• 中国科学学与科技政策研究会
  • 中国科学院科技政策与管理科学研究所
  • 清华大学科学技术与社会研究中心
ISSN 1003-2053 CN 11-1805/G3

科学学研究 ›› 2024, Vol. 42 ›› Issue (5): 1011-1020.

• 科技管理与知识管理 • 上一篇    下一篇

基于最小颗粒解构的科研诚信政策演化研究

高峰1,夏孝瑾2,2,贾蓓妮2,3,杨金莉2,2   

  1. 1. 天津市科学技术发展战略研究院
    2.
    3. 天津市科学学研究所
  • 收稿日期:2022-12-29 修回日期:2023-02-13 出版日期:2024-05-15 发布日期:2024-05-15
  • 通讯作者: 高峰
  • 基金资助:
    天津市科技计划智库项目;天津市科技计划智库项目

Research on Scientific Research Integrity and Policy Evolution Based on the Deconstruction of Minimal Particle

  • Received:2022-12-29 Revised:2023-02-13 Online:2024-05-15 Published:2024-05-15

摘要: 开展科研诚信政策体系演化研究,有助于认知政策核心要义与内在逻辑,对提升科研诚信治理水平具有积极意义。研究针对科研诚信政策演化研究的内容空白和方法缺憾,提出政策最小颗粒解构方法及三种基本结构,并运用构建主义对政策解构进行理论阐释,设计出基于政策最小颗粒解构的政策体系演化分析框架,以国家层面55份科研诚信政策作为研究对象,对科研诚信政策发展历程、政策重点、政策前沿、政策空白域、政策架构演化和演进趋势进行了一体分析。研究显示,科研诚信政策体系按照“萌芽阶段-基础布局阶段-联动推进阶段-系统拓展阶段”依次演进,形成包含“责任分工、信息记录、惩戒措施、制度规定、伦理治理”5大主题、195个政策最小颗粒在内的政策体系架构。进一步规范调查处理、科研诚信关口前移、强化信用信息使用、进一步破除“唯论文”、进一步明确惩戒措施、深化伦理治理、压实主体责任、加快市场化信用机构建设、开展信用专业人才培养、确保信用信息安全管理、健全信用修复机制等11个方面将是未来政策演进方向。

Abstract: Scientific research integrity is the cornerstone of scientific and technological innovation. Research on the evolution of scientific research integrity and policy system is helpful to understand the core meaning and internal logic of the policy, and has positive significance for improving the level of scientific research integrity and ethical governance.The evolution analysisof policy system includes the analysis of the past development process, existing structure and future evolution trend of the policy system. Existing research focuses on the development process of scientific research integrity and the distribution of policy themes, but there is little research on the policy system architecture and the future trend of policies. In terms of research methods, the existing methods need to be improved in terms of fine-grainedness, semantics, and directness of analysis.Aiming at the gaps in current policy content analysis and shortcomings in methods, this paper introduces the concept of policy minimum particle deconstruction,proposes the minimum particle deconstruction method and three basic structures, and theoretically explains the policy deconstruction with constructivism,and designs the analysis framework of policy system evolution based on the policy minimum particle deconstruction.Taking 55 national research integrity policies since the 1980s as the research object, this paper analyzes the development history, policy priorities, policy frontiers, policy blank areas, policy framework evolution and evolution trend of China's research integrity policies.The research shows that the scientific research integrity policy system evolves in sequence according to the "embryonic stage - basic layout stage - linkage promotion stage - system expansion stage", forming a policy system including five major themes of "division of responsibilities, information records, disciplinary measures, institutional provisions, and ethical governance", and 195 minimum policy particles. The evolution of the scientific research integrity policy system follows the three basic logics of "the policy system is evolving and improving", "the probability of a new policy measure appearing will reappear", and "the repeated phenomenon of the number of policy particles conforms to the Matthew effect of" the stronger ". Further standardizing investigation and handling, moving forward the creditworthiness threshold, strengthening the use of credit information, further eliminating "paper-only", clarifying disciplinary measures, deepening ethical governance, consolidating entity responsibility, accelerating the establishment of market-oriented credit institutions, cultivating credit professionals, managing credit information security, establishing and completing supporting mechanisms for credit repair and other 11 aspects will be the trend direction for future policy evolution.The inspiration from the study is to continue to focus on the policy, and actively focus on the policy frontier and policy gaps. In particular, on the one hand, we should accelerate the promotion of ethical governance in new tracks and new fields such as artificial intelligence and biomedicine, accelerate the formulation of relevant ethical norms, carry out responsible innovation, and grasp the initiative of industrial discourse; On the other hand, we should pay attention to the "last mile" of the implementation of the scientific research integrity policy, and reflect the policy value in the solid implementation of the policy.In the future, the framework model and specific methods can be further optimized, moreover,further empirical research can be carried out in the field of large samples and in-depth research can be carried out in exploring computer intervention.