科学记录管理政策分析与实践研究 ——以中科院京区41家研究机构为例

Research on the Personalized Management Model and Policy Measurement of the Records of Science:Take 41 research institutions in Beijing area of the Chinese Academy of Sciences as an example

摘要:

[目的/意义]科学记录贯穿科学研究的生命线，既是科学研究的基础，也是科学研究的成果。科学的可持续化的科学记录管理不仅可以保障科学记录和科研成果的可发现、可获取、互操作、可重用性及可靠性，也可以实现数据的科学价值最大化和管理规范化。[方法/过程]本文调研了中科院41家研究院所的科学记录管理实践开展和政策出台情况，通过定量和定性相结合的方法总结归纳了科学记录的个性化管理模式。[结果/结论]总结了科学记录管理的六个存在的问题及对应的建议：（1）已有政策多为宏观指导，需制定具体细致的科学记录管理方案；（2）数据关联汇交弱，需加快科学记录的数字化进程；（3）利益冲突凸显，需实施责任落实到人机制；（4）多地备份意识差，需夯实安全保障体系；（5）科学记录的生命周期长，需多业务多主体协同共赢；（6）数据伪造或数据篡改等不端行为频发，需加强诚信教育和监督工作。

关键词:科学记录;科学数据;科研项目档案;个性化管理;管理模式;开放共享;政策文本计量研究

Abstract:

[Purpose/significance]The records of science run through the lifeline of scientific research, which is not only the basis of scientific research, but also the results of scientific research. Scientific sustainable data management can not only ensure the discoverability, accessibility,interoperability, reusability and reliability of original data and the results of scientific research, but also maximize the scientific value of data and minimize the conflict of interest. Compared with other scientific research entities such as universities and enterprises, research institutions may have different management of scientific records. [Method/process]Therefore, in order to further understand the management of Records of Science in scientific research institutions, this paper investigated the practice and policies of 41 research institutions in The Chinese Academy of Sciences, summarized the personalized management mode of scientific records by combining quantitative and qualitative methods. [Result/conclusion]Based on the above research, six existing problems of Records of Science management and corresponding suggestions are summarized :(1) Most of the existing policies are macro-guiding, and specific and detailed Records of Science management programs require being formulated; (2) Due to the data correlation is more weak, the digitalization process of Records of Science should be accelerated; (3) The conflict of interests is prominent, and the mechanism of implementing responsibility to people needs to be implemented; (4) The awareness of backup in multiple places is poor, and the security guarantee system needs to be consolidated; (5) The life cycle of Records of Science is long, and multi-businesses and multi-entity are required. (6) Misconduct such as data forgery or data tampering occurs frequently, and it is necessary to strengthen integrity education and integrity supervision.

Key words:Records of Science;Data of scientific research;Research Project Archives; Personalized management;Management mode;Open sharing, policy documents quantitative research