对普通高校本科教学工作水平评估的探讨

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摘 要
我国开展高等学校教学评估工作始于 1995 年，本科评估开展十年以来，有力
地促进了学校明确办学指导思想、改善办学条件、强化教学管理、深化教学改革、
提高教学质量，本科教学工作的地位得到明显加强。
然而，在肯定教学评估作用的同时，不能不看到在教学评估运行中出现的问
题：第一、评估执行扭曲，主要表现在评估目的的异化。教学工作评估目的是提
高教学质量，促进高校办学水平的提高。一些高校为评估而评估，搞突击建设，
过分重视评估结果而不重视保障教育质量的机制完善等；第二、提高教学质量作
为评估目的之一，其改善效果不能令人满意。第三、评估给高校带来的沉重物力
和财力负担，评估效益是否最佳值得怀疑；第四、教育评估按评估的目的分为形
成性评价和总结性评价。形成性评估不以区分被评估对象的优劣为目的，总结性
评估则对教育活动效果作判断。本科教学工作评估从教学质量形成的角度，对影
响教学质量的各种因素进行评估，评估结论分为四个等级，却是总结性质的。评
这种总结性性质既激发高校参与评估的动力，也引发一些高校采取非正常手段迎
接评估。第五、评估方案个别指标的区分度不强，以及对影响教育质量因素进行
评估而不是对教育质量直接被评的特点。
本文内容主要分为四部分，首先，回顾了我国高等教育评估产生和发展过程，
并对其进行简要评述；第二，介绍了普通高校本科教学工作水平评估的背景、内
容；第三，对普通高校本科教学工作水平评估活动存在的问题及原因进行了分析；
第四，对完善本科教学工作水平评估提出了建议。
这些建议是：第一、正确认识本科评估，树立正确的评估态度，从而对被评
高校的群体心理进行调控；第二、现有评估人员组成应多样化，本科评估实施主
体应包括社会团体，这样有利于反映社会对教育的价值取向；第三、淡化总结性
评估性质，强化形成性评估性质，转移高校评估兴奋点，充分发挥评估的自我诊
断作用，建立健康的评估文化；第四、做到常态评估和非常态评估相结合，做到
尽可能在高校教学自然状态下评估，客观地反映高校教学工作水平；第五、健全
教育评估制度，重新定位政府在评估的角色。
关键词：高等教育评估 本科教学工作 评估效果
ABSTRACT
The evaluation of colleges and universities started in 1995 in china. By the end of
2004, 350 colleges had been evaluated. As a result, not only undergraduate teaching
has been greatly improved, but its quality has been enhanced as well.
Some problems resulting from the evaluation have been ignored. The first
problem is that evaluation has not been implemented strictly, that is, the target of
evaluation has been badly distorted. The second is that teaching quality, one of target
of evaluation, has not been satisfactorily improved. The third is that evaluation has
burdened colleges heavily. The fourth is that the evaluation, on the whole, is
summative, and does not lead to college taking seriously account of teaching.
This thesis mainly discusses the evaluation scheme, process and effects of
evaluation by means of the questionnaire. We have investigated the different roles such
as students, teachers, deans, directors and have obtained all kinds of views about
evaluating teaching. Through analyzing the differences among these views, the thesis
points out some implicit factors that have been resulting in problems above.
The paper includes mainly four parts. At first, it reviews and appraises the process
of forming and development of the undergraduate teaching evaluation in china.
Secondly, it introduces the background, contents of the undergraduate teaching
evaluation. Thirdly, it analyzed the problems and reasons in carrying out the evaluation.
In the end, it gives some advice.
These advice are: first, the evaluation should be recognized seriously by colleges
and universities; second, evaluation personnel should be consisted of kinds of
specialists, so that evaluation conclusion could be commonly accepted; third, through
changing conclusion form, formative quality, instead of summative quality of
evaluation could be strengthened; four, only under teaching normality, evaluation
conclusion could be drawn correctly to most extent; five, higher educational evaluation
system should be perfected so that the government reconstructed its role in teaching
evaluation.
Key Word：higher educational evaluation，undergraduate teaching，
evaluation effect
目 录
内容摘要
ABSTRACT
第一章 绪论 ························································································ 1
§1.1 选题背景及问题的提出 ······························································ 1
§1.1.1 需要说明的几个问题 ······························································· 1
§1.1.2 选题背景 ··············································································2
§1.2 研究的目的与意义 ·····································································3
§1.3 探讨的理论依据 ········································································3
§1.4 研究对象和研究方法 ··································································4
第二章 我国高等教育评估历史和研究现状 ·················································5
§2.1 高等教育评估的产生和发展 ························································ 5
§2.1.1 高等教育评估的产生阶段 ························································· 5
§2.1.2 高等教育评估的发展阶段 ························································ 6
§2.2 高等教育评估述评 ·····································································7
§2.2.1 高等教育评估的概念、本质、目的、作用 ··································· 7
§2.2.2 我国高等教育评估模式 ··························································· 7
§2.2.3 高教评估的主要特点 ······························································ 8
§2.3 我国高教评估研究现状 ······························································ 9
§2.3.1 高等教育评估政策方面的研究 ··················································10
§2.3.2 评估方案方面的研究 ······························································12
§2.3.3 我国高教评估研究存在的不足 ··················································12
第三章 普通高等学校本科教学工作水平评估的背景、内容 ·························· 14
§3.1 我国高校教学评估的背景 ························································· 14
§3.1.1 高等教育规模的迅速扩张带来的问题 ········································ 14
§3.1.2 政府行政职能的转变 ······························································15
§3.1.3 消费主义的兴起 ··································································· 16
§3.2 高等学校本科教学工作水平评估的内容 ········································16
§3.2.1 评估指导原则和目的 ······························································16
§3.2.2 评估的一般过程 ····································································17
§3.2.3 最终评估结论的确定程序 ······················································· 18
§3.2.4 评估方案主要内容 ································································ 18
§3.3 对本科评估进行探讨的准则 ······················································· 19
§3.3.1 对评估执行过程进行探讨的准则 ···············································20
§3.4 评估效果的研究内容 ································································ 21
§3.5 显著性差异研究模型 ································································ 22
第四章 普通高校本科教学工作水平评估活动存在的问题及原因分析 ·············· 23
§4.1 调查问卷的设计和抽样方法 ······················································· 23
§4.2 院校访谈计划 ········································································· 23
§4.3 本科教学工作水平评估效果调查 ·················································24
§4.3.1 对三所大学调查综合统计分析 ··················································24
§4.3.2 访谈意见统计 ·······································································29
§4.4 存在的问题 ············································································ 30
§4.4.1 提高教学质量的评估目的未能明显实现 ····································· 30
§4.4.2 师、生对评估后教学质量看法存在明显差异 ······························· 30
§4.4.3 评估结论与高校的地位有关 ····················································31
§4.4.4 评估工作存在短期效应 ·························································· 31
§4.4.5 师生评估结论与高校自评结论通常不一致 ··································32
§4.5 原因分析 ··············································································· 32
§4.5.1 评估方案的方面原因 ······························································32
§4.5.2 评估执行的方面原因 ······························································34
§4.5.3 高等教育评估制度方面的原因 ··················································38
第五章 对完善本科教学工作水平评估的建议 ············································ 40
§5.1 国外高教评估的经验 ································································ 40
§5.1.1 国外高等教育评估简介 ·························································· 40
§5.1.2 国外高教评估特点 ·································································42
§5.1.3 国外高教评估带来的启示 ························································43
§5.2 我国高等教育评估发展趋势 ······················································· 43
§5.3 若干建议 ··············································································· 43
§5.3.1 对被评高校的群体心理调控 ·····················································43
§5.3.2 评估人员组成应多样化 ···························································44
§5.3.3 淡化总结性评估性质，强化形成性评估性质 ······························· 44
§5.3.4 做到常态评估和非常态评估相结合 ··········································· 45
§5.3.5 完善《评估方案》 ·································································45
§5.3.6 健全高等教育评估制度 ···························································45
第六章 结束语 ····················································································47
参考文献 ··························································································· 48
附 录 ······························································································ 50
附录一：普通高校本科教学工作水平评估活动情况调查问卷 ·················· 50
附录二：院校访谈计划和访谈对象 ····················································52
附录三：对上海三所高校的调查统计分析 ···········································53
附录四：关于进一步做好普通高等学校本科教学工作评价的若干意见 ······ 60
附录五：普通高校本科教学工作水平评估方案 ·····································63
在读期间公开发表的论文和承担科研项目及取得成果 ··································72
致 谢 ······························································································ 73
第一章 绪 论
1
第一章 绪论
§1.1 选题背景及问题的提出
高等教育进入到以提高质量为中心目标的时代，
1998 年世界高等教育大会将
质量问题列为二十一世纪高等教育三大主题之一；我国高等教育规模不断扩大，
高等教育质量受到社会和教育界更为广泛的关注：应采取何种措施、手段以保证
日益增长的在校生的教育质量，进而适应社会、经济发展的要求？
为此，教育部先后组织实施了“高等教育面向 21 世纪教学内容和课程体系改
革计划”、“新世纪高等教育改革工程”，并制定了《关于加强高等学校本科教学工
作，提高教育质量的若干意见》，启动了“高等学校教学质量和教学改革工程”。
1990 年原国家教委发布了《普通高等学校教育评估暂行规定》，标志着我国
高教评估工作进入了制度化新阶段。《暂行规定》指出制定高校评估政策目标、评
估的目的和任务、评估原则、评估基本形式、评估主体、评估机构以及评估程序；
1998 年教高司出台了《关于进一步做好评估高等学校本科教学工作评价的若干意
见》等，《若干意见》是《暂行规定》在教学评估工作方面的具体规定，明确了高
校教学工作评价的目的、教学评估原则、实施方案、评估形式等，并提出“要加
快高校教学工作评价的制度建设，建立起适合我国情的高等教育质量宏观调控体
系与评价制度”。
高校本科评估，在促进高校端正办学指导思想，推进教学建设和改革，提高
教育质量等方面起到了重要作用。然而，在肯定教学评估作用的同时，不能不看
到在教学评估过程中出现的扭曲现象，因此，作者尝试运用社会心理学、教育评
估理论，对教学评估工作进行探讨。
§1.1.1 需要说明的几个问题
1、本科教学工作评估的概念
评估是根据一定的标准，以定性或定量的形式对事物做出判断。评估和评价
在评估活动开展的早期，曾作为是两个不同的概念，但鉴于现实生活中，评估和
评价常当作同义词使用，所以本文不作区分[1]。本科教学工作水平评估就是以本
科教学工作为研究对象，依据评估标准，利用一定的评估技术和手段，系统地收
集高校教学工作信息，进行定性或定量分析，对评估客体进行价值判断的过程。
2、高等教育质量概念
高等教育质量是“指高等教育产品和服务所具有的功效性、人文性和调试性
在满足社会和学生发展以及高等教育系统自身有序运转方面的要求的程度”[2]，
摘要：

摘要我国开展高等学校教学评估工作始于1995年，本科评估开展十年以来，有力地促进了学校明确办学指导思想、改善办学条件、强化教学管理、深化教学改革、提高教学质量，本科教学工作的地位得到明显加强。然而，在肯定教学评估作用的同时，不能不看到在教学评估运行中出现的问题：第一、评估执行扭曲，主要表现在评估目的的异化。教学工作评估目的是提高教学质量，促进高校办学水平的提高。一些高校为评估而评估，搞突击建设，过分重视评估结果而不重视保障教育质量的机制完善等；第二、提高教学质量作为评估目的之一，其改善效果不能令人满意。第三、评估给高校带来的沉重物力和财力负担，评估效益是否最佳值得怀疑；第四、教育评估按评估的目...

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