我国大学管理实行学校党委领导下的校长负责制。《高等教育法》规定学校党委的领导职责和校长的职权，还规定在高等学校设立学术委员会，明确了教师参与学术事务决策和管理的性质和范围。但是，随着校长为中心的大学行政权力在大学事务中的权限加强和扩大，大学基层机构——学院的教授很少有机会参与各层次的决策过程，即使在学术事务也没有太多发言权。大学学决策中行政权力过于强大，学术权力处于边缘地位，而以往的大学管理理论将校长等行政机构作为管理者和领导者，将教师作为被管理者和被领导者，不利于分析教师等学术人员对大学决策的影响。治理理论强调的是多元主体参与决策，目标实现过程中主张协调和合作。大学治理是指大学利益相关者参与大学重大事项的决策中如何分配和行使权力，以及协调和平衡各利益相关者之间关系的制度安排。根据参与大学事务的主体的性质，大学治理可分为外部治理和内部治理。外部治理是指政府、社会等大学相关的外部利益主体与大学之间的权力关系。内部治理是指大学内部的主体在大学内部事务中的权力关系。本文研究的对象是大学内部治理，即校长、理事会（日本为评议会）、教授会等内部权力主体之间的权力制衡关系及其有效制度安排。治理理论的引进引起了我国学界对学术权力地位的关注，主张大学权力下放，增加学术权力的声音逐渐增加。那么，如何才能实现学术权力与行政权力的相对均衡，这是目前需要解决的重要课题。本文从治理理论的视角确定了日本国立大学内部治理中的主体，并从历史发展的角度分析了战前、战后、法人化后各历史阶段国立大学内部治理主体之间的权力制衡关系，希望有助于我国内部治理实践及理论探讨。研究内容包括以下几个部分。第一章是导论部分。介绍了为什么要研究日本国立大学内部治理，围绕哪些问题，用什么样的方法来进行分析。此外，整理归纳了目前大学治理及日本大学治理的研究成果，提出了本论文的创新点和不足。第二章是大学内部治理的理论部分。包括治理概念、大学内部治理问题的提出、治理理论的适切性、大学内部治理中的权力类型和治理模式等。本文认为大学内部治理问题是由多元主体及其利益冲突产生，权力主体根据大学组织系统的层次分为理事会（决策权力）、校长（执行权力）以及教授会（专业权力），协调和平衡这三者之间的制度安排分为正式制度（法律等）和非正式制度（惯例等）。第三章是二战前的日本国立大学内部治理。这一时期还未使用国立大学一词，国家设置的大学称为帝国大学，因此，这一章主要分析帝国大学内部治理结构。二战前，帝国大学内部治理主体包括校长、评议会和学部教授会。大学创立之初，校长统辖大学，具有人事等权限。随着帝国大学学部教授会力量的增强，大正时期学部教授会获得了校长选举权和教师人事权。评议会的成员也多数是学部教授构成。因此，二战前日本已经确立了“学部教授会”控制的内部治理结构。第四章是二战后的日本国立大学内部治理。二战后日本大学改革是在美国占领政策下进行，大学管理制度上由于教授们强烈反对，美国提出的“理事会”模式和政府提出的政府、大学、外界人士共治的改革建议都未实施。统一的管理制度的缺失，以及二战前学部教授会自治传统下，战后国立大学内部治理进一步巩固了学部教授会的统治。但是随着高等教育规模的扩大，市场化的冲击，教授管理大学的方式逐渐显露出弊端。从20世纪60年代开始，日本政府提出多项加强校长权限的政策建议，但由于教授们的反对仍未实现。第五章是法人化后的日本国立大学内部治理。2004年日本国立大学法人化以后，国立大学确立了校长为中心的管理体制，建立了校长、理事会、经营协议会、教育研究评议会等校级管理机构。从治理结构上来看，校长为核心的执行机构及决策机构的影响力扩大，学部教授会的权限限定在学部的教育研究事项上。并确立了学术权力与行政权力相分离的治理结构。从日本国立大学内部治理的制度演变过程得出结论以下结论：日本国立大学内部治理的制度变迁过程是强制性制度变迁与诱致性制度变迁有机结合的过程；经过制度移植与制度创新，日本国立大学内部治理具有了自己的特色；日本国立大学内部治理的制度变迁是具有路径依赖的，法人化前的学部教授会自治制度仍然对法人化后的国立大学内部治理发挥影响。

Our university management implements the president responsibility system under the leadership of Party Committee. 《Higher Education Act》 clearly defines the responsibility and power of president and Party Committee and regulates to establish academic committee in higher education institutions. However， the professors rarely have the opportunity to participate in the decision-making process and academic affairs. The administrative power is too strong in the decision-making of university， while the academic power is on the margin.Governance theory places emphasis on the multiple bodies taking part in the decision-making， claims co-ordination and co-operation during the process of achieving targets. University governance means the institutional arrangements that university stakeholders participate in important things， including how to distribute and exercise power， coordinate and balance diverse stakeholders. According to the nature of participating bodies， university governance can be divided into external and internal governance. External governance means the power relationship between laymen bodies， such as governance and society， and university itself. Internal governance means the power relationship existing in university inner. This dissertation concerns internal governance， it focuses on the power balance and effective institutional arrangement among president， governing body and senate.The introduction of governance theory attracts our eyes on academic power. Our scholars put forward university decentralization and academic power enhancement. So， how to achieve the relative balance between academic and administrative power is an urgent program to be solved. This research analyzes the power balance relationship in different internal governing bodies in national universities from the perspective of governance theory. The content is mainly concerned about the followings:Chapter 1 is the introduction to all research. It explains why we do the research on internal governance of national university in Japan， what are the research topics and the way taken to do this research. Besides， this part concludes the research fruits of contemporary university governance and Japanese university governance.Chapter 2 deals with the theory of university internal governance. This part includes the governance concept， the proposition of university internal governance， the applicableness of governance theory， the power types and governance model in internal governance， the analysis model and the mechanisms. The thesis insists that the problems with internal governance result from the multiple governing bodies and the interest conflicts. According to the levels of university institution system， the power subject can be divided into governing body， which means the decision-making power， president， which stands for the executive power and senate that points to the professors’ association. Formal institution and informal conventions mainly coordinate and balance the above three parties.Chapter 3 is based on the internal governance in Japanese national university before World War II. During this period， there’s not any national university， it is called Empire University， hence， this chapter mainly analyzes the internal governance structure of Empire University. The Empire University has the president， senate and faculty professors’ association. Since the establishment of university， the president rules the university， owning the staff power. With the expansion of senate and faculty professors’ association， the president is gradually deprived of the staff power. The senate is mainly made up of faculty professors， and the professors control the vote of president and the staff power of faculty. So we can say that before World War II， Japanese university has established the internal governance structure controlled by faculty professors’ association.Chapter 4 is concerned with the internal governance of post-World War II national university. After World War II， Japanese university reform is under the guide of American policy. Because of the fierce opposition from professors， the governing body and governance by government， university and laymen by America fail to implement. Lake of the united management， national university enhances the position of faculty professors. With the expansion of higher education， the impact of marketization， there are more and more difficulties in the way used to govern university by professors. Since 1960s， Japan government many times put forward propositions to enhance the president power， all these propositions fail to do.Chapter 5 deals with the internal governance of national university after personalization reform. Since national university personalization in 2004， national university builds the management system centered with president， set the university level management institutions， such as president， governing body， running body and educational research senate. From the governance structure， the executive and decision-making body centered with president become more influential， faculty professors’ association is cut and restricted in the educational research of faculty. So the governance structure is established to separate the academic power from administrative power.From the institutional changes of internal governance of national university in Japan，we can draw conclusions as follows: The process of institutional changes of internal governance of national university is an organic combination of mandatory institutional change and induced institutional change. And there are some characters of internal governance of national university after institutional migration and innovation. The institutional changes of internal governance of national university are of path dependences. And autonomous institutions of faculty professors’ association before legal personalization still have influences on internal governance of national university after legal personalization.