Research ethics policy

Mid Sweden University cares about the quality, integrity and independence of research, which requires that the research is carried out in accordance with good research practice. There are research ethics guidelines that aim to establish ethical principles and practices developed within the research community, but there is no precise definition of good research practice. In the government's public inquiries from the Ministry of Education and Research, good practice in research is described as "the moral practice that develops when the various actors in research in dialogue with the surrounding society critically reflect on the research activities" (SOU 1999:4). The Swedish Research Council's definition of good practice in research is "the overall ethical requirements for how good research should be conducted" (Good Research Practice, VR 2017).

The Code of Conduct for Research Integrity (2017), published by the All European Academies (ALLEA), emphasises the responsibility of the research community to promote good research practice. The main purpose of the ALLEA Code is to contribute to the assumption of this responsibility, as well as to provide a framework for the research community itself to take responsibility for compliance with ethical guidelines and practices. The Code sets out basic principles and descriptions of good research practice in various contexts, which provide a picture of what it means to protect, promote and follow good research practice. An understanding of what constitutes good research practice in practice requires an understanding of the moral basis of these principles and descriptions and how they can be applied in the practical and legal contexts in which research is conducted.

The ALLEA Code also describes an established view of what constitutes particularly serious deviations from good research practice, which is reflected in the definition of "misconduct in research" found in the Act (2019:504) on Responsibility for Good Research Practice and Examination of Misconduct in Research (LAO): a serious deviation from good research practice in the form of fabrication, falsification or plagiarism committed intentionally or through gross negligence in the planning, implementation or reporting of research. 

The main purpose of Mid Sweden University's policy is to clarify the University's overall view of the work to safeguard and promote good research practice. The policy sets out the basic starting points for the work and how the responsibility is distributed at the university. By making the policy known, it helps to ensure responsible conduct and regulatory compliance in the area of research ethics. This, in turn, aims to protect individuals, society, animals, the environment, etc., and to safeguard the credibility of science and confidence in research and the university as an institution. The policy is primarily aimed for everyone who conducts research at Mid Sweden University, but also for other employees and students. The policy also aims to give outsiders a picture of the University's overall view of this work.

Good research practice

Basic principles

All research at Mid Sweden University must be carried out in accordance with good research practice (Sections 4 and 5 of the LAO and Chapter 1, Section 3 of the Higher Education Act, 1992:1434). Assessments of what constitutes good research practice are based on well-established research ethics guidelines, taking into account relevant differences between different research fields. Key documents in this context are the Swedish Research Council's publication Good Research Practice (2017) and The European Code of Conduct for Research Integrity (2017), published by ALLEA. Those who carry out or participate in research or research-like work must be familiar with the basic principles presented in these documents, as well as understand how these principles are applied in their field of research. The basic principles set out in the ALLEA Code are as follows:

• Reliability in ensuring the quality of research, as reflected in the design, methodology, analysis and use of resources. The reference to the use of resources in this context should be understood as meaning that resources should be used in a responsible manner. The Code mentions in particular the importance of using research funds in a correct and responsible manner and also points out that deviations from good research practice are a waste of resources.
• Honesty in developing, conducting, reviewing, reporting and communicating research in an open, fair, complete and objective manner.
• Respect for research subjects, colleagues, society, ecosystems, cultural heritage and the environment. In this context, "research subjects" refers to people who participate in, for example, observational studies, experiments, interviews or surveys, or whose personal data or biological samples are processed for research purposes. Section 2 of the Act (2003:460) on the Ethical Review of Research Involving Human Beings defines "research subject" as "a living human being to whom the research relates".
• Responsibility for research from idea to publication, for management and organization, for education, supervision and mentoring, and for its wider consequences.

These principles guide the work and the management of the practical, ethical and intellectual problems associated with research. For more detailed descriptions and reasoning on good research practice, please refer to ALLEA's Code of Conduct and the Swedish Research Council's publication.

Good research practice includes compliance with applicable rules and guidelines, and obtaining the necessary permits, e.g. for research involving humans or involving animal experiments. If the research is carried out outside Sweden, it must be ensured that both Swedish and foreign rules and guidelines are complied with to the extent that they are applicable, and that ethical review takes place in accordance with the legislation of the country where the research is conducted. In cases where foreign regulation or ethical guidelines allow for phenomena that are not permitted according to rules and guidelines that apply in Sweden, an adequate level of protection for humans and animals must nevertheless be ensured. For research professionals at Mid Sweden University, the starting point is that Swedish rules on good research practice and misconduct in research are followed regardless of where the research is physically carried out.

For all research involving animals, the 3R principle (Replace, Reduce, Refine) applies. This means that animal experiments should be replaced with animal-free methods where possible to answer the scientific question (Replace), that as few animals as possible should be used to answer the scientific question (Reduce), and that the conditions and welfare of the animals should be continuously improved and that the experiments should be designed so that they are as gentle as possible (Refine).

Promotion of good research practice

Mid Sweden University's work to safeguard and promote good research practice should be conducted in close connection with the researchers and the research environments, in a way that stimulates open collegial conversations about research ethics issues. Measures taken in the area of research ethics should be in harmony with the trust-based governance that characterises the University's activities, i.e. a clear, simple, collegiately based line organisation with strong departments. Employees shall be offered advice and support in matters relating to good research practice and deviations from such practice (Chapter 1, Section 16 of the Higher Education Ordinance, 1993:100).

The work to ensure regulatory compliance in the area of research ethics should primarily focus on creating good conditions for effective collegial supervision. This is done primarily by offering support, training, information and clear internal steering and support documents, as well as by promoting good research environments. However, there may be cases where more direct measures are needed, such as investigating suspected problematic research environments or measures to stop unethical research.

High quality research requires that it is carried out in accordance with good research practice. The work to safeguard and promote good research practice is thus also part of Mid Sweden University's quality system for research (MIUN 2021/1904). The University provides operational support that helps to find viable ways for research activities within the framework of current guidelines and regulations.

Deviations from good research practice

According to Section 7 of the LAO, suspicions of misconduct in research shall be examined by a special board, the Board for the Examination of Research Misconduct (NPOF), while according to Chapter 1. Section 17 of the Higher Education Ordinance (1993:100) shall examine suspected deviations from good research practice other than those that are to be examined specifically under the LAO.

Suspicions of deviations from good research practice within the University's operations must be addressed and handled in a legally secure, transparent and appropriate manner. This handling is regulated in the Procedure for handling suspicions of misconduct in research and deviations from good research practice (MIUN 2020/2738).

Responsibility for good research practice

Overall responsibility

Mid Sweden University has an overall responsibility for ensuring that the research conducted at the University is carried out in accordance with good research practice and that the credibility of science and good research practice are safeguarded in its activities (Section 5 of the Higher Education Act and Chapter 1, Section 3 a of the Higher Education Act). This overall responsibility includes working for a high level of awareness and knowledge of good research practice, as well as a good research and work environment that is characterised by openness and respect. This means, among other things, responsibility for:

• All staff and students who conduct or participate in research or research-like activities are offered adequate and continuous information and training on good research practice and rules, as well as other resources necessary for them to be able to assume their individual responsibility and the special responsibilities that come with certain roles
• Clear internal steering documents are produced in the area of research ethics
• Appropriate structures are developed to promote good research practice, including compliance with regulations in the field of research ethics (this includes structures for support, control and follow-up).

Individual responsibility

The fact that Mid Sweden University has an overall responsibility for ensuring that the research conducted at the University is carried out in accordance with good research practice does not mean that individuals at the University are exempt from their own responsibility. Each individual researcher is responsible for following good research practice in their research (Section 4 of the LAO) and all employees at Mid Sweden University have an obligation to stay informed about and comply with applicable laws, rules and guidelines in the area of research ethics. In order for the measures taken within the framework of overall responsibility to have the intended effect, it is necessary for everyone to assume their individual responsibility by, among other things:

• continuously absorb information, participate in training courses on good research practice that are offered
• take part in current rules, guidelines and steering and support documents in the field of research ethics
• act responsibly and comply with applicable laws, regulations and guidelines in the area of research ethics, including internal governing documents and decisions
• contribute to a good joint research and work environment and to the collegial dialogue on research ethics issues
• if necessary, seek advice and support on good research practice from the Faculty Collegium or Mid Sweden University's Council on Research Etichs.

Special responsibilities that come with certain roles or tasks

The Vice-Chancellor is responsible for ensuring that the deans have sufficient authority, competence and resources to fulfil their overall responsibility.

The deans have overall responsibility for ensuring that research at the faculty is carried out in accordance with good research practice, and they are therefore also responsible for ensuring that the heads of department or equivalent have sufficient authority, competence and resources to fulfil their overall responsibility.

The head of department or equivalent has overall responsibility for ensuring that research at the department or equivalent is carried out in accordance with good research practice. This includes a responsibility to create good research environments, to give everyone at the department good conditions to take their individual responsibility (e.g. by ensuring that everyone is offered information, education and advice and support in matters relating to good research practice). and remedy any organisational deficiencies that risk leading to non-compliance. In case of uncertainty in these matters, the head of department or equivalent should turn to or refer to the research collegiums. For research that requires approval from the Ethical Review Authority under the Ethical Review Act, the head of department or equivalent is responsible for ensuring that measures are taken to prevent research from being carried out without approval or in violation of a condition that has been issued in connection with such approval ( Law 2003:460). The head of department or equivalent represents the University in relation to the Ethical Review Authority and the Ethical Review Appeals Board.

Teachers or researchers who supervise doctoral students or students whose work includes research have a special responsibility to ensure that the doctoral students or students receive information about regulations, guidelines and governing and support documents. The supervisor's role also includes contributing to the creation of good environments and providing doctoral students or students with guidance on issues of good research practice. In case of uncertainty about such issues, the supervisor should turn to the subject's research collegium and Mid Sweden University's Council on Research Ethics. The doctoral students or students in turn have an individual responsibility to acquire such information and education, and to follow the supervisor's instructions, as long as this does not mean deviating from good research practice. If necessary, doctoral students can also turn directly to Mid Sweden University's Council on Research Ethics.

In cases where animal experiments are part of the research or in research-like elements, research professionals at Mid Sweden University are responsible for ensuring that ethical approval is in place.

Operational support regarding good research practice

The Research Council is responsible for operational support in matters relating to good research practice and, to a certain extent, the Council for Good Research Practice (MIUN 2020/2739). Where necessary, the Council on Research Ethics collaborates with other departments within the administration to ensure that qualified support is offered in matters that require specialist expertise regarding, for example, legal issues in connection with ethical review. archiving and data management. The Deputy Vice-Chancellor for Research and the General Counsel (MIUN 2020/2738) are responsible for special protection and support in connection with the handling of suspected deviations from good research practice (MIUN 2020/2738).

Legal context: guidelines, regulations and governing documents

The most central general guidelines regarding research ethics in Europe and Sweden are as follows (cf. section 2.1):

• The European Code of Conduct for Research Integrity, All European Academies (ALLEA), 2017
• Good Research Practice, Swedish Research Council, 2017.

In addition to these guidelines, there are also additional international and subject-specific codes that individual researchers need to relate to when conducting research.

The following (Swedish) laws and ordinances are of importance in this context:

• The Higher Education Act (1992:1434), which contains provisions that the credibility of science and good research practice must be safeguarded in the activities of higher education institutions (Chapter 1, Section 3a) and that the activities must be adapted so that a high quality is achieved in education and research (Chapter 1, Section 4)
• The Act (2019:504) on Responsibility for Good Research Practice and Examination of Research Misconduct (LAO), which contains provisions stating that the researcher is responsible for following good research practice in their research (Section 4) and that the research principal has the overall responsibility for ensuring that the research is carried out in accordance with good research practice (Section 5)
• Higher Education Ordinance (1993:100), which contains provisions that a higher education institution shall ensure that employees can receive advice and support in matters relating to good research practice and deviations from such practice (Chapter 1, Section 16), that a higher education institution shall examine suspected deviations from good research practice other than those that are to be examined specifically according to the LAO and that a higher education institution must establish guidelines for its assessment of suspected deviations from good research practice (Chapter 1, Section 17)
• Act (2003:460) on Ethical Review of Research Involving Humans, which stipulates that certain research may only be carried out if it has been approved in an ethical review (by the Ethical Review Authority), that approval may be subject to conditions, and that a research principal must take measures to prevent that research in one's own activities is carried out in violation of this regulation or in violation of a condition that has been issued (Section 6)
• In addition to this policy, the University has the following internal steering documents and delegation decisions relating to good research practice:
  • Procedure for the Council for Good Research Practice, ref. no. MIUN 2020/2739,
  • Procedure for handling suspicion of misconduct in research and deviation from good research practice, ref. no. MIUN 2020/2738,
  • Policy for the management of research data at Mid Sweden University, ref. no. MIUN 2020/1906,
  • Guidelines for the management of research data at Mid Sweden University, ref. no. MIUN 2022/510,
  • Mid Sweden University's application decision of the National Archives' regulations and general guidelines (RA-FS 1999:1) on the disposal of documents in government agencies' research activities, ref. no. MIUN 2014/1170,
  • Quality system for research, ref. no. MIUN 2021/1904.

In addition to what has been discussed in this section, there are guidelines relevant to research ethics, regulations and governing documents that affect different parts of the University's activities to varying extents, for example in terms of archiving, processing of personal data, clinical drug trials, biobanks, public access to information and confidentiality. However, these are not discussed in more detail in this policy.