学术论文中科研伦理失范现状、特征及治理策略思考——基于撤稿观察数据库  

Reflections on the Current Situation, Characteristics and Governance Strategies of Ethical Misconduct in Scientific Research: Based on the Retraction Watch Database

作　　者：陈咏梅 丛敏 王景周 孙升云 Chen Yongmei;Cong Min;Wang Jingzhou;Sun Shengyun(Editorial Department of Journal of Jinan University,Guangzhou 510632,China)

机构地区：[1]暨南大学学报编辑部,广东广州510632

出　　处：《科技管理研究》2022年第24期198-207,共10页Science and Technology Management Research

基　　金：广东省高水平科技期刊建设项目“《暨南大学学报(自然科学与医学版)》高质量期刊建设”(2021B1212020012);中国科学院自然科学期刊编辑研究会基金项目“科技期刊出版中的伦理问题及规范建设研究”(YJH202204);中央高校基本科研业务费专项资金项目“国家科技伦理治理背景下高校科技伦理审查机制研究”(21622808)。

摘　　要：中国科技伦理治理体系建设起步较晚,有必要在科技伦理治理方面进行体系化设计和前瞻性布局。调查截至2022年5月21日撤稿观察数据库中因缺伦理审批或无患者知情同意的科研伦理失范(EMSR)论文,分析其发表及撤回时间、署名作者来源国家及机构、来源期刊及出版商、学科分布及撤回原因等方面情况。结果显示:近年来全球因EMSR撤回论文数量呈上升趋势,且中国作者参与的EMSR论文数量增加明显,95.35%的EMSR论文集中在健康科学和基础生命科学领域;国际知名出版商因高发文量或对伦理问题审查严格致使其论文撤回量较大;EMSR论文撤回原因呈现多样性和复杂性,伦理失范常与其他不端行为并存。由此提出强化科研活动全流程科技伦理监管的策略,科技期刊应通过对科研者开展伦理宣传教育、对投稿论文协同伦理审查把关以及撤稿惩戒等手段,在学术出版环节防范科技伦理失范等学术不端行为,发挥协同共治的作用。The construction of ethical governance system of science and technology in China started late, so it is necessary to carry out systematic design and forward-looking layout in the aspect of ethical governance of science and technology. By May 21, 2022, the ethical misconduct in scientific research(EMSR) papers due to lack of IRB/IACUC approval or informed/patient consent-none/withdrawn in the Retraction Watch Database are investigated and analyzed in terms of publication and withdrawal time, countries and institutions of authors, journals and publishers,disciplinary distribution and reasons for withdrawal. The results show that the number of EMSR retractions is on the rise globally in recent years, and the number of EMSR papers involving Chinese authors increased significantly,with 95.35% of EMSR papers concentrated in the fields of health sciences and basic life sciences;the number of papers withdrawn by internationally famous publishers is large due to the high number of papers published or the strict examination of ethical issues;the reasons for EMSR papers retractions are diverse and complex, and EMSR often coexist with other misconducts. Therefore, the strategy of strengthening the scientific and technological ethics supervision in the whole process of scientific research activities is put forward, as that the scientific and technological journals should prevent the scientific and technological ethics anomie and other academic misconduct behaviors in the academic publishing process through the means of ethical publicity and education for the researchers, collaborative ethical review of the submitted papers and punish the misconduct through retractions and other means, and play the role of collaborative governance.

关 键 词：撤稿 论文撤回 科研伦理 伦理失范 科研诚信 文献计量 

分 类 号：G311[文化科学] R-052[医药卫生] G250.252G301