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 Integrity 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 as a framework for self-regulation. It knowledge obtained through describes professional, legal and ethical systematic study and responsibilities, and acknowledges the thinking, observation and importance of the institutional settings Rexperimentation. While differentin which research is organised. Therefore, disciplines may use different approaches, this Code of Conduct is relevant and they each share the motivation to increase applicable to publicly funded and private our understanding of ourselves and the research, whilst acknowledging legitimate world in which we live. Therefore, "The constraints in its implementation. European Code of Conduct for Research Interpretation of the values and principles Integrity" applies to research in all that regulate research may be affected scientific and scholarly fields. by social, political or technological Research is a common enterprise, carried developments and by changes in the out in academic, industry and other research environment. An effective Code settings. It involves collaboration, direct of Conduct for the research community is, or indirect, which often transcends therefore, a living document that is updated social, political and cultural boundaries. regularly and that allows for local or It is underpinned by freedom to define national differences in its implementation. research questions and develop theories, Researchers, academies, learned societies, gather empirical evidence and employ funding agencies, public and private appropriate methods. Therefore,research performing organisations, research draws on the work of the publishers and other relevant bodies each community of researchers and ideally have specific responsibilities to observe develops independently of pressure and promote these practices and the from commissioning parties and from principles that underpin them. ideological, economic or political interests. 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 and to serve the research community 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 to ensure that resources. 2.1 Research Environment 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, and accurate manner, unless transparent