科研诚信“自律”与“他律”协同建设的内在逻辑及现实路径研究

The Internal Mechanism and Realistic Path of Coordination between"Autonomy"and"Heteronomy"of Scientific Research Integrity′s Construction

我国在40余年的科研诚信建设过程中,“自律”与“他律”建设均存在不足,两者没有形成有效协同。为加强科研诚信建设,更好地发挥科研诚信系统的整体协同效应,需要运用协同学理论,对我国科研诚信建设系统进行分析,探求系统内部协同机理,促使科研诚信“他律”和“自律”在合作过程中产生协同效应,并通过优化科研诚信建设子系统各要素,加强系统与环境之间的合作,发挥科研诚信建设系统的最优协同效应,进而构建我国科研诚信建设全方位协同治理体系。

The construction of scientific research integrity is an important cornerstone of scientific innovation.After the misconduct of scientific research first occurred in China in the 1980s,the state standardized the behavior of scientific and technological practitioners from the aspects of laws,regulations and policies.By the early 21st century,the construction of scientific research integrity has begun to take shape.However,the construction of scientific research integrity in China for more than 40 years has not completely curbed academic misconducts in the process of scientific and technological development,and there is even a worsening trend.At present both"autonomy"and"heteronomy"are insufficient,and there is no effective synergy between them.In this paper,this study combines the synergetics theory with the real situation in China and conducts an empirical analysis based on a questionnaire survey so as to explore the internal logic and the practical path of synergistic construction of scientific research integrity in China.According to the synergetics theory,the construction of scientific research integrity can be regarded as a system which consists of two sub-systems,namely,"autonomy"and"heteronomy".The subsystems of"autonomy"include scientific community,ethical norms and cultivation mechanisms,the main body of which is the scientific community;while the"heteronomy"is made up of three key components,namely,the management institutions to achieve"heteronomy",the laws,regulations,policies and systems to maintain scientific integrity,and the mechanism to deal with academic misconduct.The main body to construct"heteronomy"is the management body,i.e.government departments or universities and research institutions.At present,there are several problems about the construction of"heteronomy"in China.Firstly,the formulation and issuance of scientific research integrity systems and policies are from the higher levels to the grassroots,with the focus on administrative arrangements;secondly,the governing body of scientific research integrity management lacks independence;lastly,there are inherent defects in the design of the investigation and punishment mechanisms.In terms of the subsystems of"autonomy"construction,there are the problems of lack of quantitative indicators for academic ethical standards,a vague definition of academic disorganization and misconduct;the scientific community was unable to assume the main responsibility in"autonomy"construction,and it shows a lack of mechanism for cultivating scientific research integrity.The above-mentioned existing problems require prompt actions to build an effective synergy between"autonomy"and"heteronomy"in the construction of scientific research integrity in China.In the subsystems of"autonomy"and"heteronomy",the formation of the two(main parts),i.e.the governing body and scientific community are the prerequisite for the synergistic evolution of scientific research integrity construction.In addition,if there is better interaction between the main parts and the main part and the environment,better results will be achieved in the synergistic relationship of the system,which will promote the stable development of the scientific research integrity construction.The stable development of the scientific research integrity requires an all-round synergistic development and governance system of the"autonomy"and"heteronomy"for scientific research integrity.The specific countermeasures include establishing an independent and authoritative governing body responsible for scientific research integrity and an open and fair joint working mechanism for the scientific research integrity meetings,promoting the integration of legislation in"heteronomy"and"autonomy"within the scientific community and strengthening the collaboration among the governing body,government departments and scientific community to establish a complete and systematic moral education system of scientific research integrity.It is also suggested to take full advantage of Internet information technology to build a comprehensive information system concerning the scientific research integrity of the governing body,research institutes and individuals,and improve the monitoring mechanism by social forces.