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科技与出版  2025, Vol. 44 Issue (10): 50-63    
融媒之光
适用于学术出版机构的科学数据出版伦理原则的核心概念与实践要素研究
张家烁,金帆,张小凡,黄国彬*
北京大学信息管理系,北京大学出版研究院,100871,北京
Conceptual Connotation and Practical Elements of Ethical Principles for Scientific Data Publishing Applicable to Academic Publishing Institutions
ZHANG Jiashuo,JIN Fan,ZHANG Xiaofan,HUANG Guobin*
Department of Information Management, Peking University; Publishing Research Institute, Peking University, 100871, Beijing, China
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摘要: 

选择10家在科学数据出版领域有丰富实践经验的国际学术出版机构,获取10款科学数据出版政策,对政策文本进行内容分析,构建了科学数据出版伦理原则体系,并分别剖析科学数据出版伦理原则的核心概念与实践要素。科学数据出版伦理原则体系由两项基本原则与七项具体原则构成,基本原则为价值共创原则和安全原则,对具体伦理原则的制定与实施起到统摄与指导作用;具体原则分布在科学数据提交、审核、存储、发布、引用五个环节,包括透明性原则、数据权属保护原则、隐私保护原则、质量控制原则、最优匹配原则、开放许可原则、规范引用原则。在伦理原则体系基础上,结合我国科学数据出版的发展现状与面临的伦理困境,为我国学术出版机构进行科学数据出版伦理规范化建设提出了可行路径。

关键词 科学数据出版科学数据出版伦理学术出版机构内容分析法    
Abstract

The ethical principles governing scientific data publishing within academic publishing institutions are investigated, aiming to clarify their conceptual foundations and practical elements while offering guidance for future normative construction in China. Ten leading international publishing institutions with extensive experience in scientific data publishing were selected, and a total of ten representative policies were collected and analyzed. The policies were retrieved through systematic web-based investigation, and content analysis was utilized to code and interpret the ethical elements embedded in the policy texts. Using the scientific data publishing workflow—encompassing submission, review, storage, publication, and citation—as the analytical framework, this study identified both overarching and specific ethical principles and further distilled their operational implications. The analysis revealed a two-tiered framework comprising two basic principles and seven specific principles. The basic principles—value co-creation and security—function as the overarching value orientation and risk-control baseline across the entire publishing process. The seven specific principles correspond to distinct workflow stages: transparency, data ownership protection, and privacy protection (submission); quality control (review); optimal matching (storage); open licensing (publication); and standardized citation (citation). Each principle was carefully examined through qualitative coding of policy statements, supplemented by comparative analysis across institutions, enabling the clarification of conceptual boundaries and the extraction of actionable elements. For instance, the principle of transparency is implemented primarily through mandatory data availability statements; privacy protection relies on obtaining informed consent and applying data anonymization techniques; quality control necessitates collaborative efforts among authors, editors, and reviewers to safeguard data integrity; and the principle of optimal matching emphasizes disciplinary alignment and the selection of high-quality repositories. Similarly, the principle of open licensing is enforced by encouraging authors to adopt Creative Commons agreements such as CC0 or CC-BY, thereby lowering barriers to reuse; the principle of standardized citation obliges authors to include complete dataset information and persistent identifiers (e.g., DOIs) in reference lists to ensure traceability and proper recognition of scholarly contributions. This study determines that leading international academic publishing institutions have accumulated mature experience regarding scientific data publishing ethics, establishing ethical principles that cover the entire data publishing process. Given that scientific data publishing in China remains in its early developmental stages and lacks systematic experience in building ethical norms, this paper proposes four feasible pathways: (1) strengthening publicity and institutional guidance to increase researcher participation; (2) formulating operable ethical guidelines and embedding them into the data publishing workflow; (3) strictly adhering to security boundaries by constructing a “self-check plus external review” mechanism for data security governance; and (4) leveraging the functions of multiple stakeholders to promote effective implementation of data review mechanisms. By systematically analyzing policy texts and integrating insights into an ethics framework, this study contributes both theoretically and practically to understanding scientific data publishing ethics. It provides academic publishing institutions in China with a concrete reference for constructing localized, operable ethical norms that balance openness with protection, thus facilitating the healthy development of scientific data publishing.

Key wordsscientific data publishing    scientific data publishing ethics    academic publishing institutions    content analysis
出版日期: 2025-12-11
基金资助:国家社科基金重点项目“开放科学视野下新型学术出版物的著作权保护与共享机制研究”(22ATQ003)
通讯作者: 黄国彬   
Corresponding author: Guobin HUANG   

引用本文:

张家烁,金帆,张小凡,黄国彬. 适用于学术出版机构的科学数据出版伦理原则的核心概念与实践要素研究[J]. 科技与出版, 2025, 44(10): 50-63.
ZHANG Jiashuo,JIN Fan,ZHANG Xiaofan,HUANG Guobin. Conceptual Connotation and Practical Elements of Ethical Principles for Scientific Data Publishing Applicable to Academic Publishing Institutions. Science-Technology & Publication, 2025, 44(10): 50-63.

链接本文:

http://kjycb.tsinghuajournals.com/CN/      或      http://kjycb.tsinghuajournals.com/CN/Y2025/V44/I10/50

表 1  10款科学数据出版政策基本信息
表 2  编码框架
图 1  科学数据出版伦理原则体系
表 3  科学数据出版政策推荐使用的通用数据仓储
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