中国惩治问题研究行为的困境与出路--基于美国、欧盟、澳大利亚的新近认知与规制转变

The Dilemma and Solution to the Punishment of Questionable Research Practice in China:On the Basis of Newly Cognition and Regulation Transformation in USA,EU,and Australian

以2021年1月联合工作机制通报曹雪涛院士等“图片误用”处理情况为标志,惩治问题研究行为已经成为中国科研诚信制度建设的重大挑战,亟待学理和政策的共同突破。第一,中国须明确“零容忍”问题研究行为的立场。应借鉴近年欧盟不可接受研究行为、美国有害的研究行为的性质判断,反对问题研究行为误导为“诚实的错误”;第二,借鉴2018年《管理和调查潜在违反澳大利亚负责任研究行为指南》,建立科研行为四构成要素新框架--科研规范行为、轻微问题研究行为、严重问题研究行为和科研不端行为,建立判断严重问题研究行为的“负面影响重要性”和“重复犯有”标准;第三,落实2018年《关于进一步加强科研诚信建设的若干意见》惩治“严重违背科研诚信要求的行为”的战略性部署,惩治时区别对待轻微和严重违背科研诚信要求的行为,惩戒严重问题研究行为时遵循零容忍但谨慎一票否决原则。

In January 2021,Chinese Unite Operation Mechanism circulate a notice about punishment of Chinese Science Academic member Cao Xuetao’s“picture misuse”.It is indicated that Questionable Research Practice(QRP)is one of prominent problems in Chinese research integrity construction,urging for both theory and policy outbreak.Firstly,China should be zero tolerence to QRP,drawing on the experiences from the statement of EU’s unacceptable practices,American detrimental research practices.Secondly,By reference from‘‘Guide to Managing and Investigating Potential Breaches of the Australian Code for the Responsible Conduct of Research’’in 2018,China should construct new four components structure of research practice,including normal practice,slight QRP,severe QRP,and research misconduct.There are two standards to judge severe QRP,depending on both importance of passive impact and reduplication.Thirdly,China should carry out the decision of“Opinions on Further Strengthening the construction of research integrity”,urging for the specific regulation of punishment of severe QRP.There is a distinction between slight QRP and severe QRP,with zero tolerance to QRP,as well as cautious to one vote veto.