【作者】 陈秀峰；

【导师】 郑杭生；

【作者基本信息】 华中师范大学 ， 社会学， 2007， 博士

【摘要】 大学教育发展基金会是在学校党委和校长领导下面向海内外的非营利性的筹款机构，其作用在于继续保持高等教育国家投入为主体的同时大力拓展社会筹资渠道，吸引社会力量投资高等教育、保证高等教育的持续，稳定、快速发展。作为一种非营利性组织，大学教育基金会是社会剧烈转型期的产物，可谓起步晚、经验少，国外的经验可借鉴程度也比较低。从这一角度来讲，在此背景下，研究大学教育基金会的现状与发展，对于我国教育基金会的发展以及对于我国高等教育的发展具有重要的经济与社会意义，而要弄清目前高校教育基金会的发展，必须弄清高校教育基金会的现状，即它的人员组织结构、筹款机制、分配机制、监督以及项目的评估机制等，只有在此基础上，才能对我国大学教育基金会的发展提供有实际依据和价值的政策建议。文章以实地调查的经验资料和文献资料为基础，从社会转型理论、教育经济学与教育社会学理论、国家与社会关系理论、社会互构论的视角出发，试图通过对大学教育基金会的探讨中国大学教育基金会的组织机制、资金劝募机制、资金分配机制、激励机制、监督机制、评估机制等几大方面的详细论述，探讨大学教育基金会的能发展趋势和可能出现的问题，进而提出加强我国高等教育基金会管理的信念、制度、伦理等方面的建设举措，建构和形塑大学教育基金会的发展路径，使刚刚启步的我国各种高等教育基金会走上健康、安全的道路。文章第一章主要对大学教育基金会的基本概念进行了界定。首先从非营利组织的概念入手，对非营利组织的特征、范围、发展阶段、分类和法律管理体系、与政府间关系以及内外部监督管理体制等进行了阐述，同时对基金以及基金会的概念进行了分析，对我国基金会的有关特点进行了剖析，并进而引申出大学教育基金会的概念。第二章探讨了大学教育基金会运作机制中的组织机制。作为一种公共组织的大学教育基金会，在面对这种复杂多变的市场环境和多重交织的社会效应时，首先大学教育基金会只有摆正与学校行政机关的互构关系，才能赢得自身的平等地位，才能避免出现高层权力“断电”现象，提高教育基金会发展的可预见性。其次大学教育基金会只有摆正与其工作人员的内部互构关系，才能设计出“以人为本”的将内部工作人员的个人利益与基金会组织利益很好的结合起来，提高自身的工作效率，更好地实现组织的目标。最后，大学教育基金会只有摆正与社会大众的互构关系，才能为社会大众提供优质的服务，才能取得社会大众，特别是捐赠者的信任，才能获得对基金会发展至关重要的捐赠资金。第三章认为作为联结大学教育基金会与社会各系统的纽带，与社会各方面直接发生互动关系的重要环节的劝募工作在基金会的运作过程中具有重要的战略性地位。换句话说，也只有劝募工作才能筹到大学教育基金会生存和发展的生命之泉。无论它的组织机构有多完善，如果没有劝募，也就没有资金来维持。在本研究中，我们集中探讨了大学教育基金会工作中劝募工作所处于的动脉地位，即大学教育基金会的自主性程度、劝募理念的初期性、大学教育基金会以校友捐赠为主等。此外还集中探讨了如果没有一个专门的劝募机构和一支高素质的劝募人员，如果没有确立好大学教育基金与学校的关系和转换落后的劝募理念，大学教育基金会是很难在竞争日益激烈、劝募空间增长缓慢和相对缩小的市场上立足的。第四章在资金分配机制方面，我们指出对当代中国大学教育基金会资金分配机制中资金分配的过程是由公益支出、运行成本、投资增值等三部分组成，资金分配的方式方面讲述了资金的结构、资金的使用方向目的，资金分配的渠道，资金分配的标准，资金分配的问题和漏洞等。进而在以上的分析基础上，指出了在资金分配过程中所出现的资金的稀缺性、资金分配途径多样化，灵活化趋势明显增强、资金分配决策方式的多样化等特点。第五章深入地探讨了建立科学合理的激励机制，是使工作人员长期保持高效率的工作状态的前提，是组织发展的助推器。在大学教育基金会方面，我们指出基金会对于员工的激励要把体制内的激励与体制外的激励严格区分开来，要将正式激励与非正式激励综合运用起来，要在经济利益激励的基础上大力运用文化价值激励。此外，大学教育基金会的激励也表现出了正式激励的不公平、非正式激励措施的不确定与价值激励措施的比较脆弱等特点，这些都是大学教育基金会在我国社会剧烈转型背景下必然表现出来的特点与问题。第六章结合实际情况，我们指出有效的监督不仅能保证整个系统的良性运行和协调发展，而且能使基金会的社会行为事倍功半，大大提高社会运行效益。为了更好的研究大学教育基金会的监督机制，我们主要从自律与他律的两个角度出发，对大学教育基金会的发展状况进行了深刻的分析。通过类似的分析，指出正是自律与在当前大学教育基金会的完善与发展上所发挥的功能。随着人与社会关系的发展，互构型的社会逐步推动着大学教育基金会的“他律”向“自律”方面发展。这从中也体现了大学教育基金会本身的属性与功能，真正的体现了互构论中所描述的人与社会同向谐变的关系。第七章重点讲述了评估机制在大学教育基金会的运作系统中处于一种绝对重要的地位，是大学教育基金会完善与发展中的重要环节，具有着其它机制在这互构型社会中不可替代的功能是研究大学教育基金会运作过程不可忽视的一类机制。在此，现代大学教育基金会的评估已经形成了全方位的、综合性的评估，从内容上看，它包括了对基金会使命、战略规划、募捐绩效、项目开展、监督、能力建设、人力资源管理、财务管理等各方面的评估。从评估的组织者来看，包括有机构的自我评估、第三方评估、同行、媒体、公众以及政府对组织的评估等。从评估的参与主体来看，根据不同的需要和评估内容，包括有高层管理者、理事会成员、在基金会中负责项目或活动实施的人员、项目受益者、组织成员、社区领导、创始人员、资助者、合作伙伴以及主要志愿人员、管理人员等。最后，文章指出了随着社会的发展以及大学教育基金会自身的发展，新的问题也在实践的过程中不断涌现，对于这些问题，我们应从社会互构论的角度加强对大学教育基金会运作机制的分析。惟有如此，才能进一步地增强大学教育基金会的运作空间，提高大学教育基金会的运作能力。更多还原

【Abstract】 The University Education and Development Fund is a non-profit fundraising organization under the leadership of the president and the university Party committee at home and abroad. Its function lies in maintaining the national investment of higher education as the principal sector continuingly, and energetically exploring the society’s capital raising channels in unison in order to attract social force to make investment for higher education, and to ensure the durative, stable and rapid development of higher education. As a non-profit organization, the University Education Fund is a product under the intense ongoing transition of the society, which means, there’s a late start and little experience. Meanwhile, the level of the models from abroad is relatively low. From this perspective, the study of the University Education Fund’s status quo and its evolution can bring out some significant economic and social understandings related to the development of our country’s funds for education and the national higher education under this background. Yet a clearer view on the development of the funds for education in all universities depends on a profound knowledge of their status quo, which refers to the organization structure, fundraising system, distribution mechanism, supervision and the assessment system of the programs. Only on the basis of this can we provide and some policies and proposals with practical evidence and value.The paper takes some practical and theoretical materials with on-the-spot investigations as a foundation, from the angles of the social reform theory, the economics of education and the educational sociology theory, the country and the society relationship theory and the social interconnection theory, trying to discuss the developing trends and some possible problems of the University Education Fund and then further its step to propose plans on strengthening the faith, system and ethics on the administration of our nation’s higher education funds, and to build & shape a developing path of them which will lead the newly started ones onto a healthy and safe road.The first chapter mainly defines the basic concept of the University Education Fund. Firstly, it opens with the concept of "non-profit" organization, which explains the characteristic, range, developing period, sorting system and the legal administration system, the interrelationship among governments and the supervision administration system with some analysis on the concept of "fund" & "foundation", and the related characteristics of China’s national funds, in order to introduce the concept of university fund for education.The second chapter discusses the organizational structure of the university fund for education in its operation. As a public organization, it is necessary to balance the interrelationship with the university’s executive branch in order to win the equal status for itself while facing the complicated market environment and the multi-leveled social effects. Thus, the upper authority’s "power-cut" phenomenon can be avoided, and the predictability of the fund’s development can be advanced. Secondly, only when there’s a good balance of the interconnection between the fund and its internal staff members can it come into the idea of "people foremost", which would successfully combine the internal staff members’ benefits and the benefits of the fund itself, and then raise their working efficiency and more profitably achieve the goal. Lastly, the University Education Fund also has to balance the interrelationship with the public, for the sake of providing better service to the people and win their, especially the investors’ trust, to acquire the fund’s most important donations.The third chapter talks about the important strategic position of the essential donation-promotion work which directly interact with all sectors of the society as the bond of the University Education Fund and all other social systems in the fund’s operating process. In another word, only the donation-promotion work can be the unfailing source of the fund’s existence and development. No matter how flawless the organization might be, there would be no money to run the fund without the donation-promotion work. In this study, we have laid our focus on the dominant position of the donation-promotion work in the University Education Fund, including the fund’s level of independence, the elementary feature of the promotion idea, and the alumni-oriented donation characteristic of the fund ...etc. Furthermore, there’s a discussion on the opinion that the University Education Fund would neither survive in a comparatively minified market under increasingly heated competition and narrowed promotion space without a specialized organization and a well-trained team, nor without a good cooperation between the funds and the universities or a complete renewal of the donation-promotion idea.The fourth chapter points out the process of the capital distribution in the distribution mechanism of the university funds for education in contemporary China consists of three parts, including public expenditure, operation cost and investment appreciation. About the methods of capital distribution, its structure, aiming direction, distribution channels, distribution standards and resources are explained. On the basis of the analysis above, some characteristics of the capital distribution like the deficiency of funds, the diversity and apparently reinforced flexibility of distribution means and the decision-making methods are discovered.The fifth chapter further explores the idea that the establishment of a reasonable scientific incentive mechanism is a premise for maintaining the staff members’ high working efficiency and a propeller for the organization’s development. From this aspect of the University Education Fund, we are now introducing the idea that we should strictly differentiate the internal and external incentive mechanisms for the staff members, and put together and take advantage of both the formal and the informal encouragements, as well as make good use of the culture-valued encouragement based on that of the economic interests. In addition, the incentive mechanism of the University Education Fund shows some features like the injustice of formal encouragement, the uncertainty of the informal encouragement, and the fragility of some value-focused incentive methods. These are all characteristics and problems of the University Education Fund that should be inevitably revealed under the backdrop of the intense ongoing transition of the society.The sixth chapter is a combination with the study of some practical conditions. We have found that an effective supervision would not only ensure a benign circle and a coordinated development of the whole system, but also greatly raise the efficiency of the fund’s social activities, and increase the benefits related to the social operation. In order to find a better way of investigating the supervision system of the University Education Fund, we have primarily made some deeper analysis on its status quo from the two angles of autonomy and heteronomy. Through such analysis, we have come to the decision: it is autonomy that plays an important role in the University Education Fund’s perfection and development. As long as the public-society relationship develops, the interconnected society is also leading the University Education Fund forward from the heteronomy type to the autonomy type. This has partially demonstrated the nature and function of the fund and realized a co-direction relationship between the people and the society described in the interconnection theory.The seventh chapter mainly emphasizes the undoubtedly important position of the assessment system in the operation of the University Education Fund. The assessment system is an essential part of the perfection and development process of the fund, which possesses some irreplaceable functions in this interconnected society, and a non-negligible system in the operation. Hereby, the assessment of the University Education Fund has formed into an all-directional comprehensive one. Viewing from its content, it has covered different evaluations on the fund’s duty, strategy, donation-efficiency, program-running, supervision, ability-construction, manpower resources management and financial administration. Viewing from the assessment leaders, there are organizational self-assessment, a third party assessment, and assessment from the peer-competitors, the media, the public and the government. Viewing from the main body of the participants, the upper-leveled administrators, council members, staff members in charge of certain programs or activities, beneficiaries, organizers, community leaders, founders, investors, cooperative fellows and major volunteers and administrators are all included.Lastly, the paper points out that with the development of both the society and the University Education Fund itself, new problems tend to appear constantly in the practical process. About these problems, we should strengthen the understanding of the operation mechanism in the University Education Fund. Only in this way, the operation space and operating ability of the fund could be enlarged and improved.更多还原