【作者】 朱缨；

【导师】 冒荣；

【作者基本信息】 南京大学 ， 高等教育学， 2013， 博士

【摘要】 在知识经济、高等教育大众化的时代背景下,我国受本科生、研究生扩招政策的影响,高等学校人才培养质量下降,学术不端行为时有发生。学术规范教育有助于养成学生正当的学术行为,因此,加强学术规范教育以提高人才培养质量成为当务之急。已有的研究多从学术道德、影响学生学术规范行为的因素分析等角度展开,研究聚焦于各种形式的学术欺骗行为,以对具体原因的剖析居多。本研究从学校教育视角检视影响学生遵守学术规范的客观原因,认为学术规范教育的目的是教会学生做学问,将学术规范教育视为一个整体性制度进行考察,是对学术规范教育的系统研究,弥补了国内的研究欠缺。研究以调查数据为基础展开分析,研究结论的产生来自实践,可以为提高高校人才培养质量、防控学生学术不端行为提供有益的思路,对实践具有指导意义。本研究将学术规范教育及其制度安排作为主要研究内容,从历史与现实、理论与实践两个层面展开：在历史层面,通过简要回顾我国学术规范教育的传统,试着归纳出中外学术规范教育的差异；在现实层面,通过问卷访谈及文献法,了解关于学术规范教育的观念、组织与措施,探查国内学术规范教育的现状与问题,审视教育管理制度在其中发挥的作用。在理论层面,探讨学术规范教育的内涵、意义、理念与目标；在实践层面,通过对学术规范教育主要内容、责任、途径与方法、制度保障等问题的探讨,运用制度主义与教育学、社会学等相关理论,尝试构建学术规范教育的制度体系。本研究采用文献分析与实证研究相结合,比较分析与规范分析相结合的研究方法。通过对江苏省内分属于“985工程”、“211工程”、省属普通高校三所不同类型高校师生的问卷、访谈,以学术规范教育的客观情况及主观态度为主要内容,了解师生关于学术规范教育的代表性观念及高校制度建设情况,并结合这些发放问卷高校网页上的学术规范教育相关规定,进行教育效果分析,掌握学术规范教育现状；通过搜集美国、港台地区及国内几所著名的研究型大学在学校网页公布的学术规范教育相关资料,探查国内外高校学术规范教育存在的差距。通过对调查数据及文本资料的分析,本研究认为：当前国内高校普遍已经建立学术规范制度并开展学术规范教育,对指导学生诚实的学习和开展研究活动有一定的指导作用。学术规范教育的实际效果与高校的重视程度以及相关制度安排有着较为密切的关系。当前国内学术规范教育的主要问题表现在对学术规范教育的基本问题尚未形成统一认识、学术规范教育尚未形成系统的制度安排、缺乏“人本”意识等方面,其原因从根本上说,是在理念上缺乏对学术规范教育的目的及其重要性的深刻认识,制度上缺乏以“治本”为目的的系统安排。在此基础上,本研究采用社会学制度主义对于制度的界定,从组织与操作两个层面搭建学术规范教育制度体系。具体研究分为五个部分：第一部分：即第一章“绪论”,介绍了论文选题的缘由与研究意义,对国内外相关研究现状进行综述,并介绍了研究的总体设计,阐明了论文的研究问题与研究方法。第二部分：学术规范教育及发展趋向,由第二章“学术规范教育概述”和第三章“学术规范教育由‘隐性’到‘显性’”组成。从学术规范教育的对象、目的、主要特征等方面探讨学术规范教育的内涵并界定概念,分析学术规范教育在学术教育与思想教育中的作用,采用文献法对我国学术规范教育传统进行分析并比较中外传统的差异,说明知识经济时代和高等教育大众化背景下学术规范教育由“隐性”走向“显性”的必然性,在探讨哈耶克“自生自发秩序”概念的基础上,阐述学术规范教育制度安排何以可能、如何进行等基本理论问题。第三部分：学术规范教育的现状与问题,由第四章“学术规范教育的现状”和第五章“学术规范教育存在的问题及原因”组成。通过调查实施学术规范教育的真实状况,从学生认知、遵守学术规范情况、学术规范教育的制度与措施等方面对学术规范教育效果进行分析；通过对部分高校网站中学术规范教育相关资料的分析,探查国内高校与海外高校在学术规范教育方面的差距。在此基础上,概括出当前国内学术规范教育在思想观念、制度设计、实践操作等方面存在的问题,从教育管理视角反思问题产生的原因,指出形成在明确理念指导下的学术规范教育体系具有重要意义。第四部分,即第六章“学术规范教育的理念与制度”。根据对学术规范教育现状、存在的主要问题及原因分析,主要从学术规范教育的目的、学术启蒙教育、教育原理等角度阐述学术规范教育理念；分别从依据、价值取向、人性特点、环境因素,以及角色责任、操作性、有效性等角度探讨了学术规范教育制度设计的基本前提与具体要求,并从组织与操作两个层面搭建学术规范教育制度的具体框架。第五部分,学术规范教育制度的具体框架,由第七章“学术规范教育的内容与形式”和第八章“学术规范教育的组织保障和文化环境”组成,分别探讨作为学术规范教育制度基本构成的操作性制度和组织制度。主要从思想品质、知识技能与实践操作三个方面阐述学术规范教育的主要内容；提炼出学术规范教育的组织形式和具体形式；阐述了学术管理机构与教师的责任,从健全学术规范相关制度、建立学术不端行为防控体系、建立教师培训与考核制度、塑造诚信制度与文化环境等方面对相关配套措施进行了探讨,通过对制度与内化、文化之间关系的讨论,探讨学术规范教育由“显性”回归“隐性”的基本条件。更多还原

【Abstract】 With the background of both knowledge economy and higher education popularization, and influenced by the policy of enrolling expansion of university students, the undergraduates and postgraduates are less qualified than before, and the academic misconducts are happening with increasing frequency. Academic norms education is beneficial to develop students’proper academic behavior; strengthening academic norms education to improve quality of personnel training, therefore, is becoming an urgent task now. Most preceding studies elaborate on academic ethics and those elements influencing students’academic norms, with a focus on various academic deceits and their specific reasons. This study, however, from the perspective of education, examines the objective causes that affect the abidance by the academic norms, considers that the purpose of the academic norms education is to teach students to be honest scholarship, and researches academic norms education as a holistic system. It’s a systematic study of the academic norms education, making up for the deficiency of domestic research in this area. Study based on the survey data; research findings generated from practice, which can provide useful ideas for improving university personnel training quality, prevention and controlling student academic misconduct, and can be a useful guidance for practice.This study focuses on academic norms education and its institutional arrangement, and develops at two levels, i.e., history and reality, theory and practice. At the historical level, through a brief review of the traditional education of academic norms, this study tries to sum up the differences between Chinese and foreign education of academic norms. At the practical level, through a questionnaire interviews and documentary analysis, it tries to learn about the concept, organization and measures of the academic norms education, to explore its current situation and problems, and to examine its role in the educational management system. At the theoretical level, it explores the connotation, significance, idea, and objective of academic norms education. At the practical level, through the discussion of the main content, responsibility, approaches and methods, institutional guarantee and other issues of academic norms education, it tries to build a system for academic norms education, by using institutionalism and the science of education, sociology and other related theories.Adopting a research method of combining documentary analysis and empirical research, with the comparative analysis and normative analysis in combination. By questionnaires and interviewing teachers and students of three different types of universities---"985Project","211Project" universities in Kiangs Province and provincial universities, this study investigates the objective conditions and subjective attitudes of academic norms education, with the aims of understanding teachers and students’ representative concepts of academic norms education and system construction in colleges and universities. With the combination of relevant provisions of academic norms education on these university websites, this study analyzes the education effect and understanding the current situation on academic norms education. Through the collection of academic norms education information announced on the its websites of several famous research universities of USA, Hong Kong and Taiwan, this study explores the differences of education of academic norms home and abroad.By analyzing the survey data and text information, this study suggests that, domestic colleges and universities has established academic norms system and carry out the corresponding education generally, and helpful for guiding students to study and research honestly. It has a close relationship between the actual effect of academic norms education, university’s attention and related institutional arrangements. The current main problem of domestic academic norms education, which affects the actual effect of education, reflected in several aspects:the basic issues of academic norms education not yet formed a unified understanding, academic norms education not yet formed systematic institutional arrangement, and lack of’human consciousness’in academic norms education. Fundamentally speaking, one reason is we know a little about the purpose and its importance of academic norms education, the other is the deficiency of a systematic arrangement for the purpose of the fundamental solution.Based on the above study adopted sociological institutionalism definition of the system, from both the organization and the operational level to build the academic norms system of education.This study is divided into five parts:Part one, i.e., the first chapter "Introduction", describes the reason for this topic choosing and the significance of this research, summarizes the domestic and foreign research status, introduces the overall design of the study, and clarifies the research questions and methods.Part two, academic norms education and its development trend, is composed by the second chapter "Overview of Academic Norms Education" and the third chapter "Academic Norms Education is from’implicitly’to’explicitly’". From various aspects of academic norms education, such as its targets, objectives and main features, this part explores its connotation and concept, analyzes the role of academic and ideological education. By using the method of documentary analysis, it analyzes China’s educational tradition of academic norms and compares its difference with foreign traditional education, indicating the necessity from "implicitly" to "explicitly" in the background of knowledge economy and higher education popularization. On the basis of discussing Hayek’s "spontaneous order", it states some basic theoretical issues, such as the possibility and measures of institutional arrangement of academic norms education.Part three, the current situation and problems of academic norms education, is composed of chapter4"Current Situation of Academic Norms Education" and Chapter5"Problems of Academic Norms Education and Reasons". This part investigates the real situation of the implementation of academic norms, and analyzes its effects from the perspectives of students’ cognition, compliance of academic norms, institution and measures of academic norms education. Through the collection of academic norms education information on its websites of several famous research universities, this part explores the differences of academic norms education home and abroad. In this foundation, it summarizes current problems of academic norms education in the aspects of ideology, institutional design, and practices, reflecting causes of the problem from the perspectives of the education management, it points out the importance of building a clear concept for academic norms education system.The fourth part is composed of chapter6,"the Conception and System of Academic Norms Education". According to the current situations, main problems and cause analysis of academic norms education, this part elaborates the educational philosophy mainly from the perspectives of its objective, academic enlightenment education, and educational theory. This part also discusses the basic premise and specific requirements of the educational system design from the perspectives of basis, values orientation, human characteristics, environmental factors, responsibility of roles, operational possibilities and effectiveness. A specific framework of educational system is also built from the levels of organization and operation.The fifth part, specific framework of system of academic norms education, includes chapter7,"Content and Form of Academic Norms Education" and Chapter8,"Organizational Guarantee and Cultural Environment of Academic Norms Education". This part explores its basic issues, i.e., operational and organizational systems. It elaborates the main contents of the academic norms education, i.e., ideological quality, knowledge and skills, and practical operation. The organizational and specific forms of the academic norms education are also extracted and explained in this part. It also elaborates the responsibility of academic management institutions and teachers, from the perspectives of a sound system of academic norms, the establishment of academic misconduct prevention and control system, the establishment of training and appraisal system for teachers, the build-up of credibility system and cultural environment. Besides, this part also explores the basic conditions of academic norms education from’implicitly’to’explicitly’through discussions of the relationship among institution, internalization and culture.更多还原