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1(목적)

본 규정은 고려대학교 응용문화연구소(이하 연구소라 한다)와 관련된 연구가 인간의 존엄성을 침해하거나 공적, 사적 윤리를 손상하지 아니하도록 연구에 있어서의 엄밀성 및 윤리성을 제고할 수 있는 윤리적 가치를 규정함으로써 연구의 건강한 발전을 도모함을 그 목적으로 한다.


2(연구자의 윤리)

① 연구자는 각자가 수행하는 연구에 있어서 윤리적이어야 한다여기서 윤리적이란 용어는 아이디어의 도출, 타 저자의 인용, 연구비 신청 및 지원, 연구결과의 출판, 연구 참여자들에 대한 공정한 보상 등 연구 과정 전반에 있어서의 도덕적 정직성을 말한다.

② 연구자는 연구에 있어서의 표절, 사기, 조작, 위조 및 변조 등을 심각한 범죄행위로 간주하고 이러한 부정이 발생하지 않도록 해야 한다.

③ 연구자는 상기한 본 조 ② 항의 부정행위가 의심되는 사례가 있을 경우 적절한 방법으로 이를 연구소에 보고할 의무를 가진다.

④ 연구자는 자신의 이익과 타인 또는 타 기관의 이익이 상충하거나, 혹은 상충할 가능성이 있을 경우 이를 공표하고 적절한 조치를 취할 의무가 있다.


3(연구의 개방성)

① 연구자는 자신의 연구기밀이 보호되는 범위 내에서 학문의 전체적 발전을 위하여 최대한 공개적인 자세로 연구에 임하여야 한다.

② 연구결과가 출판된 후 다른 연구자의 요청이 있을 경우 지적재산권 또는 연구와 관련된 제한이 규정이 허락하는 범위 내에서 연구 관련 데이터 및 결과물 등을 적극적으로 제공하여야 한다.


4(기여도 배분)

① 논문 등 출판된 연구결과에 기재된 저자들은 그 연구내용을 숙지함으로써 책임을 다할 수 있어야 하며, 기여도가 없는 사람에게 학연ㆍ지연 및 기타 사적인 이익을 위하여 저자의 권한을 부여해서는 안 된다.

② 공식적인 공동연구자 또는 출판물의 작성에 직간접으로 기여한 사람들은 논문 등에 공개적으로 표기하고 이에 따라 적절히 보상되어야 한다.


5(타 기관의 가이드라인)

① 연구자는 자신의 연구와 관련된 법적 제한을 숙지하여야 한다.

② 연구소는 연구자에게 본 규정과 더불어 연구의 발주기관 혹은 관련 단체나 기관이 제시하는 연구 수행의 가이드라인을 따를 것을 요구한다.


6(연구윤리위원회)

① 연구윤리에 관한 사항을 심의하기 위하여 연구소 내에 연구윤리위원회(이하 위원회라 칭한다)를 둔다.

② 위원회는 연구소장, 고문, 편집이사 등을 포함한 5인 이내의 위원으로 구성한다.

③ 위원장은 연구소장이 겸임한다.

④ 위원은 위원장이 임명하며, 임기는 1년으로 하되 연임할 수 있다.


7(위원회의 운영)

① 위원회는 연구소장의 요청이 있을 경우 또는 위원장이 필요하다고 인정할 경우 위원장이 소집한다.

② 위원회는 재적위원 과반수의 출석으로 성립하고 출석위원 과반수의 찬성으로 의결한다. , 위임장은 위원회의 성립에 있어 출석으로 인정하되 의결권은 부여하지 않는다.

③ 위원회의 심의 대상인 연구에 관여중인 위원은 그 연구와 관련된 심의에 참여할 수 없다.

④ 위원장은 심의를 위하여 필요한 경우 연구책임자 혹은 관리책임자에게 자료의 제출 또는 보고를 요구할 수 있다.

⑤ 위원은 심의와 관련된 제반 사항에 대하여 비밀을 준수할 의무가 있다.


8(위원회의 기능)

위원회는 다음 각 호의 사항을 심의한다.

① 학술지와 관련된 논문, 계획서, 보고서 등에 대하여 제기된 연구윤리에 관한 사항

② 연구 및 기술개발에 있어서의 연구윤리 및 그 교육에 관한 사항

③ 연구 정보 제공자 등에 있어서의 개인정보 보호 및 피해 보상에 관한 사항

④ 연구소와 관련된 연구 정직성에 관하여 제기된 선의의 고발 사항

⑤ 연구소와 관련된 연구 부정행위에 대한 조사

⑥ 연구소와 관련된 연구과제의 연구책임자나 관리책임자가 부의하는 연구윤리에 관한 사항

⑦ 기타 위원장이 결정한 연구윤리 관련 사항


9(생명 윤리 일반)

① 인체 또는 생물체에 관련된 연구를 수행할 때에는 위원회의 사전 승인을 얻어야 하며, 위원회는 필요한 경우 외부기관의 승인을 득하도록 조치할 수 있다.

② 연구자는 임상실험 참여자의 신상정보를 보호하여야 하며, 이에 관한 제반 법규를 숙지ㆍ준수하여야 한다.


10(연구 상의 부정행위에 대한 처리)

① 연구소와 관련된 연구 상의 부정행위가 인지된 경우 위원회는 지적된 혐의에 대한 적절한 조사와 처리를 하여야 할 의무가 있다.

② 연구 상의 부정행위에 대한 조사는 기밀을 유지하며, 연구소 또는 발주기관 및 사회 일반의 이익에 반하지 않아야 한다.

③ 연구 상의 부정혐의를 받은 자는 위원회의 조사결과에 대하여 반론을 제기할 수 있는 권리를 가지며, 위원회는 이를 보장할 의무를 갖는다.

④ 연구 상의 부정행위에 대한 조사의 결과는 연구소에 보고되어야 하며, 그 기록은 처리가 종료된 시점을 기준으로 5년간 연구소에 보관한다.

⑤ 위원회는 필요한 경우 연구 부정혐의를 받은 자를 출석시켜 자신을 보호하고 반론을 제기할 수 있는 기회를 부여할 수 있다.

⑥ 조사 결과 혐의가 연구 상의 부정행위를 저지른 것으로 확정될 경우, 연구소는 이를 공표하고 다음 각 호의 후속조치를 취할 수 있으며 관련된 구체적 사안의 결정은 상임이사회의 의결에 따른다.

       1) 연구소 견책 서한 발송

       2) 해당 연구결과물에 대한 취소 또는 수정 요구

       3) 해당 연구과제의 관련자 교체

       4) 적정 기간 회원자격 상실

       5) 제명

       6) 법률기관에의 고발 등

⑦ 조사 결과 연구 부정행위가 없었던 것으로 확정될 경우, 위원회는 피고발자의 명예를 회복하기 위하여 적절한 후속조치를 취할 의무가 있다.


11(일반적 사안) 기타 본 규정에 명시되어 있지 않은 부분 및 구체적 용어의 정의 등에 대하여서는 200728일 제정 과학기술부 훈령 제236호 「연구윤리 확보를 위한 지침」 및 건강한 시민적 상식에 준한다.


12(시행일) 규정은 총회에서 의결된 날부터 시행한다.


제정: 200771


Regulations Regarding Research Ethics


 Chapter 1 : General Provisions 

Article 1 : Purpose 

This Regulation aims to stipulate the installation and operation of the Committee on Research Integrity (hereinafter referred to as "the Committee") in order to establish research ethics, prevent research misconducts and fairly and systematically verify integrity on research misconduct concerning the execution of various research activities by the University. 

Article 2 : Objects of Application 

This regulation applies to all concerned with research and development activities of the university, and those members who are directly or indirectly involved with said research. 

Article 3 : Scope of Application 

Establishment of research ethics and verification of research integrity shall be in accordance with this regulation unless otherwise specified. 

Article 4 : Definition of Terms

Irregular Misconduct (hereinafter referred to as "misconduct") is any type of cheating that occurs in relation to any formal academic exercise. It can include 

1. Forgery: refers to activities to generate data that does not exist or false research results, the falsification of data, information, or citations in any formal academic exercise. 

2. Modification: refers to activities to distort research contents or results by artificially manipulating research materials, equipment, processes or arbitrarily changing and deleting data, measurements, or sources. 

3. Plagiarism: The adoption or reproduction of original creations of another author (person, collective, organization, community or other type of author, including anonymous authors) without due acknowledgment. 

4. "Unjust indication of thesis author" refers to activities of not granting qualification of the thesis author that made scientific or technical contribution or services to the research contents or results, or to grant qualification of the thesis author to those who did not make scientific or technical contribution or services for the reason of gratitude or honorable treatment. 

5. Activities to intentionally obstruct examination on the suspect of its own or other's misconduct or inflict harm upon the informer; 

Deception: Providing false information to an instructor concerning a formal academic exercise—e.g., giving a false excuse for missing a deadline or falsely claiming to have submitted work. 

6. Other activities that are severely contrary to the scope generally accepted in the science and technology sector; and 

Professorial misconduct: Professorial acts that are academically fraudulent equate to academic fraud. 

7. Any activity that uses force, or the threat of force, to pressure others to fabricate, cheat, deceive, bribe, sabotage, or engage in academically fraudulent behavior. 

"Informer" refers to a person who informs the respective research institute, or research support institute of the fact of the misconducts or the relating evidences of a breach of ethics or misconduct. 

"Examinee" refers to a person who becomes subject to examination for misconduct upon information or recognition of the research institute or presumption that he or she has engaged in misconduct. 

"Preliminary examination" refers to the procedures observed to determine if official examination of suspicion of misconduct is necessary. 

"Main examination" refers to the adjudication process involved in determining whether misconduct has taken place. 

"Judgment" refers to a final decision, statement, or ruling, where the informer and examinee are notified of the examination results in writing. 


Chapter 2 : Committee Assembly and Governance 

Article 5 : Functions 

The Research Integrity Committee (hereinafter referred to as "the Committee") shall review and resolve matters pertaining to the following clauses: 

1. Matters pertaining to the establishment and operation of systems related to research ethics and integrity; 

2. Documenting allegations of misconduct and designating which departments are be involved in adjudicating alleged incidents of misconduct; 

3. Matters regarding preliminary examinations, adjudication, and final rulings; 

4. Matters guaranteeing the protection of the informer, and the restoration of the examinee’s academic standing and honor if found innocent of misconduct; 

5. Matters related to treatment and subsequent action of the research integrity verification results 

6. Other matters submitted by the chairman. 

Article 6 : Organization 

This Committee shall be composed of nine members including the head of the Office of Planning and Research, the head of the Office of Academic Affairs and the head of the Office of Academic Information Affairs (hereinafter referred to as "ex-officio members") and chaired by the head of the Office of Planning and Research. 

Participants other than ex-officio members shall be appointed by the president through nomination by the chairman and may hold office up to two years prior to reappointment. 

The Committee shall have one assistant administrator which shall report to the head of the Academic Research Support Team. 

Article 7 : Meeting 

The chairman shall convene and chair the meeting as a representative of the Committee. 

Issues addressed shall be deemed resolved when two thirds of members in attendance vote in agreement. 

The chairman may substitute the resolution of agendas that are recognized as minor with a written resolution. 

In principle the meeting shall be held as a closed meeting. However, it may be necessary to have other members or parties attend.


Chapter 3 : Information and Receipt 

Article 8 : Information and Receipt of Misconduct 

The informer may, in principle, inform the Office of Planning and Research of information with all available methods such as, oral and written statements, telephone calls, e-mails, and the like. The privacy of the informer’s name is to be guarded. If an informer chooses to remain anonymous he or she is required to submit the title of the research project, thesis title, and contents and evidence of specific misconduct via letter or email. 

Any informer who reported the information that was known as false or could be identified as false shall not be included in the subject for protection. 

Article 9 : Right Protection and Confidentiality of Informer and Examinee 

In any case, the identity of the informer shall not be directly or indirectly exposed and the name of the informer shall not be included in the examination report for protecting and safeguarding the identity of the informer. 

In the event that the informer receives disadvantages such as punishment, discrimination of work conditions, unjust pressure or harm due reporting alleged misconduct, the Committee shall recover the damage or take necessary measures for the informer. 

Until verification of misconduct is complete, the Committee shall not violate, discredit, or damage the honor, right, or academic standing of the examinee, and make efforts to restore honor of the examinee who has been determined as not guilty. 

All sorts of matters concerning examination such as information, examination, review, resolution, suggestion, shall be kept confidential. Those who directly or indirectly participate in the examination, the president, and engaged faculties and staff shall not expose any information acquired during the course of examination. However, if it is necessary to disclose any reasonable information, it may be disclosed with the resolution of the Committee. 

Article 10 : Guarantee of Objection and Defense Right 

The Examination Committee shall guarantee the informer and the examinee equivalent rights. The informer and examinee shall both be privy to the adjudication process, and have the right and obligation to state opinions and or to make a defense. 


Chapter 4 : Preliminary Examination 

Article 11 (Period and Method of Preliminary Examination) 

The preliminary examination will begin within 15 days from the date when the allegations are received. 

The preliminary examination shall review matters pertaining to the following clauses: 

1. Whether or not the contents of information is relevant to the misconduct under Paragraph 1, Article 4; 

2. Whether or not the content and information is valid and substantial to pursue a complete and thorough examination; and 

3. Whether or not five years have elapsed from the date of the initial allegation. 

The preliminary examination shall be conducted by the Office of Planning and Research, but if necessary, it may be carried out by other concerned professionals/vested parties or additional subcommittees. 

Article 12 : Report of Preliminary Examination Results 

Results of the preliminary examination shall be notified in written form to the research support institute and the informer within 10 days of the committee’s approval. However, in cases where an in informer chooses to remain anonymous the above preliminary examinations will not apply. 

Result report of preliminary examination shall include the contents of the following clauses: 

1. Specific details and allegation of the informer; 

2. Misconduct suspicion and concerned research project subject to examination; 

3. Whether or not execution of the main examination was performed and grounds for determination; and 

4. Other relevant evidence. 


Chapter 5 : Main Examination 

Article 13 : Commencement and Period of Main Examination 

The main examination shall begin within 30 days after approval of preliminary examination results by the Committee and the examination committee to carry out the main examination shall be organized within this period. 

The main examination including judgment shall be completed within 90 days from the commencement date of examination.

If the examination committee determines that it cannot finish the examination within the period stipulated in Paragraph 2, it shall explain the reason to the Committee and request extension of the period. 

Article 14 : Organization of Examination Committee 

The examination committee shall be composed of seven or more committee members. 

The examination committee shall include four or more persons having sufficient professional knowledge and experiences in the concerned area and have two or more entrusted outside persons for impartiality and objectiveness. 

Those who have conflict of interests with the case of examination in question shall not be included in the examination committee. 

Before commencing the main examination, a list of the examination committee members shall be notified to the informer, and if the informer arises reasonable objection for avoidance of any committee member, it shall be accepted. 

Article 15 : Request for Attendance and Material Submission 

The examination committee may request the informer, examinee, witness and testifier to attend the examination for statement and in this case the examinee must be accept the request. 

The examination committee may request the examinee to submit materials and take measures to preserve evidence such as restriction of the persons subject to misconduct from access to the laboratory, seizure, retention, etc. of the relevant research materials after obtaining approval of the head of the respective research institute.

Article 16 : Submission of Main Examination Result Report 

The examination committee shall submit the main examination result report (hereinafter referred to as "Final Report") to the Committee (research support institute) 10 days after judgment. 

The final report shall include the content of the following clauses: 

1. Personal information of the informer as well as information supporting the allegation of misconduct; 

2. Misconduct suspicion and concerned research project subject to examination; 

3. Roles of the examinee and whether or not the suspicion is true for the respective research project; 

4. Relevant evidence and witnesses; 

5. Content of objections or defense of the informer and examinee against the examination results and disposition thereof; and 

6. List of the examination committee members. 


Chapter 6 : Measures after Main Examination 

Article 17 : Judgment 

The examination committee shall finalize the examination contents and results based on contents of objections or defense and notify the informer and examinee of them in writing. 

If the examination content and results are not agreed upon, they may be decided through a vote, and in this case, the decision shall be resolved by the majority of the committee members then in office and a two-thirds affirmative vote of the present members.

Article 18 : Report to Research Support Institute 

The final report shall be submitted to the institute supporting the respective research project within 10 days after obtaining approval of the Committee. If there is any request from a superior institute, materials related to the examination may be submitted. 

Despite the provisions of Paragraph 1, the matters stipulated in the following clauses shall be immediately reported to the research support institute even during the examination: 

1. In the case of violating laws or respective rules; 

2. In the case that crucial hazard on public welfare or safety has occurred or will evidently occur; and 

3. In the case that it requires any action by the research support institute or public authorities. 

Article 19 : Action on the Results 

This Committee may recommend the president to take disciplinary action against the persons engaged in the misconduct. 

The president shall request the concerned disciplinary committee to take disciplinary action against the examinee, and notify the examinee of the action according to the procedures of the university. 

Matters regarding disciplinary action may be in accordance with other regulations or separately stipulated. 

Article 20 : Preservation and Disclosure of Records 

The preliminary examination and main examination and relevant records shall be kept by the Office of Planning and Research for five years after the examination has been completed. 

The final report may be disclosed after judgment is completed, but the information related to identity, such as list of informer, examination committee members, witnesses, references, and other participants, may be excluded from the disclosure record if the information therein poses possible injury to those involved in the examination. 


Addendum 

Article 1 : Enforcement Date 

These regulations shall enter into force on July 7th, 2007.





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