权变理论视角下严重科研不端行为的双重治理

Dual Governance of Serious Research Misconduct from the Perspective of Contingency Theory

摘要:

现代科技的发展加剧了严重科研不端行为的危害，使其成为科研诚信建设的重中之重。以权变理论、系统分析法和跨学科研究方法为前提，在强调严重科研不端行为概念核心是其后果的基础上，深入分析治理现状，探究现今治理困境：治理理念滞后、治理对象不全、治理方式不明。分析显示，行为的巨大风险、现有治理体系失效、有机治理的独特价值等因素推动权变理论与严重科研不端行为治理相结合。此时的强化规制并非单一加重惩罚，而是形成“机械式+有机式”双重治理模式：在高风险的新兴科研领域建立起灵活动态的有机治理，在低风险且外部环境稳定的科研领域建立起制度化管控的机械治理。基于此，双重治理应完成治理理念、治理对象、治理方式三方面的转变。在治理理念方面，应树立权变治理、跨学科合作治理、动态治理理念，根据情境而调整治理举措，不排斥刑法介入；在治理对象方面，严重性的判断核心是损失结果而非不端行为形式，故应通过“三核心”标准来限定惩戒的边界，并在尊重科研自由和借助公众国际力量的基础上，实现立法的针对性、有效性、科学性；在治理方式方面，应通过科技力量创新驱动不端行为及其危害识别，通过协调整合机制限制性适用刑法手段，同时创新科研合规制度和选取轻缓化惩戒举措，最终多种措施实现科研自由和公共利益的共同保护。

Abstract:

The advancement of modern technology has intensified the harm caused by serious scientific misconduct, making it a critical issue in research integrity governance. Grounded in Contingency Theory, System Analysis, and Interdisciplinary Research, this paper emphasizes that the core of serious misconduct lies in its consequences. It analyzes the governance landscape and identifies three major challenges: outdated concepts, incomplete targets, and unclear strategies. The analysis suggests combining Contingency Theory with a dual governance model: flexible organic governance in high-risk emerging fields, and structured mechanistic governance in low-risk, stable environments. This approach requires shifts in governance philosophy, targets, and methods, advocating situational adjustments, restrictive application of criminal law, and interdisciplinary coordination to protect both scientific freedom and public interest.