——基于北京市东城区的开发实践

摘要：胜任特征模型问题是当代心理学、教育学、人力资源管理等学科领域研究的热点之一。上个世纪八、九十年代，英、美等国家对学校管理者胜任特征开展广泛研究并成功地将中小学校长胜任特征模型纳入本国校长人力资源管理制度中。国外的成熟经验带给中国校长管理制度许多启示。校长是所学校的核心人物，本研究即是从胜任特征理论出发，以北京市东城区为个案，运用行为事件访谈法、问卷法、半开放型访谈等方法，初步构建了普通中小学正职校长初级及核心胜任特征模型，并开发出基于胜任特征模型的校长测评工具，尝试为中小学校长的选拔提供一种新的思路和方法。本研究主要结论如下：

第一，普通中小学正职校长初级胜任特征模型包括6项主特征、26项子胜任特征：管理特征（知人善用、指挥能力、团队建设、愿景领导、教育领导力、沟通能力、关注秩序与效率）；服务特征（人际洞察力、服务意识）；影响特征（影响力、组织权限意识、资源整合）；成就特征（成就欲、主动性、信息搜集）；认知特征（分析思维、概念思维、全局思维、专业特长、创新能力）；个人效能特征（自我控制、自信、灵活性、组织观念、人格魅力、学习能力）。本研究对管理者通用胜任特征模型中 7 项特征的名称、内涵进行了重新界定（变更后的 7 项特征为知人善用、团队建设、愿景领导、关注秩序与效率、资源整合、信息搜集、服务意识），并新增加教育领导力、沟通能力、全局思维、创新能力、人格魅力、学习能力等6项特征。

第二，普通中小学正职校长核心胜任特征模型包括12项：全局思维、团队建设、学习能力、主动性、知人善用、沟通能力、人格魅力、服务意识、自我控制、创新能力、人际洞察力、指挥能力。北京市东城区普通中小学正职校长特质包括6项：人格魅力、全局思维、教育领导力、沟通能力、创新能力、团队建设。

第三，本研究开发出普通中小学校长胜任特征测评工具，包括 26 项胜任特征的名称、定义、内容描述、等级以及等级描述，它们共同构成完整的中小学校长胜任特征评价体系。评分小组评分员之间以及评分小组与上级领导对访谈文本的评分一致性显示，该测评工具具有较好的信度和效度。

第四，统计分析显示：中学、小学校长以及男性、女性校长在12项核心胜任特征上均无显著性差异；优秀组、普通组在26项初级胜任特征上有24项存在显著性差异，在资源整合、灵活性等2项上无显著性差异，在12项核心胜任特征上呈显著性差异。

关键词：中学；小学；校长；胜任特征模型；行为事件访谈；问卷法

总结：

本文分为四个部分。第一部分说明了研究的缘起、选题的理论与现实意义，并对国内外胜任特征模型和中小学校长胜任特征模型进行了研究综述。

第二部分是研究的设计，包括研究目标、研究内容与假设、研究对象、研究方法与研究步骤。

第三部分是研究的结果与分析。对调查问卷的基本信息和结果进行了分析、对问卷的信效度和差异显著性进行了编码分析，同时将实证研究的结果与同类论文进行了比较。

第四部分是研究的结论与展望。研究构建了包括6项主特征和26项子特征的初级胜任模型和包含5项主特征和12项子特征的核心胜任特征模型，并对模型进行了信度和效度测验。对中小学校长胜任特征进行了差异分析，发现男女校长无显著差异，而优秀与普通组的校长差异明显。最后，指出研究的特色与创新之处在于胜任特征在理论上有本土化特点、编码方法和核心胜任特征提取等探究方法上有新突破、内容上提出了新的校长核心胜任特征模型和测评工具。不足之处在于未对模型的权重做设计、测评工具的实用性受到限制、需要多研究和数据进行验证。在不足之处的基础上，提出了完善模型权重、开发课程培训体系、构建相关模型、开发更实用的测评工具、深入研究评价体系的五大展望。

Abstract：Competency characteristic model was one of the hot spots in contemporary psychology, education, human resources management, and other areas of study. In 80s and 90s last century’s Britain and the United States Administrators competency characteristic researches in primary and secondary schools were developed and school principals competency model was succeeded introduced into national human resources management system. Foreign mature experiences may bring Enlightenment to the Chinese principals’ management system. School principals were one of the core figures in schools. Based on the competency theory, this study taking Beijing Dong Cheng District as a case study. Approaches like incident interviews, questionnaires, and semi-open interviews were also used. Primary and core competency characteristic model were Initial constructed, while measurement tool was developed based on the model. New ways of thinking and methods were tried for selecting primary and secondary school principals. The main conclusions of the study were listed as followed:

Firstly, the primary competency model for ordinary primary and secondary school principals consisted of 6 main features and 26 competency components. Namely, management features (knowledge of using talents, command capabilities, team building, leadership vision, leadership on education, communication skills, solicitude for order and efficiency); service features (insight of relationship, sense of service); impact features (influence, awareness of organizational rights, resource integration); achievements features (accomplishment desire, initiative , information collection); cognitive features (analytical thinking, conceptual thinking ,overall thinking, professional expertise, innovation); individual performance features(self-control, self-confidence, flexibility, organizational concepts, personal charm and ability to learn). This study renamed the 7 characteristics and re-defined the connotation of the model. 6 features , namely : leadership on education, communication skills and overall thinking, creative ability, personal charm and ability to learn were added according to the study.

Secondly, there existed 12 items in ordinary primary and secondary school principals core competency model: global thinking, team building, learning ability, initiative, knowledge of using talents, communication skills, personal charm, sense of service, self-control, the innovative ability, insight of relationship and command capability. There were 6 features in ordinary primary and secondary principals when Beijing's Dong Cheng District was investigated: personal charm, overall thinking, leadership on education, communication skills, ability to innovate, team-building.

Thirdly, this study developed competency measurement tool for ordinary primary and secondary school principals.26 features were analyzed by names, definitions, descriptions, grades, and grades descriptions, which constituted a complete primary and secondary school principals competency evaluation system. Consistency between members of the score Panel themselves and text scored according to interviews on leaders revealed that the measurement tools have good reliability and validity.

Fourthly, the statistical analysis shown that there was no significant difference between not only secondary and primary school principals, but also between male and female principals in that 12 core competency characteristics. But there were significant differences in 24 items out of total 26 feature items when compared outstanding and average groups. The rest 2, namely Resource integration, flexibility were of no significant differences.

Keywords: primary school, secondary school, principals, competency characteristic model, behavior and incident interview, questionnaire

（张爱华 教育经济与管理专业 北京师范大学硕士学位论文 2008年5月）