创新战略下中国科研信用管理机制设计研究——基于多主体演化博弈均衡的仿真分析  

Research on the Design of China's Scientific Research Credit Management Mechanism Under Innovation Strategy:Simulation Analysis Based on Multi-Agent Evolutionary Game Equilibrium

作　　者：张丽丽 Zhang Lili(School of Marxism,Northwestern Polytechnical University,Xi'an 710072,China)

机构地区：[1]西北工业大学马克思主义学院,陕西西安710072

出　　处：《科技管理研究》2024年第12期202-211,共10页Science and Technology Management Research

基　　金：中央高校基本科研业务费项目“‘总师的养成’案例研究:基于战略科学家自主培养视角”(2024JM015);教育部高校业务费项目“高校基层党组织在师德师风评价管理中的作用机制研究”(DJY202308)。

摘　　要：信用管理在信任放权、事前事中事后全过程管理和放管结合的新型监管制度探索建立中发挥重要作用,而一般领域中将信用管理作为行政管理抓手的做法并不适用于科研管理,中国的科研领域仍亟待进行信用管理制度改革创新。首先界定科研信用管理的内涵:是基于信息整合处理的智能管理、分级分类的精准化管理、多部门联合奖惩管理以实现科研诚信和创新目标;并提出根据科研工作的独特性质和规律,在构建科研信用管理制度时应注意遵循实行以信任、放权、自律为导向的制度变革,以及构建不同措施组合应用的政策实现管理目标的原则。在此基础上,考虑到全面建设社会主义现代化国家对教育、科技、人才融合发展的战略要求,基于中国科研信用管理实践提出科研信用管理流程机制,通过建立包括政府、科研单位和科研个体的三方演化博弈模型,分析博弈均衡状态下各方的行为策略选择,验证不同政策组合对诚信科研的作用和影响。所设计构建的科研信用管理流程运行机制包括平台整合、资源整合、机制整合、动力整合、运行整合和监管整合六大环节,通过建立系统性管理平台为放权提供基础保障,通过整合数据、机制、监管力量为实现全过程严管提供现实条件,实现“放出活力与效率,管好底线与秩序”的目标。仿真结果发现,科研失信被发现概率和科研个体科研诚信努力所得声誉收益这两个政策变量的调整所带来的系统演化速度与不同主体行为影响的边际变化最为显著,因此,科研管理中应注重将同行评议、科学共同体等内部特殊治理机制与一般的信用管理机制进行有机整合。接下来,中国的科研信用管理制度建设,应重点加快推进大数据、人工智能技术的应用,加强科研领域“黑名单”制度、内部信息共享和联合惩戒机制等的建立。Credit management is a new type of regulatory system,and the practice of using credit management as an administrative management lever in the general field is not applicable to scientific research management.China's scientific research field still urgently needs to reform and innovate the credit management system.Firstly,the connotation of scientific research credit management is defined as intelligent management based on information integration and processing,precise management based on hierarchical classification,and joint reward and punishment management among multiple departments to achieve scientific research integrity and innovation goals.And it is proposed that,based on the unique nature and laws of scientific research work,when constructing a scientific research credit management system,attention should be paid to following the principles of institutional reform guided by trust,decentralization,and self-discipline,as well as constructing policies that combine different measures to achieve management goals.On this basis,based on the practice of scientific research credit management in China,a process mechanism for scientific research credit management is proposed.By establishing a tripartite evolutionary game model that includes the government,scientific research institutions,and scientific research individuals,the behavior strategy choices of each party under the equilibrium state of the game are analyzed,and the effects and impacts of different policy combinations on honest scientific research are verified.The operational mechanism of the scientific research credit management process designed and constructed includes six major links:platform integration,resource integration,mechanism integration,power integration,operation integration,and regulatory integration.By establishing a systematic management platform,it provides basic guarantees for decentralization,and by integrating data,mechanisms,and regulatory forces,it provides practical conditions for strict management throughout the entire process,achiev

关 键 词：科研信用管理 信用管理机制 科研诚信 学术不端 主体行为 演化博弈 科研信用管理制度改革 科 

分 类 号：G311[文化科学] F224.32[经济管理—国民经济] G301