作者欧阳凤（山羊）-教育行动者, 关注乡村儿童的阅读、科学教育以及早期教育议题，90后共同养育践行中，现于UCL攻读教育性别国际化发展硕士。这学期教育计划与发展（planning for education and development）专业课已经上到倒数第二节了。这门课程是一节和教育参与者紧密相关的课程，无论是公立还是私立还是NGO或者是独立教师、甚至家长和学生等不同教育机构主体，都需要进行教育规划,也都在参与者实践，用教育变革理论解决问题，实现教育目的。虽然是几十年国内公立教育亲历者以及7年NGO乡村教育实践者，但发现对国家教育政策、经济政治理论以及当下教育的变化特别是教育私有化等关注和研究是不够的。这门课给了我的一次补课，在经济和政治更广的视角下，用相关变革理论、影响力评估和相关学术文献视角，去看见教育里发生的事情，去思考如何在有限资源下达到教育公平、效率、有效以及其它。这门课也检测了我过去在社会实践中出现的局限，公益教育不能只有用心和用爱，更需要不断提高专业和技术，因为实践是有方法可依，是有广泛的经验可汲取。今天分享的这门课的主题很有意思，和当代教育问题紧密相关，教育治理的腐败以及问责。可以解释我们所见所闻所感的一些全球化现象：部分公立教育的腐败教育质量下降、公立教师激励措施不够，教育系统问责制的缺乏，代理机制变化，私立教育出现，市场失败，独立教师的出现等。但无论是在公立教育还是私立教育，每个花钱购买教育的人（家长或者公民）都有权利要求教育需要透明，需要参与，需要可预测，需要有问责。在预习时候我们可以提前看到老师设计的PPT，这门课的授课老师是Prof Moses Oketch，要等下周开始上课和研讨。看完一些文献后，多少觉得直接把老师PPT的内容复制过来是咀嚼他人构建的知识，但可以看见背后教授的思维架构师如何的。之后我们可以去和文本有挑战、有互动、有思辨。This is a broad concept. Here, I shall simply offer a definition and some of its key components. Since governance and accountability are related, I shall focus a lot more on accountability. 治理是一个比较广的概念，治理和问责总是相互联系的，这门课会更侧重问责Governance: definition. It is how decision making in an education system happens. This involves how inputs are transformed into desired outcomes. 治理定义是在教育系统中决定是怎样发生的，这个包括怎样把投入转化为想要的结果。Some of the questions to ask in governance include: 1) how effective is the system? How transparent is it? What is the level of participation by all stakeholders? How accountable is the system? 关于治理的问题主要包括系统的有效性？透明性？不同利益相关方参与如何？系统怎样问责的？Components of governance 治理的组成部分Education systems in LMICs are being asked to be more accountable for results.在中等收入国家中教育系统被认为要对结果更加负责。This is because the current focus and yardstick is not how many years of schooling are completed- increasing evidence is that what matters is what students actually learn during those years they have spent in school.这是因为，当前的重点和衡量标准不是完成了多少年的学校教育，越来越多的证据表明，重要的是学生在学校的这些年里实际学到了什么。There is documented evidence of weak correlation between spending and results in education. This is based on cross-country and within country analysis. 有证据表明教育支出和结果之间的相关性很弱。这是基于跨国和国内分析。It was referred to as failure of input based policies, and this has presented a conundrum in educational planning. One might have thought more resources, such as greater spending should lead to better results. Alas, it doesn’t always.这被称为基于投入的政策的失败，这给教育规划带来了难题。人们可能认为更多的资源，例如更多的支出，应该会带来更好的结果。可惜，情况并非总是如此。（三）Some of the governance issues in LMICs低中等收入国家在治理上出现的问题Inequitable spending 支出不公平: Allocation of public education spending often benefit the rich rather than the poor. 公共教育分配经常有利于有钱的而不是穷人；Funding leaks 资金泄漏: In recent past, public expenditure tracking studies have documented substantial “leakage” of public funding in the flow from central ministries to the front-line providers. In some cases, it can be as much as only 20 percent or less. More effort has been made to improve this. 最近，公共支出跟踪研究记录了公共资金从中央部委流向一线提供者的大量“泄漏”。在某些情况下，该比例可能仅为 20% 或更少。为了改善这一点，我们付出了更多的努力。3. Teacher absence and loss of instructional time 老师的缺席和缺少指导时间: This is the most common loss and governance issue in education systems in LMICs. Teachers are front-line. Their frequent, unauthorised absences from the posts affect results. In some cases, some teachers may demand payments for services that are legally free. Teacher absenteeism is a major governance issue. 在中低收入国家非常常见，老师是前线，他们经常的不自主的缺席会影响结果，教师缺勤是一个重大的治理问题。4. In some cases, teachers may be present in school, but they are not always teaching. 老师教学时间少。The benchmark is at least 85 percent of class time being effectively used for instruction. It is a serious issue of governance and accountability if the most expensive input in any education system- teacher salaries- produces learning activity only 40 percent of the time (Bruns and Patrinos, 2011).在某些情况下，老师可能会在学校，但他们并不总是在教学。基准是至少 85% 的课堂时间有效用于教学。如果任何教育系统中最昂贵的投入——教师工资——只能产生 40% 的学习活动，那么这就是一个严重的治理和问责问题（Bruns 和 Patrinos，2011）。（四）Why do education systems fail to deliver results? 为什么教育系统的结果失败了？There are two issues to consider here. 这个问题要考虑。Q What explains service failure. 怎样解释服务失败？QWhat explains the substantial heterogeneity across settings in the extent to which education resources translate into results?如何解释不同环境下教育资源转化为成果的程度存在巨大差异？Q Some have argued that effective use of resources is dependent on incentives faced by system actors. This is an economics perspective, and remember that economics and planning are closely related.一些人认为，资源的有效利用取决于系统参与者所面临的激励。这是经济学的观点，请记住经济学和规划密切相关。 “Incentive systems in education face a challenge that is common to most sectors and firms: the principal-agent problem” (Bruns and Patrinos, 2011, p. 10).“教育中的激励制度面临着大多数部门和公司共同的挑战：委托代理问题”（Bruns 和 Patrinos，2011 年，第 10 页）。（五）principal-agent problem委托代理问题“The principal (a country ministry of education) would like to ensure that its agent (school directors and teachers) deliver schooling that results in learning”. (ibid, p. 10)“校长（国家教育部）希望确保其代理人（学校校长和教师）提供能够带来结果的学校教育”。（同上，第 10 页）But achieving this is complex because education system delivery is complex. It is not like producing pizza or kebabs. If it were, the delivery could be prescribed tasks for the agent. Quality could be monitored by ensuring that agents follow predefined steps.但实现这一目标很复杂，因为教育系统的交付很复杂。这不像生产披萨或烤肉串。如果是这样，则可以为代理指定交付任务。可以通过确保代理遵循预定义的步骤来监控质量。![]()
- The short route is direct accountability.It runs directly from users to front-line providers. For it to happen, it requires giving parents and students a direct voice in their local school. This can improve results. Private schools and education systems that are operating as markets embody this short route of accountability. It is a response to government failure in service delivery. Remember just as market failure creates the rationale for government intervention in a sector, there can also be government failure. The solution can be the short route of accountability.这个图的捷径是直接问责。它直接从用户到一线提供商。要实现这一目标，需要让家长和学生在当地学校直接表达意见。这可以改善结果。作为市场运作的私立学校和教育系统体现了这种问责的捷径。这是对政府在提供服务方面失败的回应。请记住，正如市场失灵为政府干预某个部门提供了理由一样，政府也可能失灵。解决方案可以是问责的捷径。
- Evidence shows that education systems with greater local decision-making authority and greater accountability have better learning outcomes (Fuchs and Woessmann, 2007). The effective results depend on effective resolution of the complex principal-agent problems as outlined.有证据表明，具有更大地方决策权和更大问责制的教育系统具有更好的学习成果（Fuchs 和 Woessmann，2007）。有效的结果取决于所概述的复杂委托代理问题的有效解决。
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六、What makes education complex or complicated? 为什么教育会那么复杂？- Teaching is or can be discretionary although in some countries it is prescribed. The latter is frown upon. Typically, teachers use their own judgement to decide what part of curriculum to deliver and how.教学是或可以是自由裁量的，尽管在一些国家是这样规定的。后者令人皱眉。通常，教师根据自己的判断来决定教授课程的哪一部分以及如何教授。
- Classrooms are varied. There is student heterogeneity- differences in aptitudes, motivations, learning styles and even SES (Oketch et al., 2021) 多样化， 学生不一样。
- Producing learning is intensively transactional. It requires repeated and frequent interaction between teachers and individual learners.高效的学习是需要密切的交互，需要老师和个体学生高频率沟通。
- The other problem is that ministries of education are not absolute principal; they are themselves agents of the citizenry. Parents and students are themselves also principals. “This sequential set of principal-agent problems demands a more complex system of incentives and accountability” (Bruns and Patrinos, 2011, p11).另一个问题是，教育部并不是绝对的主体；教育部并不是绝对的主体。他们本身就是公民的代理人。家长和学生本身也是校长。“这一系列连续的委托代理问题需要更复杂的激励和问责体系”（Bruns 和 Patrinos，2011 年，第 11 页）。
（七）How accountability can be achieved:如何实现问责制：- Effective EMIS and its utilisation. EMIS is Education, management and information system. Information is key for accountability. This involves generating and disseminating information about schooling rights and responsibilities, inputs, outputs and outcomes.有效的 EMIS 及其利用。EMIS 是教育、管理和信息系统。信息是问责制的关键。这涉及生成和传播有关学校教育权利和责任、投入、产出和结果的信息。
- School-based management: This is basically decentralisation so that there is school-level decision making. Autonomy to school level agents.校本管理：基本上是放权，由学校层面决策。学校级代理的自主权。
- Teacher incentives: This includes a variety of provisions- such as pay, performance, professional development, and teacher value added.教师激励：这包括各种规定，例如薪酬、绩效、专业发展和教师附加值。
- 问责信息的例子包括学校成绩单。这包括简单地报告学校的表现，比如考试成绩。有研究表明，简单地报告学校的平均表现可以提高责任感和表现。
- 人们提出的另一个想法是创建一个信息反馈循环来连接公共服务用户、提供者和政策制定者，从而使信息和战略跨越部门（Bruns 和 Patrinos，2011）。
- “When parents and students have little information about the performance of their schools or about the inputs those schools are entitled to receive, their position relative to service providers and governments is weak” (Brun and Patrinos, 2011). “当家长和学生对学校的表现或学校有权获得的投入知之甚少时，他们相对于服务提供商和政府的地位就很弱”（Brun 和 Patrinos，2011）。
- “Lack of information weakens clients’ power to hold providers directly accountable and also weakens citizens’ voices relative to policy makers and politicians” (ibid., p. 14). “信息的缺乏削弱了客户直接追究提供商责任的权力，也削弱了公民相对于政策制定者和政治家的声音”（同上，第 14 页）。
（八）How does information affect accountability?信息如何影响问责制？- Increasing choice. When parents know that one school performs better than the other, it will make them to prefer and choose the better performing school. This can put pressure on the poorly performing school. Reducing information asymmetry between schools/providers (they will know more about what is happening inside schools) and service users such as parents can lead to better accountability. 增加选择。当家长知道一所学校比另一所学校表现更好时，他们就会更喜欢并选择表现更好的学校。这可能会给表现不佳的学校带来压力。减少学校/提供者（他们将更多地了解学校内部发生的事情）和服务使用者（例如家长）之间的信息不对称可以带来更好的问责制。
- Increasing participation: This is known as client power. It is done by publicizing rights and responsibilities and by documenting service delivery shortfalls between schools or relative to other schools in the village, district, province or country. This can be motivator for action on the part of parents and other stakeholders. Without information, parents may believe a school is performing well, when it is not.增加参与：这被称为客户力量。它是通过宣传权利和责任以及记录学校之间或相对于村、区、省或国家其他学校的服务提供不足来完成的。这可以成为父母和其他利益相关者采取行动的动力。如果没有信息，家长可能会认为学校表现良好，但事实并非如此。
- Increasing voice: This is providing content to parents to lobby governments etc. Example here include UWEZO and ASER. This information provides content to feed the voice of citizens to put pressure on their governments.增加声音：这是向家长提供游说政府等的内容。这里的例子包括 UWEZO 和 ASER。这些信息提供的内容可以满足公民的声音，从而向政府施加压力。
（九）Decentralisation is connected to governance and accountability权力下放与治理和问责制相关You should explore this topic through the lens of school-based management (SBM)校本管理. Simply put, SBM is the decentralisation of authority from the government to the school level. Basically, decision-making powers and responsibility is transferred to the local agent.The following can be decentralised:以下内容可以是去中心化的- Monitoring schools performance监控学校表现
- Curriculum development课程发展
- Text books procurement and other educational materials教科书采购和其他教育材料
- Infrastructure improvement and other development plans基础设施改善和其他发展计划
- Teacher performance evaluation; monitoring student performance教师绩效评价； 监控学生表现
（十）What are the objectives of SBM:校本管理目标是什么：1.Increase participation of local stakeholders in decision-making processes1.增加当地利益相关者对决策过程的参与2. Increased transparency in the use and allocation of resources2. 提高资源使用和分配的透明度3.More inputs and resources from parents. They get involved in school management and can contribute in-kind来自家长的更多投入和资源。他们参与学校管理并可以做出实物贡献4. more open and welcoming school environment because parents and school authorities work together 由于家长和学校当局的共同努力，学校环境更加开放和热情5. Better service delivery and ultimately improving student performance. Performance can include reduced dropout rates, higher test scores, reduced teacher absenteeism, etc.5. 提供更好的服务并最终提高学生的表现。绩效可以包括降低辍学率、提高考试成绩、减少教师缺勤等。（十一）Corruption and education systems 教育系统的腐败问题What is corruption (in education)?什么是教育腐败Corruption takes place when norms and values are intentionally flouted by a member of a particular society. Tanaka (2001) in ‘Corruption in education sector development: a suggestion for anticipatory strategy’ notes that ‘it may be fair to say, where there is funding there is corruption’ (pp.158).当特定社会的成员故意藐视规范和价值观时，就会发生腐败。Tanaka（2001）在“教育部门发展中的腐败：对预期战略的建议”中指出，“可以公平地说，哪里有资金哪里就有腐败”（第 158 页）。Possible areas where corruption may occur in education教育腐败可能发生的领域 Tanaka has identified the following areas:- Procurement- of contracts; delivery of sub-standard goods and services; or increased procurement costs; (in the context of schools: buildings, equipment, textbooks, uniforms, meals, etc).采购-合同；交付不合格的商品和服务；或增加采购成本；（就学校而言：建筑物、设备、教科书、制服、膳食等）。
- School administration- career promotion; entrance/graduate examinations; teacher recruitment etc学校行政-职业晋升；入学/研究生考试；教师招聘等
In classrooms- teachers collecting additional fees for tutoring, sexual harassment, teachers forcing students to work on their farms etc.在课堂上——教师收取额外的辅导费用、性骚扰、教师强迫学生在农场干活等。为什么会有教育腐败？What are the causes of corruption?WWW.U4.no lists the following:
- Where teachers have inadequate, irregular or delayed salaries, there is likely to be economic motivation for corruption. 如果教师工资不足、不规律或拖欠工资，腐败就可能有经济动机。
- When donors are imprudent and flood education systems with funds which the existing capacity cannot absorb responsibly. Sometimes donor pay to get ‘things done’.当捐助者不谨慎，向教育系统注入现有能力无法负责任地吸收的资金时。 有时捐助者付费是为了“完成事情”。
- Lack of proper laws that make it clear what is acceptable behaviour and what is not acceptable gives higher opportunity for corruption to take place (Think of any examples from your context). 缺乏明确什么是可接受的行为和什么是不可接受的行为的适当法律，会增加腐败发生的机会（想想你所处环境中的任何例子）。
- When individuals abuse social norms, as in examples where giving token gifts evolves into a practice of widespread extortion.当个人滥用社会规范时，例如赠送象征性礼物演变成广泛的勒索行为。
- Lack of access to information, low inspection capacity, and lack of competent officers缺乏信息获取、检查能力低、缺乏称职的官员（十二）教育领域腐败该如何治理？ 是否有可能制定预期预防策略？田子建议采取以下策略：
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看到现在，脑海中我脑海中的问题是，老师们讲的更多是中低收入国家的教育腐败。在发达国家公立学校和私立学校教育是否有腐败问题和如何做到问责的呢？ 作为父母我觉得我们责任还是很重的，需要参与到孩子的学校教育中，我们把孩子交给任何一个学校或老师，都是带着期待的，都不希望孩子在学校没有了学习兴趣，自信心被打压或者没有发展等，虽然我们无法掌控学校最终的教育效果，因为教育是复杂的综合体，但对学校治理、教学等需要有更多的知情和了解，去参与，去发出声音。 不是所有的家庭都能选择理想中的学校，文中提到的公立学校权利下放，松松土，以及更多社区村庄居民参与，是否可以实现呢？过去知道其实很多公立学校在行动了，有一定的自主权，家长们也非常主动参与，在村小也有一些有活力的学校，走过的朱利峰老师所在的石公田学校以及一些村小令人印象深刻，但后来出现撤校合并学校等，结果一些村小消失了。“闭嘴!下台!改变!”,然后呢？| UCL教育与国际化发展后殖民,后发展和非殖民理论研讨课
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