Research ethics for FAOS’ work

1. Purpose and Scope of Application
The Employment Relations Research Centre (FAOS) produces knowledge about industrial and employment relations in Denmark, the Nordic countries, and the EU The Centre combines in-depth research projects with process research that documents and analyses developments in the Danish model of labour market regulation, as well as how national and international trends influence the development of the labour market. FAOS’ research is based on dialogue with the social partners and political-administrative actors and is conducted with full academic independence.

This document establishes FAOS’ research ethical principles for the planning, implementation, dissemination, and collaboration in connection with the Centre’s research production.

The principles are anchored in the Danish Code of Conduct for Research Integrity, the University of Copenhagen’s Code of Conduct for Responsible Research, as well as national and institutional guidelines for collaboration and rights agreements (Further elaboration of guidelines etc. can be found on the Research Portal on KU-net and in Universities Denmark’s Principles and Recommendations for Research-Based Collaboration and Consultancy).

2. Key principles
FAOS’ research follows the University of Copenhagen’s Code of Conduct for Responsible Research and must at all times be characterised by:

Freedom of research – the right to freely define research problems, choose theories, methods and data basis, and to present results without undue interference, including in projects funded by external actors.

Honesty – precise, balanced and accurate reporting of objectives, methods, data, analyses, results and conclusions, including a clear statement of any limitations.

Transparency – openness about the project’s purpose, funding, methods, results, contributors and potential conflicts of interest. For FAOS this includes, among other things, public declaration of project funding.

Accountability – shared responsibility between researchers, management and collaborators for the quality and reliability of research and compliance with applicable regulations. The Centre Director has overall responsibility for quality assurance and ethical compliance at the Centre, while project leaders (PI’s) are responsible for the same within individual projects.

Impartiality – independence from special interests so that the research process and results are not influenced by political, economic or other external considerations, including when research is done in collaborations with the social partners.

Arm’s length – respect for the division of roles between FAOS and external parties, so that scientific decisions are made by the responsible researchers without undue interference. External input is used to qualify the research, but not to steer its conclusions.

3. Responsible Conduct of Research
All projects at FAOS are carried out in accordance with UCPH’s Code of Conduct for Responsible Research and follow six central standards:

  1. Research planning and conduct – projects are planned with clear objectives, methodological descriptions, timelines and risk assessments, which are set out in a project description.
  2. Research data management – data are collected, stored, processed and shared in accordance with legislation (including the GDPR rules) and UCPH’s Policy for Research Data Management, with due regard to confidentiality and findability.
  3. Publication and communication – results are published freely and in a timely manner, with correct crediting of contributors and declaration of funding sources. Any limitations on publication must be objectively justified and agreed upon in advance.
  4. Authorship – authorship is assigned in accordance with recognised criteria of substantial contribution to idea, design, analysis or writing (see UCPH guideline).
  5. Collaborative research – the division of roles and responsibilities between FAOS, internal university and external partners is established in writing, including agreements on rights, data access and quality assurance. In FAOS’ collaborations with the social partners and public authorities, the arm’s length principle is maintained as a fundamental principle.
  6. Conflicts of interest – potential issues of impartiality and conflicts of interest are declared early and managed transparently.

4. FAOS Project Model
FAOS delivers projects across a range of funding and project types. Although not all principles in each phase are relevant to every project type, we apply the principles below as appropriate, guided by FAOS’ commitment to responsible conduct of research.

Phase 1: Project Initiation
A project typically begins with an internal research idea or in a dialogue with an external collaboration partner. In this phase:

  • A theme or problem is identified, from which FAOS formulates a research problem. This may be done in dialogue with an external collaboration partner.
  • FAOS clarifies objectives, research questions, delimitations and success criteria. In special cases this is done in dialogue with an external party.
  • An initial assessment of relevance in relation to FAOS’ areas of expertise and strategic objectives is made by the Centre management.
  • A project leader (PI) is identified, who has overall responsibility for the planning, implementation and budget.
  • FAOS prepares a project description and a risk assessment for each project. A contract is entered into with external collaboration partners in accordance with UCPH’s standards.
  • An advisory board may be appointed, with a balanced composition of stakeholders in larger externally funded research projects, which is openly declared in all project descriptions and publications. See below for further principles on the composition and framework of advisory boards.

Phase 2: Planning and Scoping
The planning of the project is carried out by the PI and includes:

  • Preparation of a project plan with timeline, resource plan and risk assessment.
  • Explicit specification of method choices and data requirements.
  • Clarification of agreements on data, rights and possible confidentiality.
  • Development of a plan for external publication, dissemination and impact.
  • An early internal peer discussion with colleagues can be done to qualify the research question(s), theoretical and methodological choices at an internal seminar.
  • Registration of the project and obtaining data ethics approval in accordance with UCPH practice.
  • For PhD students and postdocs working on FAOS projects, a PhD/postdoc plan is always prepared in beginning of the project, clearly specifying the timeline for PhD/postdoc tasks, research output and division of roles. As far as possible, this project description is prepared in collaboration between the PI and the postdoc/PhD student.

Phase 3: Data Collection and Analysis
The project is carried out by the PI and the project group and includes:

  • Collection of data in accordance with UCPH’s policy for research data management and applicable legislation (including the GDPR rules).
  • Scholarly dialogue and joint development of research with junior scholars working on the project and/or academic collaborators.
  • Continuous quality assurance can be done through internal peer discussion with FAOS colleagues, where project progress and methodological choices are discussed.
  • Involvement of external actors, where relevant, to ensure empirical relevance and applicability. This includes the planning and conduct of meetings with any advisory board for the project.

Phase 4: Quality Assurance and Dissemination
The PI is responsible for ensuring dissemination and quality assurance of the project:

  • Drafts are presented internally for research peer critique.
  • For larger written outputs without already established peer review, external expert peer review is initiated.
  • Dissemination is planned in accordance with a communication plan, including informing Centre management, collaboration partners and stakeholders prior to publication.
  • Drafts may be sent for information to external collaboration partners or any advisory board, with the possibility of quality assurance, which may involve minor factual adjustments but without influence on methods, analyses and/or conclusions.

Phase 5: Delivery, Evaluation and Learning
The PI is responsible for ensuring delivery, evaluation and contributing to shared learning. This includes:

  • Delivery of agreed outputs in the formats and channels specified in the project plan.
  • Follow-up dissemination, e.g. presentations, external seminars, workshops or opinion pieces.
  • Internal evaluation is carried out for larger projects or as needed, with a focus on learning and the development of best practice.

5. Roles and Responsibilities

  • Project Leader (PI): Holds overall responsibility for project progress, delivery, quality assurance and coordination.
  • Centre Management: Allocates projects, approves project plans, ensures final compliance with research ethical principles.
  • Other Project Participants: Contribute with subject expertise, quality assurance and knowledge sharing.

6. Quality Assurance
The quality of FAOS’ research projects is ensured through:

  • Involvement of external stakeholders – where relevant for the project’s relevance and applicability, without compromising the arm’s length principle.
  • Internal peer discussion and continuous collegial critique, feedback and idea development throughout the project, including presentations at internal seminars.
  • External peer review – used for larger written products that do not already undergo external peer review, or through evaluation by recipients for non-publication-based products.

7. Advisory Boards
Advisory boards with external researchers, experts, and stakeholders may be established and will follow FAOS’s guidelines for composition and activities, including:

  • Advisory boards consist of actors who can contribute with access to data, knowledge, and quality assurance of the projects.
  • Advisory boards may include external researchers, experts, and stakeholders, but must not include the project’s informants.
  • Advisory boards cannot be composed solely of representatives from one organization but must be assembled so that the broadest possible range of knowledgeable persons and stakeholders are involved and contribute to the project’s quality assurance.
  • Advisory boards help ensure the quality and validity of the project’s components, without compromising the applicable principles of good research practice stated above, including the principles of academic freedom, impartiality, and arm’s-length distance.

8. Transparency and Funding
FAOS follows UCPH’s guidelines on transparency regarding private funding, including:

  • Annual publication of privately funded projects stating title, source of funding and amount.
  • Declaration of sources of funding in all publications and presentations.

9. Rights and Confidentiality
Agreements on intellectual property rights, confidentiality and publication follow applicable legislation and UCPH policy, including:

  • The Researcher Patent Act and copyright regulations.
  • Publication of results is, as a rule, unrestricted, with any confidentiality arrangements clearly agreed in advance and limited in time.

10. Implementation and Follow-up
FAOS researchers and project leaders are obliged to know and follow these principles. The Centre management is responsible for:

  • Ensuring that new employees are introduced to the principles.
  • Monitoring that the principles are observed in project implementation.
  • Incorporating the principles in evaluations of projects and collaborations.
  • Ensuring that the principles are openly available and clearly presented on the FAOS website and in the FAOS employee handbook.