【作者】 查永军；

【导师】 冯向东；

【作者基本信息】 华中科技大学 ， 高等教育学， 2009， 博士

【摘要】 现代大学不同于中世纪大学，它与外部世界的联系日益紧密，已经从社会的边缘走向了社会的中心，对大学产生影响的力量更加多元，大学内部组织结构更加复杂，形成了多种力量共同作用于大学的权力结构。不同国家大学权力结构差异较大，但其内部权力构成依然有着诸多共性特征，主要包括：影响大学发展的力量日益多元化，大学中的权力构成也日益多样；学术权力和行政权力是大学权力结构中的主体；各国都给予教授集体力量以足够重视等。不同权力结构模式的形成除了借鉴别国经验，更主要是受到各自国家的文化传统、政治体制等的影响，各种权力结构模式都有其生存发展的环境和优势。学术权力和行政权力在各种权力模式中都有其存在的合法性依据和各自的功能。学术权力的合法性源于知识的专门性以及各学科学者及其组织在学术上的高深造诣，学术权力更关注学科发展；行政权力在大学管理中的合法性源于其合理行使利于管理效率的提高，能实现多方利益平衡，保证资源分配更加合理，以及利于增强大学对社会的适应性和敏感性等，行政权力相对而言更关注学校组织整体利益及其与外部世界的融洽关系。这两方面力量的有效协作能保证大学学术事务和非学术事务的有效管理。中国现代大学的产生和发展有着独特的演变路径，它是在政府主导下产生和发展的。新中国成立以后，为了与计划经济体制和中央集权政治体制相适应，政府对本属于学术机构的大学进行了行政化改造，大学成了政府的附属机构，没有办学自主权，行政权力完全主导了大学管理。到了20世纪90年代以后，政府逐渐下放大学办学自主权，并实行党委领导下的校长负责制，在大学内部也进行了校院系等管理体制改革，大学教师的学术主体地位有所改善。《中华人民共和国高等教育法》提出建立学术委员会等学术组织，发挥其在教学计划制定、课程设置、人事等方面的审议和咨询职能。但是，这些学术组织在大学学术事务管理中不具有决策权。因此，从中国大学内部权力结构的演变以及相关政策文本中可以发现，中国大学仍然是行政权力处于主导地位，学术权力处于被支配地位的权力结构。围绕学术资源分配，共同作用于学术事务管理的学术权力和行政权力之间存在着冲突。学术资源对学术生产有着不可替代的作用，尤其是大科学、大工程时代，拥有资源就拥有了发展的机遇、优先权乃至领先权。行政权力同样需要在学术资源分配上拥有发言权，因为在学术资源的获取、学术资源更合理的分配以及学术资源分配方案的执行等环节行政权力作用突出。因此，学术资源分配权是学术权力与行政权力冲突的焦点。通过对大学中教学计划制定、校内课题项目评审立项、教师职称评审以及学位授予等学术资源分配问题的研究，可以看出，中国大学学术资源分配的决定权掌控在行政权力一方，学术权力在行政权力的支配下履行职能。大学教师只有通过制度性和非制度性的方式向行政力量申请学术资源，因此产生了贿赂、合谋等“非正式”手段。对学术权力与行政权力冲突进行文化分析能从更深层次把握冲突的本质。大学组织内部在学术管理上形成了差异性的亚文化，主要包括学术文化和行政文化(也称管理文化)。学术文化和行政文化有着不同的价值追求，学术文化追求学术创新，即原创性学术成果的生产，而行政文化追求的是组织效率、效益的提高，强调以尽可能少的投入获得尽可能多的回报。与学术创新追求相关，学术文化强调学术自由、学术自治，主张价值理性精神张扬，更关注成果的“质”；与组织效率、效益相关，行政文化强调制度规范、等级关系建立、对成果的量化以及考核的经常化、制度化等。所以，学术权力与行政权力冲突的实质是学术文化与行政文化的冲突。社会学冲突理论认为，冲突不仅有消极功能也有积极功能，而且如果措施得当，消极功能也能向积极功能转化。大学学术权力与行政权力冲突同样有着积极和消极功能。传统观点只意识到两种权力冲突的消极功能，而忽视其积极功能。学术权力和行政权力的冲突可以实现大学中各方力量的制衡，促进消极情绪和紧张压力有效释放，形成并强化各自利益共同体。中国大学学术权力与行政权力冲突现状的形成有着重要的社会根源：在组织制度设计上，大学与政府关系是典型的“政府本位”，学术与行政关系的制度安排上是“行政本位”，大学组织内部权力重心明显上移；在文化根源上，中国传统文化和当代文化都对中国大学权力结构以及学术权力和行政权力冲突有着深层次影响，具体而言，以儒家为代表的中国传统伦理政治文化居于主导地位，学术文化在整个社会文化体系中一直都非常微弱；当代中国形成了以集权文化占主导地位的文化体系，具体反映在集体主义文化、制度化的精英文化以及单位文化等方面。中国传统文化和当代文化都为大学行政权力提供了强有力的支撑，从而形成并维系着中国大学行政权力与学术权力之间的强弱博弈关系。大学学术管理中学术权力与行政权力冲突是一种客观存在，采取必要措施实现两者的有效制衡是管理冲突的需要，更是促进大学学术生产和大学组织有序发展的需要。从中国实际情况来看，首先，应该转变传统观念，形成正确的权力观和权力冲突观，同时积极培育学术文化；其次，应在制度层面推进改革，从宏观层面给予学术权力以学术资源分配的决定权，大学内部也要强化教师集体权力，完善申诉制度等；第三，大学内部应进行机构设置改革，真正实现校、院、系三级建制管理，促进权力重心的下移，调动基层学术组织积极性，发挥校长在学术和行政两个方面的协调和整合作用；最后，学者应提升学术实力，增强学术影响力，促进学术权力地位的提升。更多还原

【Abstract】 Modern universities differ from traditional ones, especially those in Middle ages, in its increasingly close ties with outer world and its current central social position. With the increasingly multi-folded influence on universities and the increasingly more complex inner structure of universities, the power structure of universities is now affected by many factors. Though the power structure vary a lot from country to country, they still share many similarities in power elements such as diversified influence on the development of universities, and increasing complexity of university power composition; the important role of academic and administrative power in school authority; the great importance attached to the professor community by all governments. Besides learning from other countries’ successful experience, the formation of different power structure modes mainly depends on their own cultural tradition, political system and etc. Every mode has its own developing environment and advantage.Among all kinds of power modes, academic power and administrative power have their own legal bases and functions. The legality of academic authority stems from their special knowledge and the achievements of their academic organizations and members. The academic power attaches more importance to the development of different disciplines. The legality of administrative authority originates in the improvement of management efficiency, the interest balance of different parties, the reasonable distribution of resources and its adaptability and sensitivity to society. By comparison, administrative power pays more attention to school collective interest as a whole and its harmonious relation with outer world. The effective cooperation between the two powers can ensure the effective management of academic and administrative affairs.Under the leadership of Chinese government, the establishment and development of modem Chinese universities has its unique developing pattern. After the foundation of People’s Republic of China, Chinese government began to reconstruct the universities which originally belonged to academic institution in order to meet the requirement of planned economic system and centralized authoritarian political system. Chinese government kept the universities as its affiliates and the government totally controlled the management of universities. This situation did not change until 1990s’. Since then, Chinese government has begun to give universities decision-making power increasingly and has established president responsibility system under the leadership of the Communist Party. In the meantime, a series of reforms on management have been conducted in universities so the leading academic position of universities have improved a lot. A series of laws and principles were passed in 1998, for example the Higher Education Law of the People Republic of China, proposing to establish academic institutions like academic committee so as to make full use of its inspection and consultation in teaching plan, curriculum arrangement and personnel affairs and so on . But they still fail to have the decision-making power in the academic management. Based on the analysis of the power structure development and related laws, administrative power still plays a leading role while academic power only a minor role in Chinese universities.There exists a conflict between academic power and administrative power in the management of academic affairs, centering on the distribution of academic resources. Academic resources play an irreplaceable role in academic research, especially in the era of bigscience and engineering. The control of resources means having developmental opportunity, priorities and even precedence. The same goes to administrative power, for it plays a prominent role in gaining academic resources, reasonable allocation of academic resource and the fulfillment of academic resource allocation plan. So there is a conflict between academic power and administrative power in terms of controlling and distributing academic resources and it also becomes the focus of the conflict. This study is employed to make a study on the question of academic distribution such as the design of teaching plan, the evaluation and establishment of school projects, the assessment of teachers’ promotion and students’ degree awarding and comes with a conclusion that the decision-making of the academic resources distribution is under the control of administrative authority while scholars are arranged to carry out their function under the direct and indirect control of administrative authority. University teachers apply to administrative authority for academic resources through systematic or non-systematic system. During the process, non-systematic system such as bribe and conspiracy is used.The cultural analysis of the relations and conflict of academic and administrative authority can explore the origin of power conflict in depth. University is an academic, educational and cultural organization with strong cultural characteristic. University organization is different from other organization in its own culture. There are different sub-cultures such as academic and administrative authorities in university organization. Academic and administrative authorities have different value pursuit. The former pursues academic innovation while the latter the improvement of organization efficiency and effect; the former, which is related to academic innovation, emphasizes academic freedom and autonomy and attaches the quality of the results; the latter, which is related to organization efficiency and effect, emphasizes system standardization, the establishment of hierarchy, the quantitative of result and the frequency and systemization of testing. So the conflict between academic power and administrative power is the conflict between their corresponding cultures. Their conflict has both positive and negative functions. Traditionally only negative ones received much attention and positive ones were largely ignored.Both traditional and present Chinese culture has a significant influence on the structure of Chinese university and the conflict of academic power and administrative power. To put it clearly, on behalf of Confucianism, traditional ethics political Chinese culture plays a leading role while academic culture is rather weak in the whole society cultural system; in present China, centralization culture plays a leading role in cultural system and is reflected in powerful influence such as collective culture, systematic essence culture and unit culture. Both traditional and present culture offer a basic foundation for the university administrative power and maintain the competitive relationship between academic power and administrative power.The conflict between academic power and administrative power can’t be avoided in the academic management. So taking effective measures to control and balance them is not only the need of management but is the need of improving academic production and pushing the systematic development of university organization. First of all, changing traditional attitude, forming correct opinion of power and power conflict and actively cultivating academic culture. Second, laying out systems and principles to push reform and offering the decision-making power of the distribution of academic resources to academic power on the macroscopic level. At the meantime, intensifying teachers’ collective power and perfecting appealing system. Third, carrying out the reform of university’s inner structure and truly realizing the hierarchy management of university, college and department. Finally, improving scholars’ collective capacity and strengthening academic influence are very necessary to raise the position of academic powers and even bring it into play.更多还原