"Violation of scientific research ethics" is refined into "obtaining scientific and technological ethics review approval by falsification, or forging or tampering with scientific and technological ethics review approval documents, etc.", and 7 new behaviors are listed as scientific research untrustworthy behaviors, and the division of responsibilities for investigation and handling is refined. ...
On September 14, the official website of the Ministry of Science and Technology announced the full text of the "Rules for the Investigation and Handling of Untrustworthy Behaviors in Scientific Research" (hereinafter referred to as the "Rules").
The "Rules" will be implemented from the date of promulgation, and the Ministry of Science and Technology and the Chinese Academy of Social Sciences are responsible for interpretation. The "Rules for Investigation and Handling of Scientific Research Integrity Cases (Trial)" (Guo Ke Fa Jian [2019] No. 323) shall be repealed at the same time.
Twenty-two departments including the Ministry of Science and Technology issued a notice on the issuance of the "Rules for the Investigation and Handling of Untrustworthy Behaviors in Scientific Research", stating that in order to implement the Law of the People's Republic of China on the Advancement of Science and Technology and other laws and regulations, and to further standardize the investigation and handling of untrustworthy conduct in scientific research, the Ministry of Science and Technology, together with scientific research The member units of the Joint Conference on Integrity Construction have revised the "Rules for Investigation and Handling of Scientific Research Integrity Cases (Trial)".
In 2007, in order to implement Order No. 11 of the Ministry of Science and Technology - "Measures for Handling Scientific Research Misconduct in the Implementation of National Science and Technology Plans (Trial)", the Ministry of Science and Technology, Ministry of Education, Chinese Academy of Sciences, Chinese Academy of Engineering, National Natural Science Foundation of China, China Science and Technology The association and other six departments and units decided to establish a joint meeting system for scientific research integrity construction departments. On the afternoon of March 28, 2007, the first meeting of the Joint Conference on Scientific Research Integrity Construction was held.
According to the "Notice on Printing and Distributing the "Rules for the Investigation and Handling of Scientific Research Integrity Cases (Trial)" dated September 25, 2019, it can be seen that compared with three years ago, the member units of the Joint Conference on Scientific Research Integrity Construction have newly added two departments: the State-owned Assets Supervision and Administration Commission of the State Council, National Defense Science and Industry Bureau .
The Ministry of Science and Technology, the Central Propaganda Department, the Supreme People's Court, the Supreme People's Procuratorate, the National Development and Reform Commission, the Ministry of Science and Technology, the Central Propaganda Department, the Supreme People's Court, the Supreme People's Procuratorate, the National Development and Reform Commission Commission, Ministry of Education, Ministry of Industry and Information Technology, Ministry of Public Security, Ministry of Finance, Ministry of Human Resources and Social Security, Ministry of Agriculture and Rural Affairs, National Health Commission, State-owned Assets Supervision and Administration Commission of the State Council, State Administration for Market Regulation, Chinese Academy of Sciences, Academy of Social Sciences, Academy of Engineering, Natural Sciences Fund Committee, National Defense Science and Industry Bureau, China Association for Science and Technology, Equipment Development Department of the Central Military Commission, and Science and Technology Committee of the Central Military Commission.
The "Rules" show that investing in papers or project application and acceptance materials, buying and selling experimental research data, signing without substantial academic contributions, repeating publications, citing literature unrelated to the content of the paper, requiring authors to cite specific literature unnecessarily, etc. violate academic publishing norms. 7 kinds of behaviors, including behaviors, were newly listed as untrustworthy behaviors in scientific research.
The "Rules" reiterate that the measures to deal with the untrustworthy conduct of the investigated person include "cancelling the title of academician and other high-level experts that have been obtained".
The "Rules" stipulate that if the person under investigation for dishonest conduct in scientific research is a natural person, the unit where he is under investigation is generally responsible for the investigation and handling; if there is no unit where he is located, the science and technology administrative department or the unit responsible for the establishment of scientific research integrity in philosophy and social sciences is responsible for it. Organise investigations.
According to Science and Technology Daily, Dai Guoqing, director of the Department of Science and Technology Supervision and Integrity Construction of the Ministry of Science and Technology, said that this provides a unified standard for various departments and localities to investigate and deal with dishonest behavior in scientific research, and forms more detailed and operational rules for investigation and handling. .
The full text of the "Rules for Investigation and Handling of Untrustworthy Behaviors in Scientific Research" is attached:
Rules for the investigation and handling of untrustworthy conduct in scientific research
Chapter 1 General Provisions
Article 1 In order to standardize the investigation and handling of untrustworthy conduct in scientific research, implement the spirit of the "Several Opinions on Further Strengthening the Construction of Scientific Research Integrity" issued by the General Office of the CPC Central Committee and the General Office of the State Council. Law, etc., to formulate these rules.
Article 2 The untrustworthy conduct of scientific research mentioned in these rules refers to the conduct that violates the norms and norms of scientific research conduct in scientific research and related activities, including:
(1) Plagiarism, misappropriation of research results or project applications of others;
(2) Fabricating the research process, forging research results, buying and selling experimental research data, forging or tampering with experimental research data, charts, conclusions, test reports or user reports, etc.;
(3) Buying, selling, writing, investing papers or project declaration and acceptance materials, etc., fictitious peer review experts and review opinions;
(4) Obtaining the approval of scientific research activities, obtaining scientific research projects (special projects, funds, etc.), scientific research funds, awards, honors, professional titles, etc. ;
(5) Obtaining scientific and technological ethics review approval by falsifying, or forging or tampering with scientific and technological ethics review approval documents, etc.;
(6) No substantial academic contribution signature, etc. violating the signature norms of papers, awards, patents, etc.;
(7) Repeated publication, citing literature unrelated to the content of the paper, requiring authors to cite specific literature unnecessarily, and other acts that violate academic publishing norms;
(8) Other untrustworthy conduct in scientific research.
The acts of plagiarism, forgery, falsification, and repeated publication mentioned in these rules shall be determined in accordance with academic publishing norms and relevant industry standards.
Article 3 Relevant competent departments and institutions of higher learning, scientific research institutions, medical and health institutions, enterprises, social organizations and other units shall not accommodate and cover up untrustworthy conduct in scientific research, and no unit or individual shall obstruct or interfere with the investigation and handling of untrustworthy conduct in scientific research.
Article 4 The parties and witnesses of untrustworthy conduct in scientific research shall actively cooperate with the investigation, truthfully explain the situation and provide evidence, and shall not forge, tamper, conceal, or destroy evidence materials.
Chapter II Division of Responsibilities
Article 5 The Ministry of Science and Technology and the Chinese Academy of Social Sciences are respectively responsible for coordinating the investigation and handling of untrustworthy scientific research in the fields of natural sciences and philosophy and social sciences. If the untrustworthy conduct of scientific research has caused widespread public concern or involves multiple departments (units), a joint investigation and handling may be organized or different departments (units) may be coordinated to conduct separate investigations and handling.
The competent department is responsible for guiding and supervising the investigation and handling of untrustworthy conduct in scientific research within this system, establishing and improving the information reporting mechanism for major scientific research untrustworthy incidents, and may independently organize investigations and handling of untrustworthy conduct in scientific research that occurs in this system.
Article 6: If the person under investigation for dishonest conduct in scientific research is a natural person, the unit where he is under investigation is generally responsible for the investigation and handling; if there is no unit where he is located, the science and technology administrative department or the unit responsible for the establishment of scientific research integrity in philosophy and social sciences is responsible for organizing the investigation. deal with. If the investigation involves the untrustworthy conduct of scientific research carried out by the person under investigation in another institution where he worked or studied, the unit involved shall actively cooperate with the investigation and handling and promptly send the investigation and handling information to the unit where the person under investigation belongs. The lead investigation unit shall, in accordance with the requirements of these rules, be responsible for reviewing and checking the investigation procedures and handling standards of other participating investigation units.
If the person under investigation is the main person in charge of the unit or a legal person or an unincorporated organization, the superior competent department is responsible for organizing the investigation and handling. If there is no higher-level competent department, the science and technology administrative department or the unit responsible for the establishment of scientific research integrity in philosophy and social sciences is responsible for organizing investigation and handling.
Article 7 The untrustworthy conduct of scientific research in the application, review, implementation, conclusion, and results release of scientific and technological plan (special projects, funds, etc.) projects funded by financial funds shall be subject to the scientific and technological plan (special projects, funds, etc.) project management department ( unit) is responsible for organizing the investigation and handling. Project application recommending units, project undertaking units, project participating units, etc. shall, in accordance with the requirements of the project management department (unit), take the initiative to carry out and actively cooperate with the investigation, and deal with those responsible for violations according to their duties and powers.
Article 8 For scientific research untrustworthy acts in scientific and technological awards and scientific and technological talent declarations, the scientific and technological awards and scientific and technological talent management departments (units) are responsible for organizing investigations, and correspondingly deal with them according to their management responsibilities and authorities. Science and technology awards, science and technology talent recommendation (nomination) units and application units should actively cooperate and take the initiative to carry out investigation and handling.
Article 9 The untrustworthy conduct of scientific research in the publication of the paper shall be investigated and dealt with by the first signing unit of the first corresponding author; if there is no corresponding author, the first signing unit of the first author shall lead the investigation and handling. If the author's authorship unit is inconsistent with the author's unit, the author's unit shall lead the investigation and handling, and the authorship unit shall actively cooperate. The unit of the other authors of the paper should actively cooperate with the lead investigation unit, do a good job in the investigation and handling of the author of the unit, and promptly report the investigation and handling situation to the lead investigation unit in writing.
Where a dissertation is suspected of dishonest conduct in scientific research, the degree-granting unit shall be responsible for investigation and handling.
The journal or publishing unit that publishes the paper is obliged to cooperate with the investigation, and should take the initiative to investigate whether the paper violates the requirements of scientific research integrity, and should promptly provide relevant clues, investigation conclusions, handling decisions and other written feedback to the lead investigation unit and the author's unit.
Article 10: Relevant units with responsibility for investigation and handling of untrustworthy conduct in scientific research shall specify the institution that undertakes the responsibility for investigation and handling, and is responsible for registration, acceptance, investigation, handling, and re-examination.
Chapter III Investigation
Section 1 Reporting and Acceptance
Article 11 Reporting untrustworthy conduct in scientific research can be done through the following channels:
(1) Reporting to the unit where the person being reported is located;
(2) Reporting to the higher-level competent department or the relevant management department of the unit where the reported person belongs;
(3) Reporting to the management departments (units) of scientific and technological plans (special projects, funds, etc.), scientific and technological awards, and scientific and technological talent plans;
(4) Reporting to the journal or publishing unit that published the paper;
(5) Other ways.
Article 12 To report untrustworthy conduct in scientific research, the following conditions shall be met at the same time:
(1) There is a clear object of reporting;
(2) The reported content falls within the scope specified in Article 2 of these Rules;
(3) There are clear facts of violation;
(4) There are objective and clear evidence materials or verifiable clues.
Real-name reports are encouraged, and no fabrication or distortion of facts, or false accusations or framing of others.
Article 13 Reports under any of the following circumstances shall not be accepted:
(1) The content of the report does not fall within the scope specified in Article 2 of these Rules;
(2) There is no clear evidence and verifiable clues;
(3) Repeated reports to the same object without new evidence or clues;
(4) An effective handling decision has been made and there is no new evidence or clue.
Article 14 The unit that receives the report shall put forward an opinion on whether to accept the report within 15 working days and notify the real-name whistleblower, and shall explain the situation if it is not accepted. Those that meet the provisions of Article 12 of these rules and fall within the scope of the unit's responsibilities shall be accepted; those that do not fall within the scope of the unit's responsibilities may be transferred to the relevant responsible unit or inform the whistleblower to report to the relevant responsible unit.
The whistleblower can raise an objection to the rejection and explain the reasons; if the objection is not established, it will not be accepted.
Article 15: If the following clues of untrustworthy conduct in scientific research meet the acceptance conditions, relevant units should take the initiative to accept them, and the competent department should strengthen supervision.
(1) Clues transferred by higher-level organs or relevant departments;
(2) Problems and clues found in daily scientific research management activities or in scientific and technological planning (special projects, funds, etc.) projects, scientific and technological awards, and management of scientific and technological talents;
(3) Clues disclosed by the media, journals or publishing units.
Section 2 Investigation
Article 16 An investigation plan shall be formulated for the investigation, specifying the investigation content, personnel, methods, schedule, safeguard measures, work discipline, etc., and shall be implemented after approval by the relevant person in charge of the unit.
Article 17 The investigation shall include administrative investigation and academic evaluation. The administrative investigation is organized by the unit to investigate the relevant facts, including the verification and verification of the relevant original experimental data, agreements, invoices and other supporting materials, as well as the research process and profitability. Academic evaluation is entrusted by the unit to the academic (degree, title) committee of the unit or an expert group formed as needed to review the academic issues involved. The expert group should be no less than 5 people, and it should be composed of scientific and technological experts, management experts, scientific research integrity experts, and scientific and technological ethics experts in related fields as needed.
Article 18 If the investigation requires interviews with persons under investigation, witnesses, etc., there shall be no less than two investigators involved in the interviews. The contents of the interviews shall be recorded in writing, and shall be signed and confirmed by the interviewer and the interviewee, and may be recorded after the notification procedure is performed. , video.
Article 19 Investigators may access, excerpt, and copy relevant materials in accordance with regulations and procedures, and inspect relevant laboratories and equipment on site. The access to relevant materials shall be recorded in writing, signed and confirmed by the investigator and the manager of the materials and equipment, and returned to the manager after the investigation is completed.
Article 20 During the investigation, the statement and defense of the person under investigation shall be heard, and the relevant facts, reasons and evidence shall be verified. Whistleblowers can be required to provide supplementary materials as needed, repeated experiments can be carried out or a third-party institution can be entrusted to independently conduct tests, assessments or evaluations if necessary, and with the consent of the informant, the informant can be organized to conduct face-to-face cross-examination on relevant academic issues with the person under investigation. Evidence collection by threat, inducement, deception and other illegal means is strictly prohibited.
Article 21 If it is found during the investigation that the behavior of the person under investigation may affect public health and safety or cause other serious consequences, the investigator shall report it immediately, or transfer it to the relevant department for handling according to procedures.
Article 22 If a third-party intermediary service agency is found during the investigation to be suspected of engaging in the buying and selling, writing, and investment services of papers and their experimental research data, scientific and technological plans (special projects, funds, etc.) The competent department shall investigate and deal with it in accordance with laws and regulations.
Article 23 If it is found during the investigation that the key information is insufficient or the investigation conditions are not met temporarily, the investigation may be suspended upon approval by the relevant person in charge of the unit. After the reasons for the suspension of the investigation are eliminated, the investigation shall be resumed in a timely manner, and the suspension time shall not be counted in the investigation time limit.
If the person under investigation dies during the investigation, the investigation will be terminated, but the investigation of other persons involved will not be affected.
Article 24 An investigation report shall be formed upon the conclusion of the investigation. The investigation report shall include the source of clues, the content of the report, the investigation organization, the investigation process, the determination of facts and the confirmation of the relevant parties, the investigation conclusion, the handling opinions and suggestions and the basis, and the evidence materials shall be attached. The investigation report must be signed by all investigators. Generally, within 15 working days after the investigation report is formed, the relevant investigation and handling shall be notified in writing to the participating units or other units with handling authority.
If a supplementary investigation is required, an investigation report shall be re-formed according to the supplementary investigation.
Article 25 The investigation and handling of untrustworthy conduct in scientific research shall be completed within 6 months from the date of acceptance of the decision.
If the investigation cannot be completed within the time limit specified in the preceding paragraph due to particularly serious and complicated reasons, the investigation time limit may be extended with the approval of the person in charge of the unit, and the extension time generally does not exceed 6 months. For those transferred by higher-level agencies and relevant departments, the investigation delay shall be reported to the transferring agency or department.
Chapter 4 Handling
Article 26 After the facts, circumstances, and nature of the person under investigation's untrustworthy conduct in scientific research are finally determined, the unit with the handling authority will make a decision on the person under investigation according to procedures.
Article 27 Before a decision on handling is made, the person under investigation shall be informed in writing of the facts and basis for the decision to be handled, and be informed of the rights to make statements and defenses in accordance with the law. If the person under investigation fails to make a statement or defense within the time limit, it shall be regarded as a waiver of rights. If the person under investigation makes a statement or defense, his opinion shall be fully listened to.
Article 28 The handling decision shall specify the following contents:
(1) The basic information of the person being processed (including name, ID number or social credit code, etc.);
(2) The facts and evidences identified;
(3) Processing decision and basis;
(4) Remedy channels and time limit;
(5) Other contents that should be specified.
The unit that makes the handling decision is responsible for delivering a written handling decision to the person being handled and informs the real-name whistleblower. If there is a lead investigation unit, the handling decision shall be sent to the lead investigation unit at the same time. For those transferred by higher-level organs and relevant departments, the handling decision and investigation report shall be submitted to the transferring unit.
Article 29 Types of treatment measures:
(1) The scientific research integrity admonition talk;
(2) Public notification within a certain range;
(3) Suspend scientific and technological activities supported by financial funds such as scientific and technological plans (special projects, funds, etc.), and rectify within a time limit;
(4) Terminate or revoke scientific and technological activities supported by financial funds such as scientific and technological plans (special projects, funds, etc.) obtained by using untrustworthy conduct in scientific research, recover the balance funds, and recover the allocated financial funds;
(5) Prohibition of undertaking or participating in scientific and technological activities supported by financial funds such as scientific and technological plans (special projects, funds, etc.) for a certain period of time;
(6) Revoke relevant academic awards, honors, etc. obtained by using dishonest conduct in scientific research and recover bonuses, and revoke professional titles obtained by using dishonest conduct in scientific research;
(7) Cancellation of qualifications for applying for or applying for scientific and technological awards, titles of scientific and technological talents, and promotion of professional titles within a certain period of time;
(8) Cancellation of the titles of high-level experts such as academicians that have been obtained, the membership or membership of academic groups such as societies, associations, research societies, and academic work institutions such as academic and degree committees;
(9) Disqualification as a nominee or recommender, nominated or recommended person, review expert, etc. within a certain period of time;
(10) Reducing the enrollment for a certain period of time, suspending the enrollment of postgraduates until the qualification of postgraduate tutors is cancelled;
(11) Postponing the award of degrees;
(12) Not conferring degrees or withdrawing degrees;
(13) Recorded in the database of serious dishonesty in scientific research integrity;
(14) Other processing.
The above treatment measures can be used in combination. Those who are dealt with in items 5, 7, 9, and 10 of the preceding paragraph shall be dealt with in item 13 of the preceding paragraph at the same time. If the person being dealt with is a party member or a public official, it shall also be dealt with or punished by an agency with jurisdiction in accordance with the Regulations of the Communist Party of China on Disciplinary Action and the Law of the People's Republic of China on Governmental Punishment of Public Officials; other applicable organizations shall deal with or deal with it. If they are found, they shall be dealt with or punished by the competent authority in accordance with regulations, disciplines and laws. Constitute a crime, be held criminally responsible.
Article 30 The following factors shall be considered in the determination of the seriousness of the untrustworthy conduct of scientific research:
(1) The extent to which the behavior deviates from the accepted code of conduct in the scientific and technological circles;
(2) Whether there is any act of falsifying, deceiving, destroying or hiding evidence, interfering with or obstructing the investigation, or attacking or retaliating against the whistleblower;
(3) The extent to which the behavior has caused adverse effects;
(4) Whether the act occurred for the first time or occurred repeatedly;
(5) The perpetrator's attitude towards the investigation and handling;
(6) Other factors to be considered.
Article 31 If a relevant institution or unit systematically commits untrustworthy conduct in scientific research, or shirks the blame, covers up, or retaliates against whistleblowers, witnesses, or investigators in the course of investigation and handling, the competent department shall, in accordance with relevant laws and regulations, revoke the institution or The relevant interests and honors obtained by the unit will be publicly notified, the appropriation will be suspended or the balance of funds will be recovered, the financial funds that have already been allocated will be recovered, and it will be prohibited to undertake or participate in scientific and technological activities supported by financial funds within a certain period of time. Article 29 of these rules According to the relevant regulations, the main responsible person and the directly responsible person shall be held accountable.
Article 32 Where it is determined through investigation that there is untrustworthy conduct in scientific research, the following punishments shall be given depending on the seriousness of the circumstances:
(1) If the circumstances are relatively minor, the first, third and eleventh items of Article 29 of these Rules shall be dealt with accordingly;
(2) If the circumstances are more serious, the second, fourth to tenth, twelfth, and thirteenth items of Article 29 of these Rules shall be dealt with accordingly. If the period of cancellation or prohibition is involved, the period shall be 3 within a year;
(3) If the circumstances are serious, the second, fourth to tenth, twelfth, and thirteenth items of Article 29 of these rules shall be dealt with accordingly. If the period of cancellation or prohibition is involved, the period shall be from 3 to 10. 5 years;
(4) If the circumstances are particularly serious, the second, fourth to tenth, twelfth, and thirteenth items of Article 29 of these Rules shall be dealt with accordingly. If the period of cancellation or prohibition is involved, the period shall be 5 years or more.
If there is one of the circumstances specified in Article 2, Item 1 to Item 5 of these Rules, the handling shall not be lower than the standard specified in Item 2 of the preceding paragraph.
Article 33 The person who has been dealt with in items 2, 3, and 4 of Article 32 of these rules is declaring scientific and technological activities supported by financial funds or is being recommended as a relevant candidate, nominee, recommender, etc. , the application qualification or the nomination or recommendation qualification will be terminated.
Article 34 Under any of the following circumstances, it may be dealt with leniently:
(1) There is evidence showing that the act was negligent and did not cause a major impact;
(2) The degree of fault is relatively minor and they can actively cooperate with the investigation;
(3) Taking the initiative to correct mistakes, recover losses or effectively prevent the occurrence of harmful results before investigation and handling;
(4) Taking the initiative to admit mistakes during the investigation, and publicly promise to strictly abide by the requirements of scientific research integrity, and not to commit any dishonest behavior in scientific research.
If the author of the paper voluntarily withdraws the manuscript before being reported and does not cause a great negative impact, it can be given a lighter or exempted treatment.
Article 35 Any of the following circumstances shall be dealt with severely:
(1) Forging, tampering, concealing or destroying evidence;
(2) Obstructing others from providing evidence, or interfering with or obstructing investigation and verification;
(3) Attacking or retaliating against whistleblowers, witnesses or investigators;
(4) There is a transfer or exchange of interests;
(5) Conducting untrustworthy conduct in scientific research in an organized manner;
(6) Conducting multiple scientific research dishonest acts or having multiple scientific research dishonest acts at the same time;
(7) The evidence is conclusive and the facts are clear, but it refuses to admit mistakes.
Article 36 According to these rules, if the person to be dealt with is recorded in the database of serious untrustworthy conduct in scientific research, and the decision to deal with is made by the relevant unit at the provincial level or below, the unit that makes the decision should make the decision within 10 working days after the decision takes effect. Submit the handling decision and investigation report to the superior competent department and the local provincial science and technology administrative department. Provincial science and technology administrative departments should submit data and information on serious untrustworthy conduct in scientific research through the scientific research integrity management information system within 10 working days from the date of receipt, and submit the handling decision and investigation report to the Ministry of Science and Technology.
If the processing decision is made by a department of the State Council and its subordinate (including management) unit, the department shall submit the data and information on serious untrustworthy conduct in scientific research integrity through the scientific research integrity management information system within 10 working days after the processing decision takes effect, and will process it. The decision and investigation report shall be submitted to the Ministry of Science and Technology.
Article 37 Relevant departments and localities shall implement joint disciplinary action against relevant persons who are recorded in the database of seriously untrustworthy conduct in scientific research in accordance with laws and regulations.
Article 38 If the untrustworthy conduct of the person being dealt with involves scientific and technological plans (special projects, funds, etc.) projects, scientific and technological awards, scientific and technological talents, etc., the investigation and handling unit shall submit the handling decision and the investigation report to the scientific and technological plan (special projects, funds, etc.) at the same time. etc.) projects, scientific and technological awards, scientific and technological talent management departments (units). The scientific and technological plan (special projects, funds, etc.) projects, scientific and technological awards, and scientific and technological talent management departments (units) shall deal with the person to be dealt with within the scope of their duties based on the verified untrustworthy conduct of scientific research, and prepare a letter of treatment decision, which shall be delivered to the person to be dealt with. people and their units.
Article 39 For those who have not been found to have untrustworthy conduct in scientific research after investigation, the investigation unit shall clarify in a timely manner in an appropriate manner.
Where the whistleblower fabricates and distorts the facts, falsely accuses and frames others, the unit where the whistleblower works shall deal with the whistleblower seriously in accordance with relevant regulations.
Article 40 After the handling decision takes effect, if the person to be handled publicly makes a commitment through national media to strictly abide by the requirements of scientific research integrity, not to carry out the untrustworthy conduct of scientific research, or to make significant contributions to the country and society, the unit that made the handling decision may The person being processed applies for mitigation of its processing.
Chapter V Appeal Review
Article 41 If the whistleblower or the person to be dealt with is dissatisfied with the handling decision, he or she may, within 15 working days from the date of receipt of the handling decision, follow the relief channels specified in the handling decision to the unit or unit that made the investigation and handling decision. The department submits a written appeal, stating the reasons and providing relevant evidence or clues.
The investigation and handling unit (department) shall make a decision on whether to accept the appeal and inform the complainant within 15 working days from the date of receipt of the appeal, and shall explain the situation if it is not accepted.
If it is decided to accept, an investigation team will be organized or a third-party agency will be entrusted to carry out a review in accordance with the investigation procedures of these rules, and feedback the review results to the complainant.
Article 42 If the whistleblower or the person being dealt with is dissatisfied with the results of the review, he may file a written appeal to the superior competent department of the investigation and handling unit. The appeal must have clear reasons and provide sufficient evidence. Those who are not satisfied with the review result made by the State Council department shall file a written appeal to the State Council department that made the review result.
The superior competent department shall make a decision on whether to accept the appeal within 15 working days from the date of receipt of the appeal. If the complaint is only based on dissatisfaction with the investigation and handling results and the review results, other reasons cannot be provided and sufficient evidence is provided, or the complaint is filed with the same facts and reasons, it will not be accepted. If it is decided to accept, a review shall be organized, and the review result shall be the final result.
Article 43 A review and review opinion letter shall be prepared for review and review, and a clear reply shall be given to the reasons raised by the complainant. In principle, the review and review should be completed within 90 working days from the date of acceptance.
Chapter VI Guarantee and Supervision
Article 44 Personnel participating in the investigation and handling work shall uphold objectivity and impartiality, abide by work discipline, and take the initiative to accept supervision. It is necessary to sign a non-disclosure agreement, not to keep, conceal, excerpt, copy or disclose the clues and investigation materials without permission, and not to disclose or publicize the investigation and handling work without permission.
Confidential procedures should be followed when entrusting third-party agencies to conduct investigations, tests, evaluations or evaluations.
Article 45 The investigation and handling shall strictly implement the recusal system. Personnel participating in the investigation and handling of untrustworthy conduct in scientific research shall sign a recusal statement. The person under investigation or the close relatives of the whistleblower, the witnesses of the case, the interested parties, those who have research cooperation or relationship between teachers and students, or other circumstances that may affect the impartial investigation and handling, shall not participate in the investigation and handling, and shall apply for recusal. The person under investigation and the whistleblower have the right to request their recusal.
Article 46 Investigation and handling shall protect the legitimate rights and interests of whistleblowers, whistleblowers, witnesses, etc., shall not disclose relevant information, and shall not transfer whistleblowing materials to stakeholders such as whistleblowers or whistleblowers. Those who solicit and accept bribes, violate the confidentiality and avoidance system, or leak information during the investigation and handling process shall be dealt with seriously in accordance with laws and regulations.
Article 47: Institutions of higher learning, scientific research institutions, medical and health institutions, enterprises, social organizations, etc. are the primary responsible subjects for the investigation and handling of untrustworthy conduct in scientific research, and should establish and improve supporting systems related to investigation and handling, and refine the acceptance of reports and untrustworthy conduct in scientific research. Identification standards, investigation and handling procedures and operating procedures, etc., clarify the division of responsibilities between the unit's scientific research integrity leader and internal institutions, ensure work funds, strengthen training and guidance for relevant personnel, and focus on early and small, and give full play to employment contracts (labor contracts), scientific research The role of integrity pledges and research data management policies in safeguarding the legitimacy of investigation procedures.
Article 48 Where institutions of higher learning, scientific research institutions, medical and health institutions, enterprises, social organizations, etc. fail to perform their duties to investigate and deal with untrustworthy conduct in scientific research, the competent department shall order them to make corrections. Those who refuse to make corrections shall be held accountable according to laws and regulations.
Article 49 The Ministry of Science and Technology and the Chinese Academy of Social Sciences shall strengthen information reporting and disclosure of major scientific research breaches in the fields of natural sciences, philosophy and social sciences.
All member units and localities of the Joint Conference on Scientific Research Integrity Building shall strengthen coordination and cooperation in the investigation and handling of untrustworthy conduct in scientific research, mutual recognition of results, information sharing, and joint disciplinary action.
Chapter VII Supplementary Provisions
Article 50 The meanings of the following terms in these Rules:
(1) Buying and selling experimental research data refers to obtaining experimental research data by paying a third-party intermediary service agency or others without actually conducting experimental research. Entrusting a third party to carry out inspection, testing, and laboratory testing to obtain inspection, testing, and laboratory data, and entrusting a third party to conduct experiments in accordance with the experimental plan provided by the entrusting party to obtain original experimental records and data, and obtain third-party survey statistics through legal channels or Relevant public database data does not belong to trading experimental research data.
(2) Proxy investment means that the process of paper submission, review comments and other processes is not completed by the author of the paper but by a third-party intermediary service agency or others.
(3) Substantial academic contribution refers to making important contributions to research ideas, design, analysis and interpretation of experimental research data, etc., drafting papers or making key revisions to important intellectual content, and finalizing the version to be published. Wait.
(4) The unit where the person under investigation is located refers to the unit where the person under investigation has labor and personnel relations at the time of the investigation. If the person under investigation is a student, the investigation and handling shall be handled by the unit where the student is registered.
(5) Mild treatment refers to giving a lighter treatment within the scope of punishment for dishonest conduct in scientific research stipulated in these rules.
(6) Heavier handling refers to giving heavier handling within the scope of punishment for untrustworthy conduct in scientific research stipulated in these rules.
The "above" and "within" mentioned in these rules do not include this number, and the so-called "3 to 5 years" include this number.
Article 51 All relevant departments and units may formulate detailed rules in accordance with these Rules and in light of the actual situation.
Article 52: Where the person under investigation for untrustworthy conduct in scientific research is under the management of the military, the military shall investigate and deal with it in accordance with its relevant regulations.
Relevant competent departments have formulated rules for investigating and handling untrustworthy scientific research in their industry, field, and system, and the handling scale is not lower than these rules, and may conduct investigation and handling according to existing rules.
Article 53 These rules shall be implemented from the date of promulgation, and the Ministry of Science and Technology and the Chinese Academy of Social Sciences shall be responsible for interpretation. The "Rules for Investigation and Handling of Scientific Research Integrity Cases (Trial)" (Guo Ke Fa Jian [2019] No. 323) shall be repealed at the same time.
