【作者】 李素芹；

【导师】 刘献君； 张晓明；

【作者基本信息】 华中科技大学 ， 高等教育学， 2010， 博士

【摘要】 上世纪末以来,我国研究生教育发展迅猛,地方高校参与研究生教育的高校数、学位点数、研究生规模也快速增长,但在这些外延发展的数量背后,地方高校研究生教育却存在着从招生到就业的全方位困境,这些困境涉及的是研究生教育结构、效益、质量的内涵发展问题,如果不认真对待并解决这些问题,数量大、分布广、差异性明显、与区域经济文化发展密切相关的地方高校的研究生教育将面临更大的困境,严重的甚至会危及存亡。了解地方高校研究生教育发展中存在的现实问题,探究问题背后的根本原因,对于促进我国研究生教育的多样化发展是非常必要的。在高等教育研究中,以地方高校或研究生教育为研究对象的专著和论文不少,但大多都集中在现象层面或宏观层面,关注引起问题的制度因素以及制度背后的原因的研究不多。然而,制度应是高等教育研究中的核心变量,尤其是在发展、转型的关键期,制度甚至就是发展本身。本研究的核心概念是“制度”,采用的是美国经济史学家诺思的定义,即制度是一个社会的博弈规则,是一些人为设计的、型塑人们互动关系的约束,包括正式法规、非正式约束和制度实施机制。本研究中的研究生教育制度是指与研究生教育有关的管理体制、正式法规、非正式约束和制度实施机制。针对上述问题,本研究以我国地方高校的研究生教育为研究对象,以制度为核心变量,从制度主义的理论视角透视影响我国地方高校研究生教育差异化发展的制度形成和僵化的原因。本研究从地方高校研究生教育的发展历程和现实状况切入,推演出对地方高校研究生教育发展的差异性期待；通过分析实地考察、访谈、问卷等途径收集到的资料,暴露出导致地方高校研究生教育趋同性发展的现实问题；随后运用文本分析法和制度主义理论探析导致地方高校研究生教育趋同发展的制度体系及其背后的原因,并从三个层次的地方高校中各选取一所进行案例剖析和比较,用微观层面的数据验证和充实整个分析框架；最后在综合研究的基础上,尝试提出促进研究生教育多样化发展的制度变迁路径。本研究围绕着对地方高校研究生教育发展的差异性期待和制度的趋同性导向之间的矛盾进行。本研究的立论基础是：我国地方高校的大量出现是在1995-2000年高等教育管理体制全面改革时期,地方高校研究生教育在规模上获得大发展是在1999年高等教育进入大众化阶段以后,而我国的学位与研究生教育制度基本框架和核心制度体系的确立却是在1997年以前,这一制度体系是以部(委)属高校为蓝本、以培养学术精英型人才为目标制定的,制度体系是一元化、精英式的,其导向是趋同的,与我国地方高校研究生教育的差异性期待之间存在着深刻的矛盾。为廓清差异性期待的内涵,本研究在分析地方高校研究生教育的发展历程、发展现状、管理体制等与部(委)属高校存在着现实差异性的基础上,提出：差异性是地方高校研究生教育发展的理性期待。在差异性的角色定位方面,政府希望地方高校研究生教育成为研究生教育区域布局均衡化的主角,同时充当研究生培养机构类型均衡化的主体、培养开发应用型研究生的主体和实现硕士生教育去精英化的主体。在差异性的价值期待方面,本研究认为,地方高校应具有差异性的文化价值、政治价值和经济价值,这些差异性的价值期待是研究生教育的普遍价值与本区域文化、政治和经济需求的结合。然而,对地方高校研究生教育的差异性期待并没有导致实践中地方高校研究生教育的差异化发展,这种理想期待与现实表现的反差是由于各级政府对地方高校研究生教育的差异性角色定位缺乏强制性,政府和市场也没有按照差异性角色定位和差异性价值期待配置教育资源所造成的,因为,为了获得资源,地方高校不得不在研究生教育培养目标、学科建设、导师遴选、招考标准、培养模式等各个方面向部(委)属高校看齐,导致现实与差异性期待的偏离和与部(委)属高校的发展趋同。地方高校研究生教育的发展与部(委)属高校趋同,既有自身的主观原因,也有制度的客观因素,但归根到底,主观原因也是由制度的客观因素引起的,即制度是导致地方高校研究生教育发展趋同最根本的因素。本研究在梳理我国主要的学位与研究生教育制度的基础上,指出：导致地方高校选择趋同发展道路、影响地方高校研究生教育差异化发展的制度因素包括：名为三级管理实为中央集权的学位与研究生教育管理体制；国家主导并统一制定的、以科学学位为主的一元化的学位制度；产生于精英教育时期、主要以部(委)属高校为蓝本的精英式的研究生教育制度；与一元化和精英式制度配套的制度实施机制。制度是影响地方高校研究生教育差异化发展的根本原因,但使这些制度产生并得以延续的并不是制度本身,对于制度背后深嵌的原因,本研究从制度主义理论视角进行了探寻。本研究指出：我国文化传统中源远流长的大一统思想、精英主义的价值取向、重学轻术的观念等非正式约束的存在及其制度化是使现有研究生教育制度体系形成并得以延续的文化传统因素；路径依赖的存在既能解释中央政府对一元化、精英式学位与研究生教育制度的固守,也能解释省级政府权力虚置从而移植中央政府的制度体系,还能解释地方高校攀高求大地模仿部(委)属高校的行为,即路径依赖导致了一元化、精英式的学位与研究生教育制度在各个层面的僵化,进而使学位与研究生教育制度体系陷入了低效循环；制度成本的压力将制度障碍扩展到制度的实施机制中,使得研究生教育培养目标多样化制度、分类分层办学制度、独立的专业学位制度、对应用性学科研究生教育的倡导制度等均难以实施。本研究的重点是发现、分析对地方高校研究生教育的发展产生趋同导向的制度因素,并透视深嵌于制度背后的原因。透视是为了改进,在层层追溯原因的基础上提出了促进我国研究生教育多样化发展的制度变迁路径。对于未来的制度体系,本研究指出：应从中央政府、省级政府和高校自身三个层面进行制度变迁,特别是中央层面的制度变迁,应建立与国家学位并存的高校学位、改变专业学位的依附地位、扩大学科建设的覆盖面、引导实施研究生教育分层发展机制、引导建立和实施研究生分类培养机制。中观层面则主要是落实省级政府的统筹权,微观层面主要是加强本校研究生教育制度的特色性、针对性和可操作性。只有实施促进研究生教育多样化发展的制度变迁,才能为地方高校研究生教育的差异化发展创造必要的制度环境,使我国研究生教育的总体水平得到提升,为创新型国家建设和区域经济的繁荣发展提供多样化的人才储备和智力支持。更多还原

【Abstract】 The postgraduate education in China has developed by leaps and bounds since the end of last century. The quantity of local universities which include the education of postgraduate, the academic degree of postgraduate and postgraduate students has increased rapidly. Quite a number of problems, however, exist everywhere, especially in the aspect of enrollment and employment beside the superficial numbers. These issues may involve the structure, effect and quality of the postgraduate education, which relate to the inner development. If these problems are not solved seriously, the postgraduate education of local universities, which is of large quantity, scale and close related to regional economic and cultural development, will face a huge challenge that may threat the existence and development of the postgraduate education. It is necessary to know the problems of local postgraduate education and find the causes for the development of postgraduate education in China. In the research of higher education, there are numbers of monographs and essays on the local postgraduate education, most of them discuss the superficial layers or are macro analysis rather than the factors of system that causes the problems. Nevertheless, the system should be the central variate of the research of higher education, the system may even be the development itself, particularly at the crucial moment of development.The essence of this research is "system", which adopts the American economist North’s definition, i.e. The system is a social game rule that is man-made design, for shaping people’s interaction constraints, including the formal rules, informal restrict and institutional enforcement mechanisms. The system of the postgraduate education in this study refers to the administrative system, formal rules, informal restrict and institutional enforcement mechanisms.According to the above issues, involved the subject of the postgraduate education in China and the core of system, the study will give an analysis of the reasons that cause the homoplasy of the development of the postgraduate education in China, based on the systemism theory. With the accordance of the history, the development and the present situation of the postgraduate education, the study investigates the diversity of the postgraduate education through the analysis of the scene in investigation, interview and questionnaire. The actual problems are presented. Then the reasons are analyzed with the text method. Moreover, three universities are chosen as the case study. At last the suggestion is put forward to advance the system of the development of the postgraduate education in local univwersities.This study puts forward a view:most number of local universities were established from 1995 to 2000 when the reformation of managerial system of higher education fully took place, while the establishment of postgraduate education system in China was set up before 1997. Aiming at universities affiliated to the ministry and cultivating scientific research personnel, the model of this system is elitist education and unified management, which conflicts with the diversity of expectation in local postgraduate education.This research insists that the diversity is the rational expectation for the local postgraduate education. The government expects that the local postgraduate education to play the main role in regional distribution, as well as to be the main body of the subject structure, applied and popular postgraduate education. This study views that local universities are of special cultural value, political value and economic value, which is the combination of common value of the postgraduate education and the need of local culture, economy and politics.The expectation, however, is not helpful for the development of local universities. This study views that the central government lacks compulsory means and allots educational resource, which contributes to the homoplasy. In order to win rare educational resource the local universities have to catch the universities affiliated to the ministry, the homoplasy occurs naturally.The subjective reasons exist, besides, there are also objective reason, i.e. system. In fact, the system leads to the homoplasy. A description of the system of academic and postgraduate education is given. The system factors are:the so-called "Third Rank" academic degree and the postgraduate education administrative system; the unified management of science-oriented academic degree; the postgraduate education system of elitist education; the mechanism of unified management and elitist education.The system is the basic reason. The rooted reason behind the system can be discussed with the systemism theory. This study indicates:the traditional civilization possesses a view of unity; the dependence on unified management and elitist education system is strong and solid; the pressure of the cost of the system hampers the development.A description is given to the factors of system, the rooted reasons are analyzed. Based on this, this study puts forwards some suggestion. The system should be reformed by the central government, provincial government, and the universities themselves. The central government should reform the nature of the national academic degree, professional academic degree; it should extend the construction of discipline; stratify the postgraduate education system; it should establish the system of classification. The provincial government should make an overall arrangement. The universities should present marked features to the system. Only if the system is reformed and reconstructed, can the system be set up for the development of diversity of local postgraduate education, can the postgraduate education be improved. Therefore, the elites and intelligence are ready for the innovative construction of nation and development of the regional economy.更多还原