科研诚信的度量困境与非理性风险——面向科研诚信外部规范技术进路的学理反思

The Dilemmas and the Irrational Risks of Measuring Scientific Research Integrity:A Theoretical Reflection on the Technical Approaches to the External Norms of Scientific Research Integrity

为深入探讨科研诚信外部规范的核心价值目标与技术进路,基于多学科理论视域,对科研诚信度量评价制度化实践的困难根源与非理性风险进行具体考察和学理反思,从而明晰科研诚信的伦理本质及科研诚信评价的社会关系型实践特质,规范科研场域的应然价值尺度和科研著述的原初功能属性,厘清依托公共权威和科研著述度量评价科研诚信的制度化逻辑和制度锁定风险,优化技术进路和制度供给的未来方向。研究结论对于避免盲目的制度迁移与技术借鉴、构建有利于本国科学技术体系自立自强的制度优势、推进科研诚信从危机应对转向长效治理、规范文献计量情报技术的发展与运用等具有基础性理论意义。

The social demand and institutional supply of scientific research integrity are undergoing an evolution and ethical turn from"internal norms"to"external norms".A series of laws,regulations and evaluation standards formulated or recognized by the government and implemented relying on public authority have been introduced into the scientific research behavior norm system to curb scientific fraud and improve knowledge productivity.For instance,peer-reviewed academic works are generally recognized as the academic currency,serving as a credit medium for the equivalent exchange between the scientific research community and the external society;as artificial intelligence and various algorithms are employed to directly detect and measure"paper plagiarism","data fraud","idea plagiarism"and even"paper reproducibility"technology,standards and government norms have come into being.Correspondingly,the technical supply and institutional rationality of scientific research integrity measurement and evaluation have aroused wide concern.Therefore the root causes of difficulties and irrational risks of the institutionalized practice of scientific research integrity metric evaluation,the typical technical approach of external norms are specifically examined and rationally reflected from the multi-disciplinary theoretical perspective.Objectively,the institutional paradigm of internal norms of scientific research integrity relies on the"science-social contract"and"scientific institutional norms"to ensure the integrity and efficiency,and its collapse means that the active construction of a new institutional paradigm around external norms of scientific research integrity by the government is inevitable and beyond the practical scope of empirical judgment.The investigation of academic reflection shows that the measurement and evaluation of scientific research integrity face multiple difficulties,such as how to achieve preset goals,unify evaluation standards,stipulate rigid scales and control human bias;the practice of measurement and evaluation of scientific research integrity involves not only the formation of systems,but also the selection and application of technical methods,and it has the inertia of path dependence and system locking;the benefits of scientific research integrity management relying on public power are not absolute,and they are very likely to produce negative benefits.Besides,the following can be clarified with particular values:(1)the ethical nature of scientific research integrity and the practical characteristics of social relationship evaluation;(2)the natural norm value scale of the field of scientific research and the original functional attributes of scientific research works;(3)the institutionalized logic of measuring and evaluating scientific research integrity and institutional locking risks of relying on public authority.These reflections suggest that a serious crisis of scientific research integrity and the deterioration of scientific research ecology are actually accompanied by path dependence,system locking,interest barriers and sunk costs;relying solely on the definition of"misconduct"by public power to measure and evaluate scientific research integrity,especially excessive reliance on the control of literature publication,not only breaks the self-organization management logic of creditworthiness and blurs the value system hierarchy that scientific research integrity should have,but also makes judicial authority excessively intrude into the field of moral self-discipline,and increases the social transaction cost of the scientific"recognition-reward"system.Accordingly,in order to optimize technical approaches and their relevant institutional supply,it is essential to focus on the core value goals as protecting the natural rhythm of scientific activities and the self-discipline mechanism of the scientific field,empowering scientific researchers to compete fairly and achieve self-realization,ensuring the local benefits as well as preventing"negative externalities"and"uncertain"ethical risks in science,to(1)break the path dependence and institutional lockdown,(2)clean up the redundant principal-agent relationship,(3)curb the alienation migration of scientific authority,(4)upgrade the scientific"recognition-reward"system,(5)clarify the academic support for decision-making and effectively improve the cognitive level of key target groups.In general,the present research and its specific recommendations are of basic theoretical significance for avoiding blind institutional migration,building institutional advantages conducive to the self-reliance and self-improvement of the domestic science and technology system,and promoting the transformation of scientific research integrity from crisis response to long-term governance.