【作者】 徐娟；

【导师】 贾永堂；

【作者基本信息】 华中科技大学 ， 高等教育学， 2013， 博士

【摘要】 自上世纪末开始的高等教育大发展从根本上改变了我国高等教育系统的结构与特性。我国高等教育系统在一跃而成为世界上最大规模的高等教育系统的同时，其内部分化也日益加剧。根据伯顿·克拉克对高等教育系统等级形成类型的划分，我国高等教育系统等级结构主要是以声望为基础形成了不同的地位等级。而这种声望的获得更多是国家行政力量主导、控制的结果。近几年，我国的高等学校数已经接近系统容量的极限。目前的在校生规模大约只能供2000余所的高等学校维持正常运转。这就决定了必然有一批高校陷入生存和发展困境，并沦为弱势高校。这种高校的出现已不是个别现象，高等教育系统中的弱势高校已经形成了一个群体，覆盖面不断扩大，薄弱程度不断增强。这些弱势高校普遍表现出计划内招生指标难以完成、缺乏资金艰难运转、毕业生就业率低和就业质量差、师资力量薄弱教学质量难以保证、管理落后等典型特征。弱势高校的存在会影响整个高等教育系统的稳定性。高等教育发展状况取决于社会结构为其设计的制度环境所具有的容量。在中国的社会结构条件下，我国形成了高度集中统一的高等教育管理体制和行政控制的资源配置机制，制度环境掌握着经济资本、社会资本和象征资本的分配权，将弱势高校置于三类资本的边缘位置，使得弱势高校的生成具有一定的必然性。在生均教育经费支出和预算内生均教育经费支出两方面，制度环境对不同地区和不同高校间经济资本分配显示出较大的差异。在国家行政权力逐渐收缩的现实背景下，精英大学处于“圈子”的中心，而弱势高校则渴望进入圈子内，形成一种中心与边缘的结构。同时，被贴上不同标签和没有被贴上标签的高校被建构成了一个个分离的群体，孕育出一种象征资本。没有被贴上标签的弱势高校，会因象征资本的缺失而越来越形成一个具有较多相似性表征的群体。制度环境在弱势高校形成中的作用机制是强制性的，而这种强制机制并非直接发挥作用，而是通过资本分配作用于弱势高校，因此是一种弱意义上的强制机制。在这种激励机制的影响下，不少弱势高校陷入了合法性陷阱。在弱势高校形成的过程中精英大学对其施加的影响、控制不可忽视。重点大学制度、重点学科建设制度、国家重点实验室建设制度这三大重点建设措施保证了精英大学拥有各种资本的合法性和正当性，使其成为游戏规则的建构者。规则的建构者与被建构者是资本分布状况的表征。在高等教育场域中，对于精英大学来说，规则成为一种精英大学用于规制其他高校行为的资源。规则的真正作用，一方面是直接决定行动，另一方面是对高校的生存环境进行建构。由于本身就具有模仿潜质的弱势高校成为被建构者，当其面临应该培养什么样的人才的不确定性时，它就选择模仿精英大学的办学方式。模仿机制就成为精英大学建构的逻辑规则在弱势高校中的实践方式。除了制度环境和精英大学的影响外，弱势高校自身的策略选择也是造成其陷入困境的一大关键因素。弱势高校的非理性组织行为主要体现为信息不对称中的机会主义、组织结构的无序化倾向、角色混沌下与区域利益的分离以及“位置感”缺失。这些非理性行为诱发普通大学组织功能异化，进而产生了无组织力量。无组织力量的增加使一所普通大学组织走向生命的老化阶段，逐渐沦为弱势高校。在实践中弱势高校的组织演化有两种类型：超稳定型和灭绝型，Y学院和W学院可能属于前者，H学院可能属于后者。任何一个固定的大学组织，只要它不可能向新的结构转化，那么功能异化必然全部表现为无组织力量的增加。由于缺乏负反馈调节机制以定期清除积累起来的无组织力量，因此，弱势高校的非理性行为使其走向老化进而演变为弱势高校将变得不可避免。对于一种功能，总能找到一种对应的组织结构；相反，对于一种结构，则对应着多种功能，即同一结构的多功能性，其中能够决定组织存在的是维生结构。从系统哲学的角度看，大学组织演变为弱势高校是由于功能异化产生的无组织力量破坏了自身的维生结构。大学的维生结构由资源子系统、组织子系统和大学精神子系统功能耦合而成。维生结构的瓦解，使得大学一旦沦为弱势高校就很难扭转局势，因此具有不可逆性。更多还原

【Abstract】 The great development of higher education beginning on the last centuryfundamentally changed the structure and characteristics of higher education system inour country. It has become the largest higher education system in the world, at the sametime, the internal differentiation is increasing. According to Burton Clark’s scaleformation types of higher education system, the structure of our higher educationsystem forms the different status based on the reputation, which is controlled by thestate administrative power.In the recent years, the number of our institutions of higher learning is superfluous,and the size of current students can only maintain2,000institutions, which decides anumber of institutions trap in the survival and developmental difficulties, being theweak ones. The appearance of these institutions is not only individual phenomenon, butalso has formed a group, expanding the coverage and the weak degree. The weakinstitution of higher learning generally takes on typical features: difficult to completethe planned enrollment, lack of funds, low employment rate and poor employmentquality of graduates, weak teachers, backward management and difficult to assure theteaching quality. The weak institutions of higher learning will effect the stability ofhigher education system.The development state of higher education depends on the capacity of theinstitutional environment designed by the social structure. In the condition of this socialstructure in China, our country has formed a highly centralized and unified managementsystem of higher education and administrative control mechanism of resource allocation.The institutional environment holds the allocation right of economic, social andsymbolic capital, and puts the weak institution of higher learning in the margin of thesecapitals, which makes the origins of the weak institutions inevitable. From the twoaspects of average education expenditure and average education expenditure in budget,the institutional environment shows different in economic capital allocation in different areas and institutions. In the background of national administrative power being weak,the elite institution of higher learning is in the center of the “circle”, while the weakinstitution of higher learning is eager to enter the circle, forming a kind ofcenter_margin structure. Moreover, institutions with labels and without are constructedsome separate groups, breeding the symbolic capital. Due to lack of it, the institutionswithout labels come together more and more closely, and become a group with somesimilarity. The role of institutional environment plays on the weak institutions isforcible one. The enforcement mechanism dose not effect directly, but through capitalallocation, so it is weak sense. Under the incentive mechanism, many weakinstitutions of higher learning fall into legitimacy trap.Another important factor for the weak institutions is the elite institutions of higherlearning. Key university, discipline and laboratory system ensure the legality andlegitimacy of the elite institutions have a variety of capital, making them the constructorof game rules. Constructors and being constructed characterize capital distribution. Inthe higher education field, rules become the resources for the elite ones regulatingothers. The two functions of rules are making a decision to act and constructing of theliving environment. Because of the weak institutions of higher learning having thepotential of imitation, when they face the uncertainty of how to train students, they willchose to imitate the ways of the elite ones. Finally, imitation mechanism becomes thepractice way in the weak institutions of logic rules constructed by the elite ones.The last but not least factor is the weak institution of higher learning itself. Theirrational organizational behaviors of the weak institutions of higer learning are thebehaviors of opportunism of information asymmetry, disorder development for toomuch uncertainty, separation with regional interest because of role chaos, and lack ofsense of place. These behaviors induce function dissimilation, and bring unorganizedforces. The increase of these forces makes the normal institution come to the aging,becoming the weak one. In practice, there are two types of the microstructure evolutionof the weak institution of higher learning: super stability and extinction type. Y institution and W institution maybe belong to the former, and H institution maybebelong to the latter. For any institution of higher learning, as long as it cann’t become anew one, function dissimilation must lead to the increase of unorganized forces. Due tolack of the negative feedback mechanism which can clear the unorganized forcesperiodically, it is inevitable that the weak institution of higher learning comes to theaging.For a function, there is always a corresponding organization structure; on thecontrary, for a structure, there are many corresponding functions, namely the versatilityof the same structure, of which can determine the existence of organization is sustainingstructure. From the perspective of system philosophy, the institution of higher learningbecoming the weak one is because of the unorganized forces produced by functiondissimilation that destroyed the sustaining structure. The sustaining structure of theinstitution of higher learning is constituted by three subsystems, namely, resourcesubsystem, organization subsystem and the spirit subsystem. When the sustainingstructure collapses and the institution becomes weak, it is very difficult to turn back, inother words, not reversible.更多还原