【作者】 肖静；

【导师】 陈磊；

【作者基本信息】 武汉理工大学 ， 管理科学与工程， 2009， 博士

【摘要】 当大学日益从社会的边缘走向社会的中心,围绕着大学的核心问题就是:如何才能有效率地保证大学实现其创造知识、传承知识与服务社会的目标?本文从大学的理想出发,分析影响其组织目标实现的因素,并将视角转向大学的治理结构,探讨大学的权力应该如何配置,才能更好地提高大学组织的效率。随着社会政治、经济的发展以及全球化浪潮的到来,我国大学的发展受到政治、经济环境等多方面的影响和约束,面临着巨大的考验和挑战。大学当然不能脱离社会环境而独善其身,大学内部出现了诸多方面的问题,如高等教育资源的稀缺与配置的不合理、科研水平低下、教学投入不足、学术腐败严重等等。那么是什么在影响着大学的组织效率?作为非营利性组织,大学难以具备提高其组织效率的内在动力和外在压力;但另一方面,大学处于高等教育市场中,面临着高等教育资源稀缺的现状,大学也处于公共管理与公共财政改革的环境中,并且大学的各种利益相关者对于责任与效率也是有所追求。因此,大学应关注组织的效率。大学的组织效率应与大学的组织目标相一致、与大学的价值标准相统一,是大学各类关系和活动效果的综合体现。作为一种特殊组织,大学的目标与理念不是自发实现的,需要一系列的有效制度安排来实施。研究现代大学效率问题旨在通过最优制度安排以实现大学的目标和理念。组织是权力的前提,同时也构成了权力关系得以展开的空间和场所。从组织内部来看,制度安排的核心在于权力结构的安排。大学是典型的利益相关者组织,这些利益相关者对于大学有各自的要求和权力。基于利益相关者理论,运用专家调查法和问卷调查法,将大学的利益相关者归纳为十类;根据他们对于大学的要求和权力的重要性、紧急性和主动性的分析,将大学的利益相关者分为三个层次,即核心利益相关者、重要利益相关者和边缘利益相关者;并从核心利益相关者这一层次出发,将大学的权力主体划分为以政府和校长为代表的行政权力、以教师为代表的学术权力和以出资者和学生为代表的第三方权力。大学的各权力主体在履行自身最大化偏好行为的同时,需要相互合作,而合作中又存在着大量的冲突。各权力主体之间的博弈成为研究大学权力结构的关键。由此,大学权力结构的分析围绕大学的行政权力与学术权力的博弈而展开。文章分别构建了行政权力与学术权力在完全信息下的混合战略博弈模型和不完全信息下的动态博弈模型,并得出了混合战略博弈的纳什均衡以及多阶段重复博弈声誉模型的解,并选用相关的面板数据和相应的计量技术,分析验证了中国目前高等教育组织内部学术权力和行政权力的相对大小及其对大学效率的影响。上述研究显示出,大学权力结构中行政权力与学术权力相对大小的不同将对大学的组织效率产生不同的影响;当前我国教学科研型大学中,学术权力的边际贡献比行政权力的贡献大,即扩大学术权力的作用要比扩大行政权力的作用大。据此,文章提出了大学权力制衡与完善的政策建议,包括完善制度、以法制权,加强监督、以权制权,强调自律、以德制权;提升学术权力、保障学生权力、凸显第三方权力等。更多还原

【Abstract】 As the university growing from the margins toward the center of the society, the goal of the modern university progressively developed into the creation of knowledge, the transmission of knowledge and service to society. At this point revolved around the core issue of the University, the essence is: How can efficiently ensure the achievements of the objectives, value and functions of the university? In this dissertation, starting from the ideals of the university, it explores the factors effect on the achievement organization objective of the university, and shifts the perspective to the governance structure of the university, and studies how the power of the university should be configured in order to better improve the organization efficiency of the university.At present, with the social political and economic development, as well as the advent of globalization, under the impact and the constraints of the political and economic environment, the development of China’s university are faced with enormous trials and challenges, and the Universities of course, can not expect to be immune from the social environment. In the backgroundof socio-political and economic transition, there have been a lot of internal problems in the universities, such as the irrational allocation of scarce resources of higher education, the lower level of scientific research, the lacking of educational investment, academic corruption and so on. So what influence the organizational efficiency of the universities? As a non-profit organization, theoretically the university has no driving force of the internal and external pressure to improve the efficiency, but in the higher education market, universities are faced with the scarcity of resources of higher education, and also in the public administration and environment of public finance reform, and the various stakeholders of the university have the responsibilities and pursuit of its efficiency, therefore, the universities should be concerned about the efficiency of the organization. The organizational efficiency of the university should be consistent with organizational goals, unite with values of the university, and be a integrated embodiment of the effect of various relations and activities.The core of the research on the efficiency of the modern university is essentially the institutions’ optimal arrangements to ensure the effective achievement the goals of the university. As a particular organization, the university can not automatically achieve and realize its goals and ideas, but requires a series of effective institutional arrangements to implement. Organization is the premise of power, but also constitutes a space to place and start power relationships. From the internal organization, the core of the institutional arrangements is the arrangements of the power structure, which essentially is the governance and the power structure of the university.University is a typical organization of stakeholders, and these stakeholders have their own power and requirements to the university. This dissertation based on the stakeholder theory, by use of expert surveys and questionnaires, aggregate the stakeholders of the university into ten categories, and according to the requirements of the university and the analysis of importance, urgency and initiative of power, the stakeholders of the university is summeraized into three levels: the core stakeholders, the important stakeholders and the edge stakeholders. From level of the core stakeholders, the dissertation groups the main bodies of power into three parties: the administrative power representatived by governments and university president, the academic power representatived by professors, and the third-party power representatived by capital contributors and students.In the dissertation, the analysis of the power structure of the university starts from the game of administrative power and academic power of the university, at the same time the main body of the power of the university maximize their own preferences, they need mutual cooperations, however, there are a large number of conflicts in the cooperation. The game between the main bodies of the power, that is, their decision-making in different behavior during direct interaction, as well as the balance of this decision-making, essentially constitutes the key research on power structures of the university. The mixed strategy game model under the full information and the dynamic game model under incomplete information of universities’ administrative power and academic power are discussed saperately in the dissertation, and come to a mixed strategy Nash equilibrium of the game, as well as the solution of a multi-stage repeated game of the reputation model, and a detailed analysis of the relationship between the two main power bodies in the organization of university.On this basis, the dissertation points out that the relative intensity of the administrative power and academic power in the university power structure will have different effects on the efficiency of universities, and select the relevant panel data and the corresponding measurement to analysis and verify the current relative intensity of the administrative and academic power in Chinese higher education organizations and its effect in efficiency of universities. It comes to the conclusion that in Chinese comprehensive universities, the marginal contribution of the academic power is larger than the administrative power, that is, the expansion of academic power will play a more notable role than the expansion of the administrative power. Accordingly, sound policy recommendations about balances and improvement of university powers are put forward.更多还原