Three years later, "Rules for Investigation and Handling of Scientific Research Integrity Cases (Trial)" ushered in the revised version of .
htmlOn September 14, the Ministry of Science and Technology, the Central Propaganda Department and other 22 departments issued the " Investigation and Handling Rules for Scientific Research Breach of Trust" (hereinafter referred to as the "Rules"). further standardized the investigation procedures and unified the processing standards. The investigation and handling work of scientific research Breach of Trust has more operational standards.
According to Dai Guoqing, Director of the Science and Technology Supervision and Integrity Construction Department of the Ministry of Science and Technology, the overall framework, basic investigation procedures and processing scale of the document remain unchanged, and stability is maintained.
This revision of focuses on the connection with Science and Technology Progress Method and other legal systems , and focuses on problem-oriented, supplementing and improving the problems that have been reflected in the three-year trial, and timely elevating the successful experience accumulated in the investigation and processing practice to relevant institutional regulations.
provides a unified standard for various departments and localities to investigate and deal with scientific research breach of trust, and forms more detailed and operational investigation and processing rules
will never tolerate academic fraud!
has reported 1422 responsible persons
It is reported that the Ministry of Science and Technology has built and has opened a nationwide scientific research integrity management information system , realizing the online submission, online review and information sharing of serious scientific research breach of trust; organizing forces to develop and build a multi-functional monitoring tool system such as dynamic acquisition of journal paper data, dynamic monitoring of high-risk journals, and intelligent detection of fraud problems, and carrying out active monitoring of academic misconduct problems.
"For academic fraud and other behaviors that seriously violate the requirements of scientific research integrity, the Ministry of Science and Technology has always been 's attitude towards is distinct and resolute. If you find it, you will investigate and deal with it. You will not be accommodating, sheltering, or condoning. " Feng Chujian introduced that the Ministry of Science and Technology, together with the Ministry of Education, the Commission of Health, the Commission of , the National Science Foundation of China and other joint meeting member units have established a normalized notification mechanism. The investigation unit, the competent department, and the joint meeting will report the results of the investigation and handling of scientific research breach of trust. has currently reported 21 batches on the website of the Ministry of Science and Technology, involving 1,422 responsible persons.
In recent years, my country has continuously strengthened the institutional construction of scientific research integrity and work style, promoted the legislation on scientific research integrity, refined and improved institutional norms, and issued "break the four only and establish new standards" policy measures. The Ministry of Science and Technology also works with relevant departments to vigorously promote the spirit of scientists, strengthen publicity and education on good work styles, and guide scientific researchers to adhere to the bottom line of scientific research morality.
Strengthen punishment, and add 7 new scientific research breach of trust
In recent years, scientific research breach of trust has shown stronger concealment and complexity. In response to the new forms of expression, the "Rules" have added buying and selling experimental research data , , , , , , , repeatedly published seven scientific research breach of trust, including , and stipulated the investigation and punishment of third-party institutions engaged in paper buying, selling, writing, and investigating , which refined the behaviors that violate scientific and technological ethics norms. emphasized that obtaining scientific and technological ethics review and approval by fraud, or forging or tampering with science and technology ethics is all scientific research breach of trust.
The Rules adjust the handling measures for violations in response to changes in the law, and list the "recorded in the database of serious breach of trust in scientific research integrity" as a handling measure.
The Rules also emphasize the application of investigation and processing results, requiring units that include "recorded into the database of serious breach of trust in scientific research integrity" processing measures should submit scientific research integrity serious breach of trust in through the scientific research integrity management information system according to the procedures, and relevant departments and localities shall punish the serious breach of trust in accordance with the law and regulations.
leniency and strictness are combined, and scientific researchers are encouraged to actively correct errors
It is worth noting that the "Rules" further refined the division of responsibilities for investigation and processing. For example, if the person under investigation does not have a unit, it is stipulated that the science and technology administrative department or the responsible unit for the construction of integrity in philosophy and social science research shall be responsible for organizing the investigation and handling. For the articles involved in cooperative papers, it is stipulated that the first signed unit of the first corresponding author shall be investigated and processed; if there is no corresponding author, the first signed unit of the first author shall be investigated and processed; if the unit is inconsistent with the unit, the unit shall be investigated and processed...
"We always maintain a high-pressure situation of 'zero tolerance' for academic misconduct. While seriously investigating and punishing behaviors that seriously violate the requirements of scientific research integrity, scientific researchers are encouraged to actively correct mistakes." Feng Chujian, deputy director of the Department of Science and Technology Supervision and Integrity Construction of the Ministry of Science and Technology, admitted that the "Rules" also reflect the characteristics of leniency and strictness. If the author of the paper is voluntarily withdraws the article before being reported and does not have a major negative impact, they may be given slight or exemption. "It reflects that the processing is not the purpose, but focuses on the original intention of education and guidance."
Attachment: Issuing the original file
Notice of the Ministry of Science and Technology and twenty-two departments on issuing the "Rules for Investigation and Handling of Scientific Research Breach of Trust"
Guokefajian [2022] No. 221
Investigation and Handling of Scientific Research Breach of Trust of
Chapter 1 General
First Article 1 In order to standardize the investigation and handling of scientific research breach of trust, implement the spirit of the General Office of the CPC Central Committee and the General Office of the State Council "History of Opinions on Further Strengthening the Construction of Scientific Research Integrity", these rules are formulated in accordance with the provisions of "History of Science and Technology Progress Law of the People's Republic of China" and "History of Higher Education Law of the People's Republic of China" and other provisions.
Second item The scientific research breach of trust referred to in these rules refers to behaviors that violate the codes and norms of scientific research behavior that occur in scientific research and related activities, including:
(I) Plagiarism, invasion of research results or project application form for others;
(II) Creating research processes, forging research results, buying and selling experimental research data, and fake tamper with experimental research data, charts, conclusions, test reports or user usage reports, etc.;
(III) Buying, selling, writing, submitting papers or project application acceptance materials, etc., and fabricating peer review experts and comments;
(IV) Deliberately providing false information or taking requests, Bribery, exchange of interests and other improper means to obtain approval for scientific research activities, obtain scientific and technological plans (special projects, funds, etc.), scientific research funds, rewards, honors, positions and titles, etc.;
(V) Obtain scientific and technological ethics review and approval approval documents by fraud, or forge or tamper with scientific and technological ethics review and approval documents, etc.;
html l1 (VI) Acts that violate the signature of papers, rewards, patents, etc. without substantive academic contributions;
(VI) Repeated publication, citing documents that are not related to the content of the paper, and requiring authors to cite specific documents without necessity, such as violations of academic publishing norms;
(VI) Other scientific research breach of trust.
The plagiarism, forgery, tampering, and duplicate publication mentioned in these rules are recognized in accordance with academic publishing standards and related industry standards.
Article 3 The relevant competent departments and universities, research institutions, medical and health institutions, enterprises, social organizations and other units shall not accommodate and shelter scientific research breach of trust, and no unit or individual shall obstruct or interfere with the investigation and handling of scientific research breach of trust.
Article 4 The parties and witnesses in scientific research breach of trust should actively cooperate with the investigation, truthfully explain the situation and provide evidence, and shall not forge, tamper, conceal or destroy evidence materials.
Chapter 2 Division of responsibilities
Article 5 The Ministry of Science and Technology and Chinese Academy of Social Sciences are respectively responsible for coordinating the investigation and handling of scientific research breach of trust in the fields of natural sciences and philosophy and social sciences.If the relevant scientific research breach of trust has attracted widespread attention from the society or involves multiple departments (units), joint investigations and handling can be organized or different departments (units) can be coordinated to carry out investigations and handling separately.
The competent department is responsible for guiding and supervising the investigation and handling of scientific research breach of trust in this system, establishing and improving the information reporting mechanism for major scientific research breach of trust incidents, and can independently organize investigation and handling of scientific research breach of trust in this system.
Article 6 The person under investigation is a natural person, and the unit where he is located is generally responsible for investigation and handling; if he does not have a unit where he is located, the science and technology administrative department or the responsible unit of the philosophy and social sciences scientific research integrity construction in his local area is responsible for organizing the investigation and handling of the exhibition. If the investigation involves the scientific research breach of trust committed by the person under investigation in other units that have worked or studied, the unit involved should actively cooperate in the investigation and handling and promptly send the investigation and handling situation to the unit where the person under investigation. The leading investigation unit shall be responsible for reviewing and checking the investigation procedures and processing standards of other participating investigation units in accordance with the requirements of these rules.
If the person under investigation is the main person in charge of the unit or legal person, or non-legal person organization , the superior competent department shall be responsible for organizing the investigation and handling. If there is no superior competent department, the science and technology administrative department or the responsible unit for the construction of integrity in philosophy and social science research shall be responsible for organizing investigation and handling.
Article 7 The scientific research breach of trust in the application, review, implementation, conclusion, and results release activities of scientific research and breach of results in the application, review, implementation, conclusion, and release of scientific and technological plans (special projects, funds, etc.) projects funded by fiscal funds shall be organized by the project management department (unit) of the science and technology plan (special projects, funds, etc.). Project application and recommendation units, project undertaking units, project participation units, etc. should actively carry out and actively cooperate with the investigation in accordance with the requirements of the project management department (unit), and deal with the persons responsible for the violation in accordance with their responsibilities and authority.
Article 8: Scientific research breach of trust in scientific and technological rewards and scientific and technological talents declaration shall be organized by the science and technology rewards and scientific and technological talents management department (unit) and shall be handled accordingly based on management responsibilities and authority. The units of science and technology awards, science and technology talent recommendation (nominated) and the applicant units should actively cooperate and actively carry out investigations and handling.
Article 9 The scientific research breach of trust in the publication of papers shall be investigated and processed by the first signed unit of the first corresponding author; if there is no corresponding author, the first signed unit of the first author shall be investigated and processed by the first signed unit of the first author. If the author's signature unit is inconsistent with the unit where he is located, the unit where he is located shall take the lead in investigation and handling, and the unit where he is located shall actively cooperate. The units where other authors of the paper are located should actively cooperate with the leading investigation unit, conduct a good investigation and handling of the authors of the unit, and promptly feedback the investigation and handling situation in writing to the leading investigation unit.
If the dissertation is suspected of breach of trust in scientific research, the degree awarding unit shall be responsible for investigation and handling.
The journal or publishing unit that publishes the paper is obliged to cooperate in conducting the investigation. It should actively investigate whether the paper violates the requirements of scientific research integrity, and should promptly provide written feedback on relevant clues, investigation conclusions, handling decisions, etc. to the lead investigation unit and the unit where the author is located.
Article 10 Relevant units that are responsible for investigating and handling scientific research breach of trust should clarify the institution that the unit assumes the investigation and handling responsibilities, and are responsible for registration, acceptance, investigation, processing, and review.
Chapter 3 Investigation
Section 1 Report and accept
Article 1 Reporting breach of trust in scientific research can be carried out through the following channels:
(I) Report to the unit where the person is reported;
(II) Report to the superior competent department or relevant management department of the unit where the person is reported;
(III) Report to the management department (unit) of science and technology plan (special projects, funds, etc.), science and technology rewards, science and technology talent plans, etc.;
(IV) Report to the journal or publishing unit where the paper was published;
(V) Other channels.
Article 12 Reporting a breach of trust in scientific research should meet the following conditions at the same time:
(I) Have a clear reporting object;
(II) The reporting content falls within the scope stipulated in Article 2 of these rules;
(III) Have clear violation facts;
(IV) Have objective and clear evidence materials or verifiable clues.
Real-name reporting is encouraged, and no fabrication or distortion of facts shall be allowed, and no false accusations or frame others shall be allowed.
Article 13 Reports that have one of the following circumstances will not be accepted:
(I) The report content does not fall within the scope stipulated in Article 2 of these rules;
(II) There is no clear evidence and verifiable clues;
(III) Repeated reports of the same object without new evidence or clues;
(IV) There has been a decision to take effect and there is no new evidence or clues.
Article 14 The unit that receives the report shall submit an opinion on whether to accept the report within 15 working days and notify the real-name reporter. If the acceptance is not accepted, the situation shall be explained. If it complies with Article 12 of these rules 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 inform the whistleblower to report to the relevant responsible unit.
The whistleblower may raise objections to the non-acceptance and explain the reasons; if the objection is not established, it will not be accepted.
Article 15 If the following clues of scientific research breach of trust meet the acceptance conditions, the relevant units shall take the initiative to accept the procedures, and the competent departments shall strengthen supervision.
(I) Clues transferred by superior authorities or relevant departments;
(II) Clues of problem found in daily scientific research management activities or in scientific and technological plans (special projects, funds, etc.), scientific and technological rewards, Scientific and technological talent management and other work;
(III) Clues disclosed by media, journals or publishing units .
Section 2 Investigation
Article 16 The investigation should formulate an investigation plan, clarify the investigation content, personnel, methods, progress arrangements, guarantee measures, work discipline, etc., and implement it after approval by the relevant person in charge of the unit.
Article 17 Investigation should include administrative investigation and academic review. Administrative investigations are organized by the unit to investigate the relevant facts, including verifying and verifying relevant original experimental data, agreements, invoices and other supporting materials, research processes, profits, etc. Academic evaluation shall be entrusted by the unit to the academic (degree, professional title) committee of the unit or form an expert group as needed to evaluate the academic issues involved. expert group should have no less than 5 people , and are composed of peer technology experts, management experts, scientific research integrity experts, scientific ethics experts , etc. in relevant fields as needed.
Article 18 If an investigation requires a conversation with the person under investigation, witnesses, etc., there must be no less than 2 investigators participating in the conversation. The content of the conversation should be recorded in writing and confirmed by the person who talked and the person who talked. After completing the notification procedure, audio and video can be recorded.
Article 19 Investigators may review, excerpt, copy relevant materials in accordance with regulations and procedures, and inspect relevant laboratories, equipment, etc. on site. The relevant information reviewed should be recorded in writing, signed and confirmed by the investigator and the information and equipment manager, and returned to the administrator after the investigation and processing is completed.
Article 20 During the investigation, the statements and defenses of the person under investigation shall be listened to and the relevant facts, reasons and evidence shall be verified. The whistleblower can be asked to provide additional materials as needed. If necessary, repeat experiments can be carried out or a third-party institution can be entrusted to conduct independent testing, evaluation or evaluation. With the consent of the whistleblower, the whistleblower can be organized to cross-examine the relevant academic issues with the person under investigation. It is strictly forbidden to collect evidence by threats, seductions, deceptions and other illegal means.
Article 21 If it is found during the investigation that the behavior of the person under investigation may affect public health and safety or lead to other serious consequences, the investigator shall report it immediately or transfer it to the relevant department for processing according to the procedures.
Article 22 If a third-party intermediary service agency is found to be suspected of engaging in the purchase, writing, and investment services of papers and their experimental research data, scientific and technological plan (special projects, funds, etc.) project application and acceptance materials, it shall promptly report to the relevant competent authorities for investigation and handling in accordance with the law.
Article 23 If key information is found to be insufficient during the investigation or the conditions for investigation are not met, the investigation may be suspended with the approval of the relevant person in charge of the unit. After the reasons for the suspension of the investigation are eliminated, the investigation should be resumed in time, and the suspension time shall not be included in the investigation time limit.
If the person under investigation dies during the investigation, the investigation of the person under investigation will be terminated, but it will not affect the investigation of other person under investigation.
Article 24 An investigation report should be formed after the investigation is completed. The investigation report should include the source of clues, report content, investigation organization, investigation process, fact determination and confirmation of relevant parties, investigation conclusions, handling opinions and suggestions and basis, and be accompanied by evidence materials. The investigation report must be signed by all investigators. Generally, the relevant investigation and handling situation should be notified in writing to the participating investigation units or other units with processing authority within 15 working days after the investigation report is formed.
If additional investigation is required, the investigation report should be re-formed based on the supplementary investigation situation.
Article 25 Investigation and handling of scientific research breach of trust should be completed within 6 months from the date of decision acceptance.
Because is particularly serious and complicated still cannot complete the investigation within the time limit specified in the preceding paragraph, the investigation period may be extended after approval by the head of the unit. The extension time of is generally no more than 6 months . If the investigation is transferred by the superior authority and relevant departments, the investigation will be reported to the transfer authority or department.
Chapter 4 Processing
Article 26 After the facts, circumstances, nature of the person under investigation's scientific research breach of trust are finally determined, the unit with processing authority shall make a handling decision on the person under investigation according to the procedure.
Article 27 Before making a handling decision, the person under investigation should be informed in writing of the facts and basis for the handling decision to be made, and inform him that he has the right to state and defend in accordance with the law. If the person under investigation fails to make a statement or defend within the deadline, it shall be deemed to have waived his rights. If the person under investigation makes a statement or defense, his or her opinion should be fully listened to.
Article 28 The handling decision shall state the following contents:
(I) the basic situation of the person being processed (including name or name, ID number or social credit code, etc.);
(II) the facts and evidence determined by
(II) the decision and basis for handling;
(IV) the relief channels and period;
(V) other contents that should be stated.
The unit that makes the processing decision is responsible for serving a written processing decision to the person being processed and informing the real-name reporter. If there is a leading investigation unit, the handling decision should be sent to the leading investigation unit at the same time. For transfers by superior authorities and relevant departments, the handling decision and investigation report should be submitted to the transfer unit.
Article 29 Types of handling measures:
(I) Scientific research integrity warning talks;
(II) Public notification within a certain range;
(III) Stop scientific and technological activities supported by scientific and technological plans (special projects, funds, etc.) projects, and be rectified within a time limit;
(IV) Terminate or cancel the use of scientific and technological breach of trust in scientific research Scientific and technological activities supported by fiscal funds such as science and technology plans (special projects, funds, etc.) projects obtained, surplus funds will be recovered, and allocated fiscal funds will be recovered;
(V) Scientific and technological activities supported by fiscal funds such as science and technology plans (special projects, funds, etc.) projects will be prohibited for a certain period of time;
(V) Revoke relevant academic rewards, honors, etc. obtained by scientific research breach of trust and recover bonuses, and cancel the positions and titles obtained by scientific research breach of trust;
(7) Cancel the qualifications for applying for or applying for science and technology awards, scientific and technological talent titles and promotions for positions and titles within a certain period of time;
(8) Cancel the titles of high-level experts such as academicians, and members of academic groups such as associations, research associations, and academic organizations such as academic and degree committees;
(9) Cancel the qualifications for being nominated or recommended, nominated or recommended, and review experts within a certain period of time;
(10) Reduce recruitment for a certain period of time, suspend recruitment of graduate students until the qualification of graduate supervisor is cancelled;
(11) Response to the degree award;
(12) Do not award or revoke the degree;
(13) Record it in the database of serious breach of trust in scientific research integrity;
(14) Other processing.
The above treatment measures can be used in combination. If the treatment of items 5, 7, 9 and 10 of the preceding paragraph is given, the treatment of items 13 of the preceding paragraph shall be given at the same time. If the person being processed is a party member or a public official, the competent institution shall also be dealt with or punished in accordance with the provisions of the " Regulations on Disciplinary Punishment of the Communist Party of China" and the "Administrative Punishment Law of the People's Republic of China" and other provisions; if other applicable organizations handle or punished, the competent institution shall be dealt with or punished in accordance with regulations, discipline and law. If a crime is constituted, criminal liability shall be pursued in accordance with the law.
Article 30 The following factors should be considered in the judgment of the severity of the breach of trust in scientific research:
(I) The degree of behavior deviation from the accepted norms of conduct in the science and technology community;
(II) Whether there is any behavior of fraud, deception, destruction, hiding evidence, interfering with, obstructing investigation or cracking down on, and retaliating against the whistleblower;
(III) The degree of adverse effects caused by behavior;
(IV) Is the behavior happening for the first time or repeatedly;
(V) The attitude of the perpetrator to the investigation and handling;
(V) Other factors that need to be considered.
Article 31 If a relevant institution or unit organizes the act of breach of trust in scientific research, or shirkes responsibility or covers up during investigation and handling, and fights against whistleblowers, witnesses, and investigators, the competent department shall, in accordance with relevant laws and regulations, revoke relevant benefits and honors obtained by the institution or unit, give a public notice, suspend funding or recovering surplus funds, recover allocated financial funds, and prohibit the corresponding handling stipulated in Article 29 of these Rules, such as the corresponding handling stipulated in Article 29 of these Rules, and hold its main person in charge and the direct person in charge accountable in accordance with relevant regulations.
Article 32 If the investigation determines that there is a breach of trust in scientific research, the following treatment shall be given depending on the severity of the circumstances: if the circumstances are relatively minor, the first, third and eleventh items of Article 29 of these rules shall be given corresponding treatment; if the circumstances are serious, the second, fourth to tenth, twelfth and thirteenth items of these rules shall be given corresponding treatments, and if the circumstances involve the cancellation or prohibition period, the period shall be within 3 years;
(III) If the circumstances are serious, the second, fourth to tenth, twelfth, and thirteenth item of these rules shall be given corresponding treatment, which involves the cancellation or prohibition period, which shall be 3 to 5 years; if the circumstances are particularly serious, the second, fourth to tenth, twelfth and thirteenth item of these rules shall be given corresponding treatment, which shall be involved in the cancellation or prohibition period, which shall be more than 5 years.
If there is one of the circumstances stipulated in items 1 to 5 of Article 2 of these Rules, the treatment should not be lower than the scale specified in item 2 of the preceding paragraph.
Article 33 If the person subject to the second, third and fourth items of this rule are applying for scientific and technological activities supported by financial funds or is recommended as relevant candidates, nominees, recommended persons, etc., their application qualifications or nominations or recommended persons shall be terminated.
Article 34 If any of the following circumstances occurs, it can be handled with ease:
(I) There is evidence that it is a negligent act and has not caused a significant impact;
(II) There is a light degree of fault and can actively cooperate with the investigation;
(III) Actively correct the error before the investigation and handling, recover the losses or effectively prevent the occurrence of harmful results;
(IV) Actively admit the error during the investigation, and publicly promise to strictly abide by the requirements of scientific research integrity and no longer implement scientific research breach of trust.
If the author voluntarily withdraws the manuscript before being reported and does not cause a major negative impact, he or she may be given a lighter or exempted from treatment.
Article 35 If any of the following circumstances occurs, it should be reprocessed:
(I) Forged, tampered, concealed, and destroyed evidence;
(II) Obstructing others to provide evidence, or interfering with or obstructing investigation and verification;
(III) Cracking and retaliating against whistleblowers, witnesses, and investigators;
(IV) There is a transfer of interests or exchange of interests;
(V) There is an organized act of breach of trust in scientific research;
(V) There is a multiple act of breach of trust in scientific research or multiple acts of breach of trust in scientific research;
(VII) There is a conclusive evidence and clear facts but refuse to admit mistakes.
Article 36 If the person being processed is recorded in the database of serious breach of trust in scientific research integrity in accordance with these rules, if the processing decision is made by relevant local units at the provincial level and below, the processing decision shall submit the processing decision and investigation report to the superior competent department and the provincial science and technology administrative department within 10 working days after the decision takes effect. Provincial science and technology administrative departments shall submit data information on serious breach of trust in scientific research through the scientific research integrity management information system in accordance with regulations within 10 working days from the date of receipt, and submit the processing decision and investigation report to the Ministry of Science and Technology. If the processing decision is made by the State Council department and its affiliated (including management) units, the department shall submit the data information of serious breach of trust through the scientific research integrity management information system in accordance with regulations within 10 working days after the processing decision takes effect, and submit the processing decision and investigation report to the Ministry of Science and Technology.
Article 37 Relevant departments and localities shall jointly punish relevant persons recorded in the database of serious breach of trust in scientific research integrity in accordance with the law and regulations.
Article 38 If the person being processed has a breach of trust in scientific research involving science and technology plans (special projects, funds, etc.), science and technology rewards, scientific and technological talents, etc., the investigation and processing unit shall submit the processing decision and investigation report to the science and technology plan (special projects, funds, etc.) projects, science and technology rewards, and science and technology talent management department (unit). Science and technology plan (special projects, funds, etc.) projects, science and technology rewards, and science and technology talent management departments (units) should deal with the person being processed within their responsibilities based on the verified scientific research breach of trust, and prepare a handling decision and deliver it to the person being processed and his unit.
Article 39 If no scientific research breach of trust is found after investigation, the investigation unit shall promptly clarify in an appropriate manner.
If the whistleblower fabricates and distorts the facts and frames others, the unit where the whistleblower is located should seriously deal with the whistleblower in accordance with relevant regulations.
Article 40 After the processing decision takes effect, if the person being processed publicly makes a public compliance with the requirements of scientific research integrity through national media, no longer implements the commitment to breach of trust in scientific research, or makes significant contributions to the state and society, the unit that makes the processing decision may reduce the processing of the person being processed according to the application.
Chapter 5 Complaint Review
Article 41 If the whistleblower or the person being processed is dissatisfied with the handling decision, he may file a complaint in writing to the unit or department that made the investigation and handling decision in accordance with the relief channels stated in the handling decision, and state the reasons and provide relevant evidence or clues within 15 working days from the date of receipt of the handling decision.
Investigation and processing unit (department) shall make a decision on whether to accept the appeal within 15 working days from the date of receipt of the appeal and inform the complainant. If the acceptance is not accepted, the situation shall be explained. If the decision to accept the case, an investigation team or a third-party agency will be organized to conduct 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 processed is dissatisfied with the review results, he may file a written complaint to the superior competent department of the investigation and handling unit. The complaint must clarify the reasons and provide sufficient evidence. If you are dissatisfied with the review results made by the State Council department, you shall file a written complaint to the State Council department that made the review results.
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 made on the grounds that it is dissatisfied with the investigation and handling results and the review results, other reasons cannot be explained and sufficient evidence is provided, or a complaint is filed on the same facts and reasons, it will not be accepted. If the decision is accepted, a review should be organized, and the review result will be the final result.
Article 43 Re-examination and review shall be prepared for review and review opinions, and a clear reply shall be given to the reasons raised by the complainant. In principle, review and review should be completed within 90 working days from the date of acceptance.
Chapter 6 Guarantee and Supervision
Article 44 Personnel participating in the investigation and processing should uphold objective and fairness, abide by work discipline, and actively accept supervision. To sign the confidentiality agreement , you must not retain, conceal, excerpt, copy or disclose problem clues and investigation materials without permission, and you must not disclose or publicly investigate and handle the work without permission.
When entrusting a third-party agency to conduct investigations, testing, evaluation or evaluation, confidentiality procedures shall be carried out.
Article 45 Investigation and handling should strictly implement the avoidance system. Those involved in the investigation and handling of breach of trust in scientific research should sign a statement of avoidance. If the person under investigation or the close relative of the whistleblower, the witness in this case, the interested party, have research cooperation or teacher-student relationship or other circumstances that may affect the fair investigation of , they shall not participate in the investigation and processing work and shall actively apply for recusation. The person under investigation and the whistleblower have the right to ask them to avoid it.
Article 46 Investigation and handling shall protect the legitimate rights and interests of the whistleblower, the whistleblower, the witness, etc., and shall not disclose relevant information, and shall not transfer the reporting materials to the whistleblower or the reported unit and other stakeholders. Those who solicit bribes, accept bribes, violate the confidentiality and avoidance system, and leak information during the investigation and handling process will be dealt with seriously in accordance with the law.
Article 47 Colleges and universities, research institutions, medical and health institutions, enterprises, social organizations, etc. are the first responsible entities for the investigation and handling of scientific research breach of trust. Supporting systems related to investigation and handling should be established and improved, standards for acceptance of reports, identification of scientific research breach of trust, investigation and handling procedures, etc., clarify the division of responsibilities of the unit's scientific research integrity person and internal institutions, ensure work funds, strengthen training and guidance for relevant personnel, catch early and small, and play the role of employment contracts ( labor contract ), scientific research integrity commitment letters and research data management policies in ensuring the legitimacy of the investigation procedures.
Article 48 If higher education institutions, scientific research institutions, medical and health institutions, enterprises, social organizations, etc. fail to perform their duties of investigating and handling scientific research breach of trust, the competent department shall order them to correct the problem. If the person refuses to correct the situation, the responsible leaders and directly responsible persons shall be held accountable in accordance with the law.
Article 49 The Ministry of Science and Technology and the Chinese Academy of Social Sciences should strengthen information reporting and disclosure of major scientific research breach of trust in the fields of natural sciences, philosophy and social sciences.
Joint Conference on Scientific Research Integrity Construction All member units and localities should strengthen coordination and cooperation in the investigation and handling of scientific research breach of trust, mutual recognition of results, information sharing and joint punishment.
Chapter 7 Attachment
Article 50 The following terms in this rule are:
(I) Experimental research data for buying and selling, refers to the fact that experimental research has not been carried out and the experimental research data is obtained by paying to third-party intermediary service agencies or others. A third party is entrusted to conduct inspections, tests, and tests to obtain inspections, tests and test data. Because it does not meet the conditions, a third party is entrusted to conduct experiments in accordance with the experimental plan provided by the client to obtain original experimental records and data, and obtain third-party survey statistics or related public database data through legal channels. This is not a transaction experimental research data.
(II) Submission, refers to the process of submission of papers, response to review opinions, etc., not completed by the author of the paper, but is represented by a third-party intermediary service agency or others.
(III) Substantive academic contributions, refers to making important contributions to research ideas, design, analysis and interpretation of experimental research data, drafting papers or making key modifications to papers on important knowledge content, and finalizing the version to be published.
(IV) The unit where the person under investigation is located, refers to the unit where the person under investigation is located during the investigation. The person under investigation is a student, and the investigation and handling is the responsibility of the unit where his or her academic status is located.
(V) Treat it lightly, refers to the lighter treatment within the range of treatment that should be subject to scientific research breach of trust stipulated in these rules.
(VI) Re-treated processing, refers to the heavier treatment within the range of treatment that should be subject to scientific research breach of trust stipulated in these rules.
The "above" and "within" referred to in these rules do not include the number itself, and the so-called "3 to 5 years" include the number itself.
Article 51 All relevant departments and units may formulate specific rules based on these rules and actual conditions.
Article 52 If the person investigated for scientific research breach of trust belongs to the military management, the military shall investigate and deal with it in accordance with its relevant regulations.
The relevant competent departments have formulated rules for investigation and handling of scientific research breach of trust in this industry, field, and system, and the processing scale is not lower than these rules, they may conduct investigation and processing in accordance with existing rules.
Article 53 These rules shall be implemented from the date of their publication and shall be interpreted by the Ministry of Science and Technology and the Chinese Academy of Social Sciences. The "Rules for Investigation and Handling of Scientific Research Integrity Cases (Trial)" (Guokefajian [2019] No. 323) was also abolished.
