阳光法案对美国公立大学治理的影响
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摘要
经过几十年的发展,阳光法案日益内化到美国公立大学的治理中,并成为一种制度化的存在。阳光法案对美国公立大学治理的影响是全方位的、深远的。通过分析它对董事会会议、校长遴选所带来的影响,可以发现:阳光法案普遍受到各方的欢迎,因为它契合了美国人的民主价值观,增加了公众对大学的信任,能有效预防大学潜在的腐败,最大化地维护公共利益;但它也造成美国公立大学自主性的降低和对个人隐私权的侵犯。对此,美国公立大学不断通过主动和被动的方式予以回应和克服,努力在公共问责、大学自治和个人隐私("三难困境")之间实现最大程度上的平衡。
For decades now,the sunshine laws are increasingly institutionalized into the governance of American public universities. The impact of sunshine laws on the governance of American public universities is comprehensive and far-reaching. By analyzing their impact on governing board meetings and presidential search and selection,we can find that the sunshine law is widely embraced by all parties,because it demonstrates American value of democracy and increases the public confidence in universities. It can,on the one hand,prevent potential corruption and maintain public interest as much as possible. On the other hand,it may reduce the autonomy of universities and infringe the right of privacy. As to the drawbacks,American public universities try to respond and overcome by both active and passive ways,with the aim of achieving balance among public account,university autonomy and personal privacy( trilemma) to the greatest extent.
For decades now,the sunshine laws are increasingly institutionalized into the governance of American public universities. The impact of sunshine laws on the governance of American public universities is comprehensive and far-reaching. By analyzing their impact on governing board meetings and presidential search and selection,we can find that the sunshine law is widely embraced by all parties,because it demonstrates American value of democracy and increases the public confidence in universities. It can,on the one hand,prevent potential corruption and maintain public interest as much as possible. On the other hand,it may reduce the autonomy of universities and infringe the right of privacy. As to the drawbacks,American public universities try to respond and overcome by both active and passive ways,with the aim of achieving balance among public account,university autonomy and personal privacy( trilemma) to the greatest extent.
引文
[1]HEARN C,MICHAEL M,LEIGH G.Governing in the Sunshine:Studying the Impact of State Open-Meetings and Records Laws on Decisionmaking in Higher Education[R].Washington D C:Association of Governing Boards of Universities and Colleges,2003.
[2]维基百科.阳光法案[EB/OL].[2017-11-21].https://zh.wikipedia.org/wiki/%E9%99%BD%E5%85%89%E6%B3%95%E6%A1%88.
[3]MCLENDON K,JAMES H.State Law,Policy,and Access to Information:The Case of Mandated Openness in Higher Education[J].Teachers College Record,2010(10):2649-2663.
[4]MCLENDON K,JAMES H.Mandated Openness and Higher-Education Governance:Policy,Theoretical,and Analytic Perspectives[J].Higher Education,2006(1):39-97.
[5]CLEVELAND H.The Costs and Benefits of Openness:Sunshine Laws and Higher Education by Harlan Cleveland[J].Association of Governing Boards of Universities&Colleges,1985,12(10):62.
[6]HEARN C,MICHAEL M,LEIGH G.Governing in the Sunshine:Open Meetings,Open Records,and Effective Governance in Public Higher Education[R].Washington D C:Association of Governing Boards of Universities and Colleges,2004.
[7]Florida State.Public records requests[EB/OL].[2017-10-22].http://news.fsu.edu/For-Reporters/Public-Records-Requests.
[8]HEARN C,MICHAEL M.Mandated Openness in Public Higher Education:A field Study of State Sunshine Laws and Institutional Governance[J].The Journal of Higher Education,2006(4):645-683.
[9]EDWIN T.A Guide to Planning and Conducting Successful Retreats[EB/OL].[2017-12-15].http://www.ipspr.sc.edu/grs/A%20Guide%20to%20Planning%20and%20Conducting%20Successful%20Retreats.htm.
[10]ESTES N.State University Presidential Searches:Law and Practice[J].Journal of College and University Law,2000(3):485-509.
[11]VINCENT J.Higher Education,Corruption,and Reform[J].Contemporary Readings in Law and Social Justice,2012(1):478-495.
[12]尹晓敏.高校反腐的治本之道:提升透明度[J].浙江树人大学学报,2014(6):74-78.
[13]肖汉宇,公婷.腐败容忍度与“社会反腐”:基于香港的实证分析[J].公共行政评论,2016(3):42-55.
(1)“专有信息”通常指商业秘密、技术秘密(如药方)以及其他相关信息。例如,企业或军队与大学就某项专利或研究签署了保密协议,大学则无需向公众公开这项研究成果或专利技术。
(2)社会安全号码是美国联邦政府发给本国公民、永久居民、临时(工作)居民的一组九位数字号码,是依据美国社会保障法案205条C2中的记载。这组数字由联邦政府社会保障局针对个人发行。社会安全号码主要的目的是为了追踪个人的赋税资料,但近年来已经成为实际上的身份证。
(3)在美国,闭门会议(executive session)是指会议内部的一种特殊会议(meeting-within-a-meeting),一般在董事会常规会议之前、之中或之尾召开。其对象只有董事会成员,但行政主官或专业顾问可能会被邀请参会。闭门会议是保护和促进组织最佳利益的一个有用工具。我们知道,有些议题唯有在私底下讨论才能得出最佳结果,闭门会议恰好提供了这种渠道。它不仅能促进与会者各抒己见、畅所欲言,而且能增进与会者之间的信任与交流。闭门会议有三个核心功能:(1)确保保密;(2)确保董事会的独立性及其对行政主管的监督;(3)增进董事会成员之间及其与行政主管的关系。在阳光法案下,接受政府资助的一些组织,例如公立大学,需要向外公开会议并界定闭门会议的使用。大部分阳光法案厘清了哪些会议记录不需要公开(例如诉讼、惩戒、工作面试等),哪些需要公开(预算讨论、公共官员的薪水等)。对美国公立大学而言,领导者需要知道哪些议题适合使用闭门会议及其相关程序。更多请参考:National Center for Nonprofit Boards.Executive sessions:How to use them regularly and wisely[EB/OL].http://www.unitedwaync.org/sites/uwncarolina.oneeach.org/files/filedepot/incoming/Executive%20Sessions.pdf.
(4)Retreat字面上的意思为“撤退”“隐居”。在宗教上,retreat指在一段时间内,暂时离开日常的世俗生活,选择一宁静平和的环境,专注身、心、灵在信仰的建造,回复与上帝有合宜的关系。中文一般把它译为“退修会”。如果用于会议,中文并没有一个词与之对应。笔者暂且在这里把它译为“静修会”。
[2]维基百科.阳光法案[EB/OL].[2017-11-21].https://zh.wikipedia.org/wiki/%E9%99%BD%E5%85%89%E6%B3%95%E6%A1%88.
[3]MCLENDON K,JAMES H.State Law,Policy,and Access to Information:The Case of Mandated Openness in Higher Education[J].Teachers College Record,2010(10):2649-2663.
[4]MCLENDON K,JAMES H.Mandated Openness and Higher-Education Governance:Policy,Theoretical,and Analytic Perspectives[J].Higher Education,2006(1):39-97.
[5]CLEVELAND H.The Costs and Benefits of Openness:Sunshine Laws and Higher Education by Harlan Cleveland[J].Association of Governing Boards of Universities&Colleges,1985,12(10):62.
[6]HEARN C,MICHAEL M,LEIGH G.Governing in the Sunshine:Open Meetings,Open Records,and Effective Governance in Public Higher Education[R].Washington D C:Association of Governing Boards of Universities and Colleges,2004.
[7]Florida State.Public records requests[EB/OL].[2017-10-22].http://news.fsu.edu/For-Reporters/Public-Records-Requests.
[8]HEARN C,MICHAEL M.Mandated Openness in Public Higher Education:A field Study of State Sunshine Laws and Institutional Governance[J].The Journal of Higher Education,2006(4):645-683.
[9]EDWIN T.A Guide to Planning and Conducting Successful Retreats[EB/OL].[2017-12-15].http://www.ipspr.sc.edu/grs/A%20Guide%20to%20Planning%20and%20Conducting%20Successful%20Retreats.htm.
[10]ESTES N.State University Presidential Searches:Law and Practice[J].Journal of College and University Law,2000(3):485-509.
[11]VINCENT J.Higher Education,Corruption,and Reform[J].Contemporary Readings in Law and Social Justice,2012(1):478-495.
[12]尹晓敏.高校反腐的治本之道:提升透明度[J].浙江树人大学学报,2014(6):74-78.
[13]肖汉宇,公婷.腐败容忍度与“社会反腐”:基于香港的实证分析[J].公共行政评论,2016(3):42-55.
(1)“专有信息”通常指商业秘密、技术秘密(如药方)以及其他相关信息。例如,企业或军队与大学就某项专利或研究签署了保密协议,大学则无需向公众公开这项研究成果或专利技术。
(2)社会安全号码是美国联邦政府发给本国公民、永久居民、临时(工作)居民的一组九位数字号码,是依据美国社会保障法案205条C2中的记载。这组数字由联邦政府社会保障局针对个人发行。社会安全号码主要的目的是为了追踪个人的赋税资料,但近年来已经成为实际上的身份证。
(3)在美国,闭门会议(executive session)是指会议内部的一种特殊会议(meeting-within-a-meeting),一般在董事会常规会议之前、之中或之尾召开。其对象只有董事会成员,但行政主官或专业顾问可能会被邀请参会。闭门会议是保护和促进组织最佳利益的一个有用工具。我们知道,有些议题唯有在私底下讨论才能得出最佳结果,闭门会议恰好提供了这种渠道。它不仅能促进与会者各抒己见、畅所欲言,而且能增进与会者之间的信任与交流。闭门会议有三个核心功能:(1)确保保密;(2)确保董事会的独立性及其对行政主管的监督;(3)增进董事会成员之间及其与行政主管的关系。在阳光法案下,接受政府资助的一些组织,例如公立大学,需要向外公开会议并界定闭门会议的使用。大部分阳光法案厘清了哪些会议记录不需要公开(例如诉讼、惩戒、工作面试等),哪些需要公开(预算讨论、公共官员的薪水等)。对美国公立大学而言,领导者需要知道哪些议题适合使用闭门会议及其相关程序。更多请参考:National Center for Nonprofit Boards.Executive sessions:How to use them regularly and wisely[EB/OL].http://www.unitedwaync.org/sites/uwncarolina.oneeach.org/files/filedepot/incoming/Executive%20Sessions.pdf.
(4)Retreat字面上的意思为“撤退”“隐居”。在宗教上,retreat指在一段时间内,暂时离开日常的世俗生活,选择一宁静平和的环境,专注身、心、灵在信仰的建造,回复与上帝有合宜的关系。中文一般把它译为“退修会”。如果用于会议,中文并没有一个词与之对应。笔者暂且在这里把它译为“静修会”。