聘任制改革背景下中國大陸大學教師的學術身份: 兩所研究型大學的個案研究

• Other Authors: 黃亞婷 (author.)
• Format: Others
• Language: Chinese; English
• Published: 2016
• Online Access: http://repository.lib.cuhk.edu.hk/en/item/cuhk-1292362

新管理主義作為一種全球性的教育改革潮流，其產生的影響無遠弗屆。20世紀70年代改革開放以來，隨著中國社會轉型和社會主義市場經濟體制的日趨完善，以市場和管理為取向的新管理主義改革也對中國高等教育產生了深遠影響。本研究立足中國各高校聘任制改革的實踐背景，嘗試以學術身份為概念工具分析不同大學教師群體如何感知與應對改革，以及如何在變革情境中建構起關於何為一名大學教師的“主觀現實”。本研究從共同體視域下的學術身份建構視角出發採用意義-闡釋取向的質性研究方法選取中國兩所研究型大學自然科學、工程科學、社會科學和人文學科領域67名不同職稱和編制狀態的大學教師為研究對象，重點回答改革情境之下中國大學教師的學術身份內涵以及組織情境和學科共同體這兩大關鍵性共同體因素如何影響大學教師的學術身份建構這兩個核心問題。 === 本研究的主要發現如下：首先，中國各高校的聘任制改革在原有編制管理的基礎上逐步引入崗位管理，效率和績效取向的大量外顯規則使得大學教師群體的價值觀念和行為方式等普遍受制於“管理主義”的理性“牢籠”裡。面對聘任制改革各項要求，大學教師不但需要改變專業行為來適應新的政策環境，同時也需要重新審視他們在新環境裡的角色、關係和邊界的改變；並在此基礎上協商改革環境的要求進而維持或是轉變自身所持有的作為一名大學教師的意義系統。本研究發現了教師個體在改革環境之下所持有的適應者、旁觀者和流浪者這三種主要身份類型，並且在這三重主要身份之下又存在有多種與學術工作相關的亞身份類型。其中，大多數受訪教師都在改革過程中選擇以外界改革所宣導的權威標準來框定自身的學術工作實踐，從中可以明顯看到，中國大學教師群體在聘任制改革過程中逐步實現了從“單位人”到“契約人”的轉變，聘任契約所規定的個體的聘任要求、崗位要求以及考核方式等規則不可避免地內化成了教師個體解讀何為一名大學教師的意義內涵。 === 其次，從組織情境來看，大學教師個體被內嵌於由單位制、管理主義和專業主義等多元價值所充斥的各層級組織情境當中。各層級組織情境的組織特性、管理方式和組織文化等是大學教師個體在協商學術身份時的重要意義來源。其中，聘任制改革所強調的管理主義邏輯使得改革的“適應者”都在不同程度上轉變成了重效率、重產出和經濟效益的“為數字而活的人”；單位體制慣性的“庇護”之下，一些仍持有“單位人身份”的教師個體依舊在目前已經不太安全的體制內部“混年頭”和“熬資歷”；個別接受過西方學術共同體薰染的“海龜”教師在協商學術身份內涵時其對學術工作的自我規範遠遠超越了外部改革對學術工作所提出的契約規定。組織身份作為教師個體學術身份的重要維度反映的是個體在多大程度上以怎樣的方式受到大學組織情境的影響，持有不同組織身份的教師個體在解讀其作為一名大學教師的學術身份以及如何踐行教學和科研等學術工作實踐時都會有所差異。從學科共同體來看，學科範式、學科差異和學科等級等因素是大學教師個體協商學術身份時的重要意義來源，但是並非所有教師個體都帶有強烈的學科身份感，特別是對學術工作的內在性認同感較低的那幾類教師群體往往對諸如學科知識、學科特性和學科擔當等學科本身的“內在召喚”缺乏興趣和感受力。當下的聘任制改革在很大程度上阻礙了一些大學教師學科身份感的塑造或是造成了一些教師學科身份感的分裂或是碎片化，從而造成一批只談績效、產出和效益的學術工人而非關心學術、學科和知識本身的學術人。 === 最後，當下的改革無疑是加劇了大學教師個體組織身份和學科身份之間的衝突。在本研究中，單向度的適應者根據改革的現實要求來執行身份，並且以個體利益最大化為目的很快優先排序了組織身份，以敷衍的方式呈現或是壓抑學科身份。符號性的適應者就是根據主觀重要性和情境相關性來對多重身份進行有限排序，並且發展出了組織身份和學科身份共存的理想情況。但是對於價值分裂的適應者來說，其沒有能力處理好組織身份和學科身份之間的衝突，且在改革要求和專業訴求中喪失了作為一名大學教師的幸福感。 === 本研究的主要貢獻在於立足中國高校聘任制改革的本土情境，豐富了關於新管理主義改革對學術工作以及學術身份所帶來影響的學術討論。與已有研究不同的是，本研究發現，絕大多數教師個體會選擇把改革所要求的內容優先化為日常的工作內容；但是強烈的學科身份感是決定大學教師特別是初任教師是否服膺於管理體制要求的關鍵因素。當教師個體的學科身份感較為脆弱或是學科意識尚未內化為其日常學術工作的反思性話語時，外在的管理主義規則往往會很大程度上轄制了教師個體學術身份發展的軌跡。另外，共同體視域下中國高校教師的學術身份建構也體現出了中國本土情境的特殊性，例如受限於中國大學組織單位體制慣性和事業單位的束縛，高校教師的組織依附性要明顯強烈於學科忠誠度，其學術工作缺乏以學術為天職的傳統，更多的是以學術為謀生工具的現實考慮。最後，基於本研究中受訪教師個體對各項改革措施的意義賦予和相應的行動選擇，本研究對中國高校推行聘任制改革過程中所面臨的諸如大學教師的考核評價、激勵方式、非升即走和學科共同體建設等各方面都提出了具體的政策建議。 === 關鍵字：新管理主義；聘任制改革；大學教師；學術身份；組織情境；學科共同體 === New managerialism with its global status has far-reaching impact on the worldwide educational reforms. Since the Economic Reforms and Openness in 1978, the market-led and managerial reforms have also exerted pervasive influence on Chinese higher education. Informed by the communitarian theoretical framework of academic identity, this doctoral study examines how academic staff at Chinese research-intensive universities perceive and comply with the faculty employment reforms and how they construct their ‘subjective reality’ of becoming an academic under the new managerial circumstances. Specifically, the research questions focus on how do Chinese university faculty negotiate their ways of being an academic under the changing environment and how the two defining communities, namely, higher education institutions and disciplinary communities, shape and reshape their academic identities. In-depth interviews were conducted with 67 academic staff from two Chinese research-intensive universities, ranging from different disciplinary areas as well as different contract tracks. === The systematic qualitative data analysis indicates the following findings. Firstly, Chinese universities have implemented market-led and managerial faculty employment reforms that gradually replaced the traditional ‘steel bowl’ model, and during which Chinese university faculty have been being continually subjected to the ‘managerial cage’. Specifically, Chinese university faculty have been forced to change their professional behaviors as well as construct or reconstruct their ways of being an academic in the changing environment. The study has identified eight identity-related characterisations of how Chinese university faculty at these two case universities have reacted to this shifting context. The majority of the respondents have been labelled as adapters, including one-dimensional adapters, symbolic adapters and schizophrenic adapters. For the adapters, they tend to frame their academic work centred on the managerial rules and authorities, thereby changing their academic identities from the traditional national ganbu to contractual agent. Importantly, the adapters as contractual agents have internalized various performative academic roles and responsibilities that are requested by the contract-based recruitments and evaluations. === Secondly, the defining features of Chinese higher education institutions emphasize dynamic interaction of pervasive managerialism, deep bureaucratic roots and weak professionalism. The key factors of higher education institutions, including organizational mission, organizational culture and leadership style have offered a framework within which academic staff negotiate their academic identities. Accordingly, managerial faculty employment reforms have urged Chinese university faculty to be economic, effective and efficient, whereas the deep danwei bureaucratic roots have protected some senior faculty to be immuned from the reforms and still laze away to wait for academic promotion. For some university faculty who have received their academic training within western academic community, the self-regulating of their sense of being an academic has gone beyond their contractual obligations. Organizational identity is typically taken to be an essential component of one’s academic identity that reflects the degree to which the university faculty have been embedded by the higher education institutions. Moreover, one’s organizational identity has contributed to create a coherent social reality that frames an academic’s sense of who he or she is and what he or she should do. Besides, the key factors of disciplinary community, including disciplinary paradigms, disciplinary differences and disciplinary hierarchies, are the powerful sources of academic identity. The sense of disciplinary identity is highly relevant to one’s commitment to academic work and the study has elaborated that the university faculty with fragile disciplinary identity have also lack interest about the inward calling of the disciplinary community. Under the strong influence of managerial faculty employment, the university faculty’s disciplinary identities have become to be fragile, restricted and compromising, which bring about the emergent identity of the knowledge worker and the declining one of an academic man. === Lastly, the study has also explored the growing tensions between one’s organizational identity and disciplinary identity. One-dimensional adapters have prioritized the managerial organizational identity based on their personal calculation of the explicit benefits and have fulfilled the disciplinary identity in a perfunctory manner. The symbolic adapters have developed dual identities to buffer the identity conflicts. However, the schizophrenic adapters have failed to resolve the identity tensions and have undergone a clash of managerial rules and professional values. The doctoral study has contributed to the global empirically grounded knowledge of changing academic profession and academic identities. In contrast to the extant research, the study has revealed that the sense of disciplinary identity has played a crucial role in determining the extent to which the university faculty will comply with the managerial reforms. The university faculty who failed to build solid disciplinary identities will have significantly restricted to the managerial rules. In addition, the academic identity construction of Chinese university faculty has its own distinctive dimensions compared with its western counterparts. For instance, the deep danwei bureaucratic roots at Chinese universities have been exercised as the normative power for Chinese university faculty, leading them becoming more loyal to the higher education institutions than the disciplinary community. Consequently, for Chinese university faculty, the academic identities that centered on disciplinary community have been under greater potential placement by the academic identities that have been shaped by external contingencies. Finally, the study has made some practical suggestions concerning the improvements of the faculty employment reforms at Chinese research-intensive universities. === Keywords: New managerialism; Faculty employment reform; Chinese university faculty; Academic identity; Higher education institutions; Disciplinary community === 黃亞婷. === Thesis Ph.D. Chinese University of Hong Kong 2016. === Includes bibliographical references (leaves ). === Abstracts in English and Chinese. === Title from PDF title page (viewed on …). === Huang ya ting. === Detailed summary in vernacular field only. === Detailed summary in vernacular field only. === Detailed summary in vernacular field only. === Detailed summary in vernacular field only. === Detailed summary in vernacular field only. === Detailed summary in vernacular field only.