【作者】 田联进；

【导师】 冒荣；

【作者基本信息】 南京大学 ， 高等教育学， 2011， 博士

【摘要】 自本世纪以来,高等教育制度的研究无论在世界范围内还是在中国国内呈现出研究热潮,制度在高等教育中研究的意义和价值丝毫不逊色于制度在其他研究领域所具有的意义和价值。一个重要原因是高等教育越来越成为社会的中心,成为社会发展的动力站或引擎。另一个重要原因则是制度本身影响着事物的发展进程及方向。高等教育与制度作为一体进行研究,容纳了二者的内涵,具有不可估量的价值：研究高等教育制度的意蕴在于学术的创新、人才的创新、科研的创新,而学术、人才、科研创新在某种程度上取决于制度的创新。系统分析方法、定性分析方法,制度分析方法构成论文的基本方法,在方法论的观照中根据情境选取适合的、具体的方法使高等教育制度在某一视域之中的研究结论更加清晰、明了。高等教育制度逻辑在世界高等教育的发展史上演绎着不同的神话：以英国为典型的高等教育制度演绎着传统型的制度逻辑：以德国为典型的高等教育制度演绎着政府型的制度逻辑；以美国为典型的高等教育制度演绎着移植型的制度逻辑。三种不同高等教育制度逻辑所演绎的不同神话展示出明显的差异性,这种差异性融入在不同国度、不同民族、不同文化、不同历史等方面的差异性之中。同时,三种不同高等教育制度逻辑所演绎的神话又展示出了共同特征,在大学最核心、最根本的学术自治制度方面保持着最大的一致性。这体现为现代高等教育的内核制度体系和影响现代高等教育内核的制度体系：现代高等教育制度中大学的本质特征——独立的批判性精神,现代高等教育制度中大学的根本制度——学术自治制度,现代高等教育制度中大学延续的自组织机制；现代高等教育制度的外部政治保障制度,现代高等教育制度的外部财源供给制度,现代高等教育制度的质量外部保障制度,·学术自由、学术自治的外部干预。中国现代高等教育制度的历史进程经历了一次大循环,被迫开放(无意识的泛化)——单一的价值选择取向——多元化的尝试——单一的价值取向——完全封闭—全面开放、多元化的格局,而高等教育制度所经历的大循环透析、折射出单调、封闭、集权的高等教育制度的乏力与缺乏生机,多样化、开放、权力下放的高等教育制度的充满生机与活力。中国现代高等教育制度权力关系的现状是中国现代高等教育制度的反思与重构的现实立足点。为了解这一现状,就需要在探讨现代高等教育制度内部权力关系模式和外部权力关系模式的基础上,对中国高校内部权力关系中党委权力、行政管理权力、学术专业权力及其分配以及高校外部权力关系的客观描述。反思与重构大学内部关系,有利于形成大学内核的制度体系。大学与教师的关系、大学与学生的关系,表现为一种特殊的行政法律关系,这种关系体现的是以行政为主体的大学自治权。大学的现有关系存在着对教师学术自由权、教师民主管理权、教师职称晋升权等职业性权利的侵害,同时伴随着大学学术的异化。而高校管理权存在着对学生入学资格权、学籍权、学历证书与学位证书获得权等受教育权及其他诸多其他权益的侵害。大学内部关系现状归因分析认为,这些侵害是历史政治因素、学术共同体的不成熟、大学中强势组织与弱势组织的不对称及组织间缺乏契合、高等教育系统内部人员自律的缺乏以及权力缺乏规制与权利缺乏救济制度等多种因素共同作用所致。重构大学内部关系在于：一是大学内部关系的调整在于实现高校与师生的共同利益；二是高校各种力量的平衡在于形成平等的关系；三是相关程序与制度在于保障师生的权益。从中国高等教育制度的宏观层面而言,对政府与大学的关系进行反思与重构在于形成影响大学内核的制度体系,给大学提供良好的外部制度环境。政府对大学的管理的问题体现在政府的大学管理职能未理顺、集权的蔓延滋长腐败及大学自主性、自治性、多样性的缺失。而政府对大学财政管理存在的问题主要体现在高等教育财政投入总量的不足、高等教育中央财政负荷与地方财政负荷的不相称、地方高校财政投入差距进一步拉大及高等教育经费投入结构比例不合理等方面。对政府与大学关系格局的归因分析认为,强政府-弱学校型制度是这种格局的必然,二元不对称的格局有着难以克服的缺陷,高等学校的相关人员对这种格局也有着不可推诿的责任。政府对大学的管理重构是一项系统性、复杂性的工程,它包括提供制度的供给,各方场域、格局的确立和高等教育系统人员必要的修炼三方面。政府对大学财政管理的重构在于提供大学积极性的财政制度供给以保障高等教育总量的投入、高等教育财政投入的合理性有待于高等教育拨款中介机构的建立、重塑中央与地方对高等教育财政投入的分权模式以化解高等教育中央财政与地方财政不相称的矛盾。高等教育制度的重构是高等教育内部重构与高等教育外部重构的统一,是高等教育内部逻辑与外部逻辑的统一。在高等教育制度的重构过程中,制度无疑是重要的,制度决定着人们从事高等教育时所表现的观念和行为。同时,更应该意识到,人在制度中的作用与价值,人与制度始终存在着互动,存在着双向建构：制度决定、影响、规范人们的观念和行为；人们新的观念和行为创造新的制度,建构新的规范。更多还原

【Abstract】 Since this century, the study on higher education institution whether in the world or in China shows a boom, the significance and the value of the study in higher education institution are not slightly inferior to that of the research of the institution in other areas. An important reason is that higher education has increasingly become the center of society as social development, power station and engine of the society. Another important reason is that the institution itself affects the developmental process and direction of the things. The research of higher education and the institution as a whole will accommodate the content of both higher education and the institution and will be of inestimable value:the implication of the study on higher education institution is the innovation of research, talent innovation and academic innovation, whereas the innovation of research, talent innovation and academic innovation to some extent depend on the innovation of higher education institution. System analysis, qualitative analysis and institutional analysis will constitute the basic method of the study and in the contemplation of the methodology I will select the appropriate and specific methods based the appropriate context so that the conclusions of the study of higher education institution in a particular field can be more clear and straightforward.The logic of the development of higher education institution in the world deduced the different myth of the history:the British higher education institution for the interpretation of the typical traditional style of institution logic; to Germany’s higher education institution for the interpretation of the typical type of government institution logic; to the United States higher education institution for the interpretation of the typical type of migration institution logic. The different myth of the logic interpretation of three different higher education institutions shows obvious differences and this diversity, which blend into different aspects of different countries, nations, cultures and so on. Meanwhile, the different myth of the logic interpretation of three different higher education institutions demonstrates the common features, which three different higher education institutions maintain the greatest consistency as far as the most fundamental academic freedom and academic autonomy as the core of the university is concerned. I will demonstrate the theory of modern higher education institution within the internal university:the essential characteristics of modern higher education-the independent critical spirit of the university; the basic institution of the modern university-academic autonomy; the university’s self-organization mechanism to continue in modern higher education institution. I will reveal the four key lines of the external theory of higher education institution:the external political protection mechanism of modern higher education institution, the supply mechanism of external financial resources of modern higher education institution; the external quality assurance mechanism of modern higher education institution; the external intervention of academic freedom and academic autonimy.The historical process of Chinese higher education institution experienced a big circle, such as "forced to open" (the generalization of the unconscious)-the value of a single selection approach-an attempt to diversify-a single value orientation-completely closed-fully open and diversified pattern, while higher education institution has experienced a cycle of dialysis, that reflects the monotonous, closed, centralized higher education institution is weakness and lack of vitality and diversity, openness, decentralization of higher education institution is full of vigor and vitality. The power relations status of modern Chinese higher education institution is the real foothold of the reflection and reconstruction of modern higher education institution. Based on the internal and external power relations modes I will research the power relaions status of modern higher education institution in an objective description of power relations withih the university such as administrative power, party power, academic professional power and their distribution and the external power relations. I will reflect and reconstruct the internal relations of the universities so as to be conducive to the formation of the core institutional system of the university. The relationship between universities and teachers and the relationship between universities and students all display a special administrative legal relationship, which embodies in an executive body of the university autonomy. The relationship between universities and teachers harmed teachers’right to job promotion, academic freedom and democratic management, and so on, and accompanied by university academic alienation. The university’s administrative power did harm to the right to admission of students, enrollment rights, the right of diploma and degree certificates to obtain, and many other rights. The attribution analysis of the status within the university relations is believed that historical and political factors, the immaturity of the academic community, weak asymmetry and lack of fit between organizations, internal staff’ lack of self-regulation and rights’ lack of regulation and relief institution together caused these violations. Reconstruct the relationship within the university is:First, the adjustment of internal relations with the University is to achieve the common interests of universities and teachers and students; Second, the balance of power lies in a variety of colleges and universities to form an equal relationship; Third, procedures and institutions are to protect the interests of teachers and students. As far as the macro level of modern Chinese higher education institution is concerned, the reflection and reconstruction of the relationship between the government and universities is conducive to forming the kernel institution of the university and to support a good external institutional environment for the university. There were many problems in the government management of the university such as the government functions of the university administration did not straighten out, the spread of centralization gave to corruption and the university was lack of autonomy and diversity. And the problems in the government financial management of the university is mainly reflected as follows:the lack of total financial investment in higher education; the disproportion of higher education finical burden between the central government and the local government; further widen gap of higher education financial inputs between local governments; unreasonable proportion of higher education funding structure. The attribution analysis of this pattern is believed that the institution of the strong government and the poor school gives rise to this inevitable patter, the pattern of binary asymmetric has too deficiencies to overcome and the relevant personnel of higher education institutions should be response for this pattern. The reconstruction of the government management of the university is a complicated institutionatic project, which includes the supply of the institution, the establishment of filed parties and the necessary practice of the personnel within the institution. How to reconstruct the government financial management of the university, there are three methods as follows:one is to provide enthusiast financial institution to protect the total financial investment in higher education; another is to establish financial allocation intermediaries to improve reasonable investment; the last is to rebuild decentralization model of the central government and local governments to resolve the contradictions between them.The reconstruction of higher education institution is the unity of external reconstruction and internal reconstruction, the unity of the internal logic and external logic of higher education institution. In the reconstruction process of higher education institution, the institution is undoubtedly important that determines the people’s values and behavior. At the same time, more should be aware the role and value of human in the institution and the interaction between the human and the institution. There is always interaction and two-two construction:the institution decides and influences people’s attitudes and behavior norms; people’s new ideas and behaviors can create new institution and construct new norms.更多还原