The Shanghai Science and Technology Commission and the Shanghai Academy of Social Sciences are respectively responsible for coordinating the investigation and handling of scientific research dishonesty in the fields of natural sciences and philosophy and social sciences in Shanghai.
On September 16, the Shanghai Municipal Science and Technology Commission’s WeChat public account issued the “Notice on the Issuance of the “Shanghai Municipal Science and Technology Commission’s Measures for the Investigation and Handling of Untrustworthy Behaviors in Scientific Research”, stating that the Shanghai Municipal Science and Technology Commission, together with relevant departments and units in Shanghai, jointly formulated the “Shanghai Municipal Science and Technology Commission” Measures for the Investigation and Handling of Untrustworthy Conduct in Scientific Research" (referred to as the "Measures").
The "Measures" consist of seven chapters and 54 articles, which will come into effect on the date of promulgation.
The "Measures" stipulate that universities, scientific research institutions, medical and health institutions, enterprises, social organizations, etc. are the first entities responsible for investigating and handling untrustworthy conduct in scientific research.
The Shanghai Science and Technology Commission and the Shanghai Academy of Social Sciences are respectively responsible for coordinating the investigation and handling of scientific research dishonesty in the fields of natural sciences and philosophy and social sciences in Shanghai.
If relevant untrustworthy conduct in scientific research causes widespread public concern or involves multiple departments (units), joint investigation and handling may be organized or different departments (units) may be coordinated to conduct separate investigations and handling.
The aforementioned "Measures" stipulate that if the author of a paper voluntarily withdraws the paper before being reported and does not cause a major negative impact, he may be given a lighter punishment or be exempted from punishment.
The aforementioned "Measures" stipulate that seven types of untrustworthy conduct in scientific research will be dealt with severely : (1) those who forge, tamper with, conceal, or destroy evidence; (2) those who obstruct others from providing evidence, or interfere with or hinder investigation and verification; (3) Attacking or retaliating against whistleblowers, witnesses, or investigators; (4) Conveyance or exchange of interests; (5) Organized conduct of scientific research dishonesty; (6) Repeated conduct of scientific research dishonesty or multiple scientific research conducts at the same time Those who commit breach of trust; (7) The evidence is conclusive and the facts are clear but they refuse to admit their mistakes.
The aforementioned "Measures" stipulate that the investigation and handling of untrustworthy conduct in scientific research in Shanghai should be completed within 60 working days from the date of decision to accept the case. If the investigation cannot be completed within the time limit specified in the preceding paragraph due to particularly serious and complex matters, the investigation period may be extended with the approval of the person in charge of the unit, and the extension time shall generally not exceed 60 working days. For cases transferred by superior authorities and relevant departments, the delay in investigation shall be reported to the transferring authority or department.
In addition, the aforementioned "Measures" stated that if no untrustworthy conduct in scientific research is found after investigation, the investigating unit should promptly clarify it in an appropriate manner. If a whistleblower fabricates, distorts facts, or makes false accusations to frame others, the unit where the whistleblower works shall severely deal with the whistleblower in accordance with relevant regulations.
Relevant units:
In order to implement the "Shanghai Science and Technology Progress Regulations" and other laws and regulations, and further standardize the investigation and handling of untrustworthy conduct in scientific research, in accordance with the "Rules for the Investigation and Handling of Untrustworthy Conduct in Scientific Research" (Guokefajian [2022] No. 221) and other regulations, the Municipal Science and Technology Commission Together with relevant departments and units in this city, we jointly formulated the "Shanghai Measures for the Investigation and Handling of Untrustworthy Behaviors in Scientific Research". It is now issued to you, please comply with it and implement it.
Notice is hereby given.
Municipal Science and Technology Commission
Municipal Party Committee Propaganda Department
Municipal High Court
Municipal Procuratorate
Municipal Development and Reform Commission
Municipal Education Commission
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Municipal Public Security Bureau
Municipal Finance Bureau
Municipal Human Resources and Social Security Bureau
Municipal Agriculture and Rural Affairs Committee
Municipal Health Commission
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Municipal Market Supervision Bureau
Founded by Shanghai Branch
Shanghai Academy of Social Sciences
Municipal Association for Science and Technology
September 12, 2023
Attachment: Measures for Investigation and Handling of Dishonest Conduct in Scientific Research in Shanghai
Chapter 1 General Provisions
Article 1 (Purpose and Basis) In order to implement the spirit of the "Several Opinions on Further Strengthening the Construction of Scientific Research Integrity" by the General Office of the CPC Central Committee and the General Office of the State Council and standardize the investigation and handling of untrustworthy conduct in scientific research in this city, in accordance with the "Shanghai Science and Technology Progress Regulations" ” and “Rules for the Investigation and Handling of Untrustworthy Behavior in Scientific Research” (Guokefajian [2022] No. 221) and other regulations, these measures are formulated.
Article 2 (Scope of Application) The term "scientific research dishonesty" as mentioned in these Measures refers to behaviors that violate the codes of conduct and norms for scientific research that occur during scientific research and related activities, including:
(1) Plagiarism or misappropriation of other people’s research results or project applications;
(2) Fabricating the research process, falsifying 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, ghost-writing, and submitting papers or project application and acceptance materials, etc., and fabricating peer review experts and their opinions;
(4) Obtain approval for scientific research activities, obtain scientific and technological plans (special projects, funds, etc.), scientific research funds, awards, honors, job titles, etc., by intentionally providing false information or other fraudulent means, or by improper means such as solicitation, bribery, or interest exchange. ;
(5) Obtaining science and technology ethics review approval by fraudulent means, or forging or tampering with science and technology ethics review approval documents, etc.;
(6) Signing without substantial academic contribution and other behaviors that violate the signature standards for papers, awards, patents, etc.;
(7) Repeated publication, citing documents irrelevant to the content of the paper, requiring authors to cite specific documents unnecessarily, and other violations of academic publishing standards;
(8) Other acts of scientific research dishonesty.
Plagiarism, forgery, tampering, duplicate publication and other behaviors referred to in these Measures are determined in accordance with academic publishing standards and relevant industry standards.
Chapter 2 Division of Responsibilities
Article 3 (Division of Responsibilities) The Shanghai Municipal Science and Technology Commission (hereinafter referred to as the “Municipal Science and Technology Commission”) and the Shanghai Academy of Social Sciences (hereinafter referred to as the “Shanghai Academy of Social Sciences”) are respectively responsible for coordinating scientific research in the fields of natural sciences, philosophy and social sciences in this city. Behavioral investigation and handling work. If relevant untrustworthy conduct in scientific research causes widespread public concern or involves multiple departments (units), 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 scientific research dishonesty in this system, establishing and improving the information reporting mechanism for major scientific research dishonesty incidents, and can independently organize the investigation and handling of scientific research dishonesty that occurs in this system.
Universities, scientific research institutions, medical and health institutions, enterprises, social organizations, etc. are the first entities responsible for investigating and handling untrustworthy conduct in scientific research.
Article 4 (Subject of Investigation) If the person under investigation for untrustworthy conduct in scientific research is a natural person, the unit where he or she works when being investigated is generally responsible for the investigation and handling; if there is no unit where the person works, the Municipal Science and Technology Commission or the Shanghai Academy of Social Sciences shall be responsible for organizing the investigation and handling. If the investigation involves scientific research dishonesty committed by the person under investigation in other units where he or she worked or studied, the units involved should actively cooperate in the investigation and handling and send the investigation and handling results to the unit where the person under investigation is working in a timely manner. The leading investigation unit shall be responsible for reviewing and checking the investigation procedures and handling standards of other participating investigation units in accordance with the requirements of these Measures.
If the person under investigation is the main person in charge of the unit or a legal person or unincorporated organization, the superior department shall be responsible for organizing the investigation and handling. If there is no superior authority, the Municipal Science and Technology Commission or the Shanghai Academy of Social Sciences will be responsible for organizing the investigation and handling.
Article 5 (Subject of Project Investigation) Scientific research untrustworthy conduct in the application, review, implementation, finalization, results release and other activities of science and technology plans (special projects, funds, etc.) funded by fiscal funds shall be investigated by the science and technology plans (special projects, funds, etc.) etc.) The project management department (unit) is responsible for organizing the investigation and processing. Project application recommending units, project undertaking units, project participating units, etc. should proactively carry out and actively cooperate with investigations in accordance with the requirements of the project management department (unit), and deal with those responsible for violations according to their responsibilities and authority.
Article 6 (Subjects of Investigation into Science and Technology Awards and Science and Technology Talents) The science and technology awards and science and technology talents management departments (units) are responsible for organizing investigations into untrustworthy conduct in scientific research during the application of science and technology awards and science and technology talents, and make corresponding handling according to the management responsibilities and authority. Science and technology awards, science and technology talent recommendation (nomination) units and application units should actively cooperate and proactively carry out investigations and handling.
Article 7 (Subject of investigation for paper publication) Any untrustworthy behavior in scientific research during paper publication 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 corresponding author shall take the lead in investigation and handling. If the author's signature unit is inconsistent with his/her unit, his/her unit shall take the lead in investigation and handling, and the author's signature unit shall actively cooperate. The institutions where other authors of the paper work should actively cooperate with the leading investigating unit, investigate and handle the authors of their own units, and promptly provide written feedback to the leading investigating unit on the investigation and handling status.
If a dissertation is suspected of scientific research dishonesty, the degree-granting unit shall be responsible for investigation and handling.
The journal or publishing unit that published the paper is obliged to cooperate in the investigation. It should take the initiative to investigate whether the paper violates the requirements of scientific research integrity, and should promptly provide written feedback such as relevant clues, investigation conclusions, processing decisions, etc. to the investigating unit and the author's unit.
Article 8 (Responsibilities of Investigating Units) Relevant units responsible for investigating and handling untrustworthy conduct in scientific research should clarify the organization responsible for the investigation and handling of the unit, which is responsible for registration, acceptance, transfer, investigation, processing, review, etc.
No unit or individual may accommodate or cover up untrustworthy conduct in scientific research, or obstruct or interfere with the investigation and handling of untrustworthy conduct in scientific research.
Article 9 (Cooperating with Investigations) Parties and witnesses involved in untrustworthy conduct in scientific research shall actively cooperate with investigations, truthfully explain the situation, provide evidence, and shall not forge, tamper with, conceal, or destroy evidence materials.
Chapter 3 Investigation
Article 10 (Reporting Channels) Reporting untrustworthy conduct in scientific research can be carried out through the following channels:
(1) Report to the unit where the person being reported works;
(2) Report to the superior authority or relevant management department of the unit where the person being reported works;
(3) Report to the management departments (units) of science and technology plans (special projects, funds, etc.) projects, science and technology awards, science and technology talent plans, etc.;
(4) Report to the journal or publishing unit where the paper was published;
(5) Other ways.
Article 11 (Conditions for Acceptance) Reporting of untrustworthy conduct in scientific research should meet the following conditions at the same time:
(1) There is a clear target for reporting;
(2) The content of the report falls within the scope stipulated in Article 2 of these Measures;
(3) There are clear violations;
(4) There is objective and clear evidence material or verifiable clues.
Real-name reporting is encouraged, and no fabrication or distortion of facts is allowed, and no false accusation or frame-up of others is allowed.
Article 12 (Not Acceptable) Reports that fall under any of the following circumstances will not be accepted:
(1) The content of the report does not fall within the scope of Article 2 of these Measures;
(2) There is no clear evidence or verifiable clues;
(3) Repeated reports on the same subject without new evidence or clues;
(4) An effective decision has been made and there is no new evidence or clues.
Article 13 (Response to Acceptance) The unit that receives the report should provide an opinion on whether to accept the report within 15 working days and notify the real-name reporter. If it does not accept the report, it should explain the situation. If it complies with the provisions of Article 11 of these Measures and falls within the scope of the unit's responsibilities, it shall be accepted; if it does not fall within the scope of the unit's responsibilities, it may be transferred to the relevant responsible unit or the whistleblower may be informed to report to the relevant responsible unit.
If any transfer involving untrustworthy conduct in scientific research is carried out through channels such as letters and visits and complies with the provisions of Article 11 of these Measures, these Measures will apply. The petition acceptance department will inform the whistleblower of the transfer status.
The whistleblower may raise an objection to the rejection and explain the reasons; if the objection is not established, the report will not be accepted.
Article 14 (Proactive Acceptance) If the following clues about untrustworthy conduct in scientific research meet the conditions for acceptance, the relevant units should take the initiative to accept them, and the competent authorities should strengthen supervision and inspection.
(1) Clues transferred by superior authorities or relevant departments;
(2) Clues to problems discovered in daily scientific research management activities or in science and technology plans (special projects, funds, etc.) projects, science and technology awards, science and technology talent management, etc.;
(3) Clues disclosed by media, journals or publishing units.
Article 15 (Investigation Plan) An investigation plan shall be formulated to clarify 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 16 (Administrative Investigation and Academic Review) The investigation shall include administrative investigation and academic review. The administrative investigation is organized by the unit to investigate relevant facts and circumstances, including verification of relevant original experimental data, agreements, invoices and other supporting materials, research processes, profitability, etc. For academic evaluation, the unit entrusts its academic (degree, professional title) committee or an expert group to form an expert group as needed to evaluate the academic issues involved. The expert group should be no less than 5 people, of which the number of experts from foreign institutions should account for more than half of the total number of expert groups. They should be composed of peer scientific and technological experts, management experts, scientific research integrity experts, scientific and technological ethics experts, etc. in relevant fields as needed.
Article 17 (Investigation Interview) If the investigation requires interviews with the person under investigation, witnesses, etc., the number of investigators participating in the interview shall not be less than 2. The content of the interview shall be recorded in writing and confirmed by the signatures of the interviewer and the person being interviewed. Audio and video can be recorded after the program.
Article 18 (Acquisition of Information) Investigators may access, extract, and copy relevant information in accordance with regulations and procedures, and inspect relevant laboratories and equipment on-site. Access to relevant information should be recorded in writing, signed and confirmed by the investigators and the information and equipment manager, and returned to the manager after the investigation is completed.
Article 19 (Investigation and Verification) 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. The whistleblower can be asked to provide additional materials as needed. If necessary, repeated experiments can be carried out or a third-party agency can be entrusted to independently conduct testing, evaluation or evaluation. With the whistleblower's consent, the whistleblower and the person under investigation can be organized to face-to-face cross-examination on relevant academic issues. It is strictly prohibited to collect evidence through threats, inducement, deception and other illegal means.
Article 20 (Immediate Report) If it is discovered during the investigation that the conduct of the person under investigation may affect public health and safety or lead to other serious consequences, the investigators should report it immediately or transfer it to the relevant departments for processing according to procedures.
Article 21 (Third-party intermediary service agencies) During the investigation, it was found that third-party intermediary service agencies are suspected of engaging in the sale, ghostwriting, and investment of papers and experimental research data, scientific and technological plan (special projects, funds, etc.) project application and acceptance materials, etc. If you provide services, you should promptly report to the relevant competent authorities for investigation and handling in accordance with laws and regulations.
Article 22 (Suspension of Investigation) If any of the following circumstances are discovered during the investigation, the investigation may be suspended with the approval of the relevant person in charge of the unit:
(1) The key information is insufficient or the investigation conditions are temporarily unavailable;
(2) The main evidence is in the process of confirmation through other legal procedures;
(3) Issues involving the application of laws, regulations, and rules require explanation or confirmation from the competent authority;
(4) Other circumstances that require the suspension of investigation.
After the reasons for suspending the investigation are eliminated, the investigation should be resumed in a timely manner, and the suspended time will not be included in the investigation time limit. The whistleblower shall be informed of the suspension or resumption of the investigation.
Article 23 (Termination of Investigation) If any of the following circumstances are discovered during the investigation, the investigation may be terminated and the whistleblower shall be notified:
(1) The whistleblower has legitimate reasons to withdraw the report and does not violate relevant regulations;
(2) During the investigation, it is discovered that there are new circumstances in which the content of the report does not meet the acceptance conditions;
(3) If the person under investigation dies during the investigation, the investigation will be terminated, but this will not affect the investigation of other persons under investigation involved;
(4) Other circumstances that require the termination of the investigation.
Article 24 (The investigation does not interfere with business) If the untrustworthy conduct of scientific research involves science and technology plans (special projects, funds, etc.) projects, science and technology awards, science and technology talents, etc., the investigating unit shall report the science and technology plans funded by the fiscal funds involved ( The acceptance, review, project establishment and approval of special projects, funds, etc.) projects, science and technology awards, science and technology talents and other matters will not be hindered. However, if the person under investigation fails to cooperate or obstructs or interferes with the investigation work, the relevant work progress may be suspended.
Article 25 (Investigation Report) An investigation report shall be formed after the investigation is completed. The investigation report should include the source of clues, content of the report, investigation organization, investigation process, fact determination and confirmation by relevant parties, investigation conclusions, handling opinions, suggestions and basis, and attached evidence materials. The investigation report must be signed by all investigators. The investigation unit should generally notify the participating investigation units or other units with processing authority in writing of the relevant investigation status within 15 working days after the investigation report is formed; if it is transferred, the investigation report should be submitted to the transferring unit or the accepting unit.
The accepting unit is responsible for promptly informing the real-name whistleblower of the investigation status.
If a supplementary investigation is required, a new investigation report shall be formed based on the supplementary investigation.
Article 26 (Time limit for investigation and punishment) The investigation and handling of untrustworthy conduct in scientific research in this city shall be completed within 60 working days from the date of decision to accept the case.
If the investigation cannot be completed within the time limit specified in the preceding paragraph due to particularly serious and complex matters, the investigation period may be extended with the approval of the person in charge of the unit, and the extension time shall generally not exceed 60 working days. For cases transferred by superior authorities and relevant departments, the delay in investigation shall be reported to the transferring authority or department.
Article 27 (Clarification) If no scientific research dishonesty is found after investigation, the investigating unit shall promptly clarify it in an appropriate manner.
If a whistleblower fabricates, distorts facts, or makes false accusations to frame others, the unit where the whistleblower works shall severely deal with the whistleblower in accordance with relevant regulations.
Chapter 4 Processing and Information Submission
Article 28 (Permission to Dispose) After the facts, circumstances, nature, etc. of the person under investigation’s untrustworthy conduct in scientific research are finally determined, the unit with authority to deal with the matter will make a decision to deal with the person under investigation in accordance with procedures.
Article 29 (Type) Types of treatment measures:
(1) A talk on scientific research integrity;
(2) Public notification within a certain range;
(3) Suspension of science and technology activities supported by fiscal funds such as science and technology plans (special projects, funds, etc.) and rectification within a time limit;
(4) Terminate or cancel scientific and technological activities supported by fiscal funds such as science and technology plans (special projects, funds, etc.) projects obtained by using untrustworthy conduct in scientific research, recover the remaining funds, and recover the allocated fiscal funds;
(5) It is prohibited for a certain period to undertake or participate in science and technology activities supported by fiscal funds such as science and technology plans (special projects, funds, etc.) projects;
(6) Revoke relevant academic awards, honors, etc. obtained by using untrustworthy conduct in scientific research and recover bonuses, and revoke job titles obtained by using untrustworthy conduct in scientific research;
(7) Cancellation of qualifications to apply for or apply for science and technology awards, scientific and technological talent titles, job title promotions, etc. within a certain period of time;
(8) Cancel the titles of academicians and other high-level experts that have been obtained, the membership or membership of academic groups such as societies, associations, research associations, and academic work organizations such as academic and academic degree committees;
(9) Cancellation of qualifications as a nominator or recommender, nominated or recommended person, review expert, etc. within a certain period of time;
(10) Reducing enrollment for a certain period of time, suspending the recruitment of graduate students, or canceling the qualification of graduate tutor;
(11) Suspend the awarding of degrees;
(12) Not confer a degree or revoke a degree;
(13) Recorded in the Shanghai Science and Technology Credit Information Platform and submitted to the National Research Integrity Serious Untrustworthy Behavior Database;
(14) Other processing.
The above treatment measures can be combined. Those who are given the treatment in items 5, 7, 9, and 10 of the preceding paragraph shall also be given the treatment in item 13 of the preceding paragraph. If the person being dealt with is a party member or public official, he should also be dealt with or punished by an agency with jurisdiction in accordance with the "Regulations on Disciplinary Punishment of the Communist Party of China", the "Governmental Punishment Law of the People's Republic of China on Public Employees", etc.; other applicable organizations should handle or punish the person. If any, the competent authority shall handle or impose sanctions in accordance with laws, regulations and disciplines. Constitute a crime, be held criminally responsible.
Article 30 (Military Treatment) If one of the following circumstances occurs, the person may be dealt with lightly:
(1) There is evidence showing that the behavior was negligent and did not cause significant impact;
(2) The degree of fault is relatively minor and the person can actively cooperate with the investigation;
(3) Proactively correct errors, recover losses or effectively prevent harmful consequences before investigation and handling;
(4) Proactively admit mistakes during the investigation, and publicly promise to strictly abide by the requirements of scientific research integrity and no longer engage in untrustworthy conduct in scientific research.
If the author of a paper voluntarily withdraws the paper before being reported and does not cause a major negative impact, he or she may be given a lighter punishment or be exempted from punishment.
Article 31 (Severe Punishment) If one of the following circumstances occurs, the person shall be severely punished:
(1) Forging, tampering with, concealing, or destroying evidence;
(2) Preventing others from providing evidence, or interfering with or hindering investigation and verification;
(3) Attacking or retaliating against whistleblowers, witnesses, and investigators;
(4) There is transfer or exchange of interests;
(5) Conducting scientific research dishonesty in an organized manner;
(6) Commitment of scientific research dishonesty multiple times or multiple scientific research dishonesty behaviors at the same time;
(7) The evidence is conclusive and the facts are clear but the person refuses to admit his mistake.
Article 32 (Severity Factors) The following factors should be considered in determining the severity of untrustworthy conduct in scientific research:
(1) The extent to which the behavior deviates from the generally accepted standards of conduct in the scientific and technological community;
(2) Whether there has been any fraud, deception, destruction or hiding of evidence, interference or obstruction of investigation, or retaliation against or retaliation against the whistleblower;
(3) The degree of adverse impact caused by the behavior;
(4) Whether the behavior occurs for the first time or repeatedly;
(5) The perpetrator’s attitude toward investigation and handling;
(6) Other factors that need to be considered.
Article 33 (Handling) If it is determined through investigation that there has been untrustworthy conduct in scientific research, the following handling shall be given depending on the severity of the case:
(1) If the circumstances are relatively minor, the first, third, and eleventh items of Article 29 of these Measures shall be dealt with accordingly;
(2) If the circumstances are serious, the second, fourth to tenth, twelfth and thirteenth items of Article 29 of these Measures shall be dealt with accordingly. If the cancellation or ban period is involved, the period shall be 3 Within years;
(3) If the circumstances are serious, the corresponding treatment shall be given to items 2, 4 to 10, 12, and 13 of Article 29 of these Measures. If the cancellation or prohibition period is involved, the period shall be from 3 to 5 years;
(4) If the circumstances are particularly serious, corresponding measures will be given to items 2, 4 to 10, 12, and 13 of Article 29 of these Measures. If the cancellation or prohibition period is involved, the period is 5 years and above.
If one of the circumstances stipulated in Items 1 to 5 of Article 2 of these Measures exists, the punishment shall not be lower than that prescribed in Item 2 of the preceding paragraph for more serious circumstances.
Article 34 (Qualification Termination) The person to be dealt with under items 2, 3 and 4 of Paragraph 1 of Article 33 of these Measures is applying for scientific and technological activities supported by fiscal funds or has been recommended as a relevant candidate or been Nominators, recommendees, etc. shall have their qualifications to apply or to be nominated or recommended terminated.
Article 35 (Record of Science and Technology Credit Information) If the second, third and fourth items of paragraph 1 of Article 33 of these Measures are dealt with, it will be recorded in the Shanghai Science and Technology Credit Information Platform and submitted to the National Research Integrity and Serious Untrustworthy Behavior Database .
Article 36 (Accountability) If relevant institutions or units organize untrustworthy conduct in scientific research, or shirk or cover up during investigation and handling, or retaliate against whistleblowers, witnesses, or investigators, the competent authorities shall, in accordance with relevant laws, regulations and other provisions, Revoke the relevant benefits and honors obtained by the institution or unit, provide public notification, suspend allocations or recover balance funds, recover allocated financial funds, prohibit undertaking or participating in scientific and technological activities supported by financial funds within a certain period, etc. Article 1 of these Measures The relevant provisions of Article 29 shall be dealt with accordingly, and the main person in charge and the person directly responsible shall be held accountable in accordance with relevant regulations.
Article 37 (Statement and Defense) Before a handling decision is made, the person under investigation shall be informed in writing of the facts and basis for the proposed handling decision, and informed of his right to make a statement and defense in accordance with the law. If the respondent fails to make a statement or defense within the time limit, it will be deemed to have waived his rights. If the person under investigation makes a statement or defense, his or her opinions should be fully heard.
Article 38 (Handling Decision Letter) The handling decision letter shall specify the following contents:
(1) Basic information of the person being processed (including name, ID number or social credit code, etc.);
(2) The identified facts and evidence;
(3) Processing decisions and basis;
(4) Relief channels and deadlines;
(5) Other contents that should be stated.
The unit that makes the handling decision is responsible for delivering a written handling decision to the person being handled, and the accepting unit is responsible for informing the real-name whistleblower.
Article 39 (No objection to handling) If the party concerned has no objection to the investigation or handling, and if there is a leading investigating unit, the handling decision letter shall be sent to the leading investigating unit at the same time. For cases transferred by superior authorities and relevant departments, the handling decision letter and investigation report should be submitted to the transferring unit.
Article 40 (Deadline for submission and submission) If the person being processed is recorded in the Shanghai Science and Technology Credit Information Platform for processing according to Article 35 of these Measures, and the processing decision is made by a unit at the district level or below, the unit making the processing decision shall Within 10 working days after the decision takes effect, the decision letter and investigation report will be submitted to the superior authority and the local science and technology administrative department. The district science and technology administrative department should submit it to the Shanghai Science and Technology Credit Information Platform within 10 working days from the date of receipt, and submit the processing decision and investigation report to the Municipal Science and Technology Commission or the Shanghai Academy of Social Sciences.
If the processing decision is made by a relevant unit at the municipal level, the unit should submit it to the Shanghai Science and Technology Credit Information Platform within 10 working days after the processing decision takes effect, and submit the processing decision letter and investigation report to the Municipal Science and Technology Commission or the Shanghai Academy of Social Sciences .
According to Article 35 of these Measures, if the person being processed is required to submit the data to the National Scientific Research Integrity Serious Untrustworthy Behavior Database for processing, the Municipal Science and Technology Commission or the Shanghai Academy of Social Sciences shall submit the data to the Shanghai Science and Technology Credit Information Platform within 10 working days after receiving it. Within the deadline, it will be submitted to the national database of serious breaches of trust in scientific research integrity, and the handling decision and investigation report will be submitted to the Ministry of Science and Technology.
Article 41 (Related Submission) If the dishonest conduct of scientific research by the person being dealt with involves science and technology plans (special projects, funds, etc.) projects, science and technology awards, science and technology talents, etc., the investigation and handling unit shall submit the handling decision letter and investigation report to Science and Technology at the same time. Planning (special projects, funds, etc.) projects, science and technology awards, science and technology talent management departments (units). Science and technology plans (special projects, funds, etc.), science and technology awards, and science and technology talent management departments (units) should deal with the person being handled within the scope of their duties based on the verified untrustworthy conduct of scientific research, and prepare a handling decision letter and send it to the person being handled. people and their units.
Article 42 (Joint Punishment) Relevant departments and districts shall implement joint punishments in accordance with laws and regulations on relevant persons who have been recorded in the Shanghai Science and Technology Credit Information Platform and the National Scientific Research Integrity Serious Untrustworthy Behavior Database.
Article 43 (Reduced Punishment) After the processing decision takes effect, if the person being processed publicly makes a commitment through national media to strictly abide by the requirements of scientific research integrity, no longer commit untrustworthy behavior in scientific research, or makes a significant contribution to the country and society, the person being processed will be punished. The unit that makes the decision may mitigate the punishment based on the person's application.
Chapter 5 Review and Review
Article 44 (Appeal and Review) If the whistleblower or the person being handled is dissatisfied with the handling decision, he or she may, within 15 working days from the date of receipt of the handling decision, make an investigation according to the relief channels specified in the handling decision. The unit or department that handles the decision shall submit 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 complaint within 15 working days from the date of receipt of the complaint and inform the complainant. If the complaint is not accepted, the circumstances shall be explained.
If it is decided to accept the case, a separate investigation team or a third-party agency will be entrusted to conduct a reexamination in accordance with the investigation procedures of these Measures, and the reexamination results will be fed back to the complainant.
Article 45 (Appeal and Review) If the whistleblower or the person being handled is dissatisfied with the review results, he or she may submit a written appeal to the superior authority of the investigating and handling unit. The appeal must have clear reasons and provide sufficient evidence. If you are dissatisfied with the review result made by a department under the State Council, you may submit a written appeal to the department under the State Council that made the review result.
The superior authority shall make a decision on whether to accept the appeal within 15 working days from the date of receipt of the appeal. Complaints based solely on the grounds of dissatisfaction with the investigation results and reexamination results, without being able to explain other reasons and provide sufficient evidence, or with the same facts and reasons, will not be accepted. If it is decided to accept the application, a review shall be organized, and the review result shall be final.
Article 46 (Time limit for review and review) Review and review opinions shall be prepared and a clear reply shall be given to the reasons raised by the complainant. In principle, review and review should be completed within 60 working days from the date of acceptance.
If the parties concerned have no objection to the review results, or after the review work is completed, Articles 39 to 41 of these Measures shall apply.
Chapter 6 Guarantee and Supervision
Article 47 (Code of Conduct) Personnel involved in investigation and handling work should uphold objectivity and impartiality, abide by work disciplines, and actively accept supervision. A confidentiality agreement must be signed, and no clues to problems and investigation materials may be kept, concealed, excerpted, copied or leaked privately, and investigation and handling work status shall not be disclosed or made public without permission.
When entrusting a third-party organization to conduct investigations, tests, assessments or evaluations, confidentiality procedures should be followed.
Article 48 (Recusal) The recusal system shall be strictly implemented in the investigation and handling. Personnel involved in the investigation and handling of scientific research dishonesty should sign a recusal statement. Close relatives of the person under investigation or the reporter, witnesses of the case, interested parties, those who have research cooperation or teacher-student relationships, or other circumstances that may affect the fair investigation and handling, are not allowed to participate in the investigation and handling, and should actively apply for recusal. The person under investigation and the whistleblower have the right to request that they recuse themselves.
Article 49 (Protecting the Rights and Interests of the Parties) The investigation and handling shall protect the legitimate rights and interests of the reporter, the person being reported, witnesses, etc., and no relevant information shall be disclosed, and the reporting materials shall not be transferred to the person being reported or the unit being reported, and other interested parties. Anyone who solicits or accepts bribes, violates confidentiality and avoidance systems, or leaks information during the investigation and handling process will be severely dealt with in accordance with laws, regulations and disciplines.
Article 50 (Supporting System) The first responsible unit should establish and improve the supporting system related to investigation and handling, detail the acceptance of reports, identification standards for scientific research dishonesty, investigation and handling procedures and operating procedures, etc., and clarify the person in charge of scientific research integrity of the unit. Division of responsibilities within internal agencies, ensuring work funds, strengthening training and guidance for relevant personnel, catching the smallest early, and giving full play to the role of employment contracts (labor contracts), scientific research integrity commitments, and research data management policies in ensuring the legitimacy of investigation procedures. .
If the first responsible unit fails to perform its responsibilities for investigating and handling untrustworthy conduct in scientific research, its superior authority shall order it to make corrections. If they refuse to make corrections, the responsible leaders and directly responsible personnel will be held accountable in accordance with the law and regulations.
Article 51 (Information Notification) The Municipal Science and Technology Commission and the Shanghai Academy of Social Sciences should strengthen information notification and disclosure of major scientific research breaches in the fields of natural sciences, philosophy and social sciences.
Relevant departments (units) and districts should strengthen coordination and cooperation, mutual recognition of results, information sharing and joint punishment in the investigation and handling of untrustworthy conduct in scientific research.
Chapter 7 Supplementary Provisions
Article 52 (Explanation of terms) The meanings of the following terms in these Measures:
(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. Entrust a third party to conduct inspection, testing, and laboratory tests to obtain inspection, testing, and laboratory data. Because you are not qualified to entrust a third party to conduct experiments in accordance with the experimental plan provided by the client to obtain original experimental records and data, obtain third-party survey statistical data through legal channels or Relevant public database data does not belong to trading experimental research data.
(2) Agent investment means that the process of paper submission, review response, etc. 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 critical revisions on important intellectual content, and finalizing the version to be published. wait.
(4) The unit where the person under investigation works refers to the unit where the person under investigation has labor and personnel relations at the time of investigation. If the person under investigation is a student, the investigation will be handled by the unit where he or she is a student.
(5) Mild punishment refers to giving lighter punishment within the scope of punishment for scientific research dishonesty stipulated in these Measures.
(6) Severe punishment refers to giving heavier punishment within the scope of punishment for scientific research dishonesty stipulated in these Measures.
The terms "above" and "within" mentioned in these Measures do not include the original number, and the terms "3 to 5 years" include the original number.
Article 53 (Other applicable) If the person under investigation for untrustworthy conduct in scientific research is under the management of the military, the military will investigate and deal with it in accordance with its relevant regulations.
If the relevant competent authorities have formulated rules for the investigation and handling of untrustworthy conduct in scientific research within this system and the handling standards are no less than these measures, they may conduct investigations and handling in accordance with the existing rules.
Relevant departments may formulate specific rules based on these measures and in light of actual conditions.
Article 54 (Implementation Date) These Measures will come into effect on the date of promulgation, and the "Measures for the Investigation and Handling of Complaints and Reports of Scientific Research Misconduct (Trial)" (Shanghai Kegui [2019] No. 8) will be abolished at the same time.
