论赞比亚高等教育财政政策的重构
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摘要
赞比亚公立大学正面临着诸多挑战，如财政紧缩、利用率低、教师招聘与留任、大众化、制度性自治缺失、基础设施建设滞后等问题。基于这些挑战，特别是持续性的财政紧缩给公立大学发展带来的危机，赞比亚政府审时度势，通过1996年的高等教育改革制定了基于成本分担、学生贷款、经费多样化的财政政策。这些政策废除了过去那种由单一税源提供经费的做法，致力于加强非政府性的财政投入。本研究采用由约翰斯通在1986年提出的包含成本分担、学生贷款、经费多样化在内的“多元化财政模型”（DFM）来评价赞比亚公立大学的财政政策。本文采用一种平行收敛的混合性设计，利用定性方法和定量方法的并行使用进行理论和实证研究。研究中，作者提出了针对实现赞比亚公立大学有效和可持续发展的财政政策的建议。研究数据来源包括问卷调查（729位学生，200位讲师），半结构化访谈（12位大学和政府行政人员），以及在2012年为期五个月的文献研究。主要采用描述性分析和因子分析方法进行数据分析，并运用诠释学理论解释研究发现。
通过对研究者对赞比亚公立大学财政政策观点的整合，本文认为，现阶段政策在实施上虽然取得了一些成就，但仍需要通过一种重构以保证政策的可行性、有效性、可持续性。赞比亚公立大学财政目前正处在一个改革的十字路口：教育经费占国内生产总值的比例正逐步减少，教育负债正以前所未有的速度增加；与此同时，在过去的16年间，成本分担和助学贷款政策从未真正地落实过。本研究进一步指出，虽然大学的经费仍主要来源于税收收入，但学生、家长、捐赠者、企业、政府是完善和保障大学经费的重要潜在力量。本文提出了一些建议，如确保政府切实有效地推进成本分担和助学贷款政策；清算现有巨额债务；避免因政治私利干涉重大财政决策等。
最后，基于研究发现和国际比较，本文对赞比亚公立大学政府财政政策提出三点具体的重构方案：建立扩充型的成本分担混合模型（MACSM）；引入公式化拨款财政；在学生贷款上建立“赞比亚教育信托基金”。
Higher education especially public universities in Zambia have been experiencing amultitude and plethora of challenges such as: financial austerity, accessibility, facultyrecruitment and retention, massification, lack of true institutional autonomy and the lackof improvement of physical facilities. Cognizant of these quagmires, and the challenge offinancial stringency which has remained at the peril of public universities development,the government through the1996education reforms, crafted higher education financingpolicy based on decentralization, democratic principles of efficiency, equity,accountability and cost effectiveness. This was a way of responding and moving awayfrom an exclusively tax funded to develop non-state sources of funding. For publicuniversities, the policy emphasized cost sharing, revenue diversification and student loansas an avenue for achieving the much desired sustainability. This study therefore usesJohnstone’s (1986)‘Diversified Funding Model’(DFM) in the conceptual framework toappraise the policy for financing public universities that has been in existence for almosttwo decades in terms of cost sharing, revenue diversification and student loans. The studytheoretically and empirically uses the parallel convergent mixed design in whichquantitative and qualitative approaches are juxtaposed. The actor’s attitudes andperceptions are used to propose ways of re-engineering the current financing policy tomake public universities effective and sustainable. Data were collected using thequestionnaires (Students-N=729, Lecturers-N=200), semi-structured interviews (12officials-University and Government) and supplemented by document analysis for fivemonths in2012. Data analysis was mostly through descriptive statistics, factor analysis,interpretive theory and embedding the two strands of findings.
In light of the aggregate actors’ perception towards the policy of financing publicuniversities, findings of the current study suggest that the current policy was perceived tohave had a modest achievement and therefore needed re-engineering to make it viable,effective and sustainable. Financing public universities in Zambia is at crossroads:government’s real GDP allocations to universities are declining, debts are growing atastronomical rates and the true cost sharing model and student loan policy has never been fully implemented for16years now. The study further revealed that students, parents,donors, entrepreneurship and government are still key component of university financingpossibilities, even though the universities were still heavily reliant on tax funding. Thestudy makes recommendations which among others point to government’s implementationof a truly cost sharing funding model and student loan scheme, liquidating of current hugedebts and avoidance of meddling in important financing policy decisions for politicalexpediency.
Finally, based on findings and international experience, the study proposes three things: i)A Mixed Amplified Cost Sharing Model (MACSM); ii) An introduction of ‘FundingFormula’ and iii) the creation of Special Fund called ‘Zambia Education Trust Fund’(ZETF).
通过对研究者对赞比亚公立大学财政政策观点的整合，本文认为，现阶段政策在实施上虽然取得了一些成就，但仍需要通过一种重构以保证政策的可行性、有效性、可持续性。赞比亚公立大学财政目前正处在一个改革的十字路口：教育经费占国内生产总值的比例正逐步减少，教育负债正以前所未有的速度增加；与此同时，在过去的16年间，成本分担和助学贷款政策从未真正地落实过。本研究进一步指出，虽然大学的经费仍主要来源于税收收入，但学生、家长、捐赠者、企业、政府是完善和保障大学经费的重要潜在力量。本文提出了一些建议，如确保政府切实有效地推进成本分担和助学贷款政策；清算现有巨额债务；避免因政治私利干涉重大财政决策等。
最后，基于研究发现和国际比较，本文对赞比亚公立大学政府财政政策提出三点具体的重构方案：建立扩充型的成本分担混合模型（MACSM）；引入公式化拨款财政；在学生贷款上建立“赞比亚教育信托基金”。
Higher education especially public universities in Zambia have been experiencing amultitude and plethora of challenges such as: financial austerity, accessibility, facultyrecruitment and retention, massification, lack of true institutional autonomy and the lackof improvement of physical facilities. Cognizant of these quagmires, and the challenge offinancial stringency which has remained at the peril of public universities development,the government through the1996education reforms, crafted higher education financingpolicy based on decentralization, democratic principles of efficiency, equity,accountability and cost effectiveness. This was a way of responding and moving awayfrom an exclusively tax funded to develop non-state sources of funding. For publicuniversities, the policy emphasized cost sharing, revenue diversification and student loansas an avenue for achieving the much desired sustainability. This study therefore usesJohnstone’s (1986)‘Diversified Funding Model’(DFM) in the conceptual framework toappraise the policy for financing public universities that has been in existence for almosttwo decades in terms of cost sharing, revenue diversification and student loans. The studytheoretically and empirically uses the parallel convergent mixed design in whichquantitative and qualitative approaches are juxtaposed. The actor’s attitudes andperceptions are used to propose ways of re-engineering the current financing policy tomake public universities effective and sustainable. Data were collected using thequestionnaires (Students-N=729, Lecturers-N=200), semi-structured interviews (12officials-University and Government) and supplemented by document analysis for fivemonths in2012. Data analysis was mostly through descriptive statistics, factor analysis,interpretive theory and embedding the two strands of findings.
In light of the aggregate actors’ perception towards the policy of financing publicuniversities, findings of the current study suggest that the current policy was perceived tohave had a modest achievement and therefore needed re-engineering to make it viable,effective and sustainable. Financing public universities in Zambia is at crossroads:government’s real GDP allocations to universities are declining, debts are growing atastronomical rates and the true cost sharing model and student loan policy has never been fully implemented for16years now. The study further revealed that students, parents,donors, entrepreneurship and government are still key component of university financingpossibilities, even though the universities were still heavily reliant on tax funding. Thestudy makes recommendations which among others point to government’s implementationof a truly cost sharing funding model and student loan scheme, liquidating of current hugedebts and avoidance of meddling in important financing policy decisions for politicalexpediency.
Finally, based on findings and international experience, the study proposes three things: i)A Mixed Amplified Cost Sharing Model (MACSM); ii) An introduction of ‘FundingFormula’ and iii) the creation of Special Fund called ‘Zambia Education Trust Fund’(ZETF).
引文
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