王立东

摘 要：中央财政支持的科研项目是我国科学研究尤其是基础科学研究的主渠道，但近年来不断披露出来的科研不端案件影响了中央财政的使用效果以及公眾对科学界的信任，传统的学术界自律自治已经不能彻底有效地解决问题。因此文中通过历史和比较的研究方法，重点借鉴美国的先进制度和实践经验，力图对我国科研不端行为治理结构的法治化提出纲领性、框架性的政策建议。文中建议综合运用学术、行政、法律的协同治理手段建构新时期我国科研不端行为治理结构，既要保持学术管理和道德约束的传统地位与路径，还要切实有效地引入、构建和突出法治在科研不端行为治理中的作用，更要清晰地划分出科学不端行为的治理层次，界定学术、行政和法律各自的界限。此外，文中也涉及到刑法介入不端行为治理的探讨。

关键词：中央财政科研项目；科研不端行为；法律规制；比例原则；治理框架

中图分类号：D 9

文献标识码：A 文章编号：1672-7312（2018）05-0530-07

Abstract：The scientific research projects supported by the central government are the main channels for scientific research in China，especially basic scientific research.However，the research misconduct cases that have been continuously disclosed in recent years have affected the use of the central government and the publics trust in the scientific community.The traditional academic self-discipline Autonomy has not been able to solve problems completely and effectively.Therefore，through historical and comparative research methods，this paper focuses on the advanced systems and practical experience of the United States，and tries to propose programmatic and framework policy recommendations for the rule of law in the governance structure of scientific misconduct in China.This paper proposes to use academic，administrative，and legal collaborative management methods to construct the governance structure of scientific research misconduct in the new era.It is necessary to maintain the traditional status and path of academic management and moral constraints，and to effectively introduce，construct，and highlight the rule of law.In the role of scientific misconduct governance，it is necessary to clearly define the governance level of scientific misconduct and define the respective boundaries of academic，administrative and legal.In addition，this article also deals with the discussion of criminal law intervention misconduct.

Key words：central financial research project；scientific research misconduct；legal regulation；proportional principle；governance framework

0 引 言

科学研究尤其是基础科学研究存在着投入高、周期长、风险大、不确定性因素多等特点，早期的科学研究基本上都是个别科研人员的兴趣爱好使然，之后随着政府财政的介入和支持，科学研究得到了长期稳固的发展。随着市场经济的发展，商业组织对于科学技术的研发和应用越来越看重，民间财富也陆续介入到科研活动中来。然而从总量来看，近年来全球范围内的科学研究经费基本全部来源于政府，比如在美国科研经费大约有2/3来源于联邦政府；……