Research integrity policy

As a minimum common frame of reference for good research practices (notwithstanding other frameworks), ”la Caixa” Foundation adopts the European Code of Conduct for Research Integrity (ALLEA), code which all research and innovation activities conduc ted with funding from our organisation must respect.

As set out in the European Code of Conduct for Research Integrity (ALLEA), good research practices are based on fundamental principles of integrity. They guide researchers in their work as well as in their engagement with the practical, ethical and intellectual challenges inherent in research.

These principles are:

• Reliability in ensuring the quality of research, reflected in the design, the methodology, the analysis and the use of resources.

• Honesty in developing, undertaking, reviewing, reporting and communicating research in a transparent, fair, full and unbiased way.

• Respect for colleagues, research participants, society, ecosystems, cultural heritage and the environment.

• Accountability for the research from idea to publication, for its management and organisation, for training, supervision and mentoring, and for its wider impacts.

Good practices in research include areas such as the promotion of an adequate work environment, the establishment of appropriate dynamics on training, mentoring and supervision, adequate data management and research, publication, dissemination and auditing procedures, among others.

Research misconduct is traditionally defined as fabrication, falsification, or plagiarism (known as the FFP categorisation) in proposing, performing, or reviewing research, or in reporting research results:

• Fabrication is making up results and recording them as if they were real.

• Falsification is manipulating research materials, equipment or processes or changing, omitting or suppressing data or results without justification.

• Plagiarism is using other people’s work and ideas without giving proper credit to the original source, thus violating the rights of the original author(s) to their intellectual outputs.

These are just three of the most usual forms of misconduct, but unfortunately there are many others that must also be avoided, in particular the violation of professional, legal and ethical responsibilities. Examples of such unacceptable practices include biases in the independence of studies, exaggerating findings, lack of scientific rigour, collaborating with abusive publications, breaching duties of confidentiality, misuse of personal data, violating the rights of people and/or animals in research and failure to respect the environment, etc.

The collaboration of all agents involved is essential in detecting and combatting cases of misconduct. Thus, anyone having knowledge of improper conduct in research of any nature must report it, in the first place, to the heads of their centre who in turn will notify ”la Caixa” Foundation, should the conduct be related, directly or indirectly, or may have an effect, directly or indirectly, on the project that has received or is receiving support from our institution (even if the conducts were committed prior to the call to which the project was submitted) (hereinafter, a “Misconduct”). The ”la Caixa” Foundation contact person will be the corresponding project manager. Likewise, if ”la Caixa” Foundation were to receive information about possible Misconducts carried out in the framework of a project receiving support from the Foundation, it will inform the organization responsible for the project.

In the event that a possible case of Misconduct is detected, the research performing organization must perform an internal investigation of the case and present the corresponding official report to ”la Caixa” Foundation. The official report must contain the minimum information necessary for the ”la Caixa” Foundation to carry out internal procedures to, among other, assess the impact of the conduct on the project as well as on its own image and reputation, and make the decisions it deems necessary in accordance with this integrity policy and the provisions of the collaboration agreements signed with the responsible organization.

The research performing organization must have an action procedure established for cases of potential misconduct and must also:

1. Assign a member of staff to act as contact person for any "whistleblower" who wishes to raise issues related to research misconduct in the organization.

2. Carry out an impartial, fair and timely investigation of all reports of misconduct made against its employees, students and/or collaborators (including project partners) employing internal or external resources, according to its procedure.

3. Confidentially notify ”la Caixa” Foundation, in compliance of the applicable regulations (e.g. on personal data protection and/or transparency),about any report of Misconduct made against its employees, students and/or collaborators (including partners) on any project which has the support of or for which funding has been requested from ”la Caixa”. Such notification must provide information on the category of the Misconduct and the investigation process being undertaken (if applicable). It must be sent as soon as possible and, in any case, no later than the moment the decision is made to perform an investigation. If there is to be an full investigation, the organization must confidentially inform ”la Caixa” Foundation of the identity of the person being investigated and the resolution of the procedure. This information will be subject to the confidentiality obligations agreed between the responsible organization and the ”la Caixa” Foundation.

4. Keep ”la Caixa” Foundation informed of the progress of the investigation process and of the Misconduct allegations. ”la Caixa” Foundation may decide to send a representative as observer at any moment of the process (if possible). Investigations must be concluded no later than one year following receipt of the allegation, unless a duly justified reason is given to extend the term.

5. Notify ”la Caixa” Foundation of the outcome of the investigation as soon as it is reached and submit the final official report, which must include details of the disciplinary measures that will be applied within the organization.

Should ”la Caixa” Foundation consider that the report submitted by the organization fails to duly clarify the situation of potential misconduct, or that the gravity of the act jeopardizes the reputation of the organization, ”la Caixa” Foundation reserves the right to undertake its own investigation through independent experts.

In the event that the organization responsible for the project is subject to the application of transparency regulations and/or the information relevant to the "la Caixa" Foundation is protected by such regulations, the responsible organization undertakes to carry out the necessary procedures to obtain the consent of the persons who have been denounced for committing the Misconducts.

If the investigation concludes that there has been a case of research Misconduct or in the event that the responsible organization does not officially provide the information requested by ”la Caixa” Foundation regarding a case of Misconduct, ”la Caixa” Foundation reserves the right to adopt one or more of the following measures:

• Suspension and/or full or partial cancellation of the funding awarded.

• Request to reimburse the funding awarded.

• Restrictions on future funding by ”la Caixa” Foundation.

• Specific oversight of any future project of future potential projects.

• Publication of retractions or corrections where necessary, or other corrective actions.

The extent of application of these measures on the organization, the project and/or its members will be based on the characteristics of each case.

The foregoing is applicable without prejudice to the disciplinary measures which will be adopted by the organization.