【作者】 王平；

【导师】 郑成良；

【作者基本信息】 上海交通大学 ， 法理学， 2023， 博士

【摘要】 高校自主办学是我国高等教育制度的重要理念,自1998年《高等教育法》颁行以来,该理念被广泛地提倡和推广。长期以来,我国高校自主办学与西方“大学自治”之间,在内涵和意蕴上存在认知混淆和指代错位的深度纠葛与偏差,给理论探讨和实践运行带来了隐蔽的混乱。自主办学是我国高校“服务大局”这一具有中国特色的“政治-高等教育意识形态”的组成部分;大学自治根植于西方法律制度体系中,具有不同的发展演进逻辑,二者之间并没有直接相关性。在“法治中国”的建构中,我国高等教育领域自主提出并统筹推进了高校自主办学的理念和实践,具有一定的历史积淀、文化价值和实践效果。伴随社会历史演进和时代发展变迁,高校自主办学经历了几度沉浮,表现出稳定性不足的特征。1998年,我国颁布了《高等教育法》,这标志着高校自主办学进入了法律确权的新阶段。然而,办学自主权在立法上的确认却始终无法消解理论上的争议和实践中的困境,这也引发了2019年全国人大常委会牵头开展的《高等教育法》执法检查。结果反馈,高校自主办学的实践效果与制度设计初衷仍然存在较大的差距,主要表现为政府“放不下”和高校“接不住”。现阶段,从宏观制度层面变迁的轨迹和文本规范,能够比较清晰地发现高校自主办学的演进路径,即“法律确权、简政放权、章程赋权、依法维权”。在取得一系列改革进展的同时,高校自主办学的法治保障遇到了诸多问题。一方面,通过构建高校自主办学落实情况的二级指标体系,对党的十八大以来(2012至2023年之间)其运行情况进行实证分析,发现高校在学科专业设置和教学自主权等方面呈现了相对的改观,但在机构设置与人事管理、科研开发和社会服务等方面的自主权未见明显变化。从中,推演出高校自主办学制度运行的实际梗阻点,如高权管制不断加剧、现实运行不平衡性丛生,以及办学自主权被合法地萎缩等;另一方面,通过对高校自主办学现实场域进行具象化观察,发现基层高校作为日常管理者,上演了基于社会资本理论的变通性实践与复杂场景的交融,导致高校自主办学制度运行出现程序性瑕疵、运行逻辑策略性变更,以及自主办学效果的现实锁定等困境。从法治层面看,其原因主要在于高等教育领域存在立法理念工具化、立法布局碎片化、立法内容粗放性和原则性等问题。同时,大量存在的“红头文件”、多元化的司法实践主体、有限的司法审查限度和薄弱的主体权益保障效力等共同加剧了目前高校自主办学制度运行的现实困境。面向国家治理现代化的时代背景,高校自主办学制度的构建需要以中国式现代化为引领,以党的领导作为制度建设和实践的根本保障,坚持“以人民为中心”作为制度的基本内涵和价值取向,搭建“于法有据”、“科学理性”的高校自主办学制度体系。更多还原

【Abstract】 Independent university running system is an important concept in China’s higher education field,which has been widely advocated and promoted since the promulgation of the Higher Education Law in 1998.For a long time,there are deep entanglements and deviations in the connotation and meaning between China’s"independent university running system"and the western"university autonomy",which brings hidden confusion to the theoretical discussion and practical operation.Independent university running system is an integral part of the ideology of politics and higher education with Chinese characteristics,where China’s colleges and universities aim to"serve the overall situation".University autonomy is rooted in the Western legal system,with a different logic of development and evolution,and there is no direct correlation between them.In the construction of"rule of law in China",China’s higher education sector has independently put forward and coordinated the concept and practice of independent university running system,which has a certain historical accumulation,cultural value and practical effect.With the evolution of social history and the development of The Times,independent university running system has experienced several times of ups and downs,showing the characteristics of insufficient stability.In 1998,China promulgated the Higher Education Law,which marks a new stage of legal confirmation of the right of independent university running system.However,despite the legislative confirmation of the autonomy to run universities,theoretical controversies and practical dilemmas still exist,which triggered the enforcement inspection of the Higher Education Law led by the Standing Committee of the National People’s Congress in 2019.According to the results,there is still a big gap between the practical effect of independent university running system and the original intention of the system design,which is mainly manifested as the government“can not let go”and universities“can not catch”.At this stage,from the trajectory of changes and text norms at the macro institutional level,we can clearly discover the evolution path of the independent university running system,namely,"legal confirmation of power,streamlining administration and delegating power,empowering the charter and safeguarding rights according to law".While making progress in a series of reform,the rule of law guarantee for independent university running system has encountered many problems.On the one hand,through the establishment of a secondary index system for the implementation of independent university running,the empirical analysis of its operation since the 18th CPC National Congress(between 2012and 2023)shows that relatively obvious growth has been achieved in the establishment of subjects and teaching autonomy,but no significant change has been seen in the establishment of institutions and the autonomy of personnel management,scientific research and development,and social services.It is possible to find out the obstacles to the actual effectiveness of the system of independent university running system and to deduce its realistic dilemmas,such as the increasing control of the power,the imbalance of the real operation of the system,and the shrinking legitimacy of the rights in independent university running.On the other hand,in the concrete observation of the real operation field of independent university running system,it is found that as daily managers,colleges and universities have staged the integration of flexible practice based on social capital theory and complicated scenarios,resulting in flaws in operation procedures,strategic changes in independent operation logic,scenario-based performances in independent decision making,and realistic locking in the effect of independent university running.From the perspective of the rule of law,the main reason is that the field of higher education is characterized by the instrumentalization of the legislative concept,the fragmentation of the legislative layout,and the sloppy and principled nature of the legislative content.At the same time,the existence of a large number of"red-headed documents",as well as diversified judicial practice subjects,limited scope of judicial review,and weak effectiveness of the protection of subjects’rights and interests together exacerbated the dilemma in current independent university running system realities.Facing the modernization of national governance,the construction of the system of independent university running needs to be led by the Chinese-style modernization,with the leadership of the Party as the fundamental guarantee for the construction and practice of the system,while insisting on"people-oriented"as the basic connotation and value orientation of the system,so as to build a system of independent university running that is"based on the law"and"scientific and rational".更多还原