基于2013—2022年国家自然科学基金科研不端案例的科研诚信建设政策分析

Analysis of research integrity construction policy based on the cases of research misconduct by the National Natural Science Foundation of China from 2013 to 2022

目的通过对近十年国家自然科学基金科研不端案例进行整理,对以国家自然科学基金为代表的我国科研诚信现状进行分析,为进一步加强我国科研诚信建设提出意见建议。方法收集2013—2022年度国家自然科学基金委员会通报的科研不端行为案例,对案例发生时间、发现途径、学科分布、不端行为类别及基金委处理措施进行统计分析。结果2013—2022年间,基金委共通报273项不端行为案件处理决定,随时间推移呈整体上升趋势。已标明发现途径的158起科研不端案件中,标注基金论文被国外杂志撤稿最多,举报其次,最后是基金委审查。涉事人员主要来自高校(44.81%)及高校附属医院(45.45%),科研不端行为高发前3位分别是抄袭剽窃、操控审稿和造假。基金委处理方式主要有取消涉事人员2~7年内国家基金申请资格、通报批评、撤销项目以及追回经费等。结论近十年基金委对不端行为的查处呈上升趋势,发现途径从举报、国外杂志批量撤稿向基金委自查转移。生物医学是不端行为发生的重点领域,高校是不端行为发生的主要机构。常见科研不端原因是抄袭剽窃、操控审稿和造假,基金委主要对涉事人员处以限制申报、通报批评的处罚。建议通过加强科研诚信预警教育、改革科研评价体系、统一科研不端处理标准及建设科研诚信管理平台,加速对科研诚信体系的建设。

ObjectiveThis study compiled a comprehensive overview of the academic misconduct cases handled by the National Natural Science Foundation of China(NSFC)over the past decade,and took it as a representative to analyze the current situation of China′s academic research integrity to propose further enhancement suggestions.MethodsWe collected data on academic misconduct cases notified by the NSFC between 2013 and 2022,and conducted a statistical analysis to gain insights into the time of occurrence,the way of discovery,the distribution of disciplines,the types of misconduct,and the handling measures of the NSFC.ResultsBetween 2013 to 2022,the Funding Committee notified 273 decisions regarding misconduct cases,indicating a general upward trend over time.Among the 158 cases with a labeled discovery pathway,the most common way was funding paper retraction by scientific journals,followed by reporting,and then review by the Funding Committee.The majority of individuals involved were from universities(44.81%)and hospitals affiliated with universities(45.45%).The top three most frequent types of misconduct were plagiarism,manipulation of reviews,and falsification.The Fund Committee's handling measures primarily involved in restrictions on applying for national funds within 2~7 years,notifications and criticisms,project withdrawals,and fund recoveries.ConclusionsOver the past ten years,the number of investigations of academic misconduct by the Fund Committee has been increasing,and the way of discovery has shifted from reporting and retraction by research journals to self-investigation by the Fund Committee.Biomedicine is a key field where misconduct occurs,and universities are the primary institutions where such cases are detected.Common causes of academic misconduct include plagiarism,manipulated peer review,and falsification.The foundation typically imposes punishments that restrict funding applications and issues public criticisms.To strengthen the academic integrity system,it is essential to establish and implement an early warning mechanism for academic integrity,reform the scientific research evaluation system,and establish an academic integrity management platform.