【作者】 陈大兴；

【导师】 戚业国；

【作者基本信息】 华东师范大学 ， 高等教育学， 2014， 博士

【摘要】 随着高等教育走出“象牙塔”并在社会发展中发挥日益明显的作用,高等教育的责任问题逐渐引起社会的关注。但是在现今的高等教育中其应该承担哪些责任,在这些责任中哪些可以实施问责,哪些不可以问责在现今的研究中仍是模糊不清的。《国家中长期教育改革和发展规划纲要(2010-2020年)》中明确指出建立问责制度的重要性,然而在我国推行高等教育问责以说还是一次比较新鲜的尝试,如何建立一个合理、公正、公平和有效的高等教育问责是一个十分必要和紧迫解决的问题。本文基于此背景对高等教育中的责任与问责进行界定,主要对高等教育中的责任类型、特点以及责任与问责的对应性、责任关系的建立、问责实施的主体、客体等问题进行研究。在研究中主要基于学理与法理两个基点,通过高等教育的学理与教育法的原理来分析高等教育中的责任与问责。在对高等教育中责任与问责的研究过程中首先需要厘清高等教育与法律的边界问题,这也是对此问题研究的前提与重要基础。通过法律对高等教育的支配性控制,是由法律的特征所决定的,法律控制高等教育的具有其功能与局限。在法制进程中高等教育法律身份的多重性,这体现在民法、行政法与宪法的视野之中。作为特殊的社会子系统和教育层级,高等教育的独特性是区别于社会其他主体以及自身属性的突出体现。高等教育独特性集中表现为高等教育的使命、传统与学术,这些方面划清了与社会其它主体的差别,体现了高等教育个性的核心。高等教育的责任体系是其责任划定与问责实施过程中的重要构成。负责任的高等教育包含着高等教育应主动适应社会与经济的发展规律,实现国家公共利益与道德责任,在提高教育质量、肩负行政、法律与学术等方面的责任的基础上,办好让人民满意的高等教育。本研究从高等教育的责任来源与形成对其进行分类,负责任的高等教育应该包括基社会角色方面、基于利益关系方面以及基于承诺的责任。高等教育责任的法律关系是其责任划定与问责实施的重要切入点,它以法律规范为依据,通过一定的法律事实而形成,在特定的法律主体之间建立起一种相对明确的权利义务关系。这种法律关系其主要包括法律关系主体、客体与法律关系内容等要素,也同时具有主体结构的多边性、地位的交叉性、资格的限定性以及客构成的多样性和内容的多元性等特点。正确处理高等教育责任的法律关系是实现依法治教的核心。在高等教育责任的法律关系中对政府与高校、高等教育行政部门与高校、高校与教师、高校与学生以及高校教师与学生的法律责任关系认定是问责实施的重要法律关系依据。在高等教育问责的制定与实施过程中其理论起点主要包括委托代理理论、新公共管理理论、权责统一等理论。高等教育问责对于高校权力的规制以及保障问责主体利益等方面具有重要的作用。但是在现今的高等教育问责发展过程中,问责的层级范围低、问责主客体的模糊性以及问责范围的差异性等问题较为突出,这也是阻碍我国高等教育问责实施和发展的重要方面。在此问题的基础上通过对美国的经验以及调查研究所得结果的分析进一步明确了高等教育问责的法制化构建。其中包括问责原则、问责主客体系以及问责方式、内容、形式与程序等方面,从而推进和深化了对高等教育问责的认识与理论解释。现代大学制度建设是推进高等教育问责实施的重要保障,本文最后一章基于责任与问责提出了现代大学制度建设中的着力点与发展方向。首先应建立健全高等教育信息公开制度,高校如果能够将信息公开从文本走向实践阶段,更好的实现信息透明与公开,既是对社会与公众负责的表现也是高等教育问责进程与现代大学制度建设的重要内容。其次,要完善高校与政府、社会的法律关系,要明确政府与高校各自的权责,实现学术本位的回归,与此同时在高校与社会关系中也要着力于大学“本体危机”的消解。第三,推进大学章程建设,实现大学章程法律地位以及制定主体的明确,不断丰富大学章程的内容,对政府和大学的权责予以明确,并且对内部管理体制等方面进行完善。第四,建立与完善高校管理的制度规范,要实现内部规章制度的合法性审查,并对制度的运行程序进行完善,进一步落实高校教育执法的监督。最后,构建问责文化,形成问责文化氛围,加强宣传,建设职责明确、权责一致的问责文化,加强高校领导成员的“官德”建设发展严于自律的问责文化。更多还原

【Abstract】 Recently, as the higher education breaks the shackle of "the tower of ivory" and occupies an increasingly significant position in the process of the society, the accountability of higher education has aroused great concern in society. However, what kind of responsibilities the higher education should undertake, and among these responsibilities, which can withstand the accountability mechanisms and which cannot still need further researches. The significance of establishing the accountability mechanism has been clearly stated in the National Program for Medium-and Long-Term Educational Reform and Development (2010-2020), while, it is still a new attempt to promote such a mechanism in higher education in China. How to set up a reasonable, impartial and effective accountability system in higher education is an indispensable and urgent issue to be resolved. This thesis, based on such a research background, makes the definition of the responsibility of higher education and the accountability mechanism. The types, features, the correspondence of responsibility and the mechanism, the establishment of responsibility relations, the subjects and the objects of the implementation are all under discussion in this research. In this thesis, the academic principles of higher education and the juridical logic of Education Act are both applied to the analysis of the responsibility and the accountability mechanism.In the research of the responsibility and the accountability mechanism of higher education, the first priority should be given to the boundary problem between higher education and law, which is also the premise and the essential basis to resolve this problem. The dominant control of the law towards the higher education can be ascribed to the attribution of the law, and this control has certain effect but is limited. In the legal process, the higher education plays multiple roles, which is reflected in the civil law, the administrative law and the constitution. Higher education is considered as the special subsystem of the society and one of the educational levels, and boasts a kind of uniqueness which distinguishes it from other social subjects and helps highlight its own property. The uniqueness of the higher education is mainly reflected by its mission, tradition and academic position. All these differentiate it from other social subjects and represent the core of higher education.The responsibility system of higher education is the essential component of the defining the responsibility and promoting the accountability mechanism. A responsible higher education should actively adapt itself to the nature of social and economic development, ensure public interest and undertake the moral responsibility. Then, it should seek people’s satisfaction while improve the quality of education, shoulder the administrative, legal and academic responsibilities. This research classified the sources and formation of the responsibilities of higher education. A responsible higher education should bear the responsibilities brought by its social role, its interest relationship and its promise committed to the society.The relationship between the responsibility of higher education and the law is the starting point of defining the responsibility and implementing the accountability. Based on the legal regulations and legal fact, it builds a relatively clear right-duty relation between certain legal subjects. This kind of legal relation mainly includes subjects, objects and the content of the relation, etc. Meanwhile, it has several characteristics like the changeability of the subject’s structure, the overlap of the status, the definiteness of the qualification and the variety of the object’s structure, as well as the diversity of the content. Dealing with the legal relations of the higher education’s responsibility is the core of ruling the education by law. In the legal relations of that, the definition of legal responsibility between government, universities, administrative department, teachers and students is the significant legal evidence for implementation of accountability.In the process of formulating and implementing the higher education accountability mechanism, the principal-agent theory, the new public management theory and the integration of power and responsibility contribute to the theoretical starting point. The accountability mechanism exerts great influence on the regulation of the power in universities and the protection of the subject’s interest during the accountability. However, in today’s development of accountability in higher education, the low coverage, the vagueness between subjects and objects, as well as the difference of the coverage among universities are quite severe, and also become a great problem impeding the implementation and development of accountability. On the basis of this problem, this thesis, through the analysis of the experience of America and the results of the research, further clarify the establishment of the legal system of accountability in higher education. The principle of accountability, the relationship between subject and object, and the method, content, form and procedure are all taken into consideration, so as to promote and enhance the understanding and theoretical explanation of the accountability in higher education. The establishment of the modern university system is a vital protection for the implementation of accountability in higher education. The last chapter of this thesis, based on the responsibility and the accountability mechanism, put forward the key point and the future development direction of the modern university system. First of all, the information disclosure system should be set up and improved. If the universities could really put the information disclosure into practice and further realize the information transparency, universities’ responsibility towards the society would be better understood by the public, and this essential part of both the accountability development and the modern university system would be further improved. Secondly, the legal relationship between the universities, the government and the society should be carefully maintained, and the rights and liabilities of the government and the universities should be clearly defined, thus, to realize the academy-based return. Meanwhile, in the relations between the universities and the society, higher education should never neglect the "crisis of itself" and should spare no efforts to solve it. Thirdly, the development of university statutes should be promoted, the legal status and the setting subject should be clearly clarified. Besides, the content of the statutes need to be enriched, the right and duty of the government and the universities should be explained, and the internal management system also need to be constantly improved. Fourthly, to establish and perfect the regulation system of university management, people need to have the validity check of the internal management regulations, improve the system’s operational procedure and further realize the supervision of the law enforcement in higher education. At last, accountability culture should be cultivated. A cultural atmosphere of accountability should be set up, in which public awareness should be enhanced, obligations should be clarified, power and responsibility should be integrated together, and leaders in universities should always stick to their moral principles.更多还原