【作者】 于胜刚；

【导师】 邬志辉；

【作者基本信息】 东北师范大学 ， 教育学原理， 2010， 博士

【摘要】 时下,发生在中国大学场域的各种学术事件引发了社会各媒体和公众的注视,显露出大学学术研究的“短板”与“不端”,无形中损害了大学的声誉和地位。学术研究与学术管理有着密切的关联。学术管理是大学管理的主要功能,大学学术管理制度是管理学术事务的制度依据,属于大学管理制度范畴。学术投票制度是以民主投票为决策方式的学术管理制度。学术投票制度由各种规则组合而成,赋予大学之中的部分“学术人”对大学学术资源实施分配和调控的权力。学术投票制度的核心是保障学术公正和公平。受社会环境、学术氛围、制度本身、个人取向等多重因素的影响,一定程度上,学术投票制度成为部分人获取不当利益的工具,导致不公正结果的出现。学术投票制度的研究当以权力和规则为切入点,透视每一位投票人的利益取向和行动选择。本文以“学术人”为基本假设,从权力、利益、规则三个维度对学术投票制度进行梳理和剖析。在理论方面,本文在大学学术权力研究领域,尝试着提出两个独立的学术概念——学术投票权力和学术投票规则,有助于引发学术界对学术投票权力和学术投票规则问题的关注,开拓大学学术权力的研究思路,为后来者的学术研究奠定理论基础。从实践方面,对大学学术投票制度的研究,有助于厘清学术投票的边界,推进学术投票制度的公正与民主；有助于规范学术投票权力,促进大学学术权力的有效行使。本文为构建科学、民主的大学学术投票制度提供了可借鉴的实施方案,有助于整饬大学学术风气、净化大学学术环境；促进大学学术事业的健康发展。权力维度以学术投票权力为研究对象,从权力的来源、运行模式、执行中的失序现象及其成因四个层面逐一论述。学术投票权力需要制度的赋予,需要来自“学术人”的认同,更需要相关制度的监督与制约。制度的缺失与个别投票人的“堕落”等因素,致使学术投票权力在执行过程中产生了诸多失序现象。利益维度以影响学术投票人行动选择的利益因素和非利益因素为分析工具,分析了学术投票人的利益取向和行动选择之间的关系,揭示了部分投票人追求不正当利益的各种表现及危害,指出遵循制度规约和秉持学术良知是有效维护和促进学术利益的路径选择。规则维度借助“无立场”分析方法对学术投票规则的细则进行了多重立场的解读。并依据国家和各大学颁布的条例和章程,对大学学术投票规则归类分析。揭示了学术投票过程中存在的“潜规则”——投票交易形成的条件、表现形式及危害。实现学术投票制度公正需要程序公正和实质公正的相统一。制度层面,首先对投票权力加以限定：实施学术民主代议制,落实学术投票人的任期制。其次是制定新的投票规则：实行多数票规则下的双向票制、实名票制,改革弃权票制。最后是形成有效的监督和制约机制：建立学术问责制,必要情况下法律应介入学术事务。更多还原

【Abstract】 It was all kinds of academic events occurred in China’ universities and colleges that have initiated social media and public’s attention at present. The academic events revealed "short board" and "misconduct" of academic research and imperceptibly damaged the honor and status of the university. They are closely related between academic research and academic management. The academic management is the major function of university, the system of academic management is the basis of managing academic affairs. The voting system of academic is the academic management system with the democracy voting as the policy-making. The academic voting system empowers some of "the academic researcher" to assign the academic resources. The different kinds of rules combine the academic voting system. The main task of the academic voting system is to keep the academic justice and fairness. In some degree, the academic voting system became a tool to gain the improper benefit, which is influenced by multiple factors including the social environment, the academic atmosphere, the system itself, individual orientation and so on. The academic voting system caused the unfair result. The study about the academic voting system should take benefit as the purpose, and take power and benefit as the main points. This research will analyze the academic voting system from three dimensions such as power, benefit and rules, and based on "academic researcher".The paper proposed two independent academic concepts in the research of university academic power, the power of academic voting and the rule of academic voting. It is helpful to focus the power of academic voting and the rule of academic voting by theorists and to advance the research of the academic power. The paper also provided the referential implementation plan for the construction of the academic voting system of university. It is helpful to distinguish the boundary of academic vote, and to advance the justice and democracy of the academic voting system. It is helpful to put in order the university academic atmosphere, purify university academia. It is helpful to speed up the development of the modernization about the university academic management.The dimension of power takes the academic voting power as the object. This part studies from four aspects such as the origin of power, the operational mode, the phenomenon of disorder and the reasons in execution. The academic voting power needs the approval from the system and "academic researcher", and needs to be supervised and restricted from systems.The dimension of interest takes the factors of and non-interest as the analysis tools, analysis the relationship between the orientations of the academic voter’s behavior. This part reveals the performance and the harm by some voters who pursue the improper interest. It is maintain and promote academic interest effectively that follow the systems and hold the academic conscience.The dimension of rule analyzed the details of academic voting rules under Non-standpoint angle. According to rules and regulation promulgated by government and universities, this part categorized and analyzed the academic voting rules. It revealed "the hidden rule" during the academic voting process such as the forming condition, the appearance and harm of voting trade.It is necessary of coordinating the substantive and procedural justice on pursuit of the ideal fairness of the academic voting system. Firstly, we should limit the voting power with implementing the democratic representative system of academic and carrying out the system of terms of academic voter. Secondly, we should formulate the new voting rule with implementing the rule of two-way vote, real-name vote with the majority voting system and reform the system of abstention. Finally, in order to perform the effective supervision and restriction mechanism, we should establish the academic accountability and permit laws in academic affairs.更多还原