【作者】 罗建国；

【导师】 张应强；

【作者基本信息】 华中科技大学 ， 高等教育学， 2008， 博士

【摘要】 学位授权是学位教育工作的“触发装置”,学位与研究生教育领域的各项工作,在一定程度上可以归结于学位授权政策上来。本文以我国学位授权政策为研究对象,以探寻现象背后的政策,政策选择的文化和价值根源为研究逻辑,利用政策分析的研究范式,对我国学位授权政策的政策背景、政策过程、价值选择以及政策效果进行了全面分析,并在介绍和借鉴国外学位授权政策的基础上,提出了我国学位授权政策调整的目标以及改革的思路和策略。制度经济学指出,制度才是影响经济社会发展的根本原因。政策作为正式的制度规范,对人的行为有规制和导向作用。政策一旦确定,就为人们提供了依此获利的空间与路径,人们依此决定其行为的模式与方向。“坏的政策使好人变成了坏人,而好的政策却使坏人变成了好人。”在社会生活中,人们的行为都有其政策根源,在不同的政策安排下,人们有不同的应对策略与行为方式,并因此带来不同的政策效应。在笔者看来,学位授权政策是我国学位教育工作的“阿基米德基点”,我国学位教育工作所取得的成绩与存在的问题,在一定程度上都与现行政策安排有关。本研究以哈耶克“自生自发社会秩序原理”和“委托代理理论”为理论基础。文章指出,由于受到我国特有的政策环境的制约,我国的学位授权政策具有典型的“理性建构”特性,政府在政策决策、政策执行以及政策调整诸环节都有无尚权力,学位培养单位的权力相对有限。在我国,学位教育管理权力实质为一种行政权,其运行机理是通过委托授权以实现权力的分层配置。尽管近年来的改革使省级学位委员会与学位培养单位的权力在不断扩大,但这只是因为学位教育规模不断扩大政府管理能力不足所做出的变革而已,是政府集中指导下的放权,权力的性质并没有因此改变。我国学位教育工作所取得的成绩与存在的问题,与现行学位授权政策息息相关。学位教育的集权管理政策优势主要体现在:一是对于建国初期迅速恢复学位教育工作大有帮助,尤其在《学位条例》颁布后,对于学位教育的规模、层次、类型的快速发展起到了积极促进作用。二是通过政策杠杆保证了国家价值目标的实现。三是这种管理体制有利于控制学位培养标准,使学位教育质量保持在较高水平之上。但这种政策安排也有其天然缺陷,一方面学位教育权力过于集中,基层的办学自主权受到限制,社会力量参与不够。另一方面是在学位教育权力的高度垄断局面下,培养单位的精力往往投向于政府的“分配性”努力而非注重培养过程的“生产性”努力。在我国学位教育工作中所出现的“重申报轻建设”现象、分层办学理念难以贯彻、创新人才培养不力等与现行的政策安排有密切的关系。从产权的角度审视,我国国家学位制度具有较大的外部性。目前学位制度隐含着培养单位的学位教育质量具有“同质”性,都是符合国家水平的,在质量规格上没有高低上下之分。国家作为学位教育的审批者,一定程度上被赋予了学位质量风险的承担者角色,培养单位可以从中受益而无须承担全部的质量风险。国家显然意识到了自身的责任,于是在新一轮学位授权审核中,将会设置更高的“准入门槛”,从而带来“分配性”竞争更趋激烈。由此看来,这是一个无法消解的“政策魔咒”,解决的方案只能是变革现行的政策体制,走学校学位之路。研究指出,学校学位是以学校为本位和主体的学位制度安排。这种制度安排以自治、效益、民主和学术为价值取向。学校学位奉行“去中心化”后的自主运行机制,由培养单位自主决定是否进入或以怎样的“姿态”进入学位教育领域。学校学位作为一种有利于“外部性”内在化的制度安排,它将决策的权限交给培养单位自身,也意味着决策主体必须承担由此带来的全部责任。学校学位的实施必须遵循一定的逻辑。从大的方面而言,实施学校学位政策必须从以下四个方面积极创造条件:一是以观念转变为先导;二是以产权界定为关键;三是以制度创新为保障;四是以市民社会发展为基础。在具体实施的过程中,需要讲究策略和方法,注重政策实验,不能急于求成。作为一项全新的改革事业,学位制度改革必须动员政府、培养单位以及社会各方面的力量积极参与进来,在制度建设上必须做到外在制度与内在制度协同进行,方能收到成效。文章指出,任何幻想通过“单兵独进”的改革谋求成功都将是奢望。更多还原

【Abstract】 Degree authorization is the "trigger device" of the degree educational work. Works in the field of degree and post-graduate education, to some extend, can focuses on the degree authorization policy. This thesis takes the degree authorization policy in our country as the object of research, takes the discussion of the policy through phenomena and the origin of culture and value of policy choosing as the logic of research, uses the pattern of policy analysis to fully analyzes the background, process and the effect of the policy and the choice of value. Moreover, it brings forward the aim of the adjustment of the degree authorization policy in our country, the train of thought and strategy of reform, on the basis of introducing and using the policy abroad as reference.Institutional economics points out that the institution is the fundamental factor to influence the development of economy and society. Policy as a kind of formal institution arrangement restricts and guides people’s actions. When confirmed, it provides people with the profitable space and approach, and decides their patterns and orientations of behavior. "Incorrect policy turns the good one to the bad, whereas correct one turns the bad to the good." In the society, people’s behaviors have their own policy origin. Meeting with different policy arrangements, people adopt various strategies and behaviors which result in kinds of policy effects. From the point of the author’s view, the policy of the degree authorization is the "Archimedes basis" of our country’s academic degree education whose achieved success and existing problems, to some extend, are related to the current policy arrangement. We do researches on the policy of degree authorization, aiming at analyzing its policy character, clarifying its operation mechanism and taking care of its policy effect, in order to improve our service of degree authorization.Based on Hayek’s spontaneous social order principle and commission theory, the thesis points out that restricted by China’s peculiar policy system, the degree authorization policy obviously features "rational construction", that is to say, in the chains of policy-making, policy-executing and policy-adjusting, government is endowed with supreme power while diploma-gainer cultivating institutes are relatively limited. Degree educational management, an administrative power in essence, operates on commissioning mechanism to realize hierarchical distribution of power. Although the power of provincial diploma committees and diploma-gainer cultivating institutes is broadened by recent year’s reform, which are made just because of the enlarged scope of degree education and the deficiency of government management, it is a kind of power transferring under government’s centralized guidance. Therefore, the nature of power remains unchanged.The achievements and the existing problems of academic degree education are entirely related with the present policy of degree conferment. The superiority in centralized regulation policy of the degree education mainly manifests in: First, it had the great help to resume the degree educational work rapidly in the early years of the new nation, especially after the Academic Rule promulgated, it has played a positive promotion role in the rapid development of the scale, the level and the type of the degree education. Second, it has guaranteed the realization of national value goal through the policy release lever. Third, such a management system will help control the degree training standards, so that the degree education maintains the quality of education at the higher levels. However, this policy has its arrangements for the natural defects. On the one hand, the right of the degree education is too concentrative, the basic school autonomy is limited, and the social force is not enough to participate. On the other hand, in a high degree of the right to education monopoly, the energy of the training unit is often invested in the "distribution" rather than the "productive" which focus on the fostering process. The academic degree education in China exists the phenomena—paying more attention to declaring but less to construction, being difficult to implement the layered School Running, and being unable to carry out the cultivation of innovative talents competently. Those are closely linked with the arrangements for the existing policy.From the point of view of property rights, the diploma mechanism of our nation is of great externality. Vaguely containing the quality of academic education of the training units, our diploma mechanism at present is of high homogeosity and being in conformity with the national standard, it has no differences with it in terms of its qualification and size. As the examiner of the diploma education, our nation is endowed with the responsibility of shouldering the risk of academic quality to some extent, while the training units, which will get benefit from it, needn’t take all the risks. Obviously the nation has a thorough understanding of its own responsibility, therefore it will set an even higher threshold in its next verification of the diploma endowment, thus to make the "distributive" competition even fiercer. From this we may define this as a "policy spell" that can not be dissolved, and the only solution is to transform the current policy and to adopt the school diploma mechanism.Researches show that school degree is arranged by the degree system of which school is the standard and main part. The value orientation of this sort of system is based on self-government, efficiency, democracy and academy. School degree employs decentralized auto-run mechanism which means the foster institute makes the decision whether to enter the field of degree education or not and what attitude it chooses. As a system arrangement which is benefit for internalization of externalities, school degree transfers the right to the foster institute, which means the main body of decision-making must assume all the responsibility it brings.The implementation of school degree must follow certain logic. Generally speaking, implementing school degree policy must create condition actively from the following four aspects, the first is its guide should be the change of concept, the second is its key point should be the delimitation of property rights, the third is its guarantee should be the innovation of system, the last is its foundation should be the development of the urban community. During the process of concrete implementation, strategy and method needs consideration, the experiment of policy also needs great attention, hasty should be avoid. As a totally new reforming project, degree system needs the participation of government, foster institute and every aspect of society. In system construction, external and internal system should cooperate with each other which can promise the result. Any reform depending on only one aspect can not succeed.更多还原