科学造假的成因分析与制度防控
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摘要
本文运用科学哲学、科学社会学以及科学史的相结合的方法,即通过理论与实践相结合的方法对科学造假这一研究课题进行分析和探讨,主要从以下几个方面和角度进行展开。
首先,对科学造假的含义进行了阐述,不仅调研了国内外的各种资料,还运用对比的方法,通过与科学越轨、科学不端、科学失范以及科学失误等词汇的比较分析,得出了科学造假确切含义以及它的适用范围等等。在此基础上对科学造假进行了分类,即按照不同的分类标准可以分为不同类型的科学造假,包括按照科研活动的过程、研究主体的不同、科研活动的方式不同以及不同行为主体等角度进行了分类,如按照科研活动的过程可将科学造假分为课题申请阶段的造假、课题立项评审时的造假、课题研究阶段的造假、科研成果鉴定过程中的造假、科研成果发表阶段以及运用中的造假等等,尤其是对科学造假的重灾区——实验室的造假进行了分析,包括实验设计时、实验观察中、实验事实陈述中以及实验结果解释中的造假等等。
其次,通过对历史上国内外科学活动中科学造假趋势的分析,得出了科学造假有愈演愈烈之势,并在此基础上分析了科学造假对不同的主体和对象带来的危害,包括对科学活动的本质性危害、对科研活动的参与者、科学共同体以及社会公众带来的危害等等,这就为后文中科学造假原因的分析以及防控对策的提出奠定了良好的基础。
再次,在分析科学造假的内外因时,本文运用了案例分析的办法。对于内因的分析,我们借用了美国贝尔实验室舍恩造假的案例,通过对舍恩本人、其同事、合作者、期刊编辑和评审人等的采访与叙述来深入分析舍恩发生造假的内在原因,包括舍恩本人与众不同的性格、在实验室异常的表现以及其逆向的研究方法等等,都是其发生造假行为的原因；对于科学造假的外因分析,我们在分析了大科学时代科学与社会相互作用的基本特征后,我们对其政治经济原因、文化原因、社会制度原因等进行了阐述,尤其是借用了四个案例来分门别类的对不同的社会动因进行了阐述,即通过对英国辟尔唐人古化石造假案、法国N射线案件的分析来说明在国家过分放大的利益是科学家发生造假的催化剂之一,对韩国黄禹锡造假案来阐述科研投入回馈模式的过度紧迫也是造假发生的因素之一,对美国冷核聚变事件的分析指出公众和媒体对科学奇迹的急切需求也会使得科学家发生造假行为等等。与此同时,我们还从科学哲学——利益冲突的角度对理性科学家发生造假行为的原因进行了分析,并对利益冲突在科学活动中的表现方式进行了分类,最后指出通过利益冲突的解决来防治科学造假,提出了具有预防性功能的公开政策、具有引导性功能的管理政策以及具有矫正性功能的清除政策等三种解决原则和办法。
最后,文章对科学造假的败露机制和防控机制进行了阐述。在败露机制的分析中,我们借用了美国冷核聚变事件被媒体报纸的跟踪报道的揭露过程,然后将此案例的败露过程演绎为一般化普遍化的败露机制,如同行的的揭露以及社会层面的揭露等等方式来进行揭露,并在最后提出了假的越“真”,败得越惨的科学造假终将败露的警示。对于防控制度的提出,是针对本文科学造假发生的内外部原因来提出相对应的对策,因此也就包括了健全科学共同体内部机制和强化科学共同体外部的社会控制的对策等等,前者包括对学术规范、评价机制、评审机制以及奖惩机制的健全和完善,后者包括社会环境、法律政策以及政府行政管理等方面。
探讨和分析了科学造假含义、分类、危害、成因、败露机制以及防控对策,形成了本文的主要内容。
Scientific fraud is analyzed and discussed in this paper by combining method of philosophy of science, scientific sociology and history of science, which also combine theory and practice. We discuss the issue from the following and perspectives:
Firstly, we described the meaning of scientific fraud, not only through the method of surveying the various information from domestic and overseas, but also using the contrast method, by comparing the scientific deviant, scientific dishonorable, scientific anomie and scientific errors and so on, we concluded the exact meaning of the scientific fraud and its scope. On the basis of the meaning of the scientific fraud, and according to different classification and criteria, the scientific fraud can be divided into different types, base on difference of the process of the research activities, subjects of the research, methods of the research activities and different owner of the research activities and so on, for example, base on the difference of the process of the research activities, the scientific fraud can be divided into six types:the fraud in project application stage, in project review, in the research phase, in the process of appraisal of the scientific research achievements, research results publication phase and the application stage, and so on, especially the hardest hit areas of the scientific fraud——laboratory fraud are analyzed, which including the stage of experimental design, experimental observation, the statements of experimental facts and the interpretation of experimental results, and so on.
Secondly, through the analysis of trends about the history of domestic and overseas scientific fraud, we concluded that the scientific fraud has come to be getting worse, and base on this, we analyzed the endanger of the scientific fraud to different subjects and objects, including the essential harm to the scientific activities, to the participants of the research activities, to the scientific community and social mass, etc., and this also lay a good foundation for the analysis of reason and way to prevent of the science fraud.
Thirdly, analyzing the internal and external causes of the scientific fraud, we adopted case study. For the analysis of the internal causes, we studied the case of Schon fraud in the Bell Labs in America, by analyzing interviews and narrative by Schon himself, his colleagues, partner, journal editors and reviewers, so as to deeply analyze the internal causes of scientific fraud of Schon, including Schon's distinctive personality, abnormal performance in the laboratory and its reverse research methods, etc., which all together lead to the science fraud; for the external causes analysis of the scientific fraud, we have analyzed the basic features of the interaction between science and society, we also described the reasons of political and economic, cultural and the social system, to describe and classify the different social motivation, we deep dived into four case studies-fraud of ancient fossil of Piltdown man in British, the discovery of N-rays in France, in order to illustrate the excessive interests of the country will catalyze the fraud of the scientists; Hwang fraud case in Republic of Korea to illustrate the urgency of model of investment-payback contributes to the scientific fraud, on the analysis of the cold fusion experiment occurred in the U.S., we indicate the urgent expectations of the media and social public of scientific miracle will also lead to scientific fraud. Meanwhile, from the perspective of philosophy of science—conflict of interests—to analyze the causes of a rational scientist frauds, and classify the expression of conflict of interests in the scientific activities, and finally concluded to way to prevent science fraud by resolving the conflict of interests, and come up with three principles and solution, including the public policies with preventive function, management policies with guidance function and clear policies with corrective function, and so on.
Finally, the article described the mechanisms of exposure and prevention of the scientific fraud. In the analysis of the mechanisms of exposure, we used the disclosure process of the case of cold fusion experiment in America, which was tracked by the media and the newspaper, and deductive this process as a generalized mechanism of exposure, such as the disclosure from the peer and the social level, and so on. And at last, we concluded with a warning of the scientific fraud, the false is more "true", the exposure is more miserable. The prevention and control system of the scientific fraud proposed in this article is base on the internal and external causes of scientific fraud, therefore, the corresponding countermeasures of the scientific fraud are divided into the internal and external mechanism of the scientific community, the former including the academic standards, evaluation mechanisms, review mechanisms and reward and punishment mechanisms to improve and perfect, the latter including the aspects of social environment, legal policies and the government administrative management.
Discussion and analysis the definition, classification, harms, causes, exposure mechanisms, prevention and control measures of meaning of the scientific fraud constructed the main content of this paper.
首先,对科学造假的含义进行了阐述,不仅调研了国内外的各种资料,还运用对比的方法,通过与科学越轨、科学不端、科学失范以及科学失误等词汇的比较分析,得出了科学造假确切含义以及它的适用范围等等。在此基础上对科学造假进行了分类,即按照不同的分类标准可以分为不同类型的科学造假,包括按照科研活动的过程、研究主体的不同、科研活动的方式不同以及不同行为主体等角度进行了分类,如按照科研活动的过程可将科学造假分为课题申请阶段的造假、课题立项评审时的造假、课题研究阶段的造假、科研成果鉴定过程中的造假、科研成果发表阶段以及运用中的造假等等,尤其是对科学造假的重灾区——实验室的造假进行了分析,包括实验设计时、实验观察中、实验事实陈述中以及实验结果解释中的造假等等。
其次,通过对历史上国内外科学活动中科学造假趋势的分析,得出了科学造假有愈演愈烈之势,并在此基础上分析了科学造假对不同的主体和对象带来的危害,包括对科学活动的本质性危害、对科研活动的参与者、科学共同体以及社会公众带来的危害等等,这就为后文中科学造假原因的分析以及防控对策的提出奠定了良好的基础。
再次,在分析科学造假的内外因时,本文运用了案例分析的办法。对于内因的分析,我们借用了美国贝尔实验室舍恩造假的案例,通过对舍恩本人、其同事、合作者、期刊编辑和评审人等的采访与叙述来深入分析舍恩发生造假的内在原因,包括舍恩本人与众不同的性格、在实验室异常的表现以及其逆向的研究方法等等,都是其发生造假行为的原因；对于科学造假的外因分析,我们在分析了大科学时代科学与社会相互作用的基本特征后,我们对其政治经济原因、文化原因、社会制度原因等进行了阐述,尤其是借用了四个案例来分门别类的对不同的社会动因进行了阐述,即通过对英国辟尔唐人古化石造假案、法国N射线案件的分析来说明在国家过分放大的利益是科学家发生造假的催化剂之一,对韩国黄禹锡造假案来阐述科研投入回馈模式的过度紧迫也是造假发生的因素之一,对美国冷核聚变事件的分析指出公众和媒体对科学奇迹的急切需求也会使得科学家发生造假行为等等。与此同时,我们还从科学哲学——利益冲突的角度对理性科学家发生造假行为的原因进行了分析,并对利益冲突在科学活动中的表现方式进行了分类,最后指出通过利益冲突的解决来防治科学造假,提出了具有预防性功能的公开政策、具有引导性功能的管理政策以及具有矫正性功能的清除政策等三种解决原则和办法。
最后,文章对科学造假的败露机制和防控机制进行了阐述。在败露机制的分析中,我们借用了美国冷核聚变事件被媒体报纸的跟踪报道的揭露过程,然后将此案例的败露过程演绎为一般化普遍化的败露机制,如同行的的揭露以及社会层面的揭露等等方式来进行揭露,并在最后提出了假的越“真”,败得越惨的科学造假终将败露的警示。对于防控制度的提出,是针对本文科学造假发生的内外部原因来提出相对应的对策,因此也就包括了健全科学共同体内部机制和强化科学共同体外部的社会控制的对策等等,前者包括对学术规范、评价机制、评审机制以及奖惩机制的健全和完善,后者包括社会环境、法律政策以及政府行政管理等方面。
探讨和分析了科学造假含义、分类、危害、成因、败露机制以及防控对策,形成了本文的主要内容。
Scientific fraud is analyzed and discussed in this paper by combining method of philosophy of science, scientific sociology and history of science, which also combine theory and practice. We discuss the issue from the following and perspectives:
Firstly, we described the meaning of scientific fraud, not only through the method of surveying the various information from domestic and overseas, but also using the contrast method, by comparing the scientific deviant, scientific dishonorable, scientific anomie and scientific errors and so on, we concluded the exact meaning of the scientific fraud and its scope. On the basis of the meaning of the scientific fraud, and according to different classification and criteria, the scientific fraud can be divided into different types, base on difference of the process of the research activities, subjects of the research, methods of the research activities and different owner of the research activities and so on, for example, base on the difference of the process of the research activities, the scientific fraud can be divided into six types:the fraud in project application stage, in project review, in the research phase, in the process of appraisal of the scientific research achievements, research results publication phase and the application stage, and so on, especially the hardest hit areas of the scientific fraud——laboratory fraud are analyzed, which including the stage of experimental design, experimental observation, the statements of experimental facts and the interpretation of experimental results, and so on.
Secondly, through the analysis of trends about the history of domestic and overseas scientific fraud, we concluded that the scientific fraud has come to be getting worse, and base on this, we analyzed the endanger of the scientific fraud to different subjects and objects, including the essential harm to the scientific activities, to the participants of the research activities, to the scientific community and social mass, etc., and this also lay a good foundation for the analysis of reason and way to prevent of the science fraud.
Thirdly, analyzing the internal and external causes of the scientific fraud, we adopted case study. For the analysis of the internal causes, we studied the case of Schon fraud in the Bell Labs in America, by analyzing interviews and narrative by Schon himself, his colleagues, partner, journal editors and reviewers, so as to deeply analyze the internal causes of scientific fraud of Schon, including Schon's distinctive personality, abnormal performance in the laboratory and its reverse research methods, etc., which all together lead to the science fraud; for the external causes analysis of the scientific fraud, we have analyzed the basic features of the interaction between science and society, we also described the reasons of political and economic, cultural and the social system, to describe and classify the different social motivation, we deep dived into four case studies-fraud of ancient fossil of Piltdown man in British, the discovery of N-rays in France, in order to illustrate the excessive interests of the country will catalyze the fraud of the scientists; Hwang fraud case in Republic of Korea to illustrate the urgency of model of investment-payback contributes to the scientific fraud, on the analysis of the cold fusion experiment occurred in the U.S., we indicate the urgent expectations of the media and social public of scientific miracle will also lead to scientific fraud. Meanwhile, from the perspective of philosophy of science—conflict of interests—to analyze the causes of a rational scientist frauds, and classify the expression of conflict of interests in the scientific activities, and finally concluded to way to prevent science fraud by resolving the conflict of interests, and come up with three principles and solution, including the public policies with preventive function, management policies with guidance function and clear policies with corrective function, and so on.
Finally, the article described the mechanisms of exposure and prevention of the scientific fraud. In the analysis of the mechanisms of exposure, we used the disclosure process of the case of cold fusion experiment in America, which was tracked by the media and the newspaper, and deductive this process as a generalized mechanism of exposure, such as the disclosure from the peer and the social level, and so on. And at last, we concluded with a warning of the scientific fraud, the false is more "true", the exposure is more miserable. The prevention and control system of the scientific fraud proposed in this article is base on the internal and external causes of scientific fraud, therefore, the corresponding countermeasures of the scientific fraud are divided into the internal and external mechanism of the scientific community, the former including the academic standards, evaluation mechanisms, review mechanisms and reward and punishment mechanisms to improve and perfect, the latter including the aspects of social environment, legal policies and the government administrative management.
Discussion and analysis the definition, classification, harms, causes, exposure mechanisms, prevention and control measures of meaning of the scientific fraud constructed the main content of this paper.
引文
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