Contents

Part 1: Introduction

Part 2: Identifying Research Misconduct

Part 3: Investigating Allegations of Research Misconduct

Part 1: Introduction

Public concern about misconduct in research arose in the early 1980s after reports of serious misbehavior by researchers. In one case, a researcher republished dozens of articles under his name that had previously been published by others. In other cases, researchers falsified or made up research results. Instead of looking into these problems, research institutions sometimes ignored them or covered them up.

公眾對科研不端行為的關(guān)注始于20世紀80年代初，此前有研究人員嚴重不當(dāng)行為的報道。在一個案例中，一名研究人員以他的名義重新發(fā)表了幾十篇以前由他人發(fā)表的文章。在其他情況下，研究人員偽造或編造研究結(jié)果。研究機構(gòu)有時忽視或掩蓋這些問題，而不是調(diào)查這些問題。

Eventually, Congress required federal agencies and research institutions to develop policies on research misconduct. The U.S. Public Health Service created regulations for dealing with research misconduct (42 CFR 50 Subpart A). These policies generally have three goals:

最終，國會要求聯(lián)邦機構(gòu)和研究機構(gòu)制定有關(guān)研究不當(dāng)行為的政策。美國公共衛(wèi)生署制定了處理研究不當(dāng)行為的法規(guī)（42 CFR 50子部分A）。這些政策通常有三個目標(biāo)：

Ⅰ、To define research misconduct.

Ⅱ、To establish procedures for reporting and investigating research misconduct.

Ⅲ、To protect both those who report alleged research misconduct and those accused of research misconduct.

1、界定科研不端行為。

2、建立報告和調(diào)查研究不當(dāng)行為的程序。

3、保護舉報涉嫌科研不端行為的人員和被控科研不端行為的人員。

This module discusses how federal policy defines research misconduct and provides a brief overview of the processes established by the U.S. Public Health Service (PHS) for responding to allegations of misconduct in PHS-supported research.

本模塊討論了聯(lián)邦政策如何定義研究不端行為，并簡要概述了美國公共衛(wèi)生服務(wù)局(PHS)為應(yīng)對公共衛(wèi)生服務(wù)局支持的研究中的不端行為指控而建立的程序。

Defining Research Misconduct? ?界定研究不端行為

Federal regulations define research misconduct as:

"...fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research."

聯(lián)邦法規(guī)將研究不端行為定義為：

“……捏造、偽造、剽竊或其他嚴重偏離科學(xué)界普遍接受的提議、進行或報告研究的做法。”

Ⅰ、Fabrication is making up data or results and recording or reporting them.

Ⅱ、Falsification is changing research materials, equipment, or processes or altering or omitting data or results so that the research record does not accurately reflect the research findings.

Ⅲ、Plagiarism is using another person’s ideas, processes, results, or words without giving appropriate credit.

1、制作是指制作數(shù)據(jù)或結(jié)果并記錄或報告。

2、偽造是指改變研究材料、設(shè)備或過程，或改變或省略數(shù)據(jù)或結(jié)果，使研究記錄不能準確反映研究結(jié)果。

3、剽竊是指使用他人的想法、過程、結(jié)果或話語而沒有給予適當(dāng)?shù)男湃巍?/p>

Research misconduct does not include honest error or differences of opinion. In addition, the federal policy on research misconduct does not apply to authorship disputes unless they involve plagiarism.

研究不端行為不包括誠實的錯誤或意見分歧。此外，聯(lián)邦科研不端行為政策不適用于著作權(quán)糾紛，除非涉及剽竊。

Research misconduct has a very specific meaning in federal regulations. Noncompliance with policies and procedures for the protection of human research subjects, although reportable to an Institutional Review Board (IRB), is not considered to be research misconduct under the federal definition.

研究不端行為在聯(lián)邦法規(guī)中有非常具體的含義。不遵守保護人類研究對象的政策和程序，盡管可向機構(gòu)審查委員會（IRB）報告，但根據(jù)聯(lián)邦定義，不被視為研究不當(dāng)行為。

To whom does federal policy on research misconduct apply?? ?聯(lián)邦科研不端行為政策適用于誰？

Federal policy on research misconduct applies to all federally funded research and all proposals submitted to federal agencies for research funding.

關(guān)于研究不當(dāng)行為的聯(lián)邦政策適用于所有聯(lián)邦資助的研究以及向聯(lián)邦機構(gòu)提交的所有研究資助提案。

Many research institutions and universities apply the federal policy on research misconduct to all research, whether or not it is federally funded. In addition, many institutions have broadened the federal definition of research misconduct to include other improper practices. Researchers must be familiar with their institutional policies on research misconduct as well as with the federal policy.

許多研究機構(gòu)和大學(xué)對所有研究都適用聯(lián)邦關(guān)于研究不當(dāng)行為的政策，無論其是否由聯(lián)邦資助。此外，許多機構(gòu)擴大了聯(lián)邦對研究不當(dāng)行為的定義，將其他不當(dāng)行為也包括在內(nèi)。研究人員必須熟悉其關(guān)于研究不當(dāng)行為的機構(gòu)政策以及聯(lián)邦政策。

Part 2: Identifying Research Misconduct? ?識別研究不當(dāng)行為

What federal agency oversees investigations of alleged research misconduct?? ?哪個聯(lián)邦機構(gòu)負責(zé)調(diào)查所謂的研究不當(dāng)行為？

The Office of Research Integrity (ORI) in the Department of Health and Human Services is responsible for promoting research integrity within the U.S. Public Health Service. ORI oversees investigations of research misconduct allegations and makes final decisions on findings of research misconduct.

衛(wèi)生與公共服務(wù)部的研究誠信辦公室（ORI）負責(zé)促進美國公共衛(wèi)生服務(wù)部門的研究誠信。ORI監(jiān)督對科研不端行為指控的調(diào)查，并對科研不端行為的調(diào)查結(jié)果做出最終決定。

Through its Rapid Response Technical Assistance Program, ORI provides technical assistance to any institution that is responding to an allegation of research misconduct. In addition, researchers may hold informal discussions with ORI about allegations of research misconduct or the handling of research misconduct cases.

ORI通過其快速反應(yīng)技術(shù)援助計劃，向任何回應(yīng)研究不當(dāng)行為指控的機構(gòu)提供技術(shù)援助。此外，研究人員可能與ORI就科研不端行為的指控或科研不端行為案件的處理進行非正式討論。

Records maintained by ORI during the investigation of an allegation of research misconduct are exempt from disclosure under the Freedom of Information Act to the extent permitted by law and regulation.

根據(jù)《信息自由法》，在法律和法規(guī)允許的范圍內(nèi)，ORI在調(diào)查研究不當(dāng)行為指控期間保存的記錄可免于披露。

Research Misconduct and Other Types of Misconduct? ?研究不當(dāng)行為和其他類型的不當(dāng)行為

Research misconduct destroys the integrity or honesty of the research record. This sets it apart from other improper activities that may occur in research settings (e.g., financial conflicts of interest, misuse of grant funds, violation of human subject protections, sexual harassment, and discrimination). Although these improper activities are taken very seriously, they are not considered research misconduct because they do not alter the integrity of the research record.

研究不端行為破壞了研究記錄的完整性或誠實性。這使其與研究環(huán)境中可能發(fā)生的其他不當(dāng)活動（例如，財務(wù)利益沖突、濫用撥款、違反人體保護、性騷擾和歧視）區(qū)別開來。盡管這些不當(dāng)行為受到了非常嚴肅的對待，但它們不被視為研究不當(dāng)行為，因為它們不會改變研究記錄的完整性。

The term fraud has often been used to describe dishonesty in research. However, this term is more aptly used to describe illegal, deceptive financial practices. Behavior that destroys the integrity of the research record through fabrication, falsification, or plagiarism is most aptly termed research misconduct.

欺詐一詞經(jīng)常被用來描述研究中的不誠實行為。然而，這個術(shù)語更適合用來描述非法的、欺騙性的金融行為。通過捏造、偽造或剽竊破壞研究記錄完整性的行為最恰當(dāng)?shù)胤Q為研究不端行為。

Interactive: Identifying Research Misconduct - TRUE OR FALSE? ?識別研究不當(dāng)行為-正確或錯誤

Instructions: Based on the description below, choose whether the information is True or False.

說明：根據(jù)下面的描述，選擇信息是否正確。

All three of the elements below must be present for a finding of research misconduct to be made. Under federal policy, a finding of research misconduct requires that:

Ⅰ、There be a significant departure from accepted practices of the relevant research community; and

Ⅱ、The misconduct be committed intentionally, or knowingly, or recklessly; and

Ⅲ、The allegation be proven by a preponderance of the evidence.

Feedback: Is this information True or False? All three of the elements must be present for a finding of research misconduct to be made. Therefore, the correct response is True.

必須具備以下三個要素，才能發(fā)現(xiàn)研究不當(dāng)行為。根據(jù)聯(lián)邦政策，研究不端行為的發(fā)現(xiàn)要求：

1、與相關(guān)研究團體的公認實踐存在重大偏差；和

2、故意、明知或罔顧后果的不當(dāng)行為；和

3、該指控應(yīng)以大量證據(jù)予以證明。

反饋：這些信息是真是假？必須具備所有三個要素，才能發(fā)現(xiàn)研究不當(dāng)行為。因此，正確的回答是正確的。

Part 3: Investigating Allegations of Research Misconduct? ?調(diào)查研究不端行為的指控

Who is responsible for investigating allegations of research misconduct?? ?誰負責(zé)調(diào)查有關(guān)研究不當(dāng)行為的指控？

Federal policy on research misconduct places the primary responsibility for reporting and investigating allegations of research misconduct with researchers and research institutions. This is consistent with the position, supported by most researchers, that research is a profession that should regulate its own conduct.

聯(lián)邦關(guān)于研究不當(dāng)行為的政策規(guī)定，研究人員和研究機構(gòu)負有舉報和調(diào)查研究不當(dāng)行為指控的主要責(zé)任。這與得到大多數(shù)研究人員支持的觀點是一致的，即研究是一種應(yīng)該規(guī)范自身行為的職業(yè)。

Research institutions that receive federal funding are expected to:

Ⅰ、Foster an environment that discourages all research misconduct.

Ⅱ、Use procedures for receiving and investigating reports of research misconduct.

Ⅲ、Inform scientific and administrative staff of the procedures for responding to allegations of research misconduct and of the importance of complying with these procedures.

Ⅳ、Take immediate, appropriate action when research misconduct is suspected or alleged to have occurred at the institution.

Ⅴ、Investigate and rule on suspicions or allegations of research misconduct.

Ⅵ、Report both the start of and the results of a formal investigation (not the initial inquiry) into an allegation of research misconduct to the Office of Office of Research Integrity.

Ⅶ、File an Annual Report on Possible Research Misconduct with the designated federal agency.

接受聯(lián)邦資助的研究機構(gòu)應(yīng):

1、培養(yǎng)一個不鼓勵所有研究不端行為的環(huán)境。

2、使用接收和調(diào)查研究不端行為報告的程序。

3、告知科學(xué)和行政人員應(yīng)對研究不當(dāng)行為指控的程序以及遵守這些程序的重要性。

4、當(dāng)懷疑或指稱研究機構(gòu)發(fā)生不當(dāng)行為時，立即采取適當(dāng)行動。

5、對科研不端行為的懷疑或指控進行調(diào)查和裁決。

6、向研究誠信辦公室報告對研究不端行為指控的正式調(diào)查（而非初步調(diào)查）的開始和結(jié)果。

7、向指定的聯(lián)邦機構(gòu)提交關(guān)于可能的研究不當(dāng)行為的年度報告。

Federal policy on research misconduct assumes that research is a self-regulating profession. To be successful, professional self-regulation relies on conscientious participation by all members of the profession. Individual researchers are expected to:

關(guān)于研究不當(dāng)行為的聯(lián)邦政策假定研究是一種自我調(diào)節(jié)的職業(yè)。要取得成功，專業(yè)自律有賴于所有專業(yè)人員的認真參與。個人研究人員應(yīng)：

Ⅰ、Maintain a high standard of integrity at all times in all of their research activities.

Ⅱ、Assume responsibility for their actions.

Ⅲ、Take misconduct or alleged misconduct seriously.

Ⅳ、Report apparent misconduct by other researchers.

Ⅴ、Keep confidential at all times information that is relevant to an investigation of alleged misconduct.

1、在所有研究活動中始終保持高標(biāo)準的誠信。

2、對自己的行為負責(zé)。

3、認真對待不當(dāng)行為或被指控的不當(dāng)行為。

4、報告其他研究人員的明顯不當(dāng)行為。

5、始終對與涉嫌不當(dāng)行為調(diào)查有關(guān)的信息保密。