【作者】 王海莹；

【导师】 顾海良； 崔延强；

【作者基本信息】 西南大学 ， 高等教育学， 2012， 博士

【摘要】 大学制度的改革为政府与大学之间建立契约管理关系提供了法律依据和运行空间,具有类法律属性的现代大学章程是现代大学制度的基石,它不仅对构建现代大学制度、建设高等教育法制具有重要的理论意义,而且对中国建设世界一流大学、推动和完善大学依法自主办学、建构能够应对“冲突和多元利益”需要的决策权力结构、重塑政府与大学之间关系和重构大学内部管理体制、平衡行政权力和学术权力之间的关系提供了建立新范式的可能等重大问题具有现实指导意义。建设中国特色现代大学制度是高等教育体制改革的关键,而大学章程建设则是我国现代大学制度建设的主要环节。2010年7月30日,政府发布了《国家中长期教育改革和发展规划纲要》(2010年—2020年),《纲要》关于大学章程建设提出了明确的指导性的建议：“各类高校应依法制定章程,依照章程规定管理学校”；“学校要建立完善符合法律规定、体现自身特色的学校章程和制度”。这为我国大学章程建设指明了方向。那么,本研究所要关注并要解决的问题是什么?我想,更侧重于关注大学章程的理论问题和实践问题,即大学章程作为学术性组织的宪法性的文件应具有什么样的意义和价值?在大学章程建设和运行中存在着什么问题?如何解决?这实际上呈现了大学章程之“实然”与“应然”的两种状态,这两种状态的大学章程可以从两个方式来解读：第一：什么样的大学章程才能体现大学自身内在逻辑及其独立的精神和性格：第二,在研究大学章程“实然”状态的前提下,来理解大学章程的理想化状态。研究以我国现代大学章程为研究对象,在方法的选择上,主要运用理论分析方法(逻辑分析方法)、文本分析方法、历史分析方法、比较分析方法、多学科综合研究、个案研究、开放式深度访谈及问卷调查等方法,对我国现代大学章程进行深入研究。论文以大学章程的本体为研究的基点和起点,分析了大学章程内涵、性质、内容、结构、主体、程序、原则、效力等基本问题,在解读了不同学者关于大学章程内涵的观点基础上,提出关于大学章程内涵的见解,认为大学章程是为了彰显大学的理性、保障大学自治和依法治校、调节大学内部利益关系、规范各种权利和义务,以文本形式表述大学的理念、使命、任务、管理体制以规范大学的组织运营具有大学宪法性质的文件,其本质是彰显大学的理性和自治。在把握大学章程内涵的基础上,比较分析了大学章程与教育法律法规、战略规划等关系。讨论国内外现代大学章程的内容,提出了自己的看法,认为大学章程应具有大学使命、内部管理体制、教职工和学生及校友的权利、资产、经营和财务管理、社会服务与外部关系等具体内容。从大学章程决策主体和影响主体的角度出发,追溯了其制定主体的历史,分析了章程制定主体的现状,认为：理论意义上,大学举办者是大学章程的决策主体,在实际意义上,大学是大学章程的决策主体；对大学章程的原则和效力进行剖析,认为大学章程应坚持合法性、科学性、民主性、可行性、特色性、制定与实施相结合、结合国情又遵循世界通例等原则,认为大学章程具有维护大学学术组织理性、具有意义建构和具有对历史记载和呈现等效力。对现代大学章程进行本体研究之后,对其进行法理上的探析,分析了法律性质、地位、效力,并提出了自己看法。认为现代大学章程具有行政法性、契约性、自治法性及可诉性。现代大学章程有如下法律地位：它是大学的宪章和基本大法；是接连大学内外制度的纽带和桥梁；为现代大学制度的构建提供了法律基础。现代大学章程对内具有不容置疑的法律效力；对外展示其宗旨和管理机制,便于社会了解大学章程。那么,如何选择大学章程的理念呢?研究在分析大学学术组织特有精神、理念、组织结构与属性的基础上,认为大学章程应蕴含以下几个方面理念：理性追求应是章程建设的方向选择；大学自治及学术自由应是章程建设的本质内容；在尊重学术自治自由的前提下履行社会责任是章程建设的时代需求。研究追溯了我国大学章程发展的历程并对其现存问题分析其原因。从我国大学章程的渊源出发,回顾了我国大学章程的发展历程(清末的《京师大学堂章程》—民国时《大学令》—建国初《高教六十条》等)。在回顾和总结我国现代大学章程发展历史基础上,认为我国大学章程存在的“大学对章程重视不够、法律地位及效力不够明晰、制定主体单一、内容笼统、文本要素鲜有创新、缺乏本校特色、忽视学术权力的作用、执行不力”等突出问题。这些问题可能存在的原因是：从外部来看,政府控制大学的历史传统、教育管理体制目标的变化,法律界定的模糊,教育主管部门尚无明确规定的细则等原因都致使大学章程缺失、不能清晰界定权限；从内部来看,大学对章程建设重视程度不够,章程建设与实际管理脱节,科层式和以行政权力为主导的管理体制及定位不明等原因都可能使大学章程规定的管理体制不够科学或章程的办学宗旨、内容模糊。研究比较了美国伊利诺伊大学和中国上海大学章程,借鉴伊利诺伊大学章程的先进经验。认为我国大学章程应在分析伊利诺伊大学章程特点的基础上借鉴其“行政力量和学术力量相对均衡的大学管理结构；特有法律功能的立法体系一评议会；民主、科学的章程制定过程；灵活民主的学系制”等特点。研究最后回到了我国现代大学章程的建议和构建,在对其背景分析的基础上,进行政策建议、行政权力和学术权力相对均衡的管理体制的新构架和章程内容的构建及探讨了章程合法性实现的途径。总体上,论文在研究对象选择上,更倾向于研究型现代大学章程建设。研究的目的并非完全指向问题的澄清和解决,而是源于现实问题展开的意义思索。更多还原

【Abstract】 University education system reform provide a legal basis and space of operation between the government and universities for establishing contract management relations. University statutes bear the legal property that it is the cornerstone of the modern university system; It has not only important theoretical significance for the construction of a modern university system and higher education law, but also has practical significance for building world-class universities in China, promoting and improving the university to run independently in accordance with law, building a power structure capable of dealing with "conflict and diverse interests" and making decisions, re-building the relationship between government and universities and internal governance system, presenting a possible way to balance the relations between executive power and academic power.To build modern university system with Chinese characteristics is essential to the reform of higher education, and the building of university statutes is the main step to establishment of the modern university system. On July30,2010, the government issued The National Long-and mid-term Education Reform and Development Outline (2010-2020), the Outline is the strategic planning document for the next10-year national education development. Outline is the blueprint for higher education reform. It is a comprehensive planning and deployment of education reform and development for the next decade. It clearly states that statues:"all kinds of colleges and universities should develop according to law and statues" and that "Schools should establish and improve the statues and system to display its own characteristics compliance with the law". These have pointed out the direction for modern university statutes construction in China. Currently, there are still many problems for modern university statutes establishment in China. For example, in some universities, there are no laws nor statutes to follow. As a result, there is no clear definition of legal status, and there are too much administrative interference in the academy. All these show that the construction of modern university statutes in China is crucial to perfect the running of universities with Chinese characteristics. The dissertation theoretically specializes the issues of university statute:its significance and value. This presents the statute of the university as "real" and "ought" of the two states. Both statutes can be interpreted in two aspects:first, the correspondence between the statutes of the university and its own internal logic and its independent spirit and character; second, studying the statute of the university of the ideal state under the statute of the university’s "real" state. With the help of theoretical analysis (logical analysis), text analysis, historical analysis, comparative analysis and multi-disciplinary research method, the present dissertation presents a qualitative study of modern statute of the universities in China.The ontological study of the university statute is the basis and starting point of the dissertation. The dissertation analyzes the essential issues concerning the nature, content, structure, noumenon, procedures, principles, and effectiveness of the statute of the university. Based on the discussion of the different ideas on the meaning of basic statute of the university, the dissertation writer presents her own concept of the statute of the university point of view. She proposes a concept on the statute of the university of view and argues that the statute of the university is to highlight the rationality of university, to protect autonomy of the university and to adjust interest within the university, and to standardize rights and obligation; it is a document of university with constitutional nature that elaborate the University’s vision, mission, tasks, management system in text form,its essence is to demonstrate the rationality and autonomy of universities. Then, the dissertation comparatively analyzes the relationship between the statute of university and education laws and regulations, and strategic planning.Based upon the discussion of the content of university both domestic and foreign, the dissertation contends that the university statute should define the mission of the university, its internal management system, the rights and obligations of faculty and students and alumni, assets, operations and financial management, external relations and other social services and other specific content. From decision-making body and the affected body, the dissertation traces the history of its development and analyzes the status quo of decision-making body. Theoretically speaking, university-runners compose the university’s decision-making body. Actually, the university is the main decision body of statute of the university. After an analysis of the principle and force of the statute of the university, the writer argues that statute should be legitimate, scientific, democratic, feasible, displaying the characteristics of the university, combining development with implementation, practicing with national conditions and following international practices. The statute of university should help maintain rationality of university as an academic organization.After studying the noumenon of statute of university, the dissertation analyzes its legal basis, and puts forward that the statute of modern university has the properties of administrative law, contract, autonomous law, lawsuit. Statute of the modern University has the following legal status:it is the university’s charter and the basic law; it is also a series of ties and bridge that connect inside and outside system of the university and provides the legal basis for building the modern university system. Statute of modern university has internal force of law and externally displays its tennet and management mechanism to facilitate statute of the university.So, how to choose the ideology of the statute of university? The dissertation contends that the statutes of the university should contain the following the ideology of university on the base of analysis of spirit, philosophy, organizational structure and properties:the pursuit of reason is the choice of orientation to build the statute of modem university,university autonomy and academic freedom should be the essence of the construction of statute, it is the requriement of the times that university social responsibilities under the premise of respecting academic freedom and autonomy.The study traces the history of the development of statute of university in China and analyzes its existing problems. The dissertation reviews its development process (from Statute of Imperial Academy of the late Qing Dynasty, The Order of University of the Republic, to The60Articles of Higher Education of the PRC, etc). On this basis, the dissertation argues that the universities are confronting with new challenges. The problems include:the overlooking of university statute, blurring of legal position and effect, monopolicity in making, too general in content, shortage of text innovation, lack of the university characteristics, ignorance of the role of academic authority, inefficiency in implementation. The possible causes of these problems are:the historical tradition of government-controlling, changing objectives of the education management system, the vague legal definitions, no clearly defined rules for the educational authorities, and other reasons. All these have resulted in the absence of charter of the university and in the vague definition of rights between the inner and outer. In terms of the university itself, the construction of the statute has yet to be emphasized; the statute of the university and the actual management are apart from one another; the responsibilities among different ranges of bureaucracy are unclearly located.The present study compares the statute of University of Illinois in United States with the statute of Shanghai University in China. After analyzing the characteristics of statute of the University of Illinois, the thesis argues that we should learn from University of Illinois and make the statute of the university in China into university management structure of the relative balance of the executive power and the academic power, the legislative system with specific legal function, and the democratic scientific statute-making process, etc.The final part of the study dwells on the construction of the statute of the university in China. architecture a management system which academic power and administrative power is relatively balanced,the content of statute, discuss approaches achieving legality of statute.The study intends to devote more space to the research on the construction of the statute of the modern research university.The object of the research doesn’t necessarily lead to the clarifying and resolving of problems:the research aims to the caustic examination of the problems and their practical significances.更多还原