迈向监管型治理:西方公立高校与政府关系变革的法律透视  

Toward Regulatory Governance: Legal Perspective on the Transformation of the Relationship between Public Higher Education Institutions and the Government in Western Countries

作　　者：姚荣[1] YAO Rong(School of Education Science,Nanjing Normal University,Nanjing 210097,China)

机构地区：[1]南京师范大学教育科学学院,南京210097

出　　处：《重庆高教研究》2018年第4期3-27,共25页Chongqing Higher Education Research

基　　金：国家社会科学基金"十三五"规划教育学重大课题"‘双一流’建设背景下高校学科调整与建设研究"(VIA170003)

摘　　要：在传统上,西方公立高校与政府之间的关系被概括为两种理想类型——欧陆传统的"国家控制"模式和盎格鲁-撒克逊传统的"远距监督"模式。20世纪90年代以来,受新公共管理运动的深刻影响,两种模式都彰显出以绩效问责为导向的"监管型治理"特征。在大陆法系,藉由目标协议制度等规制工具的引入,契约治理模式被普遍采用,公立高校与政府之间的法律关系更多被界定为公法人之间的公法契约关系。此外,由独立第三方认证机构组织实施的高等教育认证体系应运而生。在英美法系,政府扮演着"规制者"与"掌舵者"的双重角色,"法定干预"与"支持性干预"成为政府介入公立高校自治权的两种基本形式。传统上扮演公立高校与政府之间协商互动纽带的各类"缓冲组织",逐渐被纳入国家监控的范畴。在两大法系,高等教育领域"监管型治理"模式的兴起,受到学术自由的合宪性控制等公法规制以及普通法传统的制约。西方的经验表明,政府对公立高校自治权的监管,不应局限于创设规制,而应聚焦于对"自我规制的规制"。公立高校与政府之间合作伙伴关系的形塑有赖于政府规制、大学自我规制以及第三方规制的合作协调与优势互补,从而建构"精明规制"的金字塔结构。Traditionally,the relationship between public universities and the government in western countries has been summed up in two ideal types,the ＂traditional state control＂European model and the Anglo-Saxon tradition ＂long-distance supervision＂model. Since the 1990 s,under the profound influence of the new public management movement,the two models have demonstrated the characteristics of ＂regulatory governance＂oriented by performance-based accountability. In the European continental legal system,with the introduction of regulatory instruments such as the target agreement system,the contractual governance model is universally applicable. The legal relationship between public universities and government is more defined as the public legal contractual relationship between public legal persons. In addition,the accreditation system for higher education organized by independent third-party certification bodies came into being. In the Anglo-American legal system,the government plays the dual role of ＂regulator＂and ＂steersman＂. Both ＂legal intervention＂and ＂supportive intervention＂have become the two basic forms of government intervention in public higher education institutions. Various types of ＂buffer organizations＂that traditionally played the role of the consultative and interactive bond between public universities and the government have gradually been brought into the category of state control. The rise of the ＂regulatory governance ＂model of the two legal systems in higher education is restricted by the public legal regulation such as the constitutional control of academic freedom and the common law tradition. Western experience shows that the government ＇s supervision over the autonomy of public colleges and universities should not be limited to creating regulations,but focus on the ＂regulation on self-regulation. ＂The shaping of the partnership between public universities and government relies on the coordination and mutual complementation of government regulation,university

关 键 词：监管型治理 公立高校与政府关系 精明规制 学术自由 公共利益 

分 类 号：G649.1[文化科学—高等教育学]