监察体制改革背景下高校学术惩戒制度研究

Research on the Academic Disciplinary System in Colleges and Universities under the Background of Supervision System Reform

我国传统上对高校公职人员采取单轨惩戒制。学术委员会独占性行使学术不端审议认定权,相关政纪处分需遵循“审议前置、依据必要、程度均衡”原则。当前,部分学术科研人员被纳入“政务处分—处分”双轨惩戒体制,这在监督主体、追责机制和处分规则等方面整合了高校多元监督格局,也使其内生出学术自由与监察效能和行政主管与统一监察等之间的张力。在该体制下,高校学术惩戒制度定位于高校学术自律,能够相当程度发挥践行学术遵从和专业责任追究等制度功能,由此尊重高校学术传统和科研规律、弥补一般公职责任追究机制相对缺陷。未来应促进其功能实现并对接国家监察体制改革:在制度维系上,尊重高校对学术科研人员的惩戒权,明确监察机关无权作出学术处分、维持学术委员会的学术不端审议认定独占权、厘清政务处分之审议前置的前提和范围;在制度调适上,明确学术惩戒工作中监察机关的应然角色,如调查取证中高校监察派驻机构的适度参与、双轨惩戒中监察建议的衔接功能;在制度贯通上,促进行政监管与监察监督的联动协作,明确双方职能界限,加强对行业性问题的监察并推进专项治理。

China has traditionally adopted a single-track disciplinary system for public officials in colleges and universities.The academic committee exclusively exercises the right to review and identify academic misconduct.Relevant disciplinary actions shall be made in accordance with the principle of“prior review,necessary basis and balanced degree”.At present,some academic and scientiflc researchers have been included in the dual-track disciplinary system of“administrative sanctions-sanctions”,which integrates the diversifled supervision pattern of colleges and universities in the aspects of supervision subject,accountability mechanism and punishment rules,and also creates tension between academic freedom and supervision efficiency,and between administrative director and unifled supervision.Under this system,the academic disciplinary system is positioned at the academic selfdiscipline of colleges and universities,which plays a considerable role in practicing academic compliance and investigating professional responsibilities,so as to respect the academic tradition and scientific research laws,and make up for the relative defects of the general public accountability mechanism.In the future,we should promote the realization of the function of this system and its connection with the reform of the national supervision system.In terms of system maintenance,the disciplinary right of colleges and universities to academic and scientiflc researchers should be respected,which requires clarifying that the supervisory organ has no right to make academic sanctions,maintaining the exclusive right of the academic committee to review and identify academic misconduct,and determining the premise and scope of the review of administrative sanctions.In terms of system adjustment,the proper role of supervisory organs in academic disciplinary work should be clarifled,such as the moderate participation of supervisory accredited institution in evidence investigation,and the linking function of supervisory suggestions.In terms of system integration,the linkage between the supervision of the administrative organs and the supervisory organs should be promoted,such as clarifying the functional boundaries of both parties,strengthening the supervision of industrial issues,and promoting special governance.