李 晓 婷 博士学位论文
指导教师：陆学艺 答辩日期2006年6月1日
三种权力视野下中国大学组织变迁研究
论 文 摘 要
本文应用组织理论来研究我国大学组织的变迁问题。根据现代组织理论思想，人类社会是一个整体的开放系统，系统内的每一个组织都和其周围环境相互作用、相互适应，不同的环境形成着不同的组织结构特性。大学组织是整个社会系统中的一个组成部分，它的生存发展离不开周围的环境系统，它是“遗传与环境的产物”，在影响大学组织发展的因素中，学术自由和社会控制成为牵引大学发展的内、外两种力量，“学术自由”作为影响大学发展的内在逻辑维护大学的稳定性和独立性，“社会控制”作为影响大学发展的外部环境力量培养着大学的适应性和灵活性，综观影响大学发展的外部力量，主要表现在政府和市场两种力量上。“国家权力、学术权威、市场”构成支配各国大学发展的三种动力，为了更好地把握支配大学发展的力量，本文引入“权力”概念，将影响大学组织变革的三种力量界定为国家权力、学术权力和市场权力。在这三种权力框架下，我国大学组织结构发生了怎样的变化，这是本文重点论述的。
计划经济时期，中国社会的存在状态是“总体性社会”，国家权力高度卷入大学组织，“整个社会没有市场的概念”，政府力量的控制成为影响大学组织发展的唯一因素。我国大学组织结构呈现出以下特点：1、大学组织边界的稀薄。2、大学组织权力运作的顶部控制。3、大学组织矩阵结构的倾斜。这种特点一方面导致大学组织在行为方式和制度框架上与其他组织没有显著的不同，成员对组织高度依赖（国家）。另一方面大学对政府存有高度的依附性和依从性，国家是权力主体，大学组织是实施国家“人才培养”目标的代理人和承担者，大学缺乏自主的生存空间和组织目标。
进入从计划经济向市场经济的转型期后，影响大学组织的外部力量演变为政府权力的适度退出和市场权力的上场，在两种权力的对垒下，大学组织特性表现出独立性和选择性的增强。在政府和市场两种力量作用下，大学组织形成了内部和外部两个劳动力市场，外部劳动力市场存在着契约化的走向，内部劳动力市场的建立是为了减少外部劳动力市场受市场供求、市场价格的影响，而建立起的组织内部的相对稳定的长期市场。而且内部劳动力市场的建立构建了大学组织与外部环境的边界，使大学组织自主权增强，受外部力量的干预减少。但总体说来，在面对政府和市场两种力量的对垒下，大学组织受政府力量的控制更广泛、更根深蒂固，政府权力的影响要大于市场权力的影响，因为中国大学始终对于“市场”持有疑义，仍没有恰当地界定大学组织与政府、市场两种力量的契合点。
在影响大学组织发展的三种权力中，学术权力一直处于弱势地位。学术权力表现为学术自由权力和院校自治权力两种。学术权力的弱势一方面缘于外部控制力量（国家权力和市场权力）的过强，另一方面缘于中国大学组织“舶来性”、“行政性”和“依赖性”的特点所导致的大学组织内部的行政权力泛化现象。在目前我国的大学组织中，学术权力主要体现在二级学院，表现为学术权力的“下沉”；但在学校一级，学术权力虚置，对于学校的整体规划、学科建设、组织目标、师资建设等方面的决策，学术权力没有体现。
通过研究，本文得出的结论是大学组织正日益挣脱“计划经济最后一块堡垒”的束缚，逐渐成长为一个相对独立的、日益社会化的社会组织，具体表现是大学组织的三个转变：从“受治性专业组织”向“自治性专业组织”转变；从封闭性组织向开放性组织转变；大学组织成员与组织的关系由行政性的隶属关系向契约性的市场关系转变。这种演变过程主要是在外力的推动下完成的，大学组织进一步发展的关键是寻找推动大学组织发展的内力。根据本文的研究，推动大学组织发展的内在动力是学术权力的作用，大学组织发展的“应然”定位是学术权力。但我国大学组织目前存在着外部的国家权力和内部的行政权力强、学术权力弱的“实然”定位，而且比较大学其他方面改革的积极性，大学组织权力结构（实然定位）的改革却带有迟滞性的特点，大学组织内部行政权力强、学术权力弱的二元矛盾是大学内部一系列问题产生的主要根源，本文认为，解决问题的关键是确定大学组织在外部社会系统和内部组织系统中的位置。
关键词：大学 组织变迁 学术权力
Abstract
This thesis is on China’s university organization transformation by using the organization theory. According to the modern organization theory, human society is an all-round open system, each organization within which has an interaction and mutual adaptation with its surrounding environment. An organization cannot exist and develop without its surrounding environment system, and it is the “product of inheritance and environment”. The above idea is the base of this thesis. Among all the elements influencing the development of university organization, academic freedom and social control are the two powers driving it: academic freedom influences the internal logic in university development in stability and independence; social control influences the external environment of university development in cultivating its adaptation and flexibility. Government and market are the two main powers among the external powers of university development, watched with a comprehensive view. State power, academic authority, and market are the three drives controlling university development in countries. In order to understand those powers controlling university development better, this thesis introduces the concept of power and defines state power, academic power, and market power as the three powers influencing university organization transformation. In the framework built by the three powers, this thesis explores the transformation of university organization, i.e. with different ratios of the three powers, what happens to the structure of China’s university organization.
During the planned economy age, Chinese society was in a “collective society” existence, where state power highly involved in university organization, and, without the concept of market in the whole society, the control of government power became the only element influencing university organization development. The structure of China’s university organization showed the following features then: 1. the margin of university organization was vague; 2. the top controlled the running of university organization power; 3.the matrix structure of university organization inclined. As a result, there was no obvious difference in authoritative manner and institutional frame between university and other organizations, and members highly depended on the university organization, on the one hand; on the other hand, university highly attached to and complied with the government. While state was the main body of power, university organization, as the deputy and undertaker of the implementation of national talent cultivation, does not have its own living space and organizational goal.
In the transitional period from the planned economy to the market economy, government power moderately exited, and market power stepped in as the external power that influences university organization. With the fight between the above two powers, university organization showed the feature of an increasing independence and select ability. That is, under the two powers of government and market, university organization formed two labor markets, internal and external. The external one tended to contract-oriented, while the internal one was built to lessen the influence of supply and demand, and price in the external labor market, and to establish a relatively stable long-term market within university organization. The establishment of internal labor market clarified the margin of university organization and the external environment, which resulted in the increasing self-determination power of university organization on faculty selection, with less external interference. However, generally speaking, government power had wider and deeper control on university organization in that situation. Since China’s university held doubts on market, and could not get a corresponding point of university organization, government and market power, the influence of government power was stronger than that of market one.
Among the three powers influencing university organization development, academic power always stays at a vulnerable position. Academic power’s vulnerable position results from the over powerful of the external power control on the one hand, and on the other from university organization’s administrative power extension led by its exotic, administrative, and dependent traits. Academic power in China’s current university organization is mainly illustrated in its sub-university, where the power goes down. But on the university level, there is emptiness in academic power. Academic power has little influence upon university overall plan, subject building, organizational goal, faculty, etc.
The thesis comes to a conclusion: university organization is gradually breaking loose the last restriction of the planned economy, and growing up to a relatively independent, and socialized social organization. This is particularly seen in its three changes: from governed to self-governed, from close to open, and relation between members and organization from administrative subjection to contracted marketing relation. compared to the active reform otherwise in university, nevertheless, the reform in university organization’s power (determination and administration power) structure still remains sluggish. The conflict between strong administrative power and weak academic power within university organization is the main source of its internal problems. This thesis points out that the key to solve these problems lying in seeking a proper position for university organization in both the external society and the internal organization.
Key Words：University Organization Transformation Academic Power
目 录
第一章 导 论…………………………………………………………………………………… 1
一、问题的提出……………………………………………………………………………………1
二、研究思路………………………………………………………………………………………3
三、研究综述………………………………………………………………………………………6
（一）国外研究文献综述…………………………………………………………………………6
（二）国内研究文献综述 ………………………………………………………………………11
（三）研究述评 …………………………………………………………………………………14
四、研究意义 ……………………………………………………………………………………15
（一）理论意义……………………………………………………………………………………15
（二）实践意义……………………………………………………………………………………16
五、研究方法和样本选取 ………………………………………………………………………16
第二章 理论准备……………………………………………………………………………… 20
一、组织和人………………………………………………………………………………………21
（一）古典组织理论 ……………………………………………………………………………21
（二）人际关系组织理论 ………………………………………………………………………23
二、组织和环境……………………………………………………………………………………25
（一）系统理论……………………………………………………………………………………25
（二）群体生态理论………………………………………………………………………………27
（三）资源依赖理论………………………………………………………………………………28
（四）交易费用理论………………………………………………………………………………29
（五）新制度组织理论……………………………………………………………………………32
三、 对既有组织理论的评析 ……………………………………………………………………34
第三章 一个分析框架：学术自由和社会控制 ………………………………………………37
一、大学组织的双重属性…………………………………………………………………………37
二、学术自由与社会控制的博弈…………………………………………………………………39
三、对三种权力的界定……………………………………………………………………………42
第四章 国家权力视野下的大学组织………………………………………………………… 45
一、研究背景与假设 ……………………………………………………………………………45
二、大学组织边界的稀薄 ………………………………………………………………………48
（一）组织边界的选择：组织成员标准 …………………………………………………………48
（二）大学组织边界：教师职称制度 ……………………………………………………………50
（三）大学组织边界的特征：稀薄 ………………………………………………………………51
三、大学组织权力运作：顶部控制 ………………………………………………………………54
（一）单一组织目标的确立………………………………………………………………………55
（二）顶部控制的实施……………………………………………………………………………57
四、大学组织结构：矩阵结构的倾斜 ……………………………………………………………60
（一）传统的纵向型组织结构 …………………………………………………………………60
（二）大学组织的矩阵结构………………………………………………………………………61
（三）我国大学矩阵结构的倾斜…………………………………………………………………62
五、结论……………………………………………………………………………………………63
第五章 政府与市场：两种力量对垒下的大学组织………………………………………… 65
一、研究背景与假设 ……………………………………………………………………………65
二、大学组织外部劳动力市场契约化走向 ……………………………………………………68
（一）组织和个人的依附关系阶段………………………………………………………………69
（二）组织和个人之间的二元关系阶段…………………………………………………………70
（三）组织和个人的市场关系阶段………………………………………………………………73
三、大学组织内部劳动力市场的构建 …………………………………………………………78
四、结论 …………………………………………………………………………………………83
第六章 学术权力走向何方…………………………………………………………………… 85
一、研究背景与假设………………………………………………………………………………85
二、中国大学学术权力的虚置……………………………………………………………………91
（一）大学组织内部的二元权力结构……………………………………………………………91
（二）中国大学学术权力的虚置…………………………………………………………………93
（三）总结…………………………………………………………………………………………98
三、二级学院的权力“下沉” ……………………………………………………………………99
（一）大学组织的组成细胞………………………………………………………………………99
（二）中国大学的两次院系结构调整…………………………………………………………100
（三）学院制下权力分布………………………………………………………………………102
四、结论…………………………………………………………………………………………106
第七章 研究结论… ……………………………………………………………………………107
一、对大学组织变迁特点的总结…… ………………………………………………………… 107
二、需要关注的实践问题………………………………………………………………………110
三、需要回答的理论问题………………………………………………………………………112
参考文献 … ……………………………………………………………………………………115
后记 … …………………………………………………………………………………………121
