Ethics Principles

REGULATIONS

on Compliance with the Principles of Research Ethics and Conflict of Interest Prevention during competitive selections, scientific and scientific-technical reviewing of projects and consideration of applications for grant support submitted to the National Research Foundation of Ukraine

The Regulations on Compliance with the Principles of Research Ethics and Conflict of Interest Prevention during competitive selections, scientific and scientific-technical reviewing of projects and consideration of applications for grant support submitted to the National Research Foundation of Ukraine (hereinafter – the Regulations) define the basic principles, moral norms, and rules of ethical conduct that are to be followed by all participants in competitive selection procedures, scientific and scientific-technical reviewing of projects in the areas of grant support of the National Research Foundation of Ukraine (hereinafter – projects), and consideration of applications for grant support submitted to the National Research Foundation of Ukraine (hereinafter – the Foundation), including during preliminary consideration, carrying out scientific and scientific-technical reviewing, ranking of projects, decision-making on the selection of successful proposals under competitive selection, and provision of grant support by the Foundation, as well as during implementation of projects.

GENERAL PROVISIONS

1. Purpose and Objectives

The purpose of these Regulations is to define the fundamental moral and ethical principles, as well as the standards of work and conduct, for members of the Scientific Council of the Foundation, members of call commissions, reviewers (hereinafter – persons involved in competitive selection and project reviewing), project authors and implementers during the development of terms and conditions for competitive selection, the conduct of competitive selection, scientific and scientific-technical evaluation of projects, the review of applications for grant support, the consideration of matters regarding the determination of successful proposals under a call, and the decision-making on the approval of call results submitted to the Foundation, and projects implementation. The Regulations also establish the ethical and professional rules that must be followed by participants of competitive selection and by persons involved in competitive selection and project reviewing.

The objectives of the Regulations are:

• ensuring competitive, impartial, and objective competitive selection of projects conducted by the Foundation;
• creating transparent conditions for the activities of members of call commissions, reviewers, and members of the Scientific Council of the Foundation during consideration and evaluation of projects submitted for participation in the Foundation’s competitive selections, the decision-making on competitive selection results in compliance with general ethical principles and scientific approaches to project evaluation, and prevention of corruption;
• ensuring a professional approach by members of call commissions, reviewers, and members of the Scientific Council of the Foundation in performing their duties which implies compliance with the principles of legality and professional competence;
• defining ethical standards for internal and external communication;
• promoting a positive image of researchers, and enhancing the national and international authority of persons conducting evaluation and reviewing of projects submitted for participation in the competitive selections of the Foundation.

2. Scope of Application

The Regulations apply to:

• members of the Scientific Council of the Foundation;
• members of call commissions;
• national and foreign reviewers involved in carrying out scientific and scientific-technical reviewing of projects submitted to calls for proposals announced by the Foundation;
• project authors;
• project implementers.

Persons conducting competitive selection and project reviewing agree to be bound by the principles and rules defined by these Regulations and undertake to comply with them.

Persons appointed as members of call commissions shall provide their consent to be bound by the requirements of these Regulations by completing a standard declaration form (Appendix 1). Persons appointed as reviewers shall provide their consent to be bound by the requirements of these Regulations in the  electronic system of the Foundation (Appendix 1.1).

Members of the Scientific Council of the Foundation, as participants of the competitive selection procedure, undertake to comply with the general principles and rules set out in these Regulations during the development of terms and conditions for competitive selection, selection of members of call commissions, consideration of issues regarding determination of call winners, the decision-making on approval of call results, provision of grant support in the respective year, and other issues within the competence of the Scientific Council of the Foundation.

3. Regulatory and Legal Framework for Ethical Behavior

The legal basis for regulating relations in the field of professional ethics and behavior of persons conducting competitive selection and project reviews consists of the Constitution of Ukraine, the laws of Ukraine “On Scientific and Scientific-Technical Activity”, “On Scientific and Scientific-Technical Reviewing”, “On Corruption Prevention”, “On Copyright and Related Rights”, international agreements, in particular the Convention for the Protection of Human Rights and Fundamental Freedoms, the Convention for the Protection of Literary and Artistic Works, the Universal Copyright Convention, UNESCO Recommendations on the Status of Scientific Researchers adopted on 20 November 1974, other regulatory legal acts, including the Procedure for Competitive Selection and Financing of Projects by the National Research Foundation of Ukraine, as well as these Regulations.

PRINCIPLES OF RESEARCH ETHICS

4. Key Principles of Professional and Research Ethics and Behavior for Individuals Conducting Competitive Selection and Project Reviews

Persons conducting competitive selection and project reviews are obliged to carry out their activities in accordance with the following principles:

• the rule of law and legality;
• respect for human rights and freedoms and non-discrimination;
• independence and autonomy;
• objectivity and impartiality;
• competence and professionalism;
• integrity and ethical behavior;
• confidentiality;
• social responsibility.

Persons conducting competitive selection and project reviews are obliged not to perform actions in conditions of potential or actual conflict of interest. In case of reasonable doubts regarding the inconsistency of their actions or approved decisions with anti-corruption legislation and principles of research ethics, they shall refrain from making such decisions or performing such actions.

Persons conducting competitive selection and project reviews bear personal responsibility for the decisions they make and the actions they take.

5. Rule of Law and Legality

Persons conducting competitive selection and project reviews are to comply with the legislation of Ukraine and the requirements of these Regulations.

6. Respect for Human Rights and Freedoms and Non-Discrimination

Persons conducting competitive selection and project reviews shall treat all participants of the competitive selection procedure with respect and prevent any discrimination based on race, political, religious or other beliefs, gender, ethnic and social origin, property status, place of residence, as well as language, or other characteristics.

Requirements established by legislation and these Regulations regarding restrictions on participation in competitive selection, aimed at preventing research cooperation with representatives of the aggressor state, temporarily occupied territories of Ukraine, and legal or natural persons officially associated with them, shall not be considered discrimination.

While performing their duties, persons conducting competitive selection and project reviews shall refrain from statements that may be perceived as discriminatory and could cast doubt on their impartiality.

7. Requirements for Independence and Autonomy

When evaluating projects, persons conducting competitive selection and project reviews shall remain independent from any ideological, political, administrative, commercial, or public influence or pressure, and prevent external interference in their competitive selection activities.

To ensure independence in their professional activities, persons conducting competitive selection and project reviews shall resist any encroachments on their independence, defend their rights, and act confidently and principled in performing their duties.

Persons conducting competitive selection and project reviews shall be autonomous in forming professionally justified judgments and decision making, preventing any attempts to interfere in the project reviews or evaluation process.

To ensure compliance with the principle of independence, persons involved in competitive selection and project reviews are not allowed to engage in contacts outside the established procedure with persons directly or indirectly interested in the results of the call. Conclusions or decisions made during competitive selection and project reviewing are formed in accordance with the law, based on their own professional assessments and convictions.

8. Requirements for Competence and Professionalism

Persons conducting competitive selection and project reviews shall have deep and systematic knowledge in the relevant field of knowledge necessary for professional review and evaluation of projects, including being familiar with the latest developments in science and technology.

Competence of persons conducting competitive selection and project reviews means that such persons have higher professional education, high qualification, specialized research knowledge and experience of scientific and technical activities.

Persons conducting competitive selection and project reviews shall objectively assess adequacy of their qualifications and practical experience, research knowledge, skills and relevant competencies, make informed decisions, and provide professional conclusions.

Persons conducting competitive selection and project reviews shall refrain from reviewing or considering projects that fall outside the scope of their competence, or in cases where they lack sufficient or necessary knowledge to conduct such review or consideration.

In order to acquire new theoretical knowledge and professional skills, persons who are involved in competitive selection and project reviews should be actively interested in participating in educational and research events, including research workshops, webinars, symposia and conferences, working groups, and keep abreast of changes in legislation or the field of research and take other measures aimed at personal professional development.

9. Requirements for Integrity and Ethical Behavior

Persons conducting competitive selection and project reviews are to adhere to general ethical principles of professional communication. During communication they are to display kindness, a polite and tactful attitude to the interlocutor, respect opinions of others about the subject of the evaluation, even when they do not coincide with their own estimates.

Persons conducting competitive selection and project reviews shall avoid conflict situations and prevent them from occurring. In the event of a conflict, they are to behave properly in accordance with law, taking into account the responsibility that they have in relation to the status of an expert or a member of the call commission.

Persons conducting competitive selection and project reviews must not participate in activities that may discredit them beyond the call. They are to avoid committing actions that could raise doubt about their integrity and decency.

Public comment or evaluation of work of other persons, involved in selection and project reviews, is inadmissible.

Persons conducting competitive selection and project reviews shall adhere to the principles and rules of academic integrity established by law.

10. Confidentiality requirements

Members of call commission and persons conducting project reviews are required to keep confidential any information that becomes known to them in the course of their duties and not to disclose to anyone any information regarding the projects they have evaluated and the reviews they have conducted, except in cases specified by law.

Members of call commission undertake to keep information confidential by completing a standard declaration form (Appendix 2). Persons conducting project reviews undertake to keep information confidential in the electronic system of the Foundation (Appendix 2.1).

Confidentiality requirements also apply to the extent that they do not compromise the objectivity of project reviews and evaluation, or the impartiality of decisions regarding the selection of a successful proposal.

Restrictions on keeping confidentiality of information do not apply to cases where disclosure is necessary to protect the public interest and where the public’s right to know outweighs the potential harm from such disclosure, as well as in accordance with other legal requirements.

Confidentiality requirement presupposes that there is no possibility of forming an idea or a real impression that persons conducting the competitive selection and project reviews may use, or are using, information obtained in the course of their work for personal purposes or for the benefit of a third party.

11. Requirements for Social Responsibility

Persons conducting competitive selection and project reviews shall consider their social responsibility to the society. When reviewing and evaluating projects, they shall take measures to prevent any threats to human rights (including the right to respect for human dignity, non-interference in personal and family life, etc.).

CONFLICT OF INTEREST

12. Prevention of Conflict of Interest

Persons conducting competitive selection and project reviews must act under conditions of absence of real or potential conflict of interest.

At the stage of reviewing the list of applicants for a call, members of the call commission shall declare the presence or absence of any conflict of interest by completing a standard declaration form (Appendix 3). Persons conducting project reviews shall, at the stage of reviewing the list of project implementers assigned for evaluation, declare the presence or absence of any conflict of interests by completing a standard declaration form (Appendix 3).

If there are actual or potential interpersonal conflicts or conflicts of interest between different reviewers involved in the review of the same project, the presence of such circumstances is to be declared, if possible.

In the event of circumstances indicating a conflict of interest that were not known at the initial stage of the competitive selection, persons involved in the competitive selection and project reviews shall inform the organizers of the call of the existence of such a conflict. Reviewers are to declare their withdrawal from further evaluation of the project, while members of the call commission are to refrain from participating in voting on such a project until the Scientific Council of the relevant section of the Foundation considers the issue of the appropriate mechanism for resolving the conflict of interest.

The grounds for refusing to engage a reviewer in a project evaluation, for a reviewer’s self-recusal from evaluation, and for the removal or recusal of a member of the call commission from participating in voting shall include the following:

• the presence of close persons among the authors of the project;
• employment with the organization participating in the competitive selection (within the three years preceding the date of the announcement of the call);
• membership in supervisory or controlling bodies of the organization participating in the competitive selection (within the three years preceding the date of the announcement of the call);
• a reviewer or a member of the call commission has acted as the academic supervisor of any of the project’s authors, or a project author has acted as the academic supervisor of a reviewer or a member of the call commission (within the three years preceding the date of the announcement of the call);
• joint research publications with at least one of the project’s authors, or participation in joint research projects (within the three years preceding the date of the announcement of the call);
• other close research or commercial cooperation;
• other direct research or commercial competition.

Persons conducting competitive selection and project reviews are to declare their resignation or refuse to participate in voting also in case they have a personal conflict with the persons participating in the call.

It is prohibited to involve the authors of projects in the reviewing and evaluation of the projects.

It is also prohibited to involve two or more persons working in the same institution, organization, or enterprise in the same call commission and in the evaluation of the same project.

Issues concerning the removal of persons involved in competitive selection and project reviews, their exclusion from voting, or the adoption of alternative measures to prevent a conflict of interest shall be considered by the Scientific Council of the relevant section of the Foundation, or by the Scientific Council of the Foundation if one of the grounds listed above is identified.

Persons participating in competitive selection and project reviews shall under no circumstances conceal any personal or other factors that could influence or potentially affect the objectivity of decisions regarding the successful proposals or the accuracy of project reviews.

Members of the Scientific Councils of the sections, as well as members of the Scientific Council, acting as participants in the competitive selection process, must declare the existence of any grounds indicating a possible conflict of interest. Such information shall be taken into account by the Scientific Council when making decisions on the approval of call results, to the extent and in a manner that ensures transparency, objectivity, and impartiality of such decisions.

TERMS OF RESPONSIBILITY

13. Responsibility for Justification, Completeness, and Accuracy of Conclusions and Decisions

Persons conducting competitive selection and project reviews assume responsibility for justification, completeness and accuracy of conclusions and decisions made by them, as well as for unlawful refusal to provide information and materials that may affect objectivity of the call results.

Conclusions of the reviews, decisions on projects rating and on selection of successful proposals must be justified, objective, based on a thorough and comprehensive study of the project.

Persons who do the reviewing shall bear responsibility for falsifying conclusions of the evaluation, and persons conducting consideration and determining successful applications for the competitive selection – for falsification of decisions regarding winners of the call.

Any intentional and unreasonable delay in the process of reviewing, evaluation of a project, as well as other actions that impede proper organization and meeting the deadlines of competitive selection are inadmissible and entail liability provided for by law and these Regulations.

Intentional coercion or creation of circumstances for members of call commissions and reviewers that result in unlawful or biased project evaluation and review, or in the preparation of unfounded or deliberately false decisions and conclusions, is unacceptable.

Any pressure, discreditation or harassment of persons involved in the competitive selection and project reviews, for the decisions they have made and for conclusions they have drawn, shall be prohibited.

Persons conducting competitive selection and project reviews shall bear responsibility for any violations that have occurred due to their fault, in particular as regards:

• copyright and industrial property rights infringement;
• breach of confidentiality of information obtained in connection with a project reviewing or evaluation.

Persons involved in the competitive selection and project reviews who are found to have violated the provisions set forth in this article shall, in the case of a first violation, be issued a warning regarding their responsibility and be removed from the review or evaluation of the project. In the event of repeated violations, such persons shall be prohibited from participating in competitive selections as members of call commissions or as reviewers for a period of three years.

INADMISSIBILITY OF COLLABORATION WITH REPRESENTATIVES OF THE AGGRESSOR STATE OR THE TEMPORARILY OCCUPIED TERRITORIES OF UKRAINE

14. Establishing the fact of research collaboration

Research collaboration by individuals conducting competitive selection and project reviews (members of call commissions and reviewers), as well as by individuals included among the authors or implementers of projects, with representatives of the aggressor state, the temporarily occupied territories of Ukraine, and legal or natural persons officially associated with them shall be inadmissible.

For the purposes of this Regulations, indicators of scientific collaboration with representatives of the aggressor state, the temporarily occupied territories of Ukraine, and natural persons officially affiliated with them after 24 February 2022, as well as with legal persons established by the occupation authorities in the temporarily occupied territories of Ukraine, including natural persons officially affiliated with such entities after 18 March 2014 (hereinafter referred to as the “specified dates”), shall include, inter alia, the following:

• participation in a research project that was fully or partially funded by legal entities or individuals residing in the aggressor state or by similar persons in the temporarily occupied territories of Ukraine after the specified dates;
• authorship or co-authorship of a scientific paper published in an edition whose release is or was funded after the specified dates by individuals or legal entities of the aggressor state or persons officially associated with institutions in the temporarily occupied territories of Ukraine;
• co-authorship, after the specified dates, in research publications with individuals officially affiliated with legal entities located in the territory of the aggressor state or in the temporarily occupied territories of Ukraine, where the proportion of such co-authors exceeds 1 (one) author per 20 (twenty) authors of the publication;
• participation (in person or remotely) in research or educational events (conferences, workshops, expeditions, etc.) organized by legal entities or individuals of the aggressor state on the territory of third countries and/or held on the territory of the aggressor state or in the temporarily occupied territories of Ukraine after the specified dates;
• participation in the work of specialized academic councils for the defense of dissertations in institutions of the aggressor state or temporarily occupied territories and/or involvement of specialists from such institutions as opponents (reviewers) and academic supervisors in the defense of dissertations in Ukrainian institutions after the specified dates;
• participation after the specified dates in editorial boards (editorial boards) of periodicals and non-periodicals of the aggressor state or institutions in the temporarily occupied territories of Ukraine, as well as publications funded by legal entities or individuals of the aggressor state or by the occupation administration;
• membership after the specified dates in national and sectoral academies of sciences of the aggressor state and so-called “academies of sciences” in the temporarily occupied territories of Ukraine;
• membership after the specified dates in research associations, societies, or unions registered in the territory of the aggressor state or operating in the temporarily occupied territories of Ukraine;
• participation after the specified dates in advisory or expert councils of research institutions registered in the territory of the aggressor state or operating in the temporarily occupied territories of Ukraine;
• reviewing, scientific editing, or preparing prefaces/afterwords for periodicals printed in the territory of the aggressor state or in the temporarily occupied territories of Ukraine after the specified dates, which is confirmed by data from verified sources.

The following shall NOT be considered research collaboration:

• co-authorship of researchers in publications resulting from their participation in international projects initiated and funded by legal entities or individuals registered outside the aggressor state and the temporarily occupied territories of Ukraine, where the share of co-authors officially associated with legal entities in the territory of the aggressor state or in the temporarily occupied territories of Ukraine does not exceed 1 (one) author per 20 (twenty) members of the author team; provided that the corresponding author was not officially associated with any legal person in the territory of the aggressor state or in the temporarily occupied territories of Ukraine;
• participation in research events (conferences, congresses, symposia, etc.) initiated and funded by legal entities or individuals registered outside the aggressor state and the temporarily occupied territories of Ukraine which are also attended by persons officially associated with legal entities located in the aggressor state or in the temporarily occupied territories of Ukraine.

Authors of projects submitting applications for grant support from the NFRU, whose activities exhibit formal signs of collaboration with representatives of the aggressor state or the temporarily occupied territories of Ukraine, have the right to provide corresponding explanations and evidence of the absence of actual collaboration together with their application for grant support for further consideration and decision-making by the Call Commission. The Call Commission shall inform the Scientific Council of its decisions upon the completion of the respective competitive procedures.

Reviewers, members of call commissions, and project implementers whose activities show signs of collaboration with representatives of the aggressor state or the temporarily occupied territories of Ukraine, or to whom the criteria established in these Regulations for recognizing such collaboration apply, may submit explanations to the Scientific Council of the Foundation and provide evidence of the absence of actual collaboration.

In particular, a significant indication of the absence of collaboration may include participation in international projects or research collaborations initiated before the specified dates and funded or coordinated by legal or natural persons registered outside the territory of the aggressor state and the temporarily occupied territories of Ukraine; taking measures to terminate collaboration, documented accordingly (e.g., submission of a statement of withdrawal from an association, editorial board, etc. – the list is not exhaustive).

The determination of non-compliance or violation of the Ethical Principles concerning collaboration with representatives of the aggressor state, the temporarily occupied territories of Ukraine, and legal or natural persons officially associated with them shall be considered on a case-by-case basis, taking into account the provided reasoned written explanations. Reconsideration of cases showing signs of collaboration with representatives of the aggressor state or the temporarily occupied territories of Ukraine, which have already been considered by the Foundation and for which the Foundation has already made a decision, is not permitted.

Establishing the fact of research collaboration with representatives of the aggressor state, the temporarily occupied territories of Ukraine, and legal or natural persons officially associated with them shall constitute grounds for the Foundation to decide:

• to suspend the relevant individual from participation in the competitive selection (removal from the call commission, suspension from conducting project reviews, etc.);
• to exclude the corresponding application for grant support from consideration at the preliminary review stage and at any stage of the competitive selection process, if the individual is listed among the project authors;
• to inform the project’s academic supervisor of the need to remove the respective individual from the list of project implementers if that individual is currently involved in a project being implemented based on the results of a call.

Restrictive measures imposed by the Foundation on individuals who have engaged in research collaboration with representatives of the aggressor state, the temporarily occupied territories of Ukraine, and legal or natural persons officially associated with them shall expire 5 (five) years after their imposition, but not earlier than the end of the martial law regime in Ukraine.

Archive:

• REGULATIONS on Compliance with the Principles of Research Ethics and Conflict of Interests Prevention during competitive selections, scientific and scientific-technical reviewing of projects and consideration of applications for grant support submitted to the National Research Foundation of Ukraine (Approved by the Scientific Council of the National Research Foundation of Ukraine (Minutes of the meeting No. 21 of 25.08.2023)) (download)