Chinese MoST: Guidelines for Research Conduct
Chinese Ministry of Science and Technology: Translation of Guidelines for Responsible Research Conduct (2023)
Im Dezember 2023 hat das Ministerium für Wissenschaft und Technologie (科学技术部) Richtlinien für verantwortungsvolle Forschung publiziert. Die Richtlinien halten, unter Anderem, gewünschte Vorgehensweisen in folgenden Gebieten:
1. Auswahl und Umsetzung von Forschungsthemen
2. Datenmanagement
3. Literaturangaben
4. Urheberschaft von Forschungsergebnissen
5. Veröffentlichung von Forschungsergebnissen
6. Peer Review
7. Ethische Überprüfung
8. Akademischer Austausch und Zusammenarbeit
9. Schutz geistigen Eigentums
10. Ausbildung und Betreuung
11. Aufsicht und Governance
In Anbetracht der Einsichten, die dieses Dokument auch für deutsche Wissenschaftler:innen mit Forschungskooperationen in und mit chinesischen Einrichtungen, bietet, hat das China Kompetenzzentrum der Universität Würzburg eine chinesische Hilfskraft gebeten die Richtlinien zu übersetzen. Dabei wurde ins Besondere auf kulturelle Feinheiten in der Wortwahl gesetzt, die bei anderen Übersetzungen (z.B. OFIS) weniger zum Ausdruck kommen. Wir hoffen die Übersetzung hilft deutsche Forscher:innen und wissenschaftsunterstützendes Personal dabei die Forschungslandschaft in der Volksrepublik besser zu verstehen.
Translation undertaken by the China Competence Centre University of Würzburg
Guidelines for Responsible Research Conduct (2023)
Compiled by the Department of Supervision, Ministry of Science and Technology China, December 2023
click here for original Chinese source
Contents
1. Research Topic Selection and Implementation
4. Authorship of Research Outputs
5. Publication of Research Outputs
6. Peer Review
8. Academic Exchange and Collaboration
9. Intellectual Property Protection
Guidelines for Responsible Research Conduct (2023)
Responsible scientific research is essential for promoting the healthy development of science and technology and is a prerequisite for achieving a high level of self-reliance and self-strengthening in science and technology. To guide researchers and research institutions, universities, medical institutions, enterprises, and other entities (hereinafter collectively referred to as "research institutions") in conducting responsible scientific research, the Department of Supervision of the Ministry of Science and Technology has compiled the Guidelines for Responsible Research Conduct, which outline the ethical principles and academic norms that shall be universally observed in scientific research practice.
1. Research Topic Selection and Implementation
Research topics shall adhere to the "Four Orientations" and emphasize problem-oriented approaches, complying with requirements for research ethics and regulations on scientific and technological security. Researchers shall avoid simple repetition, low-level research, detachment from reality, and blind pursuit of trending topics, and must not engage in research prohibited by laws and regulations. Researchers must ensure that project application, implementation, and final acceptance observe relevant regulations and that necessary resources are invested during the research process.
(1) Researchers
1. When selecting research topics, researchers shall consider their scientific soundness, innovativeness, applicability, and feasibility. Topic selection shall be grounded in a thorough literature review, investigation, and scientific justification, while also aligning with the available resources necessary for completing the research. Researchers shall seek to identify the critical challenges, unresolved issues, and gaps within their research field. Unless for validation purposes, researchers shall avoid simple repetition of research already conducted by others.
2. Application materials for research projects must be truthful, accurate, and objective. Duplicate applications using identical or similar research content are prohibited. Other individuals may not be listed as research team members without their consent. Plagiarism, buying and selling, or ghostwriting of application materials is prohibited. Generative artificial intelligence must not be used to directly generate application materials.
3. Research budgets shall be prepared based on relevant regulations and actual needs. Research funds shall be used reasonably and prudently, and any costs for completed or unrelated research shall not be included in the budget.
4. Researchers must not, by any direct or indirect, explicit or implicit means, seek preferential treatment or improper benefits from review organizers, staff, or experts.
5. Researchers shall ensure sufficient time and energy are invested in the research. The number of projects simultaneously led or primarily participated in shall comply with the limitation regulations of relevant funding agencies. Research implementation shall be rigorous and scientific, employing appropriate methods and technical approaches. Researchers are required to strictly fulfill the obligations set forth in the task agreement or contract, without arbitrarily lowering targets or requirements, subcontracting research tasks to others, or substituting unrelated research outputs to fulfill obligations.
6. In the processes of research topic selection, project application, research implementation, project completion and acceptance, and participation in project reviews as experts, researchers shall promptly identify and disclose any potential conflicts of interest to ensure the objectivity and impartiality of research or reviews, and to prevent harm to the interests of others or the public.
7. Researchers shall strictly comply with relevant regulations concerning security and confidentiality, the use of funds, resources and data sharing, and the ownership of intellectual property. Generative artificial intelligence shall be used appropriately and in accordance with applicable regulations during research implementation.
(2) Research Institutions
1. Relevant institutions shall review and verify the research integrity record of project applicants as well as the authenticity and completeness of their application materials. A sound record of research integrity shall be a prerequisite for application eligibility.
2. Institutions shall fulfill their principal responsibilities, provide necessary support and resources, closely monitor research progress, and strengthen the full-process management of research activities.
2. Data Management
The collection and recording of research data shall be complete, accurate, and traceable. Data storage and use shall comply with professional standards and management regulations to ensure data quality and security.
(1) Researchers
1. Researchers shall strictly follow established data collection procedures, select appropriate collection methods, and collect research data objectively, comprehensively, and accurately.
2. Researchers shall record the research process and experimental data promptly and accurately, ensuring the completeness, objectivity, and traceability of all research records and data. Selective recording or use of data to obtain specific results is prohibited.
3. For written records, researchers shall use laboratory notebooks with consecutively numbered pages that meet preservation requirements. Original data, charts, photographs, etc., generated by experiments shall be pasted in sequence at appropriate positions in the laboratory notebook with detailed annotations. Corrections to records shall be made by the original recorder, without obscuring the original content, with reasons for correction stated and signed. Alteration of data or damage to any part of the notebook is prohibited. Fabrication or falsification of original data, or preservation of artificially processed data as original data, is prohibited. For electronic records, they shall be associated with experimental records and protected against artificial alteration of data and generation times.
4. Use of unpublished data belonging to others requires prior consent from the data owner, and the data source shall be properly cited.
5. The use, dissemination, reproduction, preservation, and deletion of data shall comply with requirements of the Data Security Law, Personal Information Protection Law, Scientific Data Management Measures, and other applicable regulations. When collecting human research data or sensitive data involving privacy or confidentiality, researchers must strictly observe relevant laws, regulations, and ethical standards, and may proceed only after obtaining informed consent from the individuals concerned or approval from authorized institutions. Data may not be used beyond the agreed purposes or transferred or disclosed to other institutions or individuals without consent.
6. In data analysis and processing, appropriate analytical methods and processing techniques shall be adopted to comprehensively, clearly, and accurately reflect the research process and results, with detailed explanations provided in research reports.
7. When processing academic images, researchers shall follow the standards of relevant disciplines or academic publishing organizations and indicate any processed parts upon publication. Alteration, blurring, elimination, or distortion of key information in original images is prohibited. Inappropriate or deceptive image processing, including adding, removing, or moving objects, or removing or blurring backgrounds, is prohibited. Composite images created through splicing shall have clear boundary lines between components, or an explicit statement of splicing. Images obtained under conditions other than actual experiments shall not be used to replace authentic experimental images. Images from others' research outputs must not be used directly without citing sources or origins.
8. After publication of research outputs, researchers are encouraged to submit or openly share original data involved, as well as materials such as methods, reagents, software, and source code, in appropriate ways without violating confidentiality and intellectual property regulations, to enhance data application value.
9. Research data shall be organized, preserved, and backed up in a timely manner, with effective measures taken to prevent loss, leakage, damage, or tampering.
10. All experimental records, data (including unpublished data, negative data, etc.), and laboratory notebooks shall be properly preserved as required by the disciplinary or institutional requirements, and experimental samples shall be preserved following relevant technical specifications. Within one month after publication of research outputs such as papers, original materials, including experimental records and data, shall be submitted to the research institution for centralized archiving or managed in accordance with institutional regulations.
11. Project leaders shall supervise the collection, preservation, and use of data, conduct necessary inspection or verification of collected data to ensure reliability, and properly preserve all records and original data within the prescribed period.
12. When research data indicates circumstances that may seriously affect or threaten public health, the ecological environment, public safety, or social order, researchers shall report such findings promptly and proactively to relevant authorities. Any release of data shall comply with relevant regulations, ensure transparency and objectivity, and avoid intentional exaggeration, overemphasis, concealment, or omission of specific information.
13. Researchers shall comply with applicable laws, regulations, and academic standards when using generative artificial intelligence to process text, data, or academic images. They shall use such tools responsibly and guard against risks such as data fabrication or falsification.
14. Researchers shall not obtain experimental data by paying third-party institutions or individuals, or through other means, without conducting actual research. When experiments or data collection must be commissioned to a third-party institution due to the lack of necessary conditions, researchers shall design the experimental plan themselves and conduct analysis based on the original experimental records and data provided by the third party, clearly indicating the data source upon publication. Use of third-party survey or statistical data, or data from public databases, shall be through legitimate channels, with proper citation of sources or origins.
(2) Research Institutions
1. Research institutions shall establish sound data management and quality control systems, with clear provisions on data collection, submission, preservation, ownership, use, sharing, confidentiality, and security, and shall ensure their strict implementation. Institutions shall conduct regular inspections to ensure that original records of research activities are timely, accurate, complete, properly preserved, and readily accessible and traceable.
2. Institutions shall provide the necessary hardware and software facilities, funding, and personnel to support data storage, management, services, and security. Based on the characteristics of research activities, institutions shall produce uniformly formatted, consecutively numbered, easy-to-use original record media, and shall properly preserve and archive them.
3. Literature Citation
Researchers shall clearly distinguish their own research outcomes from those of others in project proposals, final reports, papers, or other research outputs. When referencing or drawing upon others' viewpoints or findings, researchers shall be truthful and strive for accuracy, and appropriately indicate the source.
1. When referencing or adopting others' academic viewpoints, research approaches, or published works, researchers shall indicate them through citations, annotations, acknowledgments, or other means according to common standards or norms in the discipline.
2. Original sources should be cited whenever possible. If the original work cannot be obtained and it becomes necessary to cite information quoted or summarized by other authors, researchers shall clearly indicate this as a secondary citation and strive to ensure accuracy.
3. When citing others' works, researchers shall ensure objectivity and accuracy, and shall avoid erroneous citations or quoting out of context. Researchers shall not cite research outputs from unfamiliar fields, nor cite without adequate understanding of the research content or its development. They shall not intentionally distort, exaggerate, or disparage others' academic viewpoints or research findings. Retracted publications should generally not be cited, except when discussed for legitimate purposes of scholarly critique.
4. The use of content generated by generative artificial intelligence, especially where it involves key content such as facts and viewpoints, must be explicitly disclosed with an explanation of how it was generated, to ensure authenticity, accuracy, and respect for others' intellectual property rights. Content marked by its authors as AI-generated should not, in general, be cited as original literature. If it is indeed necessary, the citation must be accompanied by an appropriate explanation.
5. The use of others' published charts or images requires prior permission from the copyright holders and must remain within the permitted scope of use, with sources or origins duly acknowledged.
6. Researchers shall not deliberately ignore or conceal important relevant literature already published by others, or literature whose findings may be unfavorable to their own research.
7. Literature that has not been consulted or that is unrelated to the research content shall not be included in the reference list, including inappropriate self-citation, reciprocal citation by agreement with others, or citation of irrelevant literature at the request of reviewers or editors. References automatically generated by generative artificial intelligence that have not been verified must not be used directly.
4. Authorship of Research Outputs
Authors shall have made substantial academic contributions, meaning they have significantly contributed to research ideas, design, implementation, data acquisition, data analysis and interpretation, or critical revisions to important intellectual content. Those without substantial academic contributions to research outputs shall not be listed as authors.
1. All listed authors shall review and approve in advance the publication of any research output bearing their names, and shall be responsible for the portions they completed or contributed to. The first contributor, first author, and corresponding author shall assume primary responsibility for the authenticity and reliability of the research output.
2. All listed authors shall have made substantial academic contributions to the research output. Gift authorship and unauthorized use of names are strictly prohibited. Any individual who discovers that their name has been added without consent or improperly used shall take the initiative to raise concerns and request correction.
3. The order of authorship shall generally reflect the magnitude of each contributor's involvement and be determined jointly by all contributors, or follow the authorship conventions of the relevant discipline.
4. Individuals or organizations that do not qualify for authorship but have contributed to or assisted with the research can be appropriately acknowledged in notes, acknowledgments, or other suitable forms.
5. For funded research outputs, the funding agencies, project titles, and approval numbers shall be accurately indicated as required. For outputs funded by multiple institutions, acknowledgments shall, in principle, be ordered according to the magnitude of each institution's contribution to the research output. Funding unrelated to the research or false project information must not be included. It is strictly prohibited to conceal funding sources, hide true author information, or fabricate authorship to disguise conflicts of interest.
6. The primary institution of research outputs must not be arbitrarily changed as a result of changes in contributors' institutional affiliations. Affiliations, positions, titles, and other personal information must not be fabricated or falsified.
7. Generative artificial intelligence must not be listed as a co-author or co-contributor of any research output. The main methods and details of its use shall be disclosed in relevant sections, such as the research methods or appendices.
5. Publication of Research Outputs
The publication or release of papers, monographs, and other research outputs shall fully describe the research process, clearly explain the research methods, accurately present the conclusions, and submit or share relevant data as required, so as to facilitate replication, verification, and evaluation of the reliability of the results by others.
(1) Researchers
1. Research outputs shall first be published through peer-reviewed channels or communicated within the scientific community through academic reports, symposia, or preprints. The release of breakthrough findings or major research progress shall be approved by the researcher's affiliated institution. Research results that have not undergone scientific validation or peer review must not be disseminated to the public.
2. Researchers shall verify the credentials of the intended publishing organization and the databases indexing their outputs, as well as other relevant information, to avoid journals or publishers that lack quality assurance or are fraudulent.
3. The same manuscript reporting research outputs, or manuscripts with only minor differences based on the same data, must not be submitted simultaneously to two or more publishers for publication. Resubmission to other publishers is permitted only after receiving a formal rejection, exceeding the specified review period, or obtaining confirmation of withdrawal from the initial publisher. For works jointly completed by multiple authors, all authors must agree before resubmission.
4. Previously published papers or their data, figures, etc., must not be republished, and parts of multiple published papers must not be combined to fabricate a 'new' output for publication. If republication is necessary, prior approval must be obtained from both the original and the intended publishers. Upon republication, authors must clearly state in a prominent position that the work was previously published and indicate the original source.
5. A complete research output must not be divided into multiple publications, to maintain its integrity, systematic nature, scientific rigor, and logical coherence. Different outputs with different author attributions must not be produced based on the same research content.
6. First contributors, first authors, and corresponding authors bear the responsibility for ensuring that all listed authors consent to publication and approve the final output.
7. When publishing research outputs, researchers shall disclose conflicts of interest as required and clearly state the sources of research funding.
(2) Research Institutions
1. Research institutions shall strengthen the management of publication of research outputs by their researchers, establishing systems for integrity commitments, submission and verification of original data, traceability of the research process, and inspection and reporting of publications. For projects supported by public funds, researchers shall be required to submit the relevant scientific and technical reports as stipulated. Institutions shall conduct enhanced verification when multiple papers or patents are produced within a short period. Research involving confidential or sensitive information shall undergo review and approval in accordance with relevant regulations.
2. Institutions shall issue timely warnings and reminders regarding publications in journals included on watch lists. Research outputs published in academic journals on "blacklists" shall not be recognized in any evaluation or assessment, and related publication fees shall not be reimbursed.
3. For academic papers or other research outputs by institutional researchers that violate research integrity requirements, relevant responsible individuals shall be subject to disciplinary action and required to take corrective measures, such as retracting the papers.
(3) Academic Publishers
1. Publishers shall establish and improve policies and procedures for peer review, ethics supervision, copyright management, academic norm commitments, retraction and rejection dispute handling, and conflict of interest management. They shall also establish systems for the management and supervision of editors, editorial board members, and reviewers.
2. Publishers shall clearly specify research output publication norms through "calls for papers," "author guidelines," and other means. Authors may be required to specify each listed author's contributions when the outputs are published.
3. Publishers shall require authors to disclose whether generative artificial intelligence (GenAI) was used, to specify software names, versions, and usage times, and to provide specific annotations for GenAI-assisted content involving citations of facts and viewpoints.
4. Publishers shall preserve records including original submissions, review comments, revised manuscripts, correspondence, and editorial decisions for published research outputs for at least three years for verification purposes.
5. Publishers shall detect and identify research misconduct in author submissions, and handle complaints and reports regarding research misconduct. For manuscripts with research misconduct or serious errors, they shall take handling measures such as commentaries, expressions of concern, corrections, or retractions, with timely notification to relevant databases indexing the research output and the authors' affiliated institutions.
6. Publishers shall select reviewers reasonably, urge them to conduct serious and fair reviews, and supervise and evaluate their adherence to research integrity requirements accordingly. They shall remind reviewers to use generative artificial intelligence cautiously and in compliance with regulations during the review process. Publishers must not exert improper influence on reviewers' legitimate reviews, nor shall they unreasonably reject or distort reviewers' review opinions.
7. Editors and reviewers must not disclose, publicly discuss, plagiarize, or appropriate authors' unpublished research outputs without authorization. They must not deliberately delay review or publication timelines, must not use publication procedures or manuscript content to obtain improper benefits, and must not require authors to unnecessarily cite specific literature to artificially improve journal impact.
8. Publishers shall observe conflict of interest norms and shall require editors not to conceal relationships of interest with submitters, and not to intentionally select reviewers with potential or actual interest relationships or conflicts of interest to review manuscripts.
6. Peer Review
Peer review is an important reference for research resource allocation, research output assessment and acceptance, research output publication, personnel evaluation, science and technology awards, title promotion, and other work. Review activity organizers and reviewers shall ensure that the peer review process is rigorous, authoritative, objective, and impartial, fostering a sound peer review ecosystem. Researchers shall actively participate in peer review activities.
(1) Reviewers
1. Reviewers shall conduct review work objectively, fairly, and rigorously, respecting the dignity and academic autonomy of those being reviewed, respecting different academic viewpoints, and constructively providing review opinions and suggestions. Review opinions must not contain insulting, deliberately disparaging, or unfair language or comments. Review opinions shall not be influenced by non-academic factors.
2. Reviewers shall participate in peer review based on their expertise and capabilities. They must not participate in review work for unfamiliar research fields or directions, or in work which they cannot complete within the prescribed time.
3. Reviewers shall provide specific and detailed review opinions, explaining reasons or providing evidence when necessary. They must not ask others to conduct reviews or write review opinions on their behalf.
4. When conflicts of interest exist between reviewers and those being reviewed, reviewers shall proactively inform review activity organizers. They shall either recuse themselves as required or refer the decision on their participation in relevant reviews to the organizers.
5. Reviewers shall strictly observe the professional conduct for review work. They must not accept informal requests for favors, relationship-based interventions or other improper solicitations. They must not seek or accept gifts or other benefits from those being reviewed or other parties with potential interests.
6. Reviewers shall maintain confidentiality of review content and processes as required. They must not copy or disseminate materials being reviewed without authorization. They must not disclose confidential information such as review subjects, expert opinions, or review conclusions. They must not use, share or discuss with others the viewpoints, data, and methods from submissions under review outside peer review procedures. They must not adopt viewpoints or data from the reviewed materials without permission. Reviewers must not require authors whose work is under review to cite their own literature.
7. When using generative artificial intelligence in review activities, reviewers shall obtain prior consent from review activity organizers. During operation, they shall prevent leakage of review content. If information leakage occurs, they shall take necessary remedial measures promptly.
8. If violations of research integrity, science and technology ethics, scientific and technological security and confidentiality regulations, or other related regulations are discovered or reasonably suspected during the review process, reviewers shall promptly report them to review activity organizers.
(2) Those Being Reviewed
1. Those being reviewed shall ensure that materials provided are truthful, reliable, and accurate, clearly indicating the sources or attribution of all research outputs. Research outputs from other projects or other researchers must not be included without explanation.
2. If those under review believe that conflicts of interest exist between reviewers and themselves, they shall raise this with review activity organizers according to procedures, requesting the reviewer's recusal and providing sufficient and reliable reasons.
3. Those being reviewed must not interfere with the review process or improperly contact, bribe, or threaten reviewers or review activity organizers.
4. If those under review have objections to review results, they shall submit appeal applications according to relevant procedures. They must not threaten, attack, or retaliate against reviewers or review activity organizers.
(3) Review Activity Organizers
1. Organizers shall formulate scientific, fair, and transparent review rules and procedures. They shall establish systems for reviewer selection, recusal, work supervision, and integrity evaluation.
2. Organizers shall strictly fulfill their duties, promptly discovering and managing potential conflicts of interest. They shall safeguard the independence of the review process, and shall not use their institutional or personal authority to interfere with reviewers' legitimate reviews.
3. Organizers shall comply with confidentiality requirements. They must not illegally disclose information such as review subjects, reviewer lists, review opinions, or review results.
4. Organizers shall handle research misconduct discovered during reviews according to relevant regulations.
7. Ethics Review
Research ethics refers to the values and behavioral norms that shall be followed when conducting scientific research and technological development. Scientific and technological activities shall adhere to the principles of "promoting human well-being, respecting the rights of life, upholding fairness and justice, reasonably controlling risks, and maintaining openness and transparency," and shall conduct science and technology ethics risk assessments or ethics reviews in accordance with relevant regulations. Violations of science and technology ethics requirements shall be proactively reported, resolutely opposed, and seriously investigated.
(1) Researchers
1. Researchers shall study the knowledge and relevant regulations of science and technology ethics, enhance their ethical awareness, strictly observe ethical norms, and proactively participate in ethics governance.
2. When conducting scientific and technological activities involving human participants or experimental animals, or activities not directly involving humans or animals but potentially posing ethical risks to life and health, ecological environment, public order, sustainable development, or other areas, ethics reviews shall be conducted as required. Research shall commence only after approval is obtained and shall not exceed the scope stipulated in the approved scientific and technological activity implementation protocol.
3. Research participants shall be selected fairly and reasonably, and their inclusion and exclusion criteria shall be scientifically sound, reasonable, appropriate, and fair. Recruitment of research participants through inducement, coercion, deception, or other improper means is prohibited. Special protection shall be provided for participants from specific groups such as children, pregnant or postpartum women, the elderly, persons with intellectual disabilities, or those with mental disorders. For research involving fertilized eggs, embryos, fetuses, or research that may be potentially affected by assisted reproductive technologies, detailed proactive explanation shall be provided.
4. Research participants or their guardians shall be clearly informed of all relevant matters and of their entitled rights. Informed consent shall be obtained, and the informed consent process shall be conducted in accordance with relevant regulations. Agreements or commitments reached with research participants or their guardians must be strictly fulfilled.
5. The collection, storage, use, and disposal of biological samples must comply with relevant laws and regulations. The processing of personal data, biometric information, and other sensitive information shall conform to applicable provisions on personal information protection.
6. Research shall be conducted by qualified personnel, ensuring risks are minimized and avoiding unnecessary harm to research participants. If, prior to commencement, there is reasonable ground to believe the experiment may cause death, disability, or other serious harm, it shall not be initiated. If, during the experiment, evidence suggests such harm may occur, the experiment must be immediately terminated.
7. When conducting scientific and technological activities involving experimental animals, the use of such animals shall follow the principles of replacement, reduction, and refinement. Sources of experimental animals shall be legal and reasonable. Technical operational requirements for breeding, use, disposal, etc., shall comply with animal welfare standards.
8. In scientific and technological activities involving major public emergencies or other urgent situations, researchers shall follow emergency ethics review procedures and relevant requirements. No emergency shall be used as a justification to bypass or lower ethics review standards.
9. For scientific and technological activities included in the ethics review re-examination list, after preliminary review by the science and technology ethics (review) committee, applications shall be submitted through the research institution to the local or relevant industry regulatory authority for expert re-examination as required.
10. International cooperative scientific and technological activities subject to ethics review shall only be carried out after passing the ethics review required by the laws of all participating countries.
(2) Research Institutions
1. As the principal administrative entities, research institutions shall fulfill their primary responsibility for science and technology ethics management, strengthen ethical supervision and risk monitoring throughout all stages of scientific and technological activities, and proactively assess and promptly address ethics risks. For activities included in the ethics review re-examination list, institutions shall strengthen dynamic tracking as well as ethics risk prevention and control.
2. Institutions shall, in accordance with relevant regulations and their specific circumstances, establish science and technology ethics (review) committees, provide necessary staff, office space, funding, and other conditions for fulfilling their duties, and take effective measures to ensure their independent conduct of ethics reviews.
3. Institutions shall improve their mechanisms for science and technology ethics management, supervision, quality control, and evaluation. They shall guide the science and technology ethics (review) committees in formulating bylaws, establishing systems and procedures for review, supervision, confidentiality management, and archival management, as well as work protocols and mechanisms for managing conflicts of interest, ensuring that ethics reviews are conducted in compliance with regulations and are transparent and traceable.
4. Institutions shall regularly carry out science and technology ethics education and training to enhance researchers' ethical awareness and their capabilities for risk prevention and control.
8. Academic Exchange and Collaboration
Researchers are encouraged to fully exchange academic viewpoints, research ideas, and findings, and to share research data and outputs openly in accordance with relevant requirements. In collaborative research, researchers shall strengthen mutual understanding, show mutual respect, promote mutual trust, conscientiously fulfill their responsibilities, and honor their commitments. Through full consultation, they shall clearly define the objectives of cooperation, project indicators, expected outcomes, responsibilities of all parties, attribution and use of data and intellectual property, and the criteria for assessing contributions to research outputs.
1. In academic exchanges, researchers shall promote academic democracy, respect originality, and maintain openness and transparency. They must not use their authority, position, or control over resources to suppress others' academic viewpoints.
2. When engaging in academic criticism or responding to others' critiques and questions, researchers shall act in the spirit of scientific inquiry and with a professional attitude. They shall conduct rational questioning and critique in a manner free from the influence of non-academic factors, such as personal grievances or conflicts of interest. Researchers shall avoid making extreme public remarks, and refrain from resorting to public opinion to settle scientific disagreements or using online opinion to manipulate academic discussions. Personal attacks and retaliatory actions are strictly prohibited.
3. All parties in collaborative research shall agree in advance through agreements or other forms on rights and obligations, responsibilities and division of labor, funding allocation, publication and authorship of outputs, ownership of research data and outputs, intellectual property rights arrangements, and dispute resolution mechanisms. The costs and benefits of the research shall be distributed fairly among all collaborating parties.
4. All parties participating in multidisciplinary or interdisciplinary collaborative research shall familiarize themselves with the research norms and conventions of the relevant disciplines. Where differences exist among disciplines, all collaborating parties shall engage in prior consultation to reach consensus and ensure that research activities conform to relevant standards and disciplinary norms.
5. In collaborative research, researchers shall ensure that data sources are legitimate and that data quality is guaranteed. When necessary, they shall verify data from collaborating parties. Subject to relevant laws, regulations, and confidentiality provisions, relevant research data and results shall be disclosed to collaborators as agreed.
6. In international collaborative research, researchers shall strictly observe relevant regulations on scientific research management and oversight of both China and the partner countries or regions. If research misconduct or violations of research ethics by any collaborating party are discovered or reasonably suspected, researchers shall immediately inform the collaborators and suspend or terminate the cooperation when necessary.
7. When providing relevant data in international scientific and technological exchanges and cooperation, researchers shall follow approval procedures as required, and strictly observe relevant laws and regulations on scientific and technological confidentiality and the publication of specific research outputs.
9. Intellectual Property Protection
When conducting scientific and technological activities, researchers shall respect others' intellectual property rights, observe China's intellectual property laws and regulations and relevant international conventions, and strengthen the intellectual property protection, management, and utilization of research outputs.
(1) Researchers
1. Before publishing research outputs, researchers shall fully consider intellectual property protection strategies for their research outputs and adopt reasonable and appropriate intellectual property protection measures. When seeking patent protection, researchers shall provide truthful and complete materials in accordance with relevant regulations, and shall not fabricate, falsify, or alter the application content or experimental data, nor exaggerate technical effects, plagiarize, make simple substitutions, or piece together existing technologies or designs.
2. Researchers shall comply with national and institutional laws, regulations, and norms on the ownership of intellectual property and the allocation of related benefits. They shall promptly and proactively disclose research outputs completed as part of their official duties to their institutions.
3. Researchers shall respect the intellectual property rights of others and shall not infringe upon the legitimate rights and interests of intellectual property rights holders. They shall enhance their intellectual property protection capability, take effective measures to protect the intellectual property associated with important research outputs, properly handle intellectual property disputes, and lawfully safeguard their legitimate rights and interests.
(2) Research Institutions
1. Institutions shall strengthen and improve their intellectual property management systems, and explore the establishment of specialized internal units dedicated to the transfer and application of intellectual property.
2. Institutions shall improve their intellectual property management systems, clarify the ownership of intellectual property arising from research outputs and the mechanisms for the allocation of related benefits. They shall actively promote the transfer and application of research outputs, and safeguard the legitimate rights and interests of researchers.
3. Institutions shall strengthen intellectual property risk management, raise researchers' awareness of intellectual property risk prevention, and routinely issue early warnings for intellectual property risk and conduct infringement risk inspections.
4. Institutions shall regularly conduct intellectual property training, enhance their intellectual property management and service capabilities, and foster a favorable atmosphere of respecting innovation and intellectual property.
10. Training and Supervision
Supervisors and project leaders shall strengthen the guidance and supervision of students and research team members. Research institutions shall focus on cultivating researchers' rigorous and meticulous scholarly attitudes and their truth-seeking and pragmatic scientific spirit, promoting their adherence to scientific integrity and science and technology ethics principles.
(1) Graduate Supervisors and Project Leaders
1. Graduate supervisors and project leaders shall uphold the principle that moral integrity and professional excellence define a teacher, who serves as a model through both words and actions, and regularly provides education and guidance on research integrity and science and technology ethics for students and research team members.
2. Supervisors and project leaders shall ensure that sufficient time and effort are devoted to the supervision of students and research teams, and shall provide necessary support in research resources.
3. Supervisors and project leaders shall stay informed about and supervise students' and research team members' daily research activities, follow up on and guide experimental progress, verify experimental records and data, and review research manuscripts. They shall conduct integrity reviews and academic oversight on authorship, authenticity of research data, reproducibility of experiments, and other key aspects of important papers and other research outcomes. Supervisors and project leaders must not demand or tolerate research misconduct or any other violations of scientific and technological regulations by students and team members.
4. Supervisors and project leaders shall uphold academic democracy, respect students' and research team members' academic viewpoints and reasonable requirements regarding their research work. They must not infringe upon the legitimate rights and interests of students and research team members in matters of authorship, ownership of intellectual property, and other related aspects.
(2) Students and Research Team Members
1. Students and research team members shall devote adequate time and effort to complete research tasks assigned by supervisors or project leaders. They shall respect the training and investment from their research institutions, supervisors, and project leaders.
2. Students and research team members shall comply with scientific research management regulations and relevant requirements, report research progress to supervisors and project leaders in a timely fashion, and collect and preserve experimental records and data according to regulations. They shall ensure the research process is authentic, transparent, and traceable.
3. Students and research team members shall observe relevant regulations when releasing, publishing, or transferring research outcomes obtained through the use of research funds, experimental equipment, data, and other resources from their research institutions or research teams.
4. Before graduation or leaving their research institutions or teams, students and research team members shall return all original data, images, experimental records, samples, and other research materials according to regulations. They must not take materials away without permission. For any data access rights obtained or used at the original institution, they shall comply with relevant institutional regulations or prior agreements.
(3) Research Institutions
1. Research institutions with the necessary conditions shall incorporate research integrity and science and technology ethics education into their curriculum systems and allocate appropriate faculty accordingly.
2. Research institutions shall establish and improve education and training systems on research integrity and science and technology ethics. They shall organize such training at important junctures such as enrollment, employment, professional title promotion, and project participation. They shall strengthen routine education and guidance, offer consultation on research integrity and ethics to students and researchers in need, and shall conduct timely reminder conversations with individuals who exhibit tendencies or early signs of potential problems.
3. Research institutions are encouraged to conduct public science popularization on research integrity and science and technology ethics, and to guide the public to rationally view issues of research integrity and science and technology ethics in the course of scientific and technological development.
11. Oversight and Governance
All individuals and institutions involved in scientific activities shall adhere to the principles of combining prevention with punishment and balancing self-discipline with external supervision, in order to prevent and address research misconduct, violations of science and technology ethics, and other non-compliant behaviors. Research institutions shall conscientiously fulfill their primary responsibilities. Research funding agencies shall strengthen oversight and governance of funded projects. The scientific community shall exercise self-discipline and self-correction. Researchers shall firmly uphold ethical bottom lines and shall proactively practice sound academic conduct.
(1) Research Institutions
1. Research institutions shall establish and improve internal governance systems and working mechanisms, incorporating research integrity and science and technology ethics into routine management. For any violations of regulations on project application and implementation, fund utilization, and review and evaluation procedures, or for breaches of research integrity or science and technology ethics requirements, institutions shall candidly identify and expose problems, tolerate no misconduct or cover-ups, and shall conduct serious investigations, impose sanctions, and issue public disclosures.
2. Research institutions shall organize, or commission qualified third-party organizations to conduct, comprehensive verification of major academic papers and other research outputs produced by their researchers. Such verification work shall be conducted on a continuing basis within a three- to five-year cycle.
3. Research institutions shall designate appropriate full-time and part-time personnel to routinely conduct paper retraction monitoring, verification of original experimental data, research integrity reviews, and other oversight and governance work involving institutional researchers.
(2) Research Funding Agencies
1. Research funding agencies shall integrate requirements related to research integrity and science and technology ethics throughout the entire project management process, including the formulation of project guidelines, project review and approval, process management, project completion and acceptance, and supervision and evaluation. They shall establish and improve mechanisms for prevention, supervision, and investigation, and shall take disciplinary actions accordingly.
2. Before approving funding projects, research funding agencies shall review and verify the research integrity status of applicant institutions, project leaders, and related personnel. Those listed in the database of serious research misconduct and still within the handling period shall be subject to "one-vote veto" (i.e., automatic disqualification).
3. Research funding agencies shall designate internal departments or commission third-party institutions to monitor and evaluate the implementation status of funded projects, and shall take appropriate measures in accordance with relevant regulations, such as terminating projects, suspending or withdrawing research funds.
(3) Researchers
1. Researchers who discover, or have reasonable grounds to suspect, any behavior violating research integrity standards or requirements of science and technology ethics shall truthfully report such matters to the relevant authorities or institutions in accordance with applicable regulations.
2. Researchers shall readily accept academic oversight and actively cooperate with investigations of research misconduct, project management inspections, and other related work.
3. When participating as experts in investigations of research misconduct and other oversight and management activities, researchers shall proactively disclose any potential conflicts of interest and shall recuse themselves in accordance with relevant rules.
(4) Scientific and Technological Social Organizations
Scientific and technological social organizations, including academies, associations, and research societies, shall actively work within their respective fields and play their roles in formulating behavioral norms for research activities, providing education and guidance on integrity, investigating and identifying research misconduct, and undertaking other related activities. They shall promote responsible research among researchers and facilitate self-regulation, self-management, and self-correction.
1. Organizations shall develop and refine self-regulatory codes and professional ethics standards for research activities in their fields according to actual circumstances. They shall regularly conduct professional ethics and scholarly conduct education, promoting self-discipline and self-correction.
2. Organizations shall actively participate in developing relevant regulations and standards, such as codes of conduct for research activities and criteria for determining research misconduct. For scientific and technological evaluation activities, such as member recruitment, award evaluation, talent recommendation, academician selection, commissioned project evaluation, and youth support programs, organizations shall treat compliance with research integrity and science and technology ethics as an important criterion. They shall impose corresponding disciplinary measures on members who violate research integrity norms or requirements of science and technology ethics.
3. Organizations shall proactively accept commissions from competent authorities or relevant institutions to organize and conduct academic investigations of research misconduct.
4. In the conferences and journals they host, organizations shall establish topics, special sections, and other formats for academic criticism, advocating earnest and serious academic discussion and commentary. They shall encourage young researchers to boldly put forward their own academic viewpoints and actively engage in academic dialogue with established scholars, thereby fostering a free, open, and equal academic environment.
