政问责制理论研究情况进行述评。第二章对我国大陆教育行政部门问责制的兴起与存在的问题进行总结和分析。阐述相关的法律制度建设和具体的问责措施,总结目前该问责制存在的问题,如问责缺乏力度,异体问责缺位;问责干预不当,内容和导向存在偏差(升学率问责);问责随意性强,欠缺公正等。在与国外同类问责制措施及背景比较的基础上,分析问题产生的宏观制度文化原因。提出我国教育行政部门问责制构建的难点和重点问题。第三章论述问责主体与客体(对象)的界定。强调既充分发挥上级主管部门、教育督导以及本地党政首长、监督部门等同体问责主体的作用,又要发挥人大、司法机关以及家长、师生、媒体、公众等异体问责主体的作用。对以上各主体实施问责应注意的问题做了简述。在问责对象方面,按照权责一致的原则,对上级主管部门、本地各教育行政主体与教育行政部门及其下属单位(包括学校)、部门内部集体与个人等如何承担责任做了具体的分析。第四章阐明如何确定问责的具体内容。一是确立问责内容的依据。包括法律法规政策的相关规定,部门的职能、权责与工作目标以及部门工作中存在的问题等;二是确定问责内容的原则。注重合法性与全面性、针对性与导向性、合理性与可操作性等的结合。三是问责的各项具体内容事项。提出目前我国教育行政部门问责的各项具体内容与事项,包括:部门及其官员的违法乱纪行为;导致重大教育事故的渎职失职;决策失误或政策执行不力;履行职责的缺位、越位;机关工作效能低下;官员能力不强,工作平庸等。第五章研究问责的程序和方法。包括确定问责制程序的法律法规政策依据;人大、党政部门(包括效能监察、审计部门)、行政相对人进行问责的程序以及教育事故、教育督导问责等专门程序。着重论述问责的绩效评估环节;提出问责应注重广泛参与、保持程序完整、加强问责的统筹等建议。对注重追究的全面、规范、合理性,正确对待引咎辞职以及慎用群众评议结果追究等问题进行思考。第六章为问责制的环境配套。论述问责制环境配套的重要性,提出以下措施:完善宏观政治、监督体制框架;明确界定部门的权责及运行程序,形成统一的教育行政问责法律;健全政务公开、民主参与、绩效评估等制度;强化党政官员的教育责任观、端正各问责主体的人才观、教育评价观,提高各社会主体的问责意识与问责能力;建立以民为本、权责统一、追求卓越的教育行政部门文化;对我国教育行政部门问责制的建构路径进行了分析。总之,建构我国教育行政部门问责制,要积极借鉴一般行政问责制的经验,但要体现该部门问责制的特征,尊重教育规律,讲求问责的科学与合理性。分清各教育管理主体的责任,以学生安全、教育公平、教育廉政等为问责重点,建立常态化的部门绩效评估与问责制度。整合多元问责主体的要求,注重追究、奖励与支持的结合。积极借鉴国外教育问责制法制化、程序化方法,但不能盲目照搬,要根据我国国情教情,采取渐进式问责制建构模式,完善问责的制度文化配套,注重发展性问责,逐步形成具有中国特色的教育行政部门问责制体系。更多还原

【Abstract】 The educational administration department accountability, is the system that carry on rational inquiries and responsibility investigation system to the education administration section (or its authorized organization) and its liability. The system implementation is advantageous in the enhancement responsibility consciousness of the educational official, and the important system safeguard function to our country develops. This article profits from the theory and method of domestic and foreign administrative accountability and the education accountability, researches the question on educational administration department accountability in our country at present, endeavors to construct Chinese educational administration Department accountability theory and the operation frame, and display instruction function to Our country Educational administration Department accountability development.This article studies according to the theories: one is the administrative accountability theory. Above its foundation for the democratic political theory, the new system economic theory, the new public administration as well as new public management theory which fuses a part of theory, and direct impetus overseas administration accountability development the government achievements appraisal theory, but also has the governance theory, the new public service theory which is emerging and so on.; the other is educational administration theories, including pedagogy, education science of administration, education policy study, education legal science, educational evaluation theory and so on. This article has utilized research techniques including literature method comparison method, system analysis method and so on, the key method is investigation and the case method.The thesis launches along the below mentality: Why has to implement educational administration department accountability -> the question of this accountability at present -> how to construction this accountability specific -> correlation system culture necessary -> summary and reconsidering. In the introduction part, we elaboration the research significance, proposed the research goal and key question to solve; determine and discriminate the correlation concept; clear about investigation the scope; explanation research mentality and method. First chapter is literature summary that introduce implementation situation on the Western administration accountability, the Britain and America educational administration accountability, comment to our country educational administration department accountability and the correlation administrative accountability fundamental research.In second chapter, carries on the summary and the analysis to educational administration department accountability starting with the question in Chinese mainland. It elaborated the related legal regime and the concrete measure, summarize the present this accountability existence question, for instance, The accountability lacks dynamics, the accountability from foreign body is absence; The accountability intervenes improper, content and guidance existence deviation (proportion of students entering schools of a higher grade); Accountability capriciousness, is short of fairly and so on. With the comparison of the overseas accountability background and ours, it analysis the element of macroscopic system cultural system which the question produces. It proposes the difficulty and the key question about our educational administration department accountability construction.In third chapter, it elaborates accountability subject and object limits. It emphasis displays function fully as identity body accountability subject, for example the higher authority department responsible ,the education superintend department as well as the leader of local party and government, and the inspector general department, also must display functions as foreign subjects, the National People’s Congress, judicial organ as well as guardian, teachers and students, media, public and so on. The question which above various subjects implementation accountability has made the summary. On accountability object, according to principle of the power and responsibility consistent, it make the concrete analysis about the responsibility to the higher authority department responsible, this local "the big educational administration" subject and the educational administration department and the subordinate unit (including school), the department internal collective with individual and so on.In fourth chapter, it expounds how the accountability the concrete content is determined. One is the basis of establishing accountability content, including the legal laws and regulations policy correlation stipulation, department’s function, the power and responsibility and the work goal as well as problem of the department work exists and so on; the other is the principle of determination accountability content, including attention union of validity and integrity, pointed and guiding, rationality and feasibility. The third, it proposes accountability concrete content and item of Chinese educational administration department accountability, including: the behavior of the department and the official breaks the law; dereliction of duty which causes the significant education accident; decision error or policy execution not strength; fulfillment responsibility vacancy, offside; the institution efficiency is low; official ability is not strong, work mediocre and so on.In fifth chapter, it research accountability procedure and method, including: the legal laws and regulations policy basis of determination accountability procedure; the procedure of national People’s Congress, the party politics department (including potency supervision, auditing department), the administrative relative person as well as the special accountability procedure of the education accident, the education superintend accountability and so on. To this accountability, the achievements appraisal must be emphasized, including: the widespread participation, maintenance procedure integrity, enhancement accountability overall plan. It thinks full questions about investigation comprehensively, standard, rationality, how to treatment took the blame and resigned cautious, how to carry on the appraises result with the populace.In sixth chapter, it forms a complete environment set for the accountability. It elaborates importance of accountability environment set, proposes following measure: consummating macroscopic general system frame of politics, inspector; clear and definite the department power and responsibility and the operating procedure, forming the unified law of educational administration accountability; perfect open government, democracy participation and achievements appraisal; strengthening official’s education responsibility view, straighten each accountability subject talented person observes and education appraisal view, enhances accountability ability of various social subject; Establishment administration department culture that take people as this, integration of power and responsibility, pursue remarkable achievements. It has carried on analysis way to accountability construction.In brief, it must profit from the general administrative accountability positively the experience constructing our country educational administration department accountability, but must manifest this department characteristic, respect laws of education, emphasizes the accountability the science and the rationality. Distinguishes clearly responsibility of each education administration subjects, stresses accountability of student safety, education fair, incorrupt department and so on, establishes normalizing system of appraisal accountability of the educational administration department. It must be necessary that conformity multi-dimensional subject request, pay attention to union of investigates, the reward and the support. We should profit from overseas experiences and method positively of legalization and sequenced on educational accountability, but cannot imitate blindly, must adopt the evolution type system vicissitude pattern according to our country national condition, consummate the system and culture of the accountability emphasize expansibility accountability, form gradually accountability system of educational administration department with Chinese characteristic.更多还原