Summary of "Opinions on Strengthening Ethical Governance of Science and Technology"

2022-03-20 19:05 Source: Xinhua News Agency

Science and technology ethics are the values and behavioral norms that need to be followed in carrying out scientific research, technological development, and other scientific and technological activities, and are important guarantees for promoting the healthy development of science and technology.

Clarify the ethical principles of technology

（1） Enhancing human well-being. Science and technology activities should adhere to the development concept of putting the people at the center, which is conducive to promoting economic development, social progress, improving people's livelihoods, and protecting the ecological environment, continuously enhancing people's sense of gain, happiness, and security, and promoting peaceful and sustainable development of human society.

（2） Respect the right to life. Science and technology activities should minimize harm or potential threats to human life safety, physical health, mental and psychological health, respect personal dignity and privacy, and safeguard the right to know and choose of participants in science and technology activities. The use of experimental animals should meet the requirements of "reduction, substitution, and optimization".

（3） Adhere to fairness and justice. Science and technology activities should respect differences in religious beliefs, cultural traditions, and other aspects, treat different social groups fairly, fairly, and inclusively, and prevent discrimination and prejudice.

（4） Reasonably control risks. Science and technology activities should objectively evaluate and prudently deal with uncertainty and the risks of technology application, strive to avoid and prevent potential risks, prevent the misuse and abuse of scientific and technological achievements, and avoid endangering social security, public safety, biological safety, and ecological safety.

（5） Maintain openness and transparency. Science and technology activities should encourage the reasonable participation of stakeholders and the public, and establish a disclosure mechanism for science and technology activities that involve significant and sensitive ethical issues. When publishing information related to scientific and technological activities, transparency should be improved to achieve objectivity and truthfulness.

Strengthen the institutional guarantee of scientific and technological ethics governance

（1） Develop and improve ethical norms and standards for science and technology. Develop ethical standards and guidelines for science and technology in key areas such as life sciences, medicine, and artificial intelligence, improve relevant standards for scientific and technological ethics, clarify ethical requirements for science and technology, and guide scientific and technological institutions and personnel to carry out scientific and technological activities in compliance.

（2） Establish a system for ethical review and supervision of technology. Clarify the responsibilities of technology ethics review and supervision, and improve the rules and procedures for technology ethics review, risk management, and violation handling. Establish and improve the establishment standards, operating mechanisms, registration systems, regulatory systems, etc. of the Science and Technology Ethics (Review) Committee, and explore the certification mechanism of the Science and Technology Ethics (Review) Committee.

（3） Improve the level of legalization of scientific and technological ethical governance. Promote clear regulations on governance work such as technology ethics supervision and violation investigation in basic legislation for technological innovation, and implement technology ethics requirements in other relevant legislation. During the 14th Five Year Plan period, we will focus on strengthening research on technological ethics legislation in fields such as life sciences, medicine, and artificial intelligence, and promptly promote the upgrading of important technological ethics norms into national laws and regulations. If there are clear provisions in the law, we must adhere to strict law enforcement and punish those who violate the law.

（4） Strengthen research on the theory of technological ethics. Support relevant institutions, think tanks, social organizations, and scientific and technological personnel in exploring scientific and technological ethics theories, strengthen forward-looking research on ethical issues in scientific and technological innovation, and actively promote and participate in major international scientific and technological ethics discussions and rulemaking.

Strengthen ethical review and supervision of technology

（1） Strict ethical review of technology. Conducting scientific and technological activities should undergo a risk assessment or review of scientific and technological ethics. Science and technology activities involving humans and experimental animals should be reviewed and approved by the Science and Technology Ethics (Review) Committee of their own unit in accordance with regulations. Units that do not meet the conditions for establishing a Science and Technology Ethics (Review) Committee should entrust other units to conduct the review. The Science and Technology Ethics (Review) Committee should adhere to the principles of science, independence, impartiality, and transparency, carry out scientific and technological ethics review, supervision, and guidance on scientific and technological activities, and effectively control scientific and technological ethics. Explore the establishment of professional and regional technology ethics review centers. Gradually establish a mechanism for mutual recognition of scientific and technological ethics review results.

Establish and improve the technology ethics emergency review mechanism in emergency situations such as public health emergencies, improve the procedures and rules of emergency review, and achieve rapid response.

（2） Strengthen ethical supervision of technology. Local and relevant industry authorities should refine and improve the regulatory framework and institutional norms for technology ethics in their respective regions and systems, strengthen the supervision and management of technology ethics (review) committees and high-risk technology activities in various units, establish an expert review mechanism for ethical review results of high-risk technology activities in technology ethics, organize investigations and handling of major technology ethics cases, and use typical cases to strengthen warning education. Units engaged in scientific and technological activities should establish and improve a comprehensive regulatory mechanism for scientific and technological ethics throughout the entire process, as well as a review, quality control, supervision and evaluation mechanism. They should strengthen the dynamic tracking, risk assessment, and emergency response of high-risk scientific and technological activities related to scientific and technological ethics. The National Science and Technology Ethics Committee has developed a list of high-risk scientific and technological activities related to science and technology ethics. High risk scientific and technological ethics activities should be registered in accordance with regulations.

The science and technology plans (special projects, funds, etc.) established with financial funds should strengthen the supervision of science and technology ethics, covering all aspects of guideline preparation, approval and project initiation, process management, final acceptance, supervision and evaluation.

Strengthen the review and supervision of scientific and technological ethics in international cooperative research activities. International cooperative research activities should comply with the scientific and technological ethics management requirements of the countries where the cooperating parties are located, and pass the scientific and technological ethics review of the countries where the cooperating parties are located. For international cooperative research activities with high risks of technological ethics, local and relevant industry regulatory departments shall organize experts to review the results of technological ethics review.

（3） Monitoring and warning of ethical risks in technology. Relevant departments should promote universities, research institutions, medical and health institutions, social organizations, enterprises, etc. to improve the monitoring and warning mechanism for scientific and technological ethical risks, track the cutting-edge developments of emerging technologies, strengthen the analysis and judgment of possible rule conflicts, social risks, and ethical challenges brought about by scientific and technological innovation, and propose countermeasures.

No unit, organization, or individual shall engage in scientific and technological activities that endanger social security, public safety, biological safety, and ecological safety, infringe upon human life safety, physical and mental health, and personal dignity, infringe upon the right to know and choose of participants in scientific and technological activities, or fund scientific and technological activities that violate ethical requirements of science and technology. The relevant industry regulatory authorities, funding institutions, or the units where the responsible persons are located should distinguish different situations, and order the responsible persons for scientific and technological ethics violations to correct according to law and regulations, stop relevant scientific and technological activities, recover funding, revoke awards and honors obtained, cancel relevant professional qualifications, and prohibit them from undertaking or participating in scientific and technological activities supported by financial funds within a certain period of time. Those responsible for violations of scientific and technological ethics who belong to public officials shall be punished in accordance with the law and regulations, while those who belong to party members shall be punished in accordance with the rules and regulations; Those suspected of committing crimes shall be punished in accordance with the law.

Deepen education and promotion of scientific and technological ethics

（1） Emphasize the education of technological ethics. Make science and technology ethics education an important part of undergraduate and graduate education in related professional disciplines, encourage higher education institutions to offer courses related to science and technology ethics education, and educate young students to establish correct awareness of science and technology ethics and comply with the requirements of science and technology ethics. Improve the mechanism for cultivating scientific and technological ethics talents, and accelerate the cultivation of a high-quality and specialized team of scientific and technological ethics talents.

（2） Promote the institutionalization of technology ethics training. Incorporate technology ethics training into activities such as onboarding training for technology personnel, undertaking scientific research tasks, and academic exchanges and discussions, guiding technology personnel to consciously comply with technology ethics requirements and carry out responsible research and innovation. Industry regulatory departments, local governments, and relevant units should regularly provide training to members of the Science and Technology Ethics (Review) Committee to enhance their ability to perform their duties and improve the quality and efficiency of science and technology ethics review.

《关于加强科技伦理治理的意见》摘要2022-03-20 19:05 来源： 新华社

科技伦理是开展科学研究、技术开发等科技活动需要遵循的价值理念和行为规范，是促进科技事业健康发展的重要保障。

明确科技伦理原则

（一）增进人类福祉。科技活动应坚持以人民为中心的发展思想，有利于促进经济发展、社会进步、民生改善和生态环境保护，不断增强人民获得感、幸福感、安全感，促进人类社会和平发展和可持续发展。

（二）尊重生命权利。科技活动应最大限度避免对人的生命安全、身体健康、精神和心理健康造成伤害或潜在威胁，尊重人格尊严和个人隐私，保障科技活动参与者的知情权和选择权。使用实验动物应符合“减少、替代、优化”等要求。

（三）坚持公平公正。科技活动应尊重宗教信仰、文化传统等方面的差异，公平、公正、包容地对待不同社会群体，防止歧视和偏见。

（四）合理控制风险。科技活动应客观评估和审慎对待不确定性和技术应用的风险，力求规避、防范可能引发的风险，防止科技成果误用、滥用，避免危及社会安全、公共安全、生物安全和生态安全。

（五）保持公开透明。科技活动应鼓励利益相关方和社会公众合理参与，建立涉及重大、敏感伦理问题的科技活动披露机制。公布科技活动相关信息时应提高透明度，做到客观真实。

加强科技伦理治理制度保障

（一）制定完善科技伦理规范和标准。制定生命科学、医学、人工智能等重点领域的科技伦理规范、指南等，完善科技伦理相关标准，明确科技伦理要求，引导科技机构和科技人员合规开展科技活动。

（二）建立科技伦理审查和监管制度。明晰科技伦理审查和监管职责，完善科技伦理审查、风险处置、违规处理等规则流程。建立健全科技伦理（审查）委员会的设立标准、运行机制、登记制度、监管制度等，探索科技伦理（审查）委员会认证机制。

（三）提高科技伦理治理法治化水平。推动在科技创新的基础性立法中对科技伦理监管、违规查处等治理工作作出明确规定，在其他相关立法中落实科技伦理要求。“十四五”期间，重点加强生命科学、医学、人工智能等领域的科技伦理立法研究，及时推动将重要的科技伦理规范上升为国家法律法规。对法律已有明确规定的，要坚持严格执法、违法必究。

（四）加强科技伦理理论研究。支持相关机构、智库、社会团体、科技人员等开展科技伦理理论探索，加强对科技创新中伦理问题的前瞻研究，积极推动、参与国际科技伦理重大议题研讨和规则制定。

强化科技伦理审查和监管

（一）严格科技伦理审查。开展科技活动应进行科技伦理风险评估或审查。涉及人、实验动物的科技活动，应当按规定由本单位科技伦理（审查）委员会审查批准，不具备设立科技伦理（审查）委员会条件的单位，应委托其他单位科技伦理（审查）委员会开展审查。科技伦理（审查）委员会要坚持科学、独立、公正、透明原则，开展对科技活动的科技伦理审查、监督与指导，切实把好科技伦理关。探索建立专业性、区域性科技伦理审查中心。逐步建立科技伦理审查结果互认机制。

建立健全突发公共卫生事件等紧急状态下的科技伦理应急审查机制，完善应急审查的程序、规则等，做到快速响应。

（二）加强科技伦理监管。各地方、相关行业主管部门要细化完善本地方、本系统科技伦理监管框架和制度规范，加强对各单位科技伦理（审查）委员会和科技伦理高风险科技活动的监督管理，建立科技伦理高风险科技活动伦理审查结果专家复核机制，组织开展对重大科技伦理案件的调查处理，并利用典型案例加强警示教育。从事科技活动的单位要建立健全科技活动全流程科技伦理监管机制和审查质量控制、监督评价机制，加强对科技伦理高风险科技活动的动态跟踪、风险评估和伦理事件应急处置。国家科技伦理委员会研究制定科技伦理高风险科技活动清单。开展科技伦理高风险科技活动应按规定进行登记。

财政资金设立的科技计划（专项、基金等）应加强科技伦理监管，监管全面覆盖指南编制、审批立项、过程管理、结题验收、监督评估等各个环节。

加强对国际合作研究活动的科技伦理审查和监管。国际合作研究活动应符合合作各方所在国家的科技伦理管理要求，并通过合作各方所在国家的科技伦理审查。对存在科技伦理高风险的国际合作研究活动，由地方和相关行业主管部门组织专家对科技伦理审查结果开展复核。

（三）监测预警科技伦理风险。相关部门要推动高等学校、科研机构、医疗卫生机构、社会团体、企业等完善科技伦理风险监测预警机制，跟踪新兴科技发展前沿动态，对科技创新可能带来的规则冲突、社会风险、伦理挑战加强研判、提出对策。

任何单位、组织和个人开展科技活动不得危害社会安全、公共安全、生物安全和生态安全，不得侵害人的生命安全、身心健康、人格尊严，不得侵犯科技活动参与者的知情权和选择权，不得资助违背科技伦理要求的科技活动。相关行业主管部门、资助机构或责任人所在单位要区分不同情况，依法依规对科技伦理违规行为责任人给予责令改正，停止相关科技活动，追回资助资金，撤销获得的奖励、荣誉，取消相关从业资格，禁止一定期限内承担或参与财政性资金支持的科技活动等处理。科技伦理违规行为责任人属于公职人员的依法依规给予处分，属于党员的依规依纪给予党纪处分；涉嫌犯罪的依法予以惩处。

深入开展科技伦理教育和宣传

（一）重视科技伦理教育。将科技伦理教育作为相关专业学科本专科生、研究生教育的重要内容，鼓励高等学校开设科技伦理教育相关课程，教育青年学生树立正确的科技伦理意识，遵守科技伦理要求。完善科技伦理人才培养机制，加快培养高素质、专业化的科技伦理人才队伍。

（二）推动科技伦理培训机制化。将科技伦理培训纳入科技人员入职培训、承担科研任务、学术交流研讨等活动，引导科技人员自觉遵守科技伦理要求，开展负责任的研究与创新。行业主管部门、各地方和相关单位应定期对科技伦理（审查）委员会成员开展培训，增强其履职能力，提升科技伦理审查质量和效率。