OECD GLOBAL SCIENCE FORUMOECD GLOBAL SCIENCE FORUM

Workshop on Best Practices for Ensuring Scientific Integrity and Preventing Misconduct

22 February, 2007 Mita Conference Hall, Tokyo, Japan

Makoto AsashimaProfessor, The University of Tokyo

Chair, Committee on Code of Conduct for Scientist, Science Council of Japan

Introductory remarks

Community contains 760,000 scientists. Transition of SCJ from Ministry of Internal Affairs

and Communications to Cabinet Office. Partnership of SCJ with Council for Science and

Technology Policy. Reformation since the 20th Assembly of the SCJ. Collaboration with international science

communities. Policy recommendation for Japanese government.

Science Council of Japan (SCJ)

Reports on code of conduct for scientists by Science Council of Japan (SCJ)

1. 2003, June Report by the 18th Assembly of the Science Council of Japan and the Permanent Committee on Academic Affairs in Society.“Misconduct in science and its prevention”

2. 2004, MarchPublic information pamphlet, Vol. 1 “On misconduct in science and its prevention”

3. 2005, July Report by the 19th Assembly of the Science Council of Japan and the Permanent Committee on Academic Affairs in Society“The current state of misconduct and measures to combat it: Toward an autonomous community of scientists”

4. 2006, AprilOfficial statement by the 20th Assembly of the Science Council of Japan and Committee on the Code of Conduct for Scientists.“Improving Self-Discipline by Scientists ”

RCR=Responsible Conduct of ResearchQRP=Questionable Research Practices

Nicholas H. Steneck (2006) Science and Engineering Ethics 12, 53-74

Code of conduct for scientists

Science is a system of knowledge based on the principles of reason and empirical proof that is assiduously built up over time, and constitutes an irreplaceable common asset of all humanity. Scientific research is an act that creates new knowledge by boldly pursuing the challenges of unknown fields.

Regulation of Scientists’ Code of Conduct in JapanRegulation of Scientists’ Code of Conduct in JapanScience Council of Japan

- “Scientific Misconduct and its Prevention” (2003)- “Current Status of, and Countermeasures against Misconduct in Science”

(2005) and other reports

The Institute of Physical and Chemical Research (RIKEN)- “Statement on Scientific Misconduct and its Prevention” (2004)

- “Basic Policies Regarding Research Misconduct” (2004)

National Institute of Advanced Industrial Science and Technology (AIST)- “Regulations regarding Research Misconduct at the National Institute of

Advanced Industrial Science and Technology (AIST)” (2005)- “Report on Research Misconduct and Future Measures envisaged” (2006)

Ministry of Education, Culture, Sports, Science and Technology- Establishment of “Special Committee on Misconduct in Research Activities”

(first meeting held in March 2006)

The University of Tokyo- Presentation of “Code of Conduct in Scientific Research”

(March 2006)Other academic societies

(from the presentation given by Prof. Shigeaki Yamazaki, Faculty of Letters, Aichi Shukutoku University, at the BTJ Journal Seminar - 24 February 2006)

Responsibilities of Scientists

Conduct of Scientists

Continuous Professional Development

Accountability and Disclosure

Research Activities

Establishing Sound Research Environments

Compliance with Laws and Regulations

Consideration for Research Subjects.

Relations with Others

Rejection of Discrimination

Avoiding Conflicts of Interest

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Code of Conduct consisting of ethical principles

Toward Autonomous Implementation of the Code of Conduct for Scientists

1. The Responsibility of Organizational Managers 2. The Need for Education on Research Ethics3. Important Points for Research Groups4. Important Points for Research Processes5. Dealing with Misconduct in Research6. Establishing a Self-monitoring System

“Blue Note Book” of Kyowa Hakko Co., Ltd“For the researchers, everything should be written on this notebook

including ideas, results and discussions”Since July, 1953

（ 2006 年 2 月 24 日 BTJ ジャーナルセミナー協和発酵バイオフロンティア研究所　リサーチフェロー　中野洋文氏報告資料より）

Dealing with Misconduct in ResearchTo deal with possible misconduct such as fabrication, falsification or plagiarism,

the following measures should be taken at the earliest possible date:

A proper channel should be set up for consultation on suspected misconduct. At the same time, particular attention should be paid to the importance of ascertaining whether the suspicion is false.

All due consideration should be made to ensure that anyone reporting misconduct should not suffer disadvantage as a result thereof.

When there is suspicion of misconduct, relevant facts should be promptly investigated in accordance with due procedures, necessary measures should be taken with impartiality, and the result should be made public. Particularly strict measures should be taken in the case of fabrication, falsification or plagiarism.

Everyone in the organization should be reminded of relevant laws, ordinances and regulations in carrying out research and using research funds.

Due consideration should be given to prevent research activity from becoming unduly constricted, while appropriate rules should be worked out to deal with conflicts of interests.

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Recent scientific situation in Japan1. University research environment, especially in the area of basic research, has become increasingly restrictive.

2. Reductions in allocation of resources to universities have made it increasingly difficult to pursue autonomous/independent research. At the same time, competition for decreasing resources has increased the occurrence of misconduct.

3. Prioritization of the distribution of research funds is necessary, but it is also important to widen the range of distribution in order to nurture new studies. Suitable measures are required.

4. Universities have been bearing an increasing burden to maintain facilities, educate students, provide a suitable research environment, and support advanced studies.

5. Teaching staff are overstretched with evaluations, management, applications for research funds, coping with the evolving attitudes of students and other miscellaneous tasks.

These are a few examples of the many problems universities face in Japan. In order to solve these problems, it is essential to have governmental support, increased resource allocation, and cooperation between universities.

– Degradation of Earth’s environment– Popular growth– Expanding North-South Disparity

Japan Vision 2050Japan Vision 2050

State with a Sense of Dignity

Asian Trust

Realize the National Vision

Achieve the targeted mission

Handle common global issues

Coexistence of the environment and the economy

(1) Nurture individuals to develop a historical view of civilization so that they will be able to think strategically

(2) Switch from a career formed through ”mono culture” to one formed through “blending”

(3) Get rid of the insular mindset and replace it with an open mindset

Bedrock of the Nation is “Building People”

(1)Place top priority on harmonizing the environment and the economy

(2)Place emphasis on programs that attach importance to soft power

(3)Management based on appropriate research and a high degree of transparency

Strategic Use of Science and Technology

– Educational reform– Realize a society of equal

partnership– Realize a convivial society– Social infrastructure for a

healthy, secure life– Industry, economy, labor and

employment policies– Co-existence with nature and

rejuvenation of nature– Rejuvenation of the country

and region– Develop an information

communication system– Energy and the environment

Handling state issues （ 2006-2020: 5 years x 3 terms ）

日本国内での科学者行動規範に関する動き日本学術会議・「科学における不正行為とその防止について (2003) 」・「科学におけるミスコンダクトの現状と対応策 (2005) 」 等の報告　理化学研究所・「科学研究における不正行為とその防止に関する声明 (2004) 」・「科学研究上の不正行為への基本的対応方針 (2004) 」　産業技術総合研究所・「独立行政法人産業技術総合研究所における研究ミスコンダクトへの対応に関する規程 (2005) 」・「研究ミスコンダクトに関する調査結果報告と今後の措置について(2006) 」　文部科学省・「研究活動の不正行為に関する特別委員会（第 1 回 2006 年 3月）」の開催　東京大学・「科学研究における行動規範」の提示　その他学会（ 2006 年 2 月 24 日 BTJ ジャーナルセミナー　愛知淑徳大学文学部　山崎茂明氏報告資料より）

日本の大学の現状１．法人化後の環境の変化　　法規の導入（労安法、消防法、セキュリティー安全性の確保など）　による２．資源配分のあり方　　・科学研究費、人数、研究費、スペース、ポストの減少等　　・運営交付金　　・集中型と裾野の拡がりの減少３．少子化と大学間競争４．評価制度と雑務の負担５．学生の意識の変化　－　ゆとり教育の弊害　－　　　資格をとれる分野　　　役立つ分野　　　基礎学問への減少など

日本の大学の現状６．第三期科学技術基本政策と今後の展望　　イノベーション２５など７．世界と日本の大学の比較８．研究者、科学者、大学に今問われているもの９．次世代の若い人が魅力ある大学に思えるか　　現状は必ずしもそうではない１０．その他

Summary１．大学において研究する環境、とりわけ基礎研究はだんだんと厳しい状態に置かれている。２．大学にとって資源配分の減少により、大学での自由な学問がしにくくなっている。また、資源配分の獲得の競争が起こっており、それがミスコンダクトを生み出す一因にもなっている。３．研究費の配分において、重点化することは必要であるが、裾野を拡げておくことが新しい学問を育てることであり、その方策を考えなければならない。

４．大学にとって、施設の維持・学生への教育と研究環境の整備、最先端の研究を行う時、かなり負担が増えてきている。５．教員にとってみると、評価や運営、研究資金の獲得、学生の気質の変化への対応など雑事も含めて忙しくなりすぎている。など、多くの問題を大学では抱えてきている。これを解決するには、国の支援、資源配分の拡大、大学間の協力関係なども欠かすことができない。

原因は個人かシステムか？研究者を取り巻く圧力成果主義：特許・一流誌への accept利害の衝突競争的資金の増加スター研究者の必要性任期制大規模研究・共同研究の増加研究組織にゆとりがなくなる人間関係が競争的になる充分な検証なしに発表を急ぐ

（ 2006 年 2 月 24 日 BTJ ジャーナルセミナー　愛知淑徳大学文学部　山崎茂明氏報告資料より）

研究公正局（ ORI ）：不正行為への対処科学界の警察としてではなく、① 教育・啓蒙活動② 積極的な情報公開③ 責任ある科学研究をテーマにした　　研究活動への助成等の活動を通して、研究環境・風土の改善を促す。

（ 2006 年 2 月 24 日 BTJ ジャーナルセミナー　愛知淑徳大学文学部　山崎茂明氏報告資料より）