【作者】 刘玉君；

【导师】 张德祥；

【作者基本信息】 大连理工大学 ， 教育管理， 2023， 博士

【摘要】 对学生进行综合评价是未来考试招生制度前进的根本方向,新高考所推行的高校综合评价招生制度改革则是前进方向上的实践探索。然而在现实中却屡屡遭遇公平质疑,能否公平选才成为制约新高考综合评价招生改革推进的关键因素,因此选择高校综合评价招生公平作为研究主题,对于突破“唯分数论”的招生考试评价困境,建立起公平科学的综合评价招生考试制度具有重要的现实意义。但是已有相关研究多以问题对策型为主,提出高校综合评价招生可能现存的具体公平问题,但缺乏对具体公平问题的整合分析和对问题背后成因的深度挖掘,导致所提问题解决路径拘于碎片化和表象化。因而本研究选择制度视角对高校综合评价招生公平问题进行整合分析,从核心概念界定出发,结合机会平等理论、公平理论和新制度主义理论建立研究的总体框架,并进一步从哲学分析、实证调查、成因分析和实施路径四个方面进行深入探究。其一,研究从哲学视角解读了高校综合评价招生制度公平的基本内涵、价值向度、认识逻辑与实践原则。首先从本体论视角明确高校综合评价招生制度公平的本质是关于机会平等的合理性价值判断。然后从价值论视角分析高校综合评价招生制度形式公平提供形式的机会平等,注重机会分配过程中程序环境公平,为满足每个人的入学机会需要创造条件,具有手段性价值功能;高校综合评价招生制度实质公平要求提供实质的机会平等,将促进人的发展和满足人的入学机会需要作为目的,注重机会分配起点公平和结果公平,具有目的性价值功能。最后,从认识论视角立足于目前高校综合评价招生制度实践流程,结合机会平等理论和公平理论,为高校综合评价招生制度在现存入学机会利益分配起点、过程、结果上可能存在的核心公平问题,提供所应坚持的背景公平、程序公平和风险公平原则,为检测目前高校综合评价招生制度是否公平提供理论边界。并进一步从高等教育认识论“元范畴”关系出发,寻找每个公平原则背后的认识逻辑起点,分别反映的是与知识、个人和社会之间的关系。其二,研究通过实证调查全面检验了高校综合评价招生制度的公平现状。针对高校综合评价招生制度的报考条件、校测过程和录取结果开发检测工具编制问卷,选择全国十五所高校实地调研发放问卷获得数据。然后运用理论分析得出的公平原则对高校综合评价招生制度的公平现状进行实证检验。通过对数据的描述性统计分析和回归模型分析发现,目前高校综合评价招生制度在报考条件上拉大了不同背景群体学生参与入学机会的起点差距,违背了背景公平原则。在校测过程中学生感知到程序不公平并受到自身背景等因素影响,违背了程序公平原则。在录取结果上与统考录取相比加剧了入学机会结果的结构性不平等,增强了机会的累积性和跨领域性的不平等,违背了风险公平原则。所以目前综合评价招生制度在入学机会利益分配起点、过程和结果上可能存在不公平。其三,研究通过质性分析系统建构起造成目前高校综合评价招生制度公平问题成因的理论模型,并揭示这些前因条件形成和能够发挥作用的内在机制和制度根源。研究选择对高校综合评价招生制度相关主体进行深度访谈,深入问题情境,采用扎根理论通过对访谈文本三级编码,挖掘造成公平问题原因的主要范畴,从宏观社会、中观组织和微观个体层面系统建构出高校综合评价招生制度公平问题成因的理论模型。然后结合新制度主义理论进行解释分析,宏观层面社会文化观念和社会资源结构差异因素形成和产生作用的根源在于路径依赖机制作用下的制度惯性倾向;中观层面组织维护生存发展的选择偏好、考核规范模糊性强、场域信息透明度低、执行力度薄弱因素形成和产生作用的根源在于合法性机制作用下的制度张力空间;微观层面个体不当行为因素形成和产生作用的根源在于激励惩罚机制下的制度边界软化。其四,研究基于成因分析提出了促进高校综合评价招生制度公平的实施路径。首先,亟须推进制度创新,建立综合评价公平选才的认同机制和利益调控机制,带来促进高校综合评价招生制度变迁的动力,调节社会固有文化观念与资源结构差异因为路径依赖对综合评价招生公平选才所带来的影响。其次,应优化高校综合评价招生制度供给,完善高校综合评价招生制度运行机制。高中和高校需要重构制度逻辑,完善高校综合评价招生制度操作体系,培养综合评价育人选才的组织文化,提升综合评价育人选才制度的合法性基础,构建多维的、特色的、立体的考核评价机制,以减少模糊性,优化信息沟通机制,以提升透明度,健全资源管理机制,保证组织有效执行。最后,必须强化高校综合评价招生制度边界,健全高校综合评价招生制度约束机制,厘定专门管理高校综合评价招生的法律法规,夯实招生前资格审核机制,健全招生中监督问责机制,完善招生后申诉复议机制,以减少个体不当行为发生,促进高校综合评价招生制度公平科学选才。更多还原

【Abstract】 Comprehensive evaluation of students is the fundamental direction for the future development of the examination enrollment system,and the reform of the comprehensive evaluation enrollment system in universities implemented by the new college entrance examination institute is a practical exploration in the direction of progress.However,in reality,fairness is often questioned,and whether fair selection can become a key factor restricting the promotion of the comprehensive evaluation enrollment reform of the new college entrance examination.Therefore,fairness in the comprehensive evaluation enrollment of universities is chosen as the research topic.It is of great practical significance to break through the dilemma of "score only" enrollment examination evaluation and establish a fair and scientific comprehensive evaluation enrollment examination system.However,existing research has mainly focused on problem-solving strategies,proposing specific fairness issues that may exist in the comprehensive evaluation enrollment in universities.However,there is a lack of integrated analysis of specific fairness issues and in-depth exploration of the underlying causes of the problems,resulting in the proposed problem-solving path being limited to fragmentation and visualization.Therefore,this study chooses an institutional perspective to integrate and analyze the issue of fair enrollment in comprehensive evaluation of universities.Starting from the definition of core concepts,it establishes an overall framework for research by combining the theory of equal opportunities,fairness,and new institutionalism.Furthermore,it conducts in-depth exploration from four aspects: philosophical analysis,empirical investigation,cause analysis and implementation path.Firstly,the study interprets the basic connotation,value orientation,cognitive logic,and practical principles of fairness in the comprehensive evaluation and enrollment system of universities from a philosophical perspective.Firstly,from an ontological perspective,it is clarified that the essence of the fairness of the comprehensive evaluation enrollment system in universities is the rational value judgment of equal opportunities.Then,from the perspective of value theory,the fair form of the comprehensive evaluation enrollment system in universities which provides equal opportunities in the form,paying attention to the fairness of the procedural environment in the process of opportunity allocation,creating conditions to meet everyone’s enrollment opportunity needs,with instrumental value functions.The substantive fairness of the comprehensive evaluation enrollment system in universities requires the provision of substantive equality of opportunities,with the goal of promoting human development and meeting the needs of enrollment opportunities.It emphasizes the fairness of the starting point and outcome of opportunity allocation,and has a purposeful value function.Finally,based on the current practical process of the comprehensive evaluation and enrollment system in universities from an epistemological perspective,combined with the theory of equal opportunities and fairness,this paper provides the principles of background fairness,procedural fairness and risk fairness that should be adhered to for the core fairness issues that may exist in the starting point,process,and results of the existing enrollment opportunity benefit distribution in comprehensive evaluation enrollment system in universities,to provide a theoretical boundary for testing whether the current comprehensive evaluation enrollment system of universities is fair.And further explore the logical starting point behind each principle of fairness from the perspective of the "meta category" relationship in higher education epistemology,reflecting the relationships between knowledge,individuals,and society.Secondly,the study examined the fairness of the current comprehensive evaluation enrollment system in universities through a questionnaire survey.Develop testing tools to prepare questionnaires based on the application conditions,school testing process,and admission results of the comprehensive evaluation enrollment system of universities.Select fifteen universities nationwide to conduct on-site research and distribute questionnaires to obtain data.Then,the fairness principle derived from theoretical analysis is used to empirically test the fairness status of the comprehensive evaluation enrollment system in universities.Through descriptive statistical analysis and regression model analysis of the data,it was found that the current comprehensive evaluation enrollment system in universities has widened the starting point gap of enrollment opportunities for different groups of students,which violates the principle of background fairness.During the school testing process,students’ perception of procedural fairness is influenced by their own background,which violates the principle of procedural fairness.Compared with the unified examination source,the admission results exacerbate the structural inequality of enrollment opportunity results,the increased accumulation of opportunities and cross disciplinary inequality violate the principle of risk fairness.So there is currently unfairness in the starting point,process,and results of the comprehensive evaluation enrollment system of universities in the distribution of enrollment opportunity benefits.Thirdly,through qualitative analysis,the paper constructs a theoretical model that causes the fairness of the current college comprehensive evaluation enrollment system,and reveals the internal mechanism and institutional roots of the formation and functioning of these anthems.The research chooses to conduct in-depth interviews with relevant subjects of the comprehensive evaluation enrollment system in universities,and adopts the rooted theory to dig the main categories of the causes of the fairness problems caused by the three-level coding of the interview texts in the in-depth question context,and systematically constructs the theoretical model of the causes of the fairness problems of the comprehensive evaluation enrollment system in universities from the macro society,the middle organization and the micro individual levels.Then the new institutionalism theory is used to explain and analyze the formation and effect of social cultural concepts and resource structure difference factors at the macro level is the institutional inertia tendency under the action of path dependence mechanism.The formation and effect of the selection preference,the vagueness of assessment norms,the low transparency of field information,and the weak enforcement force of middle-level organization maintenance survival and development are rooted in the institutional tension space under the action of legitimacy mechanism.The origin of the formation and production of individual misbehavior factors at the micro level lies in the softening of institutional boundaries under the incentive and punishment mechanism.Fourthly,based on the analysis of the causes,the study proposes implementation path promote the fairness of the comprehensive evaluation enrollment system in universities.First of all,it is urgent to promote institutional innovation,establish a recognition mechanism and interest regulation mechanism for comprehensive evaluation and fair selection of talents,bring the impetus to promote the change of college comprehensive evaluation enrollment system,and adjust the influence of social inherent cultural concepts and resource structure differences on the comprehensive evaluation and fair selection of talents due to path dependence.Secondly,we should optimize the supply of college comprehensive evaluation enrollment system and perfect the operation mechanism of college comprehensive evaluation enrollment system.High schools and colleges need to reconstruct the system logic,improve the operation system of college comprehensive evaluation enrollment system,cultivate the organizational culture of comprehensive evaluation and education of candidates,and enhance the legitimacy of the system.Construct a multidimensional,distinctive and three-dimensional assessment evaluation mechanism to reduce ambiguity,optimize information communication mechanism to enhance transparency,and improve the resource management mechanism to ensure effective implementation of the organization.Finally,it is necessary to strengthen the boundaries of the college comprehensive evaluation enrollment system,improve the restraint mechanism of the college comprehensive evaluation enrollment system,formulate laws and regulations specifically governing college enrollment,consolidate the qualification review mechanism before enrollment,improve the supervision and accountability mechanism in enrollment,and improve the appeal and reconsideration mechanism after enrollment,so as to reduce the occurrence of individual misconduct.We will promote the fair and scientific selection of talents in the comprehensive evaluation enrollment system in universities.更多还原