【作者】 王鹏；

【导师】 冯向东；

【作者基本信息】 华中科技大学 ， 高等教育学， 2012， 博士

【摘要】 大学的自我需求与国家高等教育管理部门的行政推动,使得战略规划成为近些年来中国大学五年一次的固定工作。与此对应,大学战略规划的理论探讨也成为高等教育研究领域关注的热点。然而,在理论探讨与大学实践两方面都呈现一派繁荣景象的背后,不难发现,对于大学战略规划的质疑也逐渐兴起。质疑的焦点,集中在大学实践中,为什么不少大学的战略规划在很大程度上并未发挥规划大学发展的作用,为什么战略规划不能或不好实施而沦为一纸空文?这些现象的背后,反映的是大学战略规划的有效性存在问题。什么原因制约或导致大学战略规划的有效或无效?要回答这些问题,需要从大学战略规划的特点、历史与现实进行考察,以给出理论上的解释。大学战略规划与集体行动是相契合的。大学战略规划实为大学的公共政策,具有鲜明的政治性,表现出“集体性”与“行动性”特征,属于集体行动范畴。从集体行动理论的视角出发,并借鉴制度有效性的相关研究,大学战略规划的有效性就转化为其获得规划相关人的认知和遵守而实现了预期效果的状态,是规划相关人对规划普遍性地认同和遵守的程度。如果规划能够得到相关人的认同和遵守,则意味着规划具有效力,反之则否。其实质就是是否形成了规划的集体行动。中国大学战略规划可以归纳为四个理想类型,即：朴素的战略思想；指令计划；发展规划；战略规划。严格的说,当前的中国大学战略规划只是“准战略规划”。在这一演变历程的背后,隐藏着两条逻辑主线,即中国大学战略规划实践上的行政主导逻辑与思想上的技术理性逻辑,这为中国大学战略规划无法形成集体行动打上了历史烙印。而这也带来了中国大学战略规划的一些现实问题,即大学战略规划的功能定位不全；大学战略规划存在合法性危机；利益相关者参与大学战略规划受阻；性质先天不足阻碍大学战略规划实施。对一所案例大学的战略规划进行“过程-事件”分析可知,战略规划的常规性内容往往容易实现,战略性内容(变革性内容与政策性内容)则由于得不到规划相关人的认同和遵循,难以达成集体行动而往往落空。判断规划的有效性,只能针对规划的战略性内容加以进行。对大学战略规划集体行动进行理论解析,首先要把握“谁是大学战略规划集体行动中的行动者”这一根本问题。行动者的规划行为是制约规划有效性问题的重要因素。中国大学战略规划的核心行动者只局限于行政领域,掌握大学公共权力的行政人员拥有明显的行动偏好与行动能力,能够以自身利益结构为依归,实现对大学制度与大学公共政策变迁的影响。而教师与学生等其他大学核心利益相关者,在现行体制下,并不具有明显的规划行动偏好与行动能力,故成为不了大学战略规划的行动者,至多也只是弱势行动者。大学战略规划的制定就是通过利益整合达成共同契约的集体行动,大学战略规划的实施则是通过利益变革落实共同契约的集体行动。结合大学战略规划有效性,大学战略规划的集体行动困境表现为自由行动者缺席与规划的政治市场失灵。动员机制与利益博弈,是导致中国大学战略规划集体行动困境的原因,是制约大学战略规划集体行动形成的“看不见之手”。对战略规划进行利益博弈、对战略规划进行动员是大学各利益主体(行动者)实现战略规划集体行动的根本职能。从动员机制方面看：中国大学处在“后总体性社会”中,大学行政已经不可能再像计划体制时期那样保持对学术社区强大的行政动员能力。大学战略规划行政动员机制由强转弱,为大学战略规划学术动员机制的发挥作用提供了空间。然而,在战略规划行政动员机制逐步弱化的同时,其学术动员机制远没有发育成熟。规划的行政动员机制弱化和学术动员机制发育不足的综合作用,导致战略规划集体行动动员的困境,带来大学战略规划的有效性问题。从利益博弈方面看：大学战略规划过程中的利益博弈简化为三个方面,大学行政系统内的利益博弈;大学学术系统内的利益博弈；大学行政系统与大学学术系统的利益博弈。博弈主体发育、组织地位、权威关系、社会行动领域、资源、信息、博弈技术和理解能力等的不均衡,内在地规定着大学规划利益博弈结构的非均衡性,制约着战略规划三大利益体的博弈能力,成为影响战略规划有效性的重要原因。消解中国大学战略规划的集体行动困境,需要构建一个包含制度支持、组织支持和认知支持的路径。制度层面通过供给与战略规划利益博弈、动员机制相配套的制度来保障战略规划集体行动所需的内在治理结构；组织层面通过培育战略规划利益博弈、动员机制所需的组织来保障集体行动所需的组织支持；认知层面通过各利益主体树立集体认同感、角色认知、信任等社会资本,为战略规划集体行动的生成提供认知支持。三个层面相互联系和共同作用消解大学战略规划集体行动困境。动员机制有效与利益博弈均衡都内在要求大学战略规划体现参与性,“参与式”规划成为中国大学战略规划集体行动的现实发生路径,而这关键在于实现规划思想基础的转变,即实现从传统大学行政管理思想向新公共管理思想的转变,从理性主义规划思想向交往型规划思想的转变；同时要大力提升大学战略规划公众参与的层级结构。更多还原

【Abstract】 The university’s self-requirement and the nation higher education administration’s promotion have made strategic planning to be the regular work of Chinese universities in every five years lately. Correspondingly, the theoretical discussing about university strategic planning also became the hotspot in higher educational research field. However, at the back of the prosperous scene both in theoretical discussing and university practice, the query about university strategic planning is gradually rising. The focus of query concentrates in the practice of universities, why not a few universities strategic planning can’t make effect on the development of these universities? Why strategic planning can’t implement or won’t implement then to be useless? At the back of the phenomenon, it reflects the issue about the effectiveness of university strategic planning. What is the reason to restrict or result in effectiveness or non-effectiveness of university strategic planning? To answer these questions, it needs to investigate the characteristic, history and reality of university strategic planning in order to give the theoretical explanation.University strategic planning is accord with collective action. University strategic planning is the public policy actually. It has distinct political attribute, represents the characteristic of collective attribute and active attribute, belongs to the category of collective action. From the perspective of collective action theory, and using relevant research about the effectiveness of institution for reference, the effectiveness of university strategic planning converts into the status of desired result reached by the planning relevant people who acknowledge and comply with university strategic planning, is the extent of acknowledgement and observance from the planning relevant people universally. If the planning acquired the acknowledgement and observance of the planning relevant people, it means the planning has effectiveness, otherwise it not. The essence is whether the planning forms collective action or not.Chinese universities strategic planning can be concluded four ideal type:simple strategy thought, instruct plan, developing planning, strategic planning. Strictly, current Chinese universities strategic planning is only "para-strategic planning". There are two logic principal lines at the back of Chinese universities strategic planning’s evolution course. The administration dominant logic in practice and the technology logos logic in thought make the history brand on Chinese universities strategic planning which can’t form collective action. And this also bring some realistic problems in Chinese universities strategic planning, such as incomprehensive function location of university strategic planning, legitimacy crisis of university strategic planning, stakeholder participation in university strategic planning is suffocated, the inherent shortage of quality hinder the implementation of university strategic planning. Making "Process-Event Analysis" on the case university strategic planning can find the result that the conventional content of strategic planning is realized easily, but the strategic content (the revolution content and the policy content) can not be realized because it can’t acquire the acknowledgement and observance from the planning relevant people thereby can’t form collective action. Judging the effectiveness of the planning should only aim at the strategic content.It should grasp the basic issue chiefly on "who is the actor in collective action of university strategic planning" to make theoretical analysis on university strategic planning. The actor’s planning action is the important factor which restricts the effectiveness of the planning. In Chinese universities strategic planning, the core actor is only limited the administration domain, the administrative staff who possess the public power of university have obvious action preference and action ability, can influence the university institution and the university policy change in the purpose of their own interest structure. Teachers, students and other core stakeholders don’t have obvious action preference and action ability under the current system, so they can’t be the actors of university strategic planning, or the weak actors at the most. The formulating of university strategic planning is making collective action of common contract reachable by interest integration, the implementation of university strategic planning is making collective action of common contract practicable by interest change. Bond with the effectiveness of university strategic planning, the collective action dilemma of university strategic planning manifest the absence of free actor and the failure of the planning’s political market. Mobilization mechanism and interest game are the cause which results in the collective action dilemma of Chinese universities strategic planning and the "invisible hand" which restricts the formation of university strategic planning’s collective action. Interest game in strategic planning and mobilizing strategic planning are the basic function of university interest subjects (actors) who realize collective action of strategic planning.From the perspective of mobilization mechanism:Chinese universities are in "the later total society", university administration can’t still maintain powerful administrative mobilization ability which aims at the academic community in the planned system. The transformation from the strengthening to the weakening of university strategic planning’s administrative mobilization mechanism offer the space for university strategic planning’s academic mobilization mechanism making effect. However, when university strategic planning’s administrative mobilization mechanism gradually weakens, university strategic planning’s academic mobilization mechanism doesn’t grow mature. The comprehensive effect from the weakening of planning’s administrative mobilization mechanism and the immature of planning’s academic mobilization mechanism results in the collective action mobilization dilemma of university strategic planning and brings the effectiveness problem of university strategic planning.From the perspective of interest game:Interest game in university strategic planning process can be simplified three aspects, such as interest game in university administrative system, interest game in university academic system, interest game between university administrative system and university academic system. The unbalance in the game subjects’growth, organization status, authoritative relation, social action field, resource, information, game skill and comprehensive ability determines the unbalanced nature of university strategic planning’s interest game structure inherently, restricts the game ability of strategic planning’s three interest subjects, becomes the important cause influencing strategic planning’s effectiveness.The elimination of the collective action dilemma of Chinese universities strategic planning needs to construct a path including institution support, organization support and cognition support. In institution aspect, it should provide necessary institution of strategic planning’s interest game and mobilization mechanism to ensure the inherent governance structure which collective action of university strategic planning needs; in organization aspect, it should cultivate the needed organization of strategic planning’s interest game and mobilization mechanism to ensure organization support which collective action needs; in cognition aspect, it should provide cognition support of strategic planning’s producing through each interest subject establishing social capital, such as collective acknowledgement, role cognition and trust, etc. Three aspects eliminate the collective action dilemma of university strategic planning by mutual contact and common effect. The effective mobilization mechanism and the balanced interest game require university strategic planning to manifest the participation inherently, participatory planning should become the realistic occurrence path of Chinese universities strategic planning, and that key is realizing the transformation of planning’s thought base, such as realizing the transformation from traditional university administrative management thought to new public management thought, from the rational planning thought to communicative planning thought, at the same time, it should promote the public participation levels of university strategic planning rapidly.更多还原