Symposium Preventing Science Misconduct and Promoting Research Integrity

Symposium “Preventing Science Misconduct and Promoting Research Integrity” June 14, 2007 　Seoul Ensuring Science Integrity and Preventing Misconduct - Japan’s Action Yoshio YAMAWAKI Director, Knowledge Infrastructure Policy Division Science and Technology Policy Bureau Ministry of Education, Culture, Sports, Science and Technology (MEXT) JAPAN

Background - Research misconducts including fabrication has been revealed recent years in Japan. - Research misconduct is an act of violating the moral and ethical principles of research to distort the essence or original intent of research activities. - Research misconduct undermines public trust in science, obstructs the development of science and desecrates science. - There is a greater need to ensure fairness in research for the effective utilization of government funds. 1

Conditions and Environment 　Affecting Research Misconduct - Willingness to be the first to publish outstanding research results - Need to obtain continuous competitive research funding - Intense competition for research posts - Inadequate education for the morals and ethics for students and young researchers - Increased specialization in research - Pressure for young researchers to get outstanding results - Over-emphasis of publication in well-known scientific journals 2

Outline of the Guideline - The Special Committee under the Council of Science and Technology, an advisory body to the MEXT, had discussed measures to prevent research misconducts since February 2006. - The Guideline for Responses to Research Misconduct was established in August 2006. - The Guideline indicates the principles and procedures for responding to research misconducts. - Especially it provides the procedures to respond allegations, investigations and actions to be taken to persons in charge. 3

Guideline for responses to research misconduct Scope of Guideline Research Misconduct (*) Scope of Guideline R&D Activities funded through the competitive research funding scheme by MEXT and its funding agencies. (Out of scope) -R&D Activities conducted by the fund for fundamental activities in university -R&D Activities self-funded etc. (*) Definition of research misconduct: Fabrication, falsification and plagiarism of data or research results appearing in published research results. 4

Guideline for responses to research misconduct Table of Contents of Guideline Section 1: Basic Principles Concerning Research Misconduct Section 2: Guidelines for Responses to Research Misconduct Pertaining to Research Supported by Competitive Funding 1. Purpose of the Guidelines 2. Definition of research misconduct 3. Receiving of Allegations and Other Information 4. Investigation of Allegations and Other Information 5. Measures Applicable to Informants and Subjects of Allegations 6. Actions by Funding Institutions Against Persons Culpable of Misconduct 5

Guideline for responses to research misconduct Characteristics of the Guideline 1. Scope (research misconduct/competitive funding) 2. Investigation 3. Accountability 4. Handling of allegations with malicious intent 5. Persons subject to actions 6. Time flame 7. Transparency 6

Flow of Actions responding to research misconduct Receiving of Allegations Preliminary assessment Formal investigation - rationality of allegation - necessity of investigation - examination of scientific papers, --experiment notes etc. - interviews - reproduction of experiments Determination - persons involved - degrees of involvement Disclosure of investigation results Actions by funding institutions Against persons culpable of misconduct 7

Guideline for responses to research misconduct Receiving of Allegations # Research institutions and funding institutions shall individually establish offices for receiving allegations and other information concerning research misconduct. - Following this Guideline, for example, MEXT established the office in S&T Policy Bureau in November, 2006. JSPS established the office in General Affairs Division in December, 2006. JST established the office in Department of General Affairs in December, 2006. 8

Actions by Funding Institutions Against Persons Culpable of Misconduct # Description of actions - Termination of competitive funding - Rejection of applications for competitive funds - Return of competitive funds related to misconduct - Restrictions on applications for competitive funds 9

Japan’s Action: Beyond Guideline (1) Research Misconduct Scope of MEXT’s Guideline (R&D Activities funded nationally…) Other R&D Activities? Actions by scientific community themselves should be taken, because the over-regulation should be avoided to maintain the autonomy of academia. 10

Japan’s Action: Beyond Guideline (2) Autonomous action by Japan’s Academia Important as an action complement to the Government’s one. Science Council of Japan (SCJ) October, 2006 “Statement: Code of Conduct for Scientists” Scientists - Minimum ethics standards to be shared by all researchers regardless of their academic disciplines “Toward Autonomous Implementation of the Conduct for Scientists” - request all organizations to design and implement their own research ethics program 11

For Discussion From our experience, the following discussion points would be left for us. # How can we expand the scope to other research institutions? # What actions should be taken by Government? What should be left for the autonomous action by the academia? # What kind of ‘punishment’ would be appropriate for what kind of misconduct? # Prevention of misconduct itself would be more important than the dealing with misconduct. What kind of science system is effective to prevent misconducts? # How should be the researchers’ ethics improved through education? 12

Reference MEXT: “Guidelines for Responses to Research Misconduct” Misconduct (August, 2006) http: //www. mext. go. jp/english/kagaku/07053104. htm * in English Science Council of Japan (SCJ): “Statement: Code of Conduct for Scientists” Scientists (October, 2006) http: //www. scj. go. jp/ja/info/kohyo/pdf/kohyo-20 -s 3 e-1. pdf * in English 13