【作者】 贺修炎；

【导师】 孙俊三；

【作者基本信息】 湖南师范大学 ， 高等教育学， 2014， 博士

【摘要】 时至今日,政府与大学之间的关系问题,仍然是世界各国高等教育发展过程中不得不面对的一道难题,也仍然是中国高等教育管理改革难以解决的问题。自组织理论(Self-organizing Theory)是20世纪60年代末期开始建立并逐渐发展起来的一种系统理论,是对贝塔朗菲一般系统论(Bertalanfy General Theory)的发展。本研究试着运用自组织理论对中国政府与大学关系这一课题进行研究,提出应构建起基于大学自组织的中国政府与大学关系,即构建起大学自主型的中国政府与大学关系的设想。自组织理论是对系统进行研究的一种系统理论。毋庸置疑,政府和大学各自都分别是一种系统。在贝塔朗菲一般系统论用“关系一般”取代“实体一般”的情况下,政府与大学关系也无需争辩地成为了一种关系系统。政府与大学关系是一种复杂巨系统,是社会大系统的一个分支,而自组织理论是研究复杂巨系统的一种有效工具,因此,运用自组织理论是适切于政府与大学关系研究的。自组织是自组织理论的核心概念。自组织理论体系非常庞大,从大学的自组织角度入手去研究政府与大学关系较为合适。从进化形成看,组织可以分为自组织和被组织。一个按内部相互默契的规则自动形成有序结构的组织就是自组织,而一个靠外部指令形成有序结构的组织则是被组织。大学自组织,也即自组织的大学,系指作为一种组织或系统的大学,不受外界特定干预,完全按照自身内在逻辑去完成知识生产、保存与传授的各项使命。大学自组织状态与政府与大学关系类型呈一一对应关系。一般而言,从自组织的角度看,大学包含着完全自组织、自组织、有限自组织、被组织和完全被组织等状态。而且这五种状态分别与大学控制型、大学自主型、政府主导型、政府控制型和大学附属型的政府与大学关系类型呈现着一一对应关系。因此,基于大学自组织的中国政府与大学关系的重构,就是要构建起大学自主型的中国政府与大学关系。回顾远离我们的中世纪大学,之所以能实现自组织,得益于当时的教会处于强盛时期,教皇又是其至高无上的同盟者,大学还同时对封建王权、自治城市等其他政府要素各方具有着举足轻重的作用,因而大学能在博弈的基础上与形成博弈性(大学自主型)的政府与大学关系。时过境迁,理想型的中世纪大学自组织也许我们可望不可及,但德英法三国大学自组织状态及其政府与大学关系的演变历程,或许能予我们以启迪。奉行文化国家观的德国,大学国家化特征明显,但分权型的政府体制,特别是在国家对大学的赡养能力下降后,大学一直处于有限自组织状态,政府与大学关系一直处于较为稳定的和谐型。英国两党制的政党政府体制较为成熟,对大学具有不干涉的传统,因而大学处于自组织状态,体现的是一种大学自主型的政府与大学关系。法国是典型的中央集权制国家,实行的是半总统政府体制,拿破仑和戴高乐时代,大学处于被组织状态,属政府控制型的政府与大学关系；五月风暴后,大学趋于自组织,处于有限自组织状态,政府与大学关系演变为政府主导型。被组织是中国大学的基本状态,自诞生以来的绝大多数时间都处于不同程度的被组织状态,呈现着倒“U”型的发展轨迹。清末大学完全受制于腐朽的清末政府,位于倒“U”的起点；北洋军阀时期的南北分治使政府对大学的管治无暇顾及,从而使此时的中国大学实现自组织,达到倒“U”的顶点；南京国民政府实行蒋介石的“一个主义、一个政党和一个领袖”独裁统治,中国大学自组织状态下行；新中国成立后,大学被高度计划化,处于被组织状态,至文化大革命时期,中国大学极端被组织,最终几乎达到倒“U"另一端的最低点。回顾自清末以来的中国政府与大学之间的关系,历经政府主导型、政府控制型和大学附属型,控制是政府与大学关系的基调,政府控制是政府与大学关系的基本类型。构建大学自主型的中国政府与大学关系,第一,切实将政府与大学关系视为是一个系统,并实现系统内部主要要素的协同,政府和大学的协同是构建大学自主型中国政府与大学关系的关键；第二,大学自治是政府与大学关系系统中的序参量,是系统中极其“革命性”的因素,大学的自治诉求是构建大学自主型中国政府与大学关系的有效推力；第三,控制与自治是政府与大学关系的核心,政府适度控制是大学能否实现自组织的前提,构建大学自主型的中国政府与大学关系,应遵循政府与大学关系中的两个“容忍度”动态平衡的基本原则,即实现政府对大学自治的容忍度和大学对政府控制的容忍度的动态平衡。更多还原

【Abstract】 Today, government-university relationship is still a world-wide problem in the process of higher education development. Self-organizing theory is established in the late1960s and it is supplement to Bertalanfy General Theory. The research is about Chinese government-university relation and it is committed to construct a new-type relationship between Chinese government and university.Self-organizing theory is a kind of system theory. Without any doubt, government and university both belong to system. Under the circumstances of relation general instead of entity general, government-university relationship is certainly deemed as a relation system. Government-university relationship is a complex system, it is a branch of social system and also an effective tool for researching complex system. Therefore, self-organizing theory is suitable for government-university research.Self-organization is core conception of self-organizing theory. Self-organizing theory system is very huge, so it is appropriate to do this research from the perspective of self-organization. In the view of evolution, organization can be divided into two species. Self-organization is an orderly one formed by inner tacit rules, and passive organization is formed by external rules. University self-organization is not intervened by external environment, and it accomplishes tasks of knowledge production, conservation and teaching according to inner logics.The status of university self-organization is corresponding to government-university relationship. Generally speaking, from the view of self-organization theory, university status includes5kinds, such as complete self-organization, self-organization, limited self-organization, passive organization and complete passive organization. These status are corresponding to5kinds of government-university relations such as university control, university autonomy, government domination, government control and university affiliation. Therefore, reconstruction of Chinese government-university relationship aims at building university autonomous one.Looking back to medieval universities, self-organization can be realized benefiting from powerful church. Pope is its supreme confederate, meanwhile university has great effects on the feudal monarchy, autonomous city and other government elements. Therefore, university can be autonomous based on games. However, ideal medieval university self-organization is out of reach. University self-organization status and evolution of government-university relationship are full of enlightenment. Adherence to view of cultural nation, German university is possessed with nationalized feature. Because of decentralized government system, especially when the national supporting ability declined, university is in limited self-organization status. Political system of England is relatively mature, and the government has no disturbing tradition. Therefore, university is in a self-organization status and reflecting autonomous government-university relation. France government adopts centralized system. University is in a passive organization status, while government is in dominant status. After May Storm, university is in limited self-organization status and government begins to dominate university. Chinese university is in a passive organization status since its birth, and its development path looks like a reversal U. University in Qing dynasty is completely controlled by government, and it is at the top of the reversal U. During the northern warlord period, government has no time to control university and university is in complete self-organization status. The Nanjing national government carries out dictatorship, the condition of university self-organization is not optimistic. In the age of New China, university is completely controlled by government, especially during the Cultural Revolution, university nearly loses its independence. We can conclude that control is the basic tone of government-university relationship.To construct university-automated government-university relationship, we should pay attention to several points. Firstly, we should deem government-university relationship as a system, and try to realize coordination of major elements. Coordination of government-university relationship is a key to construct automated government-university relationship. Secondly, university automation is sequence parametric of government-university relationship and revolutionary element in system. Thirdly, control and automation is a core of government-university relationship, and proper control is prerequisite of university self-organization. To construct automated government-university relationship, we should abide by principle dynamic imbalance of two tolerances.更多还原