日本《关于应对科研不端行为指南》的经验与启示

The enlightenment on misconduct governance from Japan's Guidelines for Responding to Misconduct in Research

近年来,不断发生的重大科研不端事件促使日本文部科学省、资助机构和研究机构逐渐制定了一系列法律规则和文件,加大了科研不端行为的治理力度。本文主要研究文部科学省《关于应对科研不端行为指南》的制定背景及其主要内容,包括科研不端行为治理的基本理念、事前预防措施、捏造、篡改和剽窃等特定科研不端行为的界定及处理程序、以及针对特定科研不端行为的处罚措施等具体规定。《指南》对我国治理科研不端行为具有较大的启示,应该从机构合作和法规健全两方面加强科研不端行为治理的顶层设计,增强依托单位的管理责任,完善调查处理程序,合理设定处罚措施,有效预防和处理科研不端行为。

In order to enhance the governance of research misconducts, the MEXT （Ministry of Education, Culture, Sports, Science and Technology） of Japan has gradually enacted a series of rules and regulations. This article mainly studied the contents of the ＂Guidelines for Responding to Misconduct in Research＂ released by MEXT, especially the basic idea for research misconducts governance, the precautions, the definition of special misconducts which includes fabrication, falsification and plagiarism, the treatment procedure and the misconducts punishment. The authors think that the guidelines provide us enlightenment for research misconducts governance, and suggest that we should enhance the top-down design on the corpora- tion of different ministries and improve the rules and regulations. Moreover, it is important to strengthen the management responsibility of the research institutes or research organizations on the inquiry and inves- tigation procedure, and set reasonable punishment measures, in order to prevent and dispose the research misconducts effectively.