【作者】 樊俊飞；

【导师】 高晋康；

【作者基本信息】 西南财经大学 ， 人口学， 2013， 博士

【副题名】以大学章程为依归

【摘要】 大学自产生以来,围绕大学治理的讨论从未断绝。从最初的教会掌管或是政府掌控,到后来大学通过自身内部的不断完善而取得一定的自主权,再到后来的董事会、理事会管理等,及至如今的多数高校依靠章程来实现自治。“大学应当自治”已经成为一种共识,大学章程更被誉为大学自治的“宪章”,且被多数先进国家和地区的大学采纳。由于特定的历史原因,我国高校管理长期采用行政管理的模式,高校管理的行政化的问题,一直颇受争议。而且我国多数高校并未制定大学章程,已有的章程在制定、内容等方面也有诸多不足,大学行政力量主导章程制定的现象比较严重。近期我国政府出台了《高等学校章程制定暂行办法》,以期高校通过制定章程,获得办学自主权。但同时我们必须清醒地认识到,随着时代的进步,大学的不断发展,大学已不再像最初那样,是一个纯粹追求学术、传播真理的场所。大学专业性越来越强,开放度越来越大,各类事务也越来越多。甚至在当下,教育也已经成为了一种在全球范围内流动的资源。因此,单纯依靠某一方如政府、社会或学校自身,都无法保障大学的有效运行,而需要多方的参与或支持,而他们的参与和支持也是大学得以有效运行的保障。当越来越多的主体参与到大学的运行中来的时候,大学的管理也就涉及到了所有参与主体的利益。以往的学者在探讨大学管理的时候,一般都着眼于该采用何种模式来对大学进行管理。在上述的背景下,我们期望通过章程来实现大学自治或是大学的办学自主权。但由于大学的管理涉及了越来越多的主体的利益,那么在我国多数高校没有章程或是章程存在许多不足的情况下,要通过大学章程实现大学的办学自主权,就应当考虑保障各个利益相关者的权利。这不仅可以有效改善我国高校一直以来备受批评的大学管理行政化严重的问题,而且可以使各个利益相关者的权利保障体现在大学自治的宪章----大学章程中,当其权利有了保障时,他们便会对大学的管理、运行提供有效的帮助和支持。而保障了各利益相关者权利的大学章程,也会更为合理,更能行之有效地运用于大学管理之中,使章程真正成为大学自治的根基。这正是本文研究的核心点所在。本文在导论部分首先综合分析了国内外有关学者对大学治理、大学章程制定以及利益相关者及其保护等问题的研究。在大学应当自治已成为共识的前提下,结合我国出台的《高等学校章程制定暂行办法》,以期大学通过制定章程获得办学自主权的背景,选取章程制定过程中利益相关者的权利均衡保障为切入点进行研究。本文第一章《国家选择与大学自治权之间的契合》主要介绍自大学产生以来,世界各国、各地区的大学管理的主要模式。并分析大学管理模式的演进过程,讨论行政管理与大学自治的契合过程及可能性,和大学应当自治的必要性。第二章《我国政府管理权与大学自主权分离合作的理论逻辑》,主要介绍在我国特定的条件下,政府对大学进行管理与大学取得办学自主权之间的博弈。并介绍了政府全能理论、消极自由理论、有限政府论和合作治理理论以及利益相关者理论等,对二者之间的博弈进行理论分析。第三章《我国大学的自治异化与管制失范》,通过比较分析法,介绍我国大学在章程制定的制定者组成、制定程序、章程内容和利益相关者的参与情况等方面的内容。并通过与国外较有代表性的大学章程进行对比,来说明我国大学在章程制定及内容等方面存在的行政主导、章程内容存在不足及部分利益相关者未能参与章程制定等情况,大学自治存在异化和管制失范。第四章《大学自主权与行政管理权在章程中的融合》,针对我国高校管理的实际状况,分析了政府得以对大学进行管理的原因,以及大学自治权可以在政府的行政管理系统中运行的条件。再以积极自由理论为基础,分析二者在大学章程中融合的可能性。然后结合前文分析,确定利益相关者在大学章程制定过程中的参与权。接着介绍利益相关者在大学章程制定中的参与度,主要结合大学章程制定过程中的制定者、制定程序、章程内容以及利益相关者对章程制定的影响等,分析利益相关者在多大程度上参与了大学章程的制定。在经过一系列的理论分析之后,结合第三章对我国大学章程制定的现实状况的分析,尝试解决我国高校在章程制定过程中存在的问题,并就大学章程中的利益相关者权利分配制度提出一些建议。大学章程的制定是大学实现自主管理的重要途径,影响着我国大学未来发展的方向,也影响着我国现代大学制度的建立。现代大学的发展涉及到了越来越多的利益主体的利益,而这些主体对于大学的发展是必不可少的。保障了这些利益相关者的权利,无疑可以为大学的发展提供一个良好的环境。同时,一个保障了各利益相关者权利的章程,才能真正成为大学自治的依据。通过利益相关者理论,探索大学章程制定过程中利益相关者权利义务分配的最佳结构,不仅对实现大学利益相关者之间权利的均衡保障有着重要意义,更对现代大学章程的制定有着积极的指导作用。对于大学的管理问题,多数的研究人员着眼于大学的管理模式,而本文则引入利益相关者理论,将利益相关者理论应用到大学章程的制定过程中来,并以该理论为主要分析工具,以我国大学章程与国外大学章程的具体对比分析为依据,找出我国大学在制定章程过程中存在的种种问题。以大学在制定章程的过程中如何均衡保障各利益相关者的权利为研究视角,试图解决我国已有的大学章程中存在的种种问题,为完善我国大学章程的制定,合理分配各利益相关者的权利,为最终通过大学章程实现大学自治提出进行制度设计。更多还原

【Abstract】 When the university produced, the discussion about the university government has never cut off. In the history, the church or the government took charge of the school at the beginning, then university made some autonomy through improving itself. After that, the board of directors were in charge of university. And now most of universities rely on charter for academic governance to achieve autonomy. It comes to be consensus that university should self-government, and the charter has been the charter of academic governance. The charter has been adopted by most of universities in the advanced countries and areas. But our university has adopted the administrative management for a long time due to some specific historical reasons. The pattern of administrative management has been criticized. Today, most of our countries’universities didn’t draft their own charter. The universities who did has many problems in the formulating and content of charter. It’s a serious problem that the universities’ administrative power controlled the draft of the charter. Our government set out the 《The Interim Measures of The Draft About The University Bylaw》 to expect the university can achieve self-government by drafting their own charter.But at the same time, we should recognize that university is no longer one place that only pursue and spread the truth. The academic is getting open variety and specialization. And education is global now. Thus, we can’t guarantee that academic can work efficiently only by one side, such as, government-society or the school itself. We need all the parties participate and support the operation of the university. Only in this way can the academic work efficiently. When more and more subjects joined the operation of the academic governance, it will relate to their interest. Previous scholars who explore the university management generally focus on the model used to manage the university but not the interest.In this context, we find that we should balance all the parties’interest when we hope our academic can come to self-government through the charter. And it can solve the problems of the administrative management. The participants can do their best to support and help to manage the academic when their interest can be balanced. And only in this way, the bylaw can be drafted in a reasonable procedure and form. So the bylaw can be the roof of the management of academic, and it’s our main idea of this article.The study of the problem in the introduction section first comprehensive analysis of the scholars at home and abroad for university governance, university charter, and stakeholders and their protection. Should be autonomous in the University has become the premise of consensus, and the combination of China promulgated the "Interim measures to develop higher school charter", through the development of the University Charter school autonomy background, select the Articles of Association to develop a process of stakeholder rights balanced protection for entry point.The first chapter of the fit between the national selection and universities autonomy. Mainly introduced since the University has been the major countries in the world, regional university management mode. University management model and analyze the evolution of the process, to discuss the process and the possibility of administrative conjunction with the University of autonomy, the need for autonomy and universities should.The second chapter of cooperation of government management of university autonomy separation theory logic. Mainly introduced under the specific conditions of the country, the Government of the University of Management and the University of the game between school autonomy. The government the Almighty theory, the theory of negative liberty, limited government theory and cooperative governance theory, stakeholder theory and theoretical analysis of the game between the two. The third Chapter of alienation of University autonomy and control anomie. Comparative analysis of our University makers in the Articles of Association to develop and develop procedures, Articles of Incorporation and stakeholder participation. And by the Charter of the University with foreign representative contrast to the Constitution of our executive-led universities in the Articles of Association to develop content exists, there are inadequate and partial interests of stakeholders unable to participate in the Articles of Association to develop, and the presence of university autonomy alienation and control anomie.The fourth Chapter of fusion of university autonomy and administrative rights in the charter. For the efficient management of the actual situation of our country, of the government to the management of the University of reason, as well as the conditions of university autonomy can be run in the administrative system of the government. Introduces the contents of the stakeholder theory, and combined with the charter of the University makers in the development process, and procedures, the Articles of content as well as stakeholder Prospectus developed to analyze the extent to which the stakeholders involved in the formulation of the Articles of Association of the University. Based on the theory of positive liberty, analyzing both the possibility of integration in the charter of the University.Then combined before analysis, determine the stakeholders formulated in the charter of the University the right to participate in the process, to try to resolve the existing problems of China’s colleges and universities in the Articles of Association to develop the process and to make some suggestions on the charter of the University of stakeholders’rights distribution system.The formulation of the charter of the university is an important way for the University to achieve self-management, impacting of a new direction for the future development of our university, also affect the establishment of modern university system. The development of the modern university involves more and more the interests of the stakeholders, which body is essential for the development of the university. Protect the rights of these stakeholders, undoubtedly can provide a very good environment for the development of the university. At the same time, a charter protecting the rights of the articles of association of the various stakeholders was able to become the true basis of university autonomy. Through the stakeholder theory, the best structure to explore the distribution of rights and obligations of stakeholders in the formulation process of the charter of the university equalization of rights protection not only for the university of interests between stakeholders has an important significance, more positive significance in the formulation of the articles of association of the modern university. For the management of the university, most researchers focus on the mode of management of the university. But this paper is the introduction of the stakeholder theory, stakeholder theory is applied to the formulation process of the charter of the University, and the theory as the main analytical tool,analysis as the basis of the charter of the university with foreign university prospectus contrast,to find out the problems of our universities in the process of formulation prospectus. How to balance the university in the process of development of the articles of association to protect the rights of the various stakeholders as a research perspective, trying to solve the problems existing in China’s existing charter of the university, rational allocation of rights of various stakeholders, and to make some suggestions to improve the formulation of our university charter.更多还原