高等学校内部权力制约机制研究

发布时间：2018-05-11 05:21

本文选题：大学内部权力 + 大学治理结构　；参考：《华中科技大学》2013年博士论文

【摘要】：党的十五大、十七大、十八大报告都明确提出了健全权力运行制约和监督体系,要求确保权力正确规范运行,这表明党对权力运行机制认识的深化。我国公办高校内部权力高度集中,顶层权力没有得到有效的约束,权力制约机制非制度化运行明显。基于以上背景和现象,本研究主要对如何构建和完善大学内部权力制约机制问题进行了深入分析和研究。围绕核心概念“权力制约机制”,本研究遵循“(权力)主体—(权力)关系—(权力制约)机制”的研究思路,运用多案例与历史和比较研究的方法,从三个方面对提出的问题进行了回答,并形成本论文的内容框架。通过历史的研究分析发现,中世纪大学内部权力制约机制主要是基于宗教信仰、神圣的宣誓与大学章程而形成的文化制约权力机制形式。近代大学因为规模、功能的扩展以及国家权力的介入,形成了典型的“学术-行政”权力结构二重性的权力制约权力机制主导类型。现代大学作为利益相关者组织,除基本的制度制约权力机制、权力制约权力机制外,以董事会为形式的社会权利制约权力机制是其突出特征。从大学治理结构变革的角度划分,我国高校内部权力制约机制经历了行政控权的京师大学堂时期,教授治校的北京大学和西南联合大学时期,党组/党委领导下的校长/校务委员会负责的新中国大学时期。权力制约机制除民国时期典型的“三会”分权制约机制比较突出外,主要表现为“螳螂捕蝉”式垂直权力制约权力机制和基于个人道德自觉的道德(文化)制约权力机制。前者具有自上而下的监督意味,后者具有一定的“人格”依赖性。通过对美、英、德、日四国高校内部权力制约机制的横向比较研究发现,美国高校内部权力制约机制仍表现为以董事会制为特征的权利制约权力机制形式,这一机制是以分权治理和大学自治为基础的；英国高校内部权力制约机制表现为以权利和文化制约权力机制为特征的“牛桥”大学模式,以“董事会、理事会和评议会”三会分权制约机制为特征的“92前”大学模式和以董事会为形式的权利制约权力机制为特征的“92后”大学模式；德国大学权力制约机制以“教授治校”为基础,以分权制约机制为主要特征,逐步转向寻求以董事会为形式的社会权利制约权力机制类型；日本大学在《国立大学法人法》颁布实施后,形成以校长为首的新型集权控制模式,但是寻求外行参与大学治理的社会制约权力机制是其机制构建的趋势之一。通过调研访谈和统计分析,本研究认为完善各项规章制度,依法治校仍是我国高校当前和今后一段时期要重点解决的议题。从权力制约机制运行效果看,我国高校权力制约机制存在非制度化运行的问题,主要表现在党委领导(决策)与党委书记领导(决策)的矛盾、大学权力与权利的矛盾、两个“一把手”的博弈和基于非正式人际关系的权力“潜规则”文化问题,以及“法治与人治”的矛盾问题等方面。针对以上问题,本研究从四个维度提出了政策建议与对策,认为：(1)完善权力制约权力机制,校党委会应主要发挥大学治理权,保留大学的重要决策批准权；校长实施遴选制,实现校长选举与任命相分离,推进大学校长职业化；赋予学术委员会对各类决策的违“章”否决权。同时,根据董/理事会与教代会制度建设要求,提高社会力量和民主力量对大学权力制约的效果,并最终形成“党、政、学、社”四权差异决策、优势互补的内部权力运行关系。(2)完善制度制约权力机制应在修订完善高教法的基础上,明确大学章程和各项内部规则的法律效力,保证大学权力依法行使和程序正当。同时,将大学纪检监察与审计部门从学校系统独立出来,由上级纪委监察审计主管部门领导,实施对学校内部各权力主体的监督检查。(3)对于完善权利制约权力机制的基本建议是,主管部门和学校应明确董事会的合法地位及参与大学决策的机制,赋予董事会对学校决策权力和法人代表的问责权、评估权与推荐权等。赋予教代会对大学主要权力主体的选举权与提请解聘权,确定教代会议事规则及相关规程的法律效力,完善教代会的运行机制。确保教代会在党委领导下独立自主的行使民主管理与监督权利。(4)对于文化制约权力机制的完善建议是,重构学术生态文化,构建党委治理、校长管理的大学政治与行政权力运行文化,营造廉洁的政治权力治理文化、高效负责的行政权力服务文化、自由创新的学术权力自治文化和和谐共赢的民主权利监督文化。促进制度、规则向权力主体价值信念的转变,以此形成权力运行的文化自觉和文化制约权力的效果。
[Abstract]:The 15th National Congress and the 17th National Congress of the Communist Party of China have clearly put forward the sound power running restriction and supervision system , which requires that the power operation mechanism should be ensured to run correctly , which indicates that the party has not got effective restriction on the power operation mechanism . The research mainly focuses on how to construct and improve the mechanism of the internal power restriction mechanism of the university . Based on the above background and phenomenon , this study mainly answers the questions raised from three aspects , and forms the content frame of this thesis .

Through the study of history , it is found that the internal power restriction mechanism of the medieval university mainly forms the form of cultural restriction power mechanism based on religious belief , sacred oath and university constitution . Modern university has formed the dominant type of power restriction power mechanism of " academic - administrative " power structure duality because of its scale , function expansion and the intervention of state power .

From the angle of the reform of university governance structure , the internal power restriction mechanism of the university has experienced the period of the Beijing Normal University , the university of Peking University and the University of Southwest Joint University . The mechanism of power restriction is more prominent than that of the typical " three sessions " decentralization restriction mechanism during the period of the Republic of China .

Through the comparative study of the internal power restriction mechanism of the four countries in the United States , Britain , Germany and Japan , the internal power restriction mechanism of American colleges and universities is still represented as the form of restriction power mechanism with the characteristics of the board of directors , which is based on decentralized governance and university autonomy ;
The internal power restriction mechanism of the British universities is characterized by the rights and cultural restriction power mechanism , which is characterized by the " pre - 92 " university model characterized by the " board of directors , the board of directors , the council and the appraisal committee " and the " post - 92 " university model characterized by the rights - limiting power mechanism of the form of the board of directors .
The power restriction mechanism of the university of Germany is based on the " teaching of the professor " , taking the restriction mechanism as the main characteristic , and gradually turning to the type of the restriction power mechanism of social rights in the form of the board of directors ;
After the promulgation and implementation of the corporate law of the State University of the State University , the University of Japan formed a new type of centralized control model led by the principal , but the social restriction power mechanism that sought outside participation in university governance is one of the trends of its mechanism .

Through the investigation and interview and the statistical analysis , the research believes that the rules and regulations are improved . According to the law , the problems of non - institutionalized operation are the contradictions between the party committee leadership ( decision - making ) and the party secretary ( decision - making ) , the contradiction between the power and rights of the university , the game of the two " one handle " and the " latent rule " cultural problem based on the informal interpersonal relationship , and the contradiction between the rule of law and the rule of people .

In view of the above problems , this study has put forward policy suggestions and countermeasures from four dimensions .
The headmaster carries out the selection system , realizes the separation of the headmaster ' s election and appointment , and promotes the professionalism of the university president ;
( 2 ) To improve the legal status of the university ' s main power and the legal effect of the internal rules , and to make sure the legal effect of the rules of the university and the legal effect of the internal rules .

【学位授予单位】：华中科技大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：G647

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