摘要：

【目的】 综合分析科研诚信治理、科学数据管理、学术出版管理视角下科研数据伦理治理政策文本,构建科研数据伦理治理框架,为科研数据伦理系统化治理及政策体系构建提供参考。【方法】 采用文献调研、政策文本分析和案例剖析的研究方法,在梳理科研数据伦理治理现状的基础上,分别收集国际组织、政府机构、资助机构、学协会、出版商、科研教育机构的科研数据伦理治理政策文本,围绕“科研数据伦理治理”核心范畴,选用扎根理论方法进行政策文本分析,构建概念框架,并选取典型案例,对概念框架中所包含的各主范畴及副范畴的含义与关系进行分析。【结果】 经过政策文本分析,初步析出24个副范畴,经归纳合并后形成包括利益相关者、治理对象、治理内容、治理手段和治理效益在内的5大主范畴。最后围绕“科研数据伦理治理”核心范畴,明确数据实体类型及其相关伦理问题,构建需求引领、多主体支撑、兼顾流程治理和生态治理的科研数据伦理治理框架。【结论】 科研数据伦理治理与科研诚信、数据管理、学术出版等密切关联,是一个多主体参与并协同开展行动的系统化治理体系,各主体治理政策间的治理内容、治理手段、治理效益交叉融和,构建科研数据伦理治理框架既有助于各治理主体明确自身责任,也有助于从全局视角打造科研数据伦理治理的政策共同体。

关键词: 科研数据, 数据伦理, 数据治理, 治理框架, 扎根理论, 政策文本分析

Abstract:

[Purposes] Comprehensively analyze the policy texts of research data ethics governance under the perspectives of scientific research integrity governance, scientific data management, and scholarly publication management, and construct a framework of research data ethics governance, so as to provide references for the systematic governance of scientific research data ethics, as well as the construction of the policy system. [Methods] This paper mainly adopts literature research method, policy text analysis method and case analysis method to sort out the current research and practice status of scientific research data ethical governance. Collect texts on research data ethics governance policies of international organizations, government agencies, funding agencies, academic associations, publishing institutions and research and education institutions, and select typical cases. Focusing on “ethical governance of scientific research data” as the core category, we encode policy texts with the Grounded theory and to construct the conceptual framework by detailed analyzing the meaning and relationship of the main categories and sub-categories contained in the conceptual framework. [Findings] After text mining, 24 sub-categories were initially analyzed, and after generalization and merging, five main categories including stakeholders, governance objects, governance contents, governance means and governance benefits were formed. Finally, around the core category of “ethical governance of scientific research data”, we clarify the types of data entities and their related ethical issues, and construct a framework of ethical governance of scientific research data that is demand-led, supported by multiple actors, and takes into account both process governance and ecological governance. [Conclusions] The study shows that the ethical governance of scientific research data is closely related to scientific research integrity, data management, academic publishing, etc., and is a systematic governance system with the participation of multiple subjects and concerted actions, and the governance content, means and benefits of governance among the governance policies of each subject are cross-fertilized. By building a framework for ethical governance of research data, it not only helps each subject to clarify its own responsibility, but also helps to build a policy community for ethical governance of research data from a global perspective.

Key words: Scientific research data, Data ethics, Data governance, Governance framework, Grounded theory, Policy text analysis