• 中国科学学与科技政策研究会
  • 中国科学院科技政策与管理科学研究所
  • 清华大学科学技术与社会研究中心
ISSN 1003-2053 CN 11-1805/G3

科学学研究 ›› 2016, Vol. 34 ›› Issue (3): 338-345.

• 科学学理论与方法 • 上一篇    下一篇

巴尔的摩案与美国不端行为处理程序的演进

王阳1,胡磊2,2   

  1. 1. 华侨大学马克思主义学院
    2.
  • 收稿日期:2015-08-06 修回日期:2016-01-12 出版日期:2016-03-15 发布日期:2016-03-18
  • 通讯作者: 王阳
  • 基金资助:

    教育部人文社会科学研究专项任务(科研诚信与学风建设)课题2《中国大学处理学术不端的机制和组织机构研究》

Baltimore Case and the development of Scientific Misconduct Investigation System in America

  • Received:2015-08-06 Revised:2016-01-12 Online:2016-03-15 Published:2016-03-18

摘要: 巴尔的摩案是美国科研不端行为调查程序走向成熟的阶梯。历时十年的巴尔的摩案调查程序经历了三次变化。在第一阶段的1986年,塔尔茨大学沃利茨委员会和麻省理工学院艾森的个人调查,凸显出当时美国大学有调查方针而缺乏可操作性规定的状况,均存在着调查主体、调查原则和调查内容的严重缺陷;在第二阶段的1987-1991年间,美国国立卫生研究院组织的三次正式调查,凸显出听证会制度严重影响调查的公正性,不利于保护被告的权利——国会议员丁格尔主持了三次听证会,导致截然不同的三次调查结论,直至判定为科学不端行为;在第三阶段的1992-1996年间,重组后的美国科研诚信办公室实施调查以及金西?凯利的上诉和改判,凸显出上诉委员会的独立机构设置的重要性——它保证了被告的上诉权利,允许被告在上诉期间接触证据,这是改判金西?凯利不存在不端行为的程序基础。

Abstract: Baltimore case is the ladder of maturity of scientific misconduct investigation procedure in America. The ten-year investigation of Baltimore case have three changes. In the first stage of 1986, the investigation of Imanishi-Kari held by Henry Wortis group at Tufts University and Herman Eisen at MIT, reflecting American college have guideline but have no practical policy, which have serious defections in investigation main body, investigation principles and investigation content. In the second stage from 1987 to 1991, Mary Miers group, Joseph M.Davies group, and new OSI at NIH held three investigations, featuring hearing system have severe influence towards justice of investigations. Three hearings held by Congressman John D. Dingel resulted in different conclusions, eventually decided as scientific misconduct. In the third stage from 1992 to 1996, the reorganized ORI carry on investigation, Imanishi-Kari appeal and the Department Appeal Board at HHS sentence Imanishi-Kari innocent. The setting of the organization of institution of Appeal Board is of great importance for amending judgment, which guarantee the right of appeal, permitting the defendant to contact with all the proofs.