【作者】 刘优良；

【导师】 陈振明；

【作者基本信息】 厦门大学 ， 行政管理， 2008， 博士

【摘要】 20世纪80年代以来,随着全球化的迅猛发展、科技和经济的快速增长以及新自由主义所带来的市场化趋势,以美、英、澳大利亚等国的大学为代表,世界各国的高等教育领域发生了一系列旨在重构政府、高校以及市场之间关系的变革。在这一进程中,各国高等教育的决策者热衷于运用众多的政策工具来促进大学的制度创新和治道变革,凭单制即是其中备受争议的政策工具之一。渊源于新自由主义经济学的凭单制是一种新颖的市场化工具,它通过一纸具有准货币性质的交易凭证从消费者角度强化其选择权而巧妙植入市场竞争机制,其实质是在公共服务中引入市场机制的一种制度安排。凭单制在高等教育领域的应用将导致政府、市场、大学角色的变迁,促进传统的国家和高等学校关系的进一步改变。由于凭单制问题的复杂性、敏感性,以及应用于教育实践中的屡受挫折,人们在探讨或践行高等教育凭单制改革时都表现得小心审慎。目前,凭单制在美国、芬兰等国的高等教育领域得到了初步的应用和推广,在澳大利亚引起了高等教育决策者们多年的设想与论争。在我国,高等教育凭单制的实践应用尚处于萌芽阶段,有关高等教育凭单制的理论研究和学术争鸣也相对较少,对于该工具在高等教育管理中的应用,缺乏相关的可行性论证和明确的策略指导。本文试图构建高等教育领域凭单制应用的理论框架和运作模式。在研究视角上,将凭单制这一工具置于高等教育国际化的时代背景下,以致力于促进高等教育治道变革,提升国际竞争力为根本目的,从国家与市场、高校以及社会关系架构的学术视野,从以人为本和政策工具的视角出发来考察大学发展的内在规律,对于高等教育领域如何应用凭单制这一政策议题进行整体观照,在理论上拓宽凭单制的研究路径,为未来我国高等教育领域借鉴和应用凭单制政策工具提供理论参考。在内容结构上,本文从西方高等教育凭单制的研究动态、历史发展及理论基础开始,考察了高等教育凭单制的内涵、动力、基本模型等理论问题;通过对美国、荷兰、澳大利亚等几个较为典型的国家的案例分析,总结了凭单制在这些国家的个性化运用特征及其经验启示;阐述了我国高等教育财政拨款的历史、现状及应用凭单制的必要性;以国内外高等教育凭单制应用个案,分析我国特定情境下的高等教育的制度需求与供给,评估我国高等教育引入凭单制的可行性及其限度;探讨凭单制在我国高等教育中的适用模式、变迁方式和制度设计。总体而言,凭单制不是一个恪守规定流程、“现成”呆板的操作技术,其实质应是促进大学回归本质、超越现状、实现“善治”的现代大学制度的一个有机部分。凭单制这一政策工具的高等教育学意义在于,它契合了大学理念与高等教育制度文化中的人本关怀力量,体现了大学对生命的强旺需求的回应;它蕴藏了商品视域的天然的竞争力量,体现了市场逻辑对国家政治权力过强干预的适度消解;它包含了“治理”思维对大学影响和改造的多元参与力量,体现了“多中心主体”对大学事务尤其是大学决策的合作与协商。这种种显性和隐性的力量又在教育选择权这一焦点(也是起点)问题上实现交汇并通过人才培养过程得以表达。凭单制并非万能的工具,其积极效应的发挥,需要一系列相配套的运作条件。在我国,其方案设计与具体实施尤其应与我国的国情相适应。当前,凭单制在我国高等教育中的应用需要结合中国实际分阶段和分区域推行,在更好地帮助贫困大学生和弱势群体以及高等教育通向农村等现实问题中发挥作用,促进教育公平和高等教育和谐。同时,借助这一工具,给予民办高校以及职业技术教育机构相对公平的竞争环境,以此促进我国高等教育市场的发育,刺激竞争。在凭单制的设计上,需要明确国家教育行政机关、高等院校、大学生以及社会有关中介机构等不同主体间的相互关系,明确各自的权责利,妥善处理大学治理主体间的博弈与冲突,提高信息共享程度,以达到降低成本,实现公共利益最大化的改革目的。更多还原

【Abstract】 Since 1980s,along with the rapid development of globalization, technology and rapid economic growth, as well as brought about by neo-liberal trend of the market to the United States, Britain, Australia and other countries on behalf of the University, the world of higher education the field of a series aimed at reconstruction of the Government,the relationship between colleges and universities, as well as the market changes.During this process, the dicision maker of higher education in all countries falls overboard for to make use of numerous policy tools to promote the system innovation of university and cure a change, the vouchers is one of the controversial policy tools among them.Voucher is a new tool for marketlization originating form new liberalism economics, it emphasis the power of choice through the certification to transplant the market competition mechanism from the consumer angle, and the enssation of it is to introduce the market mechanism into public service. The application of vouchers in higher education will bring the change of the role of government、market and higher educaiton institutions , and promote the further change of the relation between traditional nation and higher education. Because of the complication and sensitivity of vouchers , and the difficult it account during the process of application ,all of these make people careful when the talk or parctice vouchers in higher education field. Untill now , the vouchers have been used in the United States、Russia and Finland etc.In our country, theoretic research and disscusses about higher education vouchers is still very little, the practice of it is more less and badly lack of theory guide.The dissertation try to set up the applied theories frame and operation mode of higher education vouchers .The angle of this research is place the voucher tool into the background of globalization and the ages topic of higher education management reform. It is the aim of this paper to discover the pattern in the development of higher education from the perspectives of the nation, market system, high schools and the academic views of the society. This takes into consideration their human-orientation and strategic importance. This paper also provides a panoramic view of the strategic theme of the application of the voucher system in higher education in order to widen the research filed about it, to give a theoretical reference to future higher education, and to promote its application in China. This dissertation investigates the connotation, motivation, basic model and other theories of voucher application in higher education based on the dynamic state, historical development, and theories of voucher use in higher education in western countries. It uses the U.S., Holland ,Australia and some other countries as models, analyzing their individual characters and experiences. It elaborates on the history, present condition and application of the voucher system in the public financial management of China’s higher education. It also analyzes the requirements and provisions of the regulations of higher education in China. Furthermore, it investigates a suitable model of voucher application, evaluates its merits and shortages, and discusses its formulation and design in China.Generally, voucher application is not an operational technique which obeys the fixed technological process. Its essence is to promote the university should return to nature, go beyond the status quo, to achieve "good governance" of the modern university system an integral part of.The significance of voucher application in higher education is that it corresponds with the human-oriented strength which lies in the university principle and the culture of the higher education system. It indicates the strong reaction of college students to life. It contains a natural competition concealed in the commodities and the elimination of market logic as a result of the strong interference of political power. It involves the application of the principles of“management”to college students and their reformation. It reflects the cooperation between“multiple-center”and college affairs, especially its determination. These dominant and recessive strengths converge on the theme of the choice of education and they are also demonstrated during the process of the education.Actually, the voucher system is not an all-powerful tool. It should be applied only under certain condition in higher education and, especially, be in agreement with China’s national conditions. At this moment, the application of voucher in higher education should correspond with the national conditions and applied gradually and area by area. Now, the voucher should be used as a tool to promote the fairness of education, allocate funds toward poor university students, and facilitate students’attendance of private colleges and technical education institutions. The voucher system can be used to design the inter-relationship between the national education administration, colleges, and college students. Moreover, it makes explicit their respective obligations, helps to resolve inter-college conflicts, improves the degree of information sharing, reduces the cost, and realizes the maximum public profits.更多还原