科研不端行为处理程序研究——兼评《科研诚信案件调查处理规则(试行)》

Research on the Processing Procedure of Research Misconduct:Comments on the"Rules for Investigation and Handling of Cases of Scientific Research Integrity(Trial)"

2019年9月由科技部等20个部委联合发布的《科研诚信案件调查处理规则(试行)》从整体上构建了科研不端行为调查处理程序,是我国科研诚信建设的里程碑文件,但其并未真正解决调查主体多元、事实问题与学术问题混淆、程序规则公正性欠缺与救济途径缺失等问题。有必要借鉴美国科研不端的规制经验,通过法律程序弥补科学共同体自律约束的不足,在内生机制方面不断完善科研不端处理程序,在外部约束方面通过立法与司法介入倒逼调查部门规范内部调查和处理程序,构建科学共同体自律约束与法律规则外部约束相结合的科研诚信建设体系,从而真正净化学术界和推动“科教兴国”。

Research misconduct have always been the phenomena resisted by the academia.In recent years,it has occurred frequently,among which Zhai Tianlin incident and gene editing baby incident have become hot topics among the public.The impact of these events prompted the academic community,universities,education management departments and science and technology management departments to strengthen the investigation of scientific research misconduct,and also led to a large increase in the number of reported cases of scientific research misconduct by the public.While the phenomena attract great public attention,government departments have continuously issued corresponding documents to strengthen the construction of scientific research integrity.For example,the opinions on Further Strengthening the Construction of Scientific Research Integrity jointly issued by the office of the CPC Central Committee and the State Council in 2018 proposed to"adhere to zero tolerance and maintain a high-pressure situation of severely cracking down on acts seriously violating the requirements of scientific research integrity".In 2019,the opinions on further carrying forward the spirit of scientists and strengthening the construction of style and style of study jointly issued by the office of the CPC Central Committee and the State Council stressed that"strengthening the construction of style and style of study and creating a clean and positive scientific research environment"all showed a strict attitude of zero tolerance for scientific research misconduct.In this context,in September 2019,the rules for investigation and handling of scientific research integrity cases(Trial)jointly issued by the Ministry of Science and technology and other 20 ministries and commissions have constructed the scientific research misconduct as a whole for the first time(scientific research integrity cases)the investigation and handling process system defines the responsibilities of various departments in handling scientific research misconduct cases,and integrates the previous decentralized regulations of various science and technology that there are specific and unified procedures for the investigation and handling of scientific research misconduct cases.the"rules for investigation and handling of cases of scientific research integrity(Trial)"has constructed the overall investigation and processing procedures of scientific research misconduct,which is a milestone document for the construction of scientific research integrity in China.However,the"Investigation and Handling Rules of Scientific Research Integrity Cases(Trial)"can not really solve the problems such as the diversity of investigation subjects,the confusion between factual problems and academic problems,the lack of fairness of procedural rules and the lack of relief channels.It is necessary to learn from the experience of regulation of scientific research misconduct in the United States,make up for the lack of self-discipline in the scientific community through legal procedures,constantly improve the processing procedures of scientific research misconduct in the endogenous mechanism,force the investigation departments to standardize the internal investigation and processing procedures through legislative and judicial intervention in the external constraints,and construct the combination of self-discipline and external constraints of legal rules so as to purify the academic circles and promote"rejuvenating the country through science and technology".The investigation of scientific research misconduct in the United States has experienced a process of extinction of"Scientific Dialogue",that is,in the past,scientists in the scientific community collected and reviewed relevant evidence.Because this model ignored and avoided the legitimacy of the investigation procedure,and the process was very slow,"for the investigation procedure of federal agencies,this is a bad model".Therefore,the development of the investigation and punishment procedure of scientific research misconduct has adopted a formal"legal model".Now the United States has established a complete and efficient processing program.Judicial review attaches great importance to the protection of the substantive rights(property rights,freedom rights,etc.)of the respondents in the investigation and handling procedures of academic/scientific research misconduct.China's handling of scientific research misconduct has also experienced a slow transition from"Scientific Dialogue"to the current limited introduction of public power and law The text has the characteristics of strong attribute of public power and weak judicial intervention and protection.In China's judicial practice,the judicial review of scientific research misconduct has achieved a certain degree of breakthrough.Although scientific research and academic behavior enjoy greater freedom and autonomy because of their professionalism and self-discipline,state supervision should maintain a relatively positive position and attitude when academic autonomy is suspected of"professional abuse".Therefore,the court should have the right to review the cases of scientific research misconduct,and China's norms of scientific research misconduct should also undergo a transformation from"Scientific Dialogue"to legal model,which shall urge the investigation department to standardize the internal investigation and handling procedures through necessary judicial intervention to realize procedural legitimacy,build a scientific research integrity construction system combining the self-discipline constraints of the scientific community and the external constraints of legal rules,so that research misconduct could be prevented not only because of severe punishment,but also good governance and self-conscience to truly purify the academic community and promote"rejuvenating the country through science and technology".