[目的/意义] 立足国家科技信息资源管理的整体效益，以增强国家科技信息资源综合治理能力为目标，调查科学数据与科研档案管理协同的发展现状，探索相关推进策略。[方法/过程] 综合运用实地调查法、网络调查法、文献研究法、比较研究法和行动研究法，收集中、美、英、澳4个国家的科技主管部门、档案主管部门、科研资助机构、科研机构、科学数据管理机构、档案机构及相关国际组织的相关政策文本和实践材料，展开内容分析和后续研究。[结果/结论] 在政策层面，科学数据管理政策中与档案相关的规定集中体现在将档案馆视作存储基础设施及将归档视为科学数据管理活动；科研档案管理政策中与科学数据相关的规定集中体现在承认科学数据的档案属性，并将其纳入归档范围；科研资助机构的政策要求明确科学数据的归档和保存问题。在实践层面，国外在组织、政策、业务、服务等方面形成相对丰富的协同实践，国内的协同实践则刚刚起步。最后，从体制机制、政策体系、协作模式、业务融合、服务支撑、人才培养等方面提出推进管理协同的发展建议。
[Purpose/significance] Based on the overall benefits of national science and technology information resources management, aiming at enhancing the comprehensive governance capacity of national science and technology information resources, this study investigates the current situation of the management synergy of scientific data and scientific records, and explores relevant promotion strategies. [Method/process] This study comprehensively used the methods of field survey, network survey, literature research, comparative research and action research to collect relevant policies and practical materials of administrative departments of science and technology, administrative departments of records, scientific research funding institutions, scientific research institutions, scientific data management institutions, archival institutions and relevant international organizations in China, the United States, the United Kingdom and Australia, and carried out content analysis and follow-up research. [Result/conclusion] At the policy level, the provisions related to records in the scientific data management policies are mainly reflected in taking "archives" as storage infrastructures and taking "archiving" as a scientific data management activity; the provisions related to scientific data in the scientific records management policies are mainly reflected in recognizing the archival attribute of scientific data and bringing scientific data into the scope of archiving; the policies of scientific research funding institutions require clarification of the archiving and preservation of scientific data. At the practical level, foreign countries have formed relatively rich synergy practices in terms of organizations, policies, business and services, while domestic synergy practices have just started. Finally, this paper puts forward some suggestions to promote the development of management synergy from the aspects of the administrative mechanism, policy system, cooperation mode, business integration, service support and talent training.
[1] 何思源,刘越男.科学数据和科研档案的管理协同:框架和路径[J].档案学通讯,2021,43(1):49-57.
[2] 杨文娜,张斌,李子林.国外科研记录与数据管理实践对我国科研项目档案管理的启示[J].档案学研究,2019,33(2):122-128.
[3] 李甜.数字管护(Digital Curation)视域下科研档案管理创新研究[J].档案学研究,2021,35(3):113-120.
[4] 闫鹏.利益相关者视角下档案部门参与科学数据管理的分析[J].档案天地,2019,27(3):47-49.
[5] CHILDS S, MCLEOD J, LOMAS E, et al. Opening research data:issues and opportunities[J]. Records management journal, 2014, 24(2):142-162.
[6] MADAY C, MOYSAN M. Records management for scientific data[J].Archives and manuscripts, 2014, 42(2):190-192.
[7] BEAGRIE N, POTHEN P. Digital curation:digital archives, libraries and e-Science seminar[EB/OL].[2021-08-23].http://www.ariadne.ac.uk/issue/30/digital-curation/.
[8] 肖玉.国内外Data Curation研究综述及启示[J].西南石油大学学报(社会科学版),2017,19(6):70-75.
[9] POOLE A H. How has your science data grown? digital curation and the human factor:a critical literature review[J]. Archival science, 2015, 15(2):101-139.
[10] LEE C A, TIBBO H. Where's the archivist in digital curation? exploring the possibilities through a matrix of knowledge and skills[J]. Archivaria, 2011, 72(72):123-168.
[11] FEAR K, DONALDSON D. Provenance and credibility in scientific data repositories[J]. Archival science, 2012, 12(3):319-339.
[12] ROSS S. Digital preservation, archival science and methodological foundations for digital libraries[J]. New review of information networking, 2012, 17(1):43-68.
[13] 毛天宇.数字监护研究中档案学理论的应用及启示探析[J].档案学通讯,2016,38(1):34-38.
[14] AKMON D, ZIMMERMAN A, DANIELS M, et al. The application of archival concepts to a data-intensive environment:working with scientists to understand data management and preservation needs[J]. Archival science, 2011, 11(3/4):329-348.
[15] EVANS J, REED B, LINGER H, et al. Winds of change:a recordkeeping informatics approach to information management needs in data-driven research environments[J]. Records management journal, 2014, 24(3):205-223.
[16] GRANT R. Recordkeeping and research data management:a review of perspectives[J]. Records management journal, 2017, 27(2):159-174.
[17] 宋文凤.科学数据价值鉴定研究[D].长春:吉林大学,2013.
[18] 王宁,刘越男.档案学视角下的科学数据管理——基于国际组织相关成果的研究[J].图书情报工作,2021,65(5):88-97.
[19] 何思源.科研档案和科学数据协同治理的动因分析[J].档案管理,2020,40(6):64-66.
[20] 蔡盈芳.数据管理业务与档案融合管理研究[J].档案学研究,2021,35(3):40-46.
[21] Office of Science and Technology Policy. Policy statements on data management for global change research[EB/OL].[2021-08-25].https://digital.library.unt.edu/ark:/67531/metadc11862/m2/1/high_res_d/DataPolicy.pdf.
[22] Office of Science and Technology Policy. Global climate change research data and management of 2007[EB/OL].[2021-08-25].https://science.house.gov/bills/global-climate-change-research-data-and-management-act-of-2007?1.
[23] 地质资料管理条例实施办法[EB/OL].[2021-08-25].https://www.cgs.gov.cn/xwl/zcwj/dz/202009/t20200903_654171.html.
[24] 国土资源部关于印发《国土资源数据管理暂行办法》的通知[EB/OL].[2021-08-25].http://f.mnr.gov.cn/201702/t20170206_1437125.html.
[25] Disposal of records (44 U.S.C. Chapter 33)[EB/OL].[2021-08-25].https://www.archives.gov/about/laws/disposal-of-records.html.
[26] National Archives and Records Administration. Appraisal policy of the national archives[EB/OL].[2021-08-25].https://www.archives.gov/records-mgmt/scheduling/appraisal.
[27] National Archives and Records Administration. Examples of series commonly appraised as permanent[EB/OL].[2021-08-25].https://www.archives.gov/records-mgmt/scheduling/perm-examples.
[28] 科学技术研究档案管理规定[EB/OL].[2021-08-25].http://www.gov.cn/gongbao/content/2020/content_5565834.htm.
[29] National Archives and Records Administration. National Aeronautics and Space Administration research and development records management inspection report[EB/OL].[2021-08-25].https://www.archives.gov/files/records-mgmt/resources/nasa-2019-inspection.pdf.
[30] National Archives and Records Administration. Centers for Disease Control and Prevention research and development records management inspection report[EB/OL].[2021-08-25].https://www.archives.gov/files/records-mgmt/resources/cdc-2019-inspection.pdf.
[31] National Archives and Records Administration. U.S. Geological Survey research and development records management inspection report[EB/OL].[2021-08-25].https://www.archives.gov/files/records-mgmt/resources/usgs-inspection-report-final-508-compliant.pdf.
[32] National Archives and Records Administration. National Oceanic and Atmospheric Administration research and development records management inspection report[EB/OL].[2021-08-25].https://www.archives.gov/files/records-mgmt/resources/noaa-rd-2018-report.pdf.
[33] National Science Foundation. Proposal and award policies and procedures guide[EB/OL].[2021-08-25].https://nsf.gov/pubs/policydocs/pappg20_1/nsf20_1.pdf.
[34] National Aeronautics and Space Administration. NASA plan for increasing access to the results of scientific research[EB/OL].[2021-08-25].https://www.nasa.gov/sites/default/files/atoms/files/206985_2015_nasa_plan-for-web.pdf.
[35] National Institutes of Health. National Institutes of Health plan for increasing access to scientific publications and digital scientific data from NIH funded scientific research[EB/OL].[2021-08-25].https://grants.nih.gov/grants/NIH-Public-Access-Plan.pdf.
[36] 国家自然科学基金资助项目研究成果管理办法[EB/OL].[2021-08-25].http://www.nsfc.gov.cn/publish/portal0/tab475/info73668.htm.
[37] 毕建新,刘卫,李东.关于《科学技术研究档案管理暂行规定》修订的思考与建议——以国家自然科学基金项目档案为例[J].档案学研究,2018,32(2):57-62.
[38] United States Geological Survey. SM 502.6-Fundamental science practices:scientific data management[EB/OL].[2021-08-25].https://www.usgs.gov/about/organization/science-support/survey-manual/5026-fundamental-science-practices-scientific-data.
[39] United States Geological Survey. SM 502.9-Fundamental science practices:preservation requirements for digital scientific data[EB/OL].[2021-08-25].https://www.usgs.gov/about/organization/science-support/survey-manual/5029-fundamental-science-practices-preservation.
[40] Support services.[EB/OL].[2021-08-25].https://www.monash.edu/library/researchers/researchdata/advice.
[41] NOONAN D, CHUTE T. Data curation and the university archives[J]. The American archivist, 2014, 77(1):201-240.
[42] United States Geological Survey. SM 431.1-Records management roles and responsibilities[EB/OL].[2021-08-25].https://www.usgs.gov/about/organization/science-support/survey-manual/4311-records-management-roles-and-responsibilities.
[43] National Oceanic and Atmospheric Administration. NAO 212-15:Management of environmental data and information[EB/OL].[2021-08-25].https://www.noaa.gov/organization/administration/nao-212-15-management-of-environmental-data-and-information.
[44] National Aeronautics and Space Administration. NASA research and technology program and project management requirements[EB/OL].[2021-08-25].https://nodis3.gsfc.nasa.gov/displayDir.cfm?Internal_ID=N_PR_7120_008A_&page_name=AppendixG.
[45] Centers for Disease Control and Prevention. Policy on public health research and nonresearch data management and access[EB/OL].[2021-08-25].https://www.cdc.gov/maso/policy/policy385.pdf.
[46] WHYTE A, WILSON A. How to appraise and select research data for curation[EB/OL].[2021-08-25].https://www.dcc.ac.uk/guidance/how-guides/appraise-select-data.
[47] National Aeronautics and Space Administration. NASA Records retention schedule[EB/OL].[2021-08-25].https://nodis3.gsfc.nasa.gov/NPR_attachments/NRRS_1441.1A.pdf.
[48] Records disposal authority commonwealth scientific and industrial research organization[EB/OL].[2021-08-25].https://www.naa.gov.au/sites/default/files/2019-12/agency-ra-2013-00618960.pdf.
[49] National Aeronautics and Space Administration. Policy for preservation and dissemination of data deposited with NSSDCA[EB/OL].[2021-08-25].https://nssdc.gsfc.nasa.gov/nssdc/preservation_policy.html.
[50] United States Geological Survey. SM 502.4-Fundamental science practices:review, approval, and release of information products[EB/OL].[2021-08-25].https://www.usgs.gov/about/organization/science-support/survey-manual/5024-fundamental-science-practices-review-approval.
[51] National Oceanic and Atmospheric Administration. NAO 205-1:NOAA records management program[EB/OL].[2021-08-25].https://www.noaa.gov/organization/administration/nao-205-1-noaa-records-management-program.
[52] Managing research data[EB/OL].[2021-08-25].https://www.monash.edu/records-archives/records-management/advice/managing-research-data.
[53] HOLLIS[EB/OL].[2021-08-25].https://hollis.harvard.edu/primo-explore/search?vid=HVD2&sortby=rank&lang=en_US.
[54] 上海光机所科研机构数字档案室建设试点通过国家档案局验收[EB/OL].[2021-08-25].http://www.cas.cn/zkyzs/2021/08/312/yxdt/202108/t20210824_4803065.shtml.
[55] Professor Sam Oh——iSchools past chair[EB/OL].[2021-08-25].https://ischools.org/resources/Documents/iconf%202020/iSchools-Outgoing-Chair-Farewell-Message.pdf.
