学术不端治理政策及案例计量研究

Governance policy and case study of academic misconduct

【目的】讨论学术不端行为的治理政策。【方法】从政策工具分析角度,对美国治理学术不端行为政策进行量化分析,研究治理政策、处理流程、可用的措施工具及考虑因素等;对实践中的典型案例进行文本抽取分析。【结果】治理政策主要包含学术不端行为界定及标准、机构责任、审查和调查程序、对举报人保护的4个方面。案例实践表明:绝大多数案例均受NIH基金资助;90%以上通过自愿和解协议解决;实际处罚期限与政策规定较一致;涉及的论文多被撤销,且通常由作者提出。监督和禁止研究主要涵盖雇佣聘用、合同或分包、咨询、基金资助4个方面的内容。【结论】对学术不端行为的多阶段处理程序、呈梯度的工具措施能够为我国提供参考。

[Purposes] This paper aims to study the solutions of governing academic misconducts. [Methods] We analyzed the practice of governing academic misconducts from the policy-practice perspective to study governance policies,processes,available tools,and considerations of academic misconducts. We performed text extraction analysis on typical cases. [Findings] The governance policies mainly include definition and standards of academic misconducts,institutional responsibilities,procedures of inquiries and investigations,and protection on whistleblowers. Case practice shows that almost all cases are funded by the NIH;more than 90% cases are resolved through a voluntary settlement agreement; penalty period is in line with ORI policy rules; most of the papers involved were retracted,usually by authors. Supervised research and prohibition mainly involve of hiring,contract or subcontracting,consulting,and funded support. [Conclusions] Multi-stage processing procedures for academic misconduct and measurements from ORI would be useful to deal with academic misconducts.