论德国高等学校科研经费筹措的现状、问题和对策

德国高等学校的科研经费制度是由基本资助和科研项目资助组成的双轨制,第三渠道经费来源多样化且极富特色.德国高等学校科研经费筹措中的主要问题是:与非大学系统相比,高等学校的科研竞争力有所下降;宏观和微观方面的科研资助组织体系尚不够健全;科研经费管理制度缺乏一定的灵活性.当前德国高等学校科研经费筹措的主要改革举措包括:逐步增加高等学校科研经费投入的数量和比例,促进地区和高等学校间科研经费投入的均衡化,促进科研直接成本和间接成本的相匹配并提高使用效率.     

Who Should Pay for Higher Education?

Policies that shift the costs of higher education from the taxpayer to the university student or graduate are increasingly popular, yet they have not been subjected to a thorough normative analysis. This paper provides a critical survey of the standard arguments that have been used in the public debate on higher education funding. These arguments are found to be wanting. In their place, the paper offers a more systematic approach for dealing with the normative issues raised by the funding of higher education. This approach is drawn from the political theory of John Rawls, whose view seeks to reconcile the values of equality, efficiency, and liberty. I show that, contrary to what we may think at first, an egalitarian approach like Rawls' does not in principle rule out policies that shift the funding burden from taxpayers to students or graduates. Which funding policy that approach selects as most fair will instead depend on the likely impact on the lifetime income prospects of the worst‐off group in society, and this is a question which will need to be settled by empirical evidence.     

The rôle of performance indicators in higher education

This paper arises from the experiences in five countries (Denmark, the Netherlands, Norway, Sweden and the United Kingdom) in developing and using performance indicators in government-institutional relationships. The rôle of performance indicators in higher education depends on the political culture, the educational funding system and the quality assessment procedures that determine the optimal allocation of resources in a particular country. The political culture of education can be geared, on the one hand, to equivalence in the provision of educational opportunities and, on the other, to variety in the educational system. The funding system can be incremental or differential. Quality assessment can aim at quality across the system or at comparative quality judgements. Ten lessons for government and intermediate funding agencies are drawn, which are believed to facilitate the debate on the development and the use of indicators in government-institutional relations.The authors wish to thank Marianne Bauer, Toril Johansson and Hugo von Linstow for their contributions from Sweden, Norway and Denmark.     

Decision: Reform in Adult Education (1987)

Promoting adult education is a human resources development with short cycles and quick effects and that calls for a certain amount of funds and investment. Starting this year, adult education will be included in the state budget for revenues and expenditures as an additional item. When making arrangement for education expenditures, local financial departments should also incorporate funds needed for adult education in their budgets and allow the funds to increase as the economy moves forward and regular revenues grow. Enterprises should disburse funds needed for employee education according to a prescribed ratio. In addition, shortfalls can be made up in the following ways: Expenses for technological training involving the development of new technology or research on new products may be disbursed directly as a part of the production cost; expenses for staff training may be disbursed from the retained percentage of profit, surplus from block-grant expenditures, and after-tax profit; training expenses for projects of technological development, introduction of foreign technology, and technological innovation, or projects of optimizing the service of certain products (including expenses for sending employees abroad for advanced training) may be disbursed from the project funding itself. Funds for staff education in enterprises should be handled and disposed of by its educational division under the supervision of financial departments. If there is surplus in the funding that cannot be spent in the same year, the surplus can be carried over to the next year. For small-sized enterprises that cannot afford to offer staff education on their own and enterprises that do not run staff education programs efficiently, the departments in charge can set up concentrated staff education facilities and support such facilities with funds taken from respective staff education expenditures. When planning for either urban community construction or newly built enterprises in the future, we should, at the same time, plan for the construction of basic facilities for adult education and incorporate such projects in the investment plan for infrastructure investment projects. The various ministries and regions should set up a few key adult education bases that are better equipped and of a higher quality. In the area of peasant education, expenses that involve eliminating illiteracy, training of teachers, compiling of textbooks, exchange of experience, activities, and so forth, should all be disbursed from educational expenditures by education departments at different levels. Funds for county-run peasants' secondary specialized schools and peasants technical schools of different specialties and types should be raised by the county people's governments under unified arrangements and according to their respective financial strengths. The departments concerned, however, should lend the local governments certain financial aid. Funds for peasants' cultural and technical schools run by townships (towns) can be drawn as a certain percentage from the rural education surcharge, pooling funds from the people, collecting tuition fees, or launching work-study programs.     

Higher Education Funding: A Decade of Changes

The authors, two French specialists on the financing of higher education, reflect on the conclusions they drew in an article, "Rethinking the Financing of Post-Compulsory Education", which they published in this review ten years ago. As they foresaw, higher education funding became increasingly based on mixed sources with students being required to pay a greater share of the costs of their education. But mechanisms to make cost sharing increasingly equitable have been refined. At the same time, the determination of actual costs per institution, per course programme, and even per course has become increasingly accurate, and funding is increasingly taking into account the verdict of performance indicators of various kinds. The funding of research is being increasingly differentiated from funding for teaching/learning. Across the board, higher education institutions have had to do more for less.     

Converge or not converge: the European Union and higher education policies in the Netherlands,Belgium/Flanders and Germany

This article examines the impact of European integration on higher education policies of the Netherlands, Belgium/Flanders and Germany. The analysis of higher education policies in the three countries is part of a broader project, which focuses on a majority of E.U. member states. The selection of the three countries for this paper is not based on any methodological considerations. The question addressed is if higher education policies of member states are converging, diverging or not changing at all, and whether such developments are a consequence of the policies of the European Union (E.U.) or of other factors (e.g., the globalization of the market or of institutions imitating each other). A preliminary assessment leads to the conclusion that a number of important indications of convergence are present in national policy arrangements in the field of higher education (in particular student mobility and quality assurance, but less in the structure of higher education systems My attention will be focused on the structure of higher education systems, on quality assurance and on student and teacher mobility. These domains appear to cover most relevant issues pertaining to higher education policies in the European Union member states (funding of higher education is sometimes considered as a separate domain, but it can also be regarded as an element of the structure of higher education systems, while it is also related to the issue of quality assurance).). The European Union, however, does not have much legal authority in the policy sector in question. Thus, an explanation for converging national policies may lie elsewhere, in part in the concept of “institutional isomorphism”.     

Evaluating state funding for gifted education programs

As a follow‐up to a previous article in which Baker and Friedman‐Nimz (2002a) recommended that gifted education advocates should focus on improving state funding of gifted education, this article provides an overview of state school finance policies for gifted education and frameworks for evaluating those policies. The frameworks are then applied for evaluating state school finance policies as of 1998–99 and state aid allocated to local districts for gifted education in 2000. In that year, only Florida provided both sufficient and equitable support for gifted education, assuming general education conditions to be adequate as well as equitable in that state. Gifted education funding in Virginia, while less adequate than supplemental funding in Florida, continues to be a model of equitable distribution.     

世界银行对非洲的高等教育政策及其影响

对援助的依赖是非洲高等教育发展的显著特征。世界银行作为非洲最大的多边教育援助机构,其教育政策影响了非洲高等教育的兴衰。非洲高等教育的衰退与世界银行不断变化的政策密切相关,既有直接的影响,也有间接的影响。影响路径多样,包括附加贷款条件、提供发展建议、影响其他援助机构、参与决策、召开国际会议、招募非洲专业人员等。21世纪非洲高等教育的复兴需要在外部依赖与自主发展之间寻求适当的平衡。     

Teaching and Research Quality Indicators and the Shaping of Higher Education

Two important sets of performance indicators have become established in the United Kingdom: research quality ratings and teaching quality ratings. The research quality ratings and, to a lesser extent, the teaching quality ratings, influence the level of government funding provided to higher education institutions. This paper considers the correlation between the two ratings and the possible consequences of policies that reshape the higher education sector by concentrating research resources in a limited number of institutions. Comparisons are made between quality assurance/assessment approaches in the United Kingdom and those in the United States.     

From state to market coordination: the Chilean case

Chile's higher education system has moved a long way from state and professional towards market coordination. Presently, market oriented policies predominate across the system, based on a loosely regulated private provision of higher education and the use of a set of “para market” mechanisms designed to enhance competition between state supported universities. The effects of these policies on the number and differentiation of higher education institutions, on enrollment, on the evolution of professional careers and academic degree programs, and particularly on the funding of the higher education system are here analyzed. A balance is drawn, specifically with respect to the nature and quality of private institutions and their public regulation, and to the competition for funding between state supported universities.     

高职院校资源配置问题透视：特征、问题及对策

近年来,我国高职院校呈现出了财力资源配置总体趋好、人力资源配置有所改善、物质资源配置逐渐转好等特点,但也存在着生均教育经费支出增速起伏不均、部分省市生师比仍未达标、“双师型”教师比例增速迟缓等问题。因此,有必要实施诸如确保生均教育经费支出稳步增长和有效监控、生师比建设的因地制宜与规则干预、强化“外引与认证”机制等策略来解决我国高职院校资源配置面临的各种问题。     

Financing higher education in India

This paper is an attempt to analyse the present pattern of funding higher education in India and to discuss the desirability and feasibility of various alternative methods of funding the same. Higher education in India is basically a state funded sector. But as higher education benefits not only society at large, but also individuals specifically, and as it attracts relatively more privileged sections of the society, there is a rationale for shifting the financial burden to the individual domain from the social domain.It is argued here that given the resource constraints and equity considerations, financing higher education mostly from the general tax revenue may not be a desirable policy in the long run. Accordingly some of the alternative policy choices are discussed, including financing higher education from the public exchequer, student loans, graduate tax, student fees, and the role of the private sector. Among the available alternatives, it is argued that a discriminatory pricing mechanism would be relatively more efficient and equitable. While given the socioeconomic and political realities, the government has to continue to bear a large responsibility for funding higher education, instead of relying on a single form of funding, efforts should be made to evolve a model of funding that provides a mix of the various methods. It is also argued that fee and subsidy policies need to make distinctions across various layers and forms of higher education.     

Plan for Reforming Beijing University's Engagements and Promotions System

1. With regard to the funding channels of vocational secondary schools (including agricultural schools, similarly hereinafter), the provisions contained in documents Guofa, no. 252 (1980) and Jiaozhongzi, no. 006 (1983), issued by the Ministries of Education, Labor, and Personnel and Finance, as well as the State Planning Commission, should continue to be implemented. With regard to the funding for vocational secondary schools run by education departments (including those transformed from former regular secondary schools), there is already a separate heading "vocational education expenditure" under educational expenditure in paragraph 179 of the "Headings of Revenue and Expenditure of the State Budget," and it is stipulated that this fund should be included as expenditure under educational expenditure. That is, both general education expenditures and vocational and technical education expenditures are to be included in the budget set for local educational expenditures for the sake of better coordination. To this end, vocational education expenditures should be included in the budget of local educational expenditures. Capital investment for vocational secondary schools should also be included in that for local educational captial investment, again for better coordination. In setting the estimates for their respective local expenditures, the people's governments at various levels should also give active support to the development of this educational undertaking.     

研究型大学经费配置如何促进学术产出——基于2007—2018年间部属高校面板数据的直接效应和中介效应分析

已有相关研究多集中于探讨经费收入与学术产出的关系，但经费无法直接转化为学术研究成果，对于这一过程的“黑箱”还未有明确认识。本研究尝试分析经费支出对大学发展的影响机制并优化经费配置路径。基于2007—2018年间58所教育部直属高校的校际面板数据，研究采用逐步法和双向固定效应模型分析了经费支出对学术产出的影响程度与作用机制。研究发现：从直接效应来看，经费支出规模对学术产出具有显著正向影响；就中介效应而言，经费支出通过专任教师、硕博士生、固定资产和课题等路径实现学术产出水平的提升，其中正高级教师、硕博士生和课题项目发挥着更大的中介效应。基于此，政府可继续增加对研究型大学的经费投入，并鼓励其多渠道筹措经费；政府还要减少经费使用限制，鼓励大学优化经费配置路径和方式，将更多经费用于教师、硕博士生等人员支出，并设置更多课题项目，从而在遵循高等教育发展规律的基础上，提高经费配置效率，为提升高水平研究型大学建设水平提供实证数据、理论依据和政策参照。     

Financing higher education in Pakistan

A recent shift in the allocation of public expenditure towards higher education prompts several questions: Is this allocation economically justified? Are these resources well utilized? Is there significant cost recovery of these expenditures? If not, who benefits from the subsidy these expenditures represent? Are there alternative means of financing higher education? This paper attempts to provide answers to these questions, which can be briefly summarized as follows: Estimates of social rates of returns do not support the reallocation of public expenditures away from primary towards higher education; low retention rates and high failure rates suggest that the internal efficiency in the utilization of these expenditures is low; currently, almost all public expenditures on higher education represent a subsidy; given the tax burden and enrollment ratios by income group, the lower income groups seem to be gaining most from these subsidies; a start has been made at private sector higher education with the opening of two professional universities, but the prospects of general universities currently opening appears to be dim. Pakistan has a well designed loan program in operation although its quantitative impact is currently limited.     

Higher Education (Including Nonformal Higher Education)

The following section is devoted to financial reform in higher education. As mentioned earlier, the reform in higher education in the 1985 decision was mainly one of decentralization, granting universities more autonomy in their administration and finance. The two aspects, which should have gone hand in hand, did not see parallel developments. The general shortage of funding (apart from the very necessary recurrent expenditures such as salaries) made administrative autonomy almost a burden. The autonomy was further hampered by the political incident in 1989 when the experiment of the "President Accountability System," as symbolic of party-administration separation, practically came to a halt. The autonomy notion, however, did give rise to numerous innovations in resource mobilization that are similar to those in technical/vocational education, but on a much larger scale. By the mid-1980s, most higher education institutions in China virtually relied on all kinds of joint ventures and external services to cover their nonrecurrent costs and staff benefits. As readers will see, the documents in this section are mainly on the financial implications of all kinds of unprecedented funding mechanisms.     

Implementation of the Bologna Process Goals: On Greek State Funding

Higher education in Greece is considered a public good, freely and indiscriminately provided to all citizens. At the same time, the over‐centralized administration of education, together with an inadequate flow of public subsidies, force households into private expenditures and render higher education an expensive asset to be acquired on the basis of social status and economic ability. Drawing on the imperative movement towards a common European higher education area, this study examines the way state investments are directed towards public universities. It concludes that the currently mismatched funding allocations are due to the absence of any concept of varying financial rewards, which should reflect the quality of the education offered and/or the students' socio‐economic background.     

省级政府对高等教育投入努力程度的影响因素分析

本文采用实证分析和理论分析的方法对影响省级政府对高等教育投入努力程度的因素进行分析。对易于量化的客观因素如当地GDP总量、财政支出、产业结构、地区高等教育规模进行多元回归分析,以得出每个因素对区域预算内高等教育经费的影响权重;对难以量化的政策、法律、制度等因素进行理论分析。最后,依据分析结果提出合理化的政策建议。     

美国的高等教育游说活动及其启示

游说业在美国是一个成熟的行业门类,目的是争取政策、资金和人才以及社会的认可和支持。高等教育游说活动在本质上是游说需求者和游说对象"双赢"的一种正常社会行为。我国高等教育存在对资金和政策的大量诉求、民办高校的生存环境需要第三方介入、高等教育的民主化进程扩大了决策参与机会,这些为高等教育游说活动提供了空间。目前,我国高等教育游说可以先从各级各类课题与项目中发现议题,有所作为。     

由“单一”到“多元”:浅析高等教育资助体系的历史沿革

自1949年新中国成立以来,我国逐步制定相关政策确立了高等教育资助体系。高等教育收费体制改革后,研究更加活跃,变革也更加频繁,经历了从单一化向多元化发展的过程。尤其是从20世纪80年末到90年初,市场经济的出现及发展成功带动了高等教育在财政和收费体制方面的改革,经历凤凰涅槃后的高校资助制度,其体系变得更加完善,形成了现在所通行的"奖、助、贷、补、减、免"六位一体的多元资助制度。