消除危机的国际典范：美国应对研究不端行为的制度性转变

ResearchMethodologyofH(b)VicePresident;(c)SecretaryofCommerce;(d)SecretaryofDefense;(e)SecretaryofEnergy;(f)SecretaryofHealthandHumanServices;(g)SecretaryofState;(h)SecretaryoftheInterior;(i)Administrator,NationalAeronauticsandSpaceAdministration;(j)Director,NationalScienceFoundation;(k)DirectoroftheOfficeofManagementandBudget;(l)Administrator,EnvironmentalProtectionAgency;(m)AssistanttothePresidentforScienceandTechnology;(n)NationalSecurityAdviser;(o)AssistanttothePresidentforEconomicPolicy;(p)AssistanttothePresidentforDomesticPolicy;and(q)SuchotherofficialsofexecutivedepartmentsandagenciesasthePresidentmay,fromtimetotime,designate.,ResearchMethodologyofH2.toensurescienceandtechnologypolicydecisionsandprogramsareconsistentwiththePresidentsstatedgoals;3.tohelpintegratethePresidentsscienceandtechnologypolicyagendaacrosstheFederalGovernment;4.toensurescienceandtechnologyareconsideredindevelopmentandimplementationofFederalpoliciesandprograms;and5.tofurtherinternationalcooperationinscienceandtechnology.TheAssistantmaytakesuchactions,includingdraftingaCharter,asmaybenecessaryorappropriatetoimplementsuchfunctions.,ResearchMethodologyofH(2)reviewingandmonitoringresearchmisconductinvestigationsconductedbyapplicantandawardeeinstitutions,intramuralresearchprograms,andtheOfficeofInspectorGeneralintheDepartmentofHealthandHumanServices(HHS);(3)recommendingresearchmisconductfindingsandadministrativeactionstotheAssistantSecretaryforHealthfordecision,subjecttoappeal;(4)assistingtheOfficeoftheGeneralCounsel(OGC)topresentcasesbeforetheHHSDepartmentalAppealsBoard;,ResearchMethodologyofH(6)implementingactivitiesandprogramstoteachtheresponsibleconductofresearch,promoteresearchintegrity,preventresearchmisconduct,andimprovethehandlingofallegationsofresearchmisconduct;(7)conductingpolicyanalyses,evaluationsandresearchtobuildtheknowledgebaseinresearchmisconduct,researchintegrity,andpreventionandtoimproveHHSresearchintegritypoliciesandprocedures;(8)administeringprogramsfor:maintaininginstitutionalassurances,respondingtoallegationsofretaliationagainstwhistleblowers,approvingintramuralandextramuralpoliciesandprocedures,andrespondingtoFreedomofInformationActandPrivacyActrequests./about/index.shtml,ResearchMethodologyofH(2)assistinginthesequestration,inventory,categorization,andplansforanalysesofphysicalevidence;(3)briefinginstitutionalofficialsandcommitteesonplanning,implementation,andpotentiallegalissuesininquiriesandinvestigations;(4)advisingcommitteemembersoninvestigationalgoalsandtechniques;(5)alertingofficialsofPHSissuesandprovidingcopiesofgrantapplicationsandgrantreports;providingadviceonhandlingcomputerfiles;(6)providingadviceonanalyticaltechniquesforimageenhancementandstatisticalanalysesofdata(e.g.,digitanalysis);(7)handlingevidencefromhumansubjectsorsamples;,ResearchMethodologyofH(9)providingadviceonmissingrecords;(10)providingadviceonforensicexpertiseandinterpretingopinionsreceived;(11)assistinginlocatingoutsideexperts;(12)assistingindevelopingstrategiestopreventincompleteandwithdrawnadmissions;(13)identifyingtheneedfornotificationofotherFederalagencies;(14)assistinginnotificationorrequestsforhelpfromotherinstitutionsororganizations;(15)sharingORIexperienceondifficultlegalissues;(16)advisingonpotentialwhistleblowerandconfidentialityissues,includingreferringwhistleblowerissuespromptly.,ResearchMethodologyofH&SSMarch,2010,5、美国应对研究不端行为的教育、研究和训练计划,ResponsibleConductofResearch(RCR)ORIsupportsseveralprogramsdesignedtopromoteeducationandtrainingintheresponsibleconductofresearch(RCR)thatcoversthefollowingnineinstructionalareas:DataAcquisition,Management,SharingandOwnershipConflictofInterestandCommitmentHumanSubjectsAnimalWelfareResearchMisconductPublicationPracticesandResponsibleAuthorshipMentor/TraineeResponsibilitiesPeerReviewCollaborativeScience,ResearchMethodologyofH&SSMarch,2010,OpportunitiesAboundforPromotingRCREducation,Numerousopportunitiesexistwithincolleges,universities,medicalschools,andresearchinstitutestopromoteresponsibleconductofresearcheducationthroughactivitiesthatalreadyroutinelyhappeninthoseorganizations,accordingtoJulieSimpson,Manager,ResearchConductandComplianceServices,UniversityofNewHampshire,enumeratedthoseopportunitiesasfollows:ResearchmethodscoursesDepartmentalfacultymeetingsTrainingsessionsofferedbyInstitutionalReviewBoards,InstitutionalAnimalCareandUseCommittees,andInstitutionalBiosafetyCommitteesExperientialresearchprogramsforgraduateandundergraduatestudents/education/,ResearchMethodologyofH&SSMarch,2010,Orientationsessionsfornewfaculty,postdoctoralfellows,graduatestudents,andgraduateassistantsTrainingsessionsfornewdepartmentchairsMeetingsorluncheonsfornewfacultyhostedbyuniversityofficialsDepartmentalactivitiessuchasdissertationgroups,seminarseries,journalclubsInstitution-widelectureordiscussionseriesProfessionaldevelopmentprogrammingofferedbythegraduateschoolActivitiessponsoredbygraduatestudentandpostdocorganizationsFeaturearticlesonRCRissuesinthecampusnewspaperandorganizationalwebsitesCollaborationwithgraduateprogramcoordinatorstopromoteRCRtrainingCommunicationsbetweenthechiefresearchofficerandthecampuscommunity,ResearchMethodologyofH&SSMarch,2010,(三)美国应对研究不端行为制度化转变的成功标志及意义,1、其实施过程中的政策调整、改变及不断完善；2、其实施后所产生的巨大的、综合性政策效用；3、其已成为西方各国政府应对科研不端行为的榜样和范本。,ResearchMethodologyofH&SSMarch,2010,1、其实施过程中的政策调整、改变及不断完善,（1）从伦理约束到政策法规惩治；（2）从单一的末端处理到营造培育负责任研究行为的环境：诚信教育；（3）从简单规制到系统地综合防治。,ResearchMethodologyofH&SSMarch,2010,2、其实施后所产生的巨大的、综合性政策效用,（1）对于科学界自身来说研究环境改善；不端行为减少；科研动力增强；创新成果增长；科技发展良性循环（2）政府对于科学界的进步满意，并进一步推进（3）公众对于科学的信任增强,ResearchMethodologyofH&SSMarch,2010,3、其已成为西方各国政府应对科研不端行为的榜样和范本,（1）加拿大（2）澳大利亚（3）欧盟大多数国家（4）日本、韩国等,ResearchMethodologyofH&SSMarch,2010,5、应对科研不端行为的新的里程碑首届世界性会议述评,ResearchMethodologyofH&SSMarch,2010,2007年9月16-19日，在葡萄牙里斯本（Lisbol）召开了主题为“科研诚信：培育负责任的科学研究”的首届世界性会议。该会由欧洲科学基金会（ESF）与美