学术不端问题认定过程中的影响因素分析  

Influencing factors in identifying academic misconduct

作　　者：刘小鹏 贺飞 LIU Xiaopeng;HE Fei(Office of Academic Development,Peking University,Beijing 100871,China;Office of Changping New Campus Management Committee,Peking University,Beijing 100871,China)

机构地区：[1]北京大学学科建设办公室,北京100871 [2]北京大学昌平新校区管理委员会办公室,北京100871

出　　处：《科技导报》2022年第18期87-94,共8页Science & Technology Review

基　　金：首都高端智库决策咨询项目(2021PKUZKZD008)。

摘　　要：为加强科研诚信建设,我国相关部门出台了一系列法规文件,对学术不端行为的分类、调查程序和处理措施等提出了指导建议。认定过程是从调查向处理过渡的关键环节,但如何认定学术不端很难形成普遍适用的客观标准,主要取决于学术共同体在调查基础上的主观判断。通过系统梳理可以看出,认定过程中的影响因素包括受理条件的充分性、责任人的确定、认定依据的有效性、认定的主观角度等方面,采取这一认定模式有其合理性。建议调查认定工作应该在法律法规的框架内进行,确保程序正当性,保障当事人的合法权益,在充分调查的基础上通过学术评议方式获得可靠认定结论。In order to uphold the scientific research integrity,China's related departments have issued a series of laws and regulations,and put forward guiding suggestions on the classification,the investigation procedures and the handling measures for the academic misconduct.The identification of the academic misconduct is the key link in the process from the investigation to the treatment,but it is difficult to formulate a generally applicable objective standard in identifying the academic misconduct.The identification very much depends on the subjective judgment of the academic community on the basis of the investigation.Based on a careful review,the influencing factors in the identifying process are analyzed,including the adequacy of launching conditions,the determination of the responsible persons,the effectiveness of the identified evidence,and the perspective of the identification.It is important to keep the subjective nature of the identifying mode in mind.It is suggested that the investigation and the identification should be carried out within the framework of laws and regulations to ensure the legitimacy of the procedures,protect the legitimate rights and interests of the persons concerned.A reliable identification conclusion should be drawn by the academic evaluation of the full investigation.

关 键 词：学术不端 科研诚信 调查处理 认定过程 

分 类 号：G311[文化科学]