科研不端行为特征与治理对策——国家自然科学基金披露科研不端行为的实证分析

世界著名学术出版商斯普林格（Springer）将刊载于旗下《肿瘤生物学》期刊（Tumor Biology）涉嫌伪造同行评议的中国学者的107篇论文撤稿，引发了社会各界对中国科研不端行为的关注与反思。以2013-2016年国家自然科学基金委员会披露的两批《科研不端行为典型案例及处理决定》中77件科研不端行为的88名涉事人员为样本，发现科研不端行为源于激励诱惑与制度要求、科学家角色冲突与角色序列冲突以及奖励制度与评价制度不对称的共谋。基于此，提出应建立健全科研数据公开机制，加快学术诚信体系建设，深化绩效考核制度改革，平衡奖励制度与处罚制度等政策建议，以维护学术诚信、改善科研生态、预防学术不端。

The Feature and Policy toward Research Misconduct

In 2017，a retraction note to 107 articles on Tumor Biology is published by the world famous publisher Springer, which raised concerns about the problem of academic misconducts in China.In this article, we use the data from NSFC which contains 88 researchers who are involved in research misconduct during 2013 to 2016.The results show that the academic misconduct mainly originate from three aspects:1) the lure of reward and the institutional requirements 2) scientists’ role conflicts and the order conflicts 3) the asymmetry of reward and punishment.Based on the analysis, we propose several policy suggestions: establishing and strengthening the open data policy；accelerating constructing the credit system； accelerating the reform of performance appraisal；rebalancing the relationship between the reward and punishment to maintain the academic trust, improve the ecology of academia and prevent the academic misconducts.