科学数据跨境流动治理的现状、思考与展望

Current status and prospects for scientific data’s cross-border governance

伴随着数据密集型科学研究范式的兴起,科学数据已成为传播速度最快、影响面最宽、开发利用潜力最大的战略性、基础性科技资源,各国对科学数据的管理、共享和综合利用的需求与日俱增.在百年变局加速演进、大国科技博弈愈加激烈、开放科学持续推进以及我国加快构建具有全球竞争力的开放创新生态背景下,科学数据跨境流动逐步成为影响科学研究和学术交流的重要因素之一.

With the rise of the fourth scientific research paradigm featuring Big Data and the need of international Science andTechnology (S&T) cooperation, scientific data has become as a significant component of fundamental S&T resources.Scientific data’s cross-border flow rules have also gradually become a key issue for S&T governance. As China acceleratesthe construction of an open innovation ecology and participates actively in open science, the demand for sharing,management, and comprehensive utilization of scientific data is also increasing. Therefore, mastering the rules of scientificdata’s cross-border flow is necessary and has a critical meaning in this context.This study first clarifies the scientific data’s definition and its cross-border flow’s main features, then analyzes theinstitutional construction of multilateral /international organizations, European Union and United States’ scientific datacross-border flow from two dimensions—passive cross-border flow formed by open and sharing, and active cross-borderflow formed by cross-border transmission. The multilateral governance system presents a multilevel and fragmentedfeature, while the governance system of the E.U. reveals a feature of “loose inside, strict outside”. Concurrently, thegovernance system of the U.S. restricts the free outflow but allows the free inflow of scientific data.Secondly, the research sorts out the history of China’s scientific opening and sharing data based on China’s Five-YearPlans. Then, it focuses on the institutional construction of scientific data’s cross-border transmission after the enaction ofChina’s “Three Key Laws on Data”, specifically Cyber Security Law, Data Security Law, and Personal InformationProtection Law. The research finds three primary ways with five routes available for scientific data to move cross-borderunder “Three Key Laws on Data”. They are: (1) scientific data’s free flow;(2) flow with conditions in which data exitsecurity assessment, personal information standard contract, and personal information authentication protection are itsthree routes;(3) restricted cross-border flow.After the above analysis, based on the problems and challenges faced, the research proposes four recommendations forChina’s cross-border governance of scientific data: (1) Strengthening the top-level design and innovative governingmeasures of scientific data’s cross-border flow. Specifically, balancing the relationship between development and security,and fully understanding the necessity of open sharing of scientific data in the context of international scientific researchenvironment and open innovation ecology construction. In addition, trying out innovative governance methods, such assetting up a negative list of the scientific data’s cross-border flow, establishing a “green channel”, and other appropriatesteps. (2) Improving the whole governance system from both top-down and bottom-up. Specifically, accelerating theformulation of standards and policies on scientific data’s classification, important data categories, and critical informationinfrastructure;guiding national research funding agencies to improve their data management system with data managementplan (DMP);and conducting comprehensive compliance review of scientific data that has been open and shared after thefull implementation of new regulations. (3) Enhancing the extent of scientific data center’s internationalization,standardization, and capacity building by optimizing the construction layout of centers, and improving existing datacenters’ ability to absorb, transfer, manage, and analyze scientific data. (4) Accelerating the pace of deep participation inthe global governance of scientific data’s cross-border flow from aspects of actively participating in the internationalgovernance activities;relying on the institutional open regions and existing S&T cooperation base to make the trial andconvergence of different rules;and actively conducting related research from a global perspective.