AAU对研究生教育的研究报告

2009.09.04

由62所北美主要研究型大学组成的美国大学联合会（Association of American Universities－AAU）在1998年10月发布了一份关于研究生教育的报告。这份报告大概是目前为止对研究生教育最为综合的分析报告。

这份报告的全文可以在以下链接找到。

AAU COMMITTEE ON GRADUATE EDUCATION REPORT AND RECOMMENDATIONS全文链接：http://www.aau.edu/publications/reports.aspx?id=6720

AAU主页链接：http://www.aau.edu/

中国的研究生教育情形与美国有很多共同点，有很多地方也很不一样。但是不知道有没有类似的研究报告。

以下是该报告的主要结论和推荐意见。

EXECUTIVE SUMMARY

Graduate education in the United States is widely recognized as the best in the world, yet it is far from perfect and will remain in a leadership position only by continual self-examination and improvement. Criticisms commonly heard today include overproduction of Ph.D.s; narrow training; emphasis on research over teaching; use of students to meet institutional needs at the expense  of sound education; and insufficient mentoring, career advising, and job placement assistance.

Taking these criticisms seriously, the Association of American Universities (AAU) formed the Committee on Graduate Education to evaluate the conduct of graduate education on its member  campuses. The Committee examined the institutional perspectives on graduate education, surveyed  its institutions about their graduate programs, and developed guidelines on best practices for  graduate education policies and programs. The Committee concentrated on Ph.D. or doctoral  education, the focus of the national debate on graduate education.

THE NATIONAL PERSPECTIVE

Graduate education prepares the scientists and engineers needed by industry, government, and universities to conduct the nation’s research and development; educates the scholars in the  humanities,social sciences, and the arts who preserve and enlarge our understanding of human  thought and the human condition; and develops the scholars in all disciplines who become the faculties of the nation’s colleges and universities.

Following World War II through the early 1970s, graduate education experienced unprecedented growth. This growth leveled off during the late 1970s and the first half of the 1980s, but it has increased steadily for the last decade. In 1995, the number of Ph.D. recipients reached an all-time high of 41,610. The growth in Ph.D. recipients has been accompanied by increased participation of women, minorities, and foreign students.

Over the last decade, the number of Ph.D.s awarded by U.S. universities to foreign students hasincreased at more than twice the rate of Ph.D.s awarded to U.S. citizens, reaching 32 percent of all doctorate recipients in 1995. Concern has been expressed about the impact of foreign Ph.D.s on the domestic employment market, but several factors suggest that the impact is small.

Moreover, those foreign students who remain in the U.S. enrich the nation’s talent pool. Employment data indicate that Ph.D. recipients have low unemployment rates upon completion of their graduate work and throughout their careers. However, an increasing number of Ph.D. recipients are still seeking postgraduate commitments upon completion of their doctoral programs, and a growing number of commitments that are secured at Ph.D. completion are for postdoctoral appointments. Understanding the implications of these trends will require additional information.

THE INSTITUTIONAL PERSPECTIVE

Although graduate education makes important contributions to the education and research missions of universities, its overriding purpose must be the education of graduate students. Apprenticeship teaching and research activities that, under faculty mentorship, provide progressively increasing levels of responsibility are effective ways to teach graduate students how to teach and conduct independent research. However, subsuming the interests of students to conflicting institutional or faculty interests can undermine the educational benefits of these apprenticeship arrangements.

Student interests should also be paramount in designing a graduate curriculum that prepares students for a broad array of careers, and in building a diverse student body that enriches the educational environment and that prepares students to work effectively in a global environment.

The policies governing federal support of research assistantships through the federal research project grant system run counter to sound educational policy. Graduate students involved in teaching and research are students, not employees; the principal purpose for their teaching and research activities is to learn how to teach and conduct research. But Office of Management and Budget (OMB) Circular A-21 stipulates that federal agencies can support graduate students as research assistants on federally funded research grants only to the extent that “a bona fide employer-employee relationship” exists between a graduate student and faculty investigator. Federal policy should be changed to eliminate the employer-employee stipulation and encourage the dual benefits to research and education of graduate students serving as research assistants.

Universities need to track the placement of their Ph.D. students at least to their first professional employment. Institutions also should maintain program performance and student evaluation information. Such information is needed for both internal evaluation of programs and external accountability for them.

Many universities have examined their graduate programs in light of concerns discussed in a number of national forums and have responded with a wide range of creative programs to meet evolving student and societal needs. Among other initiatives, universities and their academic departments have improved teacher preparation programs, reduced enrollments and improved student financial support, instituted interdisciplinary opportunities, and improved faculty mentoring and career advising.

RECOMMENDATIONS FOR BEST PRACTICES IN GRADUATE EDUCATION

The Committee encourages each university and each department within an institution to examine the size, scope, and performance of its graduate programs to determine whether these programs are meeting the interests of students in preparing them for the diversity of careers to which they may aspire, and to take appropriate actions where they do not. The Committee has sought to identify common elements in recent institutional changes and adaptations in developing the following recommendations or guidelines for best practices.

RECRUITMENT AND ADMISSIONS
 
Admissions decisions should be made with the goal of maintaining and improving the quality
of programs.
 
Departmental recruitment and admissions policies should include provisions designed to increase the participation of talented students from groups underrepresented in their graduate programs.

To make significant progress, universities will need to work with undergraduate institutions and K–12 schools to reach minority students as early as possible in their educational lives and encourage them to prepare for and pursue graduate study.
 
Universities should encourage enrollment of exceptional foreign students while continuing efforts to develop the U.S. domestic talent pool.

FINANCIAL SUPPORT
 
All admitted students should be given accurate information about the costs they will incur and realistic assessments of future prospects for financial support.
 
Financial support should be designed to assist students in their progress to a degree; financial support through work that draws students away from their graduate programs should be avoided.

GRADUATE CURRICULUM
 
Institutions should evaluate the graduate curriculum to assure that it equips students with the knowledge and skills needed for a broad array of postdoctoral careers that they might wish to pursue.

The graduate curriculum should balance breadth and depth with the need to minimize time-to-degree.

FACULTY MENTORING
 
Faculty mentors should confer with students frequently to assess students’ progress, and should
provide the department with periodic assessments on progress to the degree.
 
Institutions and departments should clearly affirm the importance of faculty mentoring through policy guidelines and incentives.

DATA FOR INSTITUTIONAL POLICYMAKING, PROGRAM EVALUATION, AND STUDENT ADVISING
 
Institutions should maintain data on completion rates, time-to-degree, and placement to the first professional employment, as well as conduct exit surveys for all Ph.D. recipients.

Institutions should provide such program performance data to student applicants.

Institutions should provide job placement assistance for students who request it.

PROGRAM EVALUATION
 
Institutions should evaluate the quality of and justification for their doctoral programs through selfstudy,on-site evaluation by external reviewers, or both.
 
Institutions should terminate programs that cannot maintain the infrastructure and student financial support necessary for acceptable program quality.
 
Institutions should not begin new programs absent a regional or national need and sustainable support.

POLICY IMPLEMENTATION AND MAINTENANCE
 
Institutions should ask departments to provide descriptions of their goals and expectations for their graduate programs, and should periodically compare these against departmental program performance data.
 
The AAU should assist institutions in developing common definitions and reporting procedures that will permit cross-institutional comparisons of program performance.

EXTERNAL SUPPORT FOR GRADUATE EDUCATION

Support for graduate education from a number of external sectors plays a critical role in sustaining the quality of graduate education:
 
The federal government provides valuable support for graduate education through competitively funded fellowship and traineeship programs, research assistantships funded through the federal research project grant system, and student loans that augment and fill gaps in other sources of financial support. These forms of support meet important needs in graduate education; all should be continued.

Given the importance of federal support, recent cutbacks in federal fellowship programs and proposals to reduce or eliminate the subsidized components of federal student loans for graduate and professional students raise serious concerns. Financial support is critical for graduate students, who are young adults forgoing employment to pursue additional education. Moreover, graduate education benefits the nation, and federal support of graduate education advances the national interest.

States support graduate education primarily through teaching and research assistantships at resident public universities. States also support graduate education indirectly through research and development investments and graduate fellowship programs, which may be available to students attending both public and private institutions.
 
Private foundations enable universities to embark on new and continuing initiatives that are otherwise difficult to sustain. Industry support provides financial assistance to students and graduate programs while fostering university-industry research connections and exposing students to industrial career opportunities.

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