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The European Code of Conduct for Research Integrity REVISED EDITION Table of Contents

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The European Code of Conduct for Research Integrity REVISED EDITION Table of Contents Ref. Ares(2017)4366857 - 07/09/2017 The European Code of Conduct for Research Integrity REVISED EDITION Table of Contents Preamble 3 1. Principles 4 2. Good Research Practices 5 3. Violations of Research Integrity 8 Annex 1: Key Resources 10 Annex 2: Revision Process and List of Stakeholders 12 Annex 3: ALLEA Permanent Working Group on Science and Ethics 14 The European Code of Conduct for Research Intregrity Revised Edition Published in Berlin by ALLEA - All European Academies c/o Berlin-Brandenburg Academy of Sciences and Humanities Jaegerstr. 22/23 10117 Berlin Germany [email protected] www.allea.org Layout: Susana Irles Cover Picture: iStock ©ALLEA - All European Academies, Berlin 2017 All rights reserved. Redistribution, including in the form of extracts, is permitted for educational, scientific and private purposes if the source is quoted (unless otherwise explicitly indicated by the article in question). Permission must be sought from ALLEA for commercial use. ISBN 978-3-00-055767-5 Preamble • • • esearch is the quest for and to serve the research community knowledge obtained through as a framework for self-regulation. It systematic study and describes professional, legal and ethical thinking, observation and responsibilities, and acknowledges the Rexperimentation. While differentimportance of the institutional settings disciplines may use different approaches, in which research is organised. Therefore, they share the motivation to increase our this Code of Conduct is relevant and understanding of ourselves and the world applicable to publicly funded and private in which we live. Therefore, "The European research, whilst acknowledging legitimate Code of Conduct for Research Integrity" constraints in its implementation. applies to research in all scientific and The interpretation of the values and scholarly fields. principles that regulate research may Research is a common enterprise, be affected by social, political or carried out in academic, industry technological developments and by and other settings. Research involves changes in the research environment. collaboration, direct or indirect, which An effective code of conduct for the often transcends social, political and research community is, therefore, a living cultural boundaries. It is underpinned document that is updated regularly and by freedom to define research questions that allows for local or national differences and develop theories, gather empirical in its implementation. Researchers, material and employ appropriate academies, learned societies, funding methods. Therefore, research draws on agencies, public and private research the work of the community of researchers performing organisations, publishers and and ideally develops independently of other relevant bodies each have specific pressure from commissioning parties and responsibilities to observe and promote from ideological, economic or political these practices and the principles that interests. underpin them. A basic responsibility of the research community is to formulate the principles of research, to define the criteria for proper research behaviour, to maximise the quality and robustness of research, and to respond adequately to threats to, or violations of, research integrity. The primary purpose of this Code of Conduct is to help realise this responsibility 3 1. Principles 2. Good Research Practices • • • • • • Good research practices are based on We describe good research practices in the hiring and promotion of researchers. fundamental principles of research following contexts: integrity. They guide researchers in their 2.2 Training, Supervision and Mentoring work as well as in their engagement with • Research Environment the practical, ethical and intellectual • Training, Supervision and Mentoring • Research institutions and organisations challenges inherent in research. • Research Procedures ensure that researchers receive rigorous • Safeguards training in research design, methodology These principles are: • Data Practices and Management and analysis. • Collaborative Working • Reliability in ensuring the quality • Publication and Dissemination • Research institutions and organisations of research, reflected in the design, the • Reviewing, Evaluating and Editing develop appropriate and adequate training methodology, the analysis and the use of in ethics and research integrity and ensure resources. 2.1 Research Environment that all concerned are made aware of the relevant codes and regulations. • Honesty in developing, undertaking, • Research institutions and organisations reviewing, reporting and communicating promote awareness and ensure a prevailing • Researchers across the entire career research in a transparent, fair, full and culture of research integrity. path, from junior to the most senior level, unbiased way. undertake training in ethics and research • Research institutions and organisations integrity. • Respect for colleagues, research demonstrate leadership in providing clear participants, society, ecosystems, cultural policies and procedures on good research • Senior researchers, research leaders and heritage and the environment. practice and the transparent and proper supervisors mentor their team members handling of violations. and offer specific guidance and training to • Accountability for the research from properly develop, design and structure their idea to publication, for its management • Research institutions and organisations research activity and to foster a culture of and organisation, for training, supervision support proper infrastructure for the research integrity. and mentoring, and for its wider impacts. management and protection of data and research materials in all their forms 2.3 Research Procedures (encompassing qualitative and quantitative data, protocols, processes, other research • Researchers take into account the state-of- artefacts and associated metadata) that are the-art in developing research ideas. necessary for reproducibility, traceability and accountability. • Researchers design, carry out, analyse and document research in a careful and well- • Research institutions and organisations considered manner. reward open and reproducible practices in 4 5 • Researchers make proper and and curation of all data and research materials, standards concerning research integrity, • Authors and publishers issue corrections conscientious use of research funds. including unpublished ones, with secure on the laws and regulations that will apply, or retract work if necessary, the processes preservation for a reasonable period. on protection of the intellectual property for which are clear, the reasons are stated, • Researchers publish results and of collaborators, and on procedures for and authors are given credit for issuing interpretations of research in an open, • Researchers, research institutions and handling conflicts and possible cases of prompt corrections post publication. honest, transparent and accurate manner, organisations ensure access to data is as misconduct. and respect confidentiality of data or open as possible, as closed as necessary, • Authors and publishers consider findings when legitimately required to do so. and where appropriate in line with the • All partners in research collaborations negative results to be as valid as FAIR Principles (Findable, Accessible, are properly informed and consulted positive findings for publication and • Researchers report their results in a way Interoperable and Re-usable) for data about submissions for publication of the dissemination. that is compatible with the standards of the management. research results. discipline and, where applicable, can be • Researchers adhere to the same criteria verified and reproduced. • Researchers, research institutions and 2.7 Publication and Dissemination as those detailed above whether they organisations provide transparency about publish in a subscription journal, an open 2.4 Safeguards how to access or make use of their data and • All authors are fully responsible for the access journal or in any other alternative research materials. content of a publication, unless otherwise publication form. • Researchers comply with codes and specified. regulations relevant to their discipline. • Researchers, research institutions and 2.8 Reviewing, Evaluating and Editing organisations acknowledge data as legitimate • All authors agree on the sequence • Researchers handle research subjects, be and citable products of research. of authorship, acknowledging that • Researchers take seriously their they human, animal, cultural, biological, authorship itself is based on a significant commitment to the research community environmental or physical, with respect • Researchers, research institutions and contribution to the design of the research, by participating in refereeing, reviewing and care, and in accordance with legal and organisations ensure that any contracts or relevant data collection, or the analysis or and evaluation. ethical provisions. agreements relating to research outputs interpretation of the results. include equitable and fair provision for the • Researchers review and evaluate • Researchers have due regard for the management of their use, ownership, and/or • Authors ensure that their work is made submissions for publication, funding, health, safety and welfare of the community, their protection under intellectual property available to colleagues in a timely, open, appointment, promotion or reward in a of collaborators and others connected with rights. transparent,
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