{"id":7722,"date":"2022-04-12T13:53:33","date_gmt":"2022-04-12T13:53:33","guid":{"rendered":"https:\/\/wissenschaftliche-integritaet.de\/kommentare\/hinweise-zur-umsetzung\/"},"modified":"2025-05-26T13:59:48","modified_gmt":"2025-05-26T13:59:48","slug":"notes-implementation","status":"publish","type":"kommentare","link":"https:\/\/wissenschaftliche-integritaet.de\/en\/comments\/notes-implementation\/","title":{"rendered":"Notes on implementation"},"content":{"rendered":"\n<h2 class=\"wp-block-heading\"><strong><u><strong>Who<\/strong><\/u><\/strong>&nbsp;needs to implement the <strong>guidelines<\/strong>?<\/h2>\n\n\n\n<p><strong><strong>Higher education institutions and non-HEI research institutions<\/strong><\/strong>&nbsp;must implement the 19 guidelines (Level 1) and explanations (Level 2) of the Code in a legally binding manner in order to receive funding from the DFG.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Please note implementation of the guidelines is only mandatory in connection with proposal submission. If you or an academic employed at your institution are submitting a DFG proposal for the first time, the implementation review within the DFG Head Office will be preceded by further formal review steps; these include in particular a review of eligibility and the determination of accounting modalities.<\/li>\n<\/ul>\n\n\n\n<h2 class=\"wp-block-heading\"><strong><u><strong>Who<\/strong><\/u><\/strong>&nbsp;does <strong><span style=\"text-decoration: underline;\">not<\/span><\/strong> need to implement the <strong>guidelines<\/strong>?<\/h2>\n\n\n\n<p>Are there <strong>exceptions <\/strong>for which an implementation of the Code is not required?<\/p>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"true\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77220\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Programme-specific exceptions<\/h4><div id=\"ac-77220\" class=\"c-accordion__content\">\n<p>There are programme-specific exceptions where the implementation of the Code is not required for DFG funding:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/international-cooperation\/german-israeli-cooperation\" target=\"_blank\" rel=\"noreferrer noopener\">DIP<\/a> &#8211; German-Israeli Project Cooperation<\/li>\n\n\n\n<li><a href=\"https:\/\/twas.org\/opportunity\/twas-dfg-cooperation-visits-programme-ssa\" target=\"_blank\" rel=\"noreferrer noopener\">TWAS<\/a> (The World Academy of Sciences for the Advancement of Science in Developing Countries) \u2013 DFG Cooperation Visits Programme&nbsp;<\/li>\n\n\n\n<li><a href=\"https:\/\/www.dfg.de\/de\/foerderung\/foerdermoeglichkeiten\/programme\/einzelfoerderung\/wissenschaftliche-netzwerke\" target=\"_blank\" rel=\"noreferrer noopener\"><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/individual\/scientific-networks\">Scientific Networks<\/a><\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/individual\/workshops-early-career-investigators\" target=\"_blank\" rel=\"noreferrer noopener\">Workshops for Early Career Investigators<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/individual\/project-academy\" target=\"_blank\" rel=\"noreferrer noopener\">Project Academies<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/international-cooperation\/initiation-international-collaboration\" target=\"_blank\" rel=\"noreferrer noopener\">Initiation of International Collaboration<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/international-cooperation\/international-events\/forms-guidelines\" target=\"_blank\" rel=\"noreferrer noopener\">International Academic Events and Annual Conferences of Scientific and Academic Associations<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.dfg.de\/resource\/blob\/167326\/4f00f01a8aa6a8530c6c98588d56d810\/1-10-data.pdf\" target=\"_blank\" rel=\"noreferrer noopener\">Support for the participation of researchers from Germany in international scientific<br> organizations<\/a><\/li>\n\n\n\n<li>LAGG&nbsp;<a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/infrastructure\/scientific-instrumentation\/funding-opportunities\/state-major-instrumentation\" target=\"_blank\" rel=\"noreferrer noopener\">State Major Instrumentation<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/infrastructure\/scientific-instrumentation\/funding-opportunities\/major-research-instrumentation\" target=\"_blank\" rel=\"noreferrer noopener\">Major Research Instrumentation Programme<\/a><\/li>\n<\/ul>\n<\/div><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"true\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77221\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Supplemental proposals, completion funding<br><\/h4><div id=\"ac-77221\" class=\"c-accordion__content\">\n<p>Similarly, the Code does not need to be implemented in the case of <strong>supplemental proposals<\/strong>, <strong>completion funding<\/strong> or <strong>bridge<\/strong> <strong>funding<\/strong><\/p>\n<\/div><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"true\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77222\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Research fellowships<\/h4><div id=\"ac-77222\" class=\"c-accordion__content\">\n<p><a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/individual\/research-fellowships\" target=\"_blank\" rel=\"noreferrer noopener\"><strong>Research fellowships<\/strong><\/a> are also exempt from implementation<\/p>\n<\/div><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"true\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77223\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Individual grants<\/h4><div id=\"ac-77223\" class=\"c-accordion__content\">\n<p>If an individual grant is awarded in exceptional cases, it is sufficient that the grantee commits to adhere to the rules of good research practice as indicated in the application form.<\/p>\n\n\n\n<p><\/p>\n<\/div><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"true\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77224\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Not a contracting&nbsp;partner of the DFG<\/h4><div id=\"ac-77224\" class=\"c-accordion__content\">\n<p><\/p>\n\n\n\n<p>If, with regard to funding, your institution <strong>is not a contracing partner of the DFG<\/strong>, implementation of the code is also not required.<\/p>\n\n\n\n<p>Such institutions include, for example, institutions participating in the <a href=\"https:\/\/www.dfg.de\/en\/news\/news-topics\/announcements-proposals\/2019\/info-wissenschaft-19-09\" target=\"_blank\" rel=\"noreferrer noopener\">NFDI<\/a> and <a href=\"https:\/\/www.dfg.de\/en\/research-funding\/funding-opportunities\/programmes\/coordinated-programmes\/research-impulses\" target=\"_blank\" rel=\"noreferrer noopener\">Research Impulses<\/a> programmes.<\/p>\n<\/div><\/div>\n\n\n\n<h3 class=\"wp-block-heading\">Exceptions<\/h3>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77225\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">What has to be considered in relation to the implementation of the guidelines when&nbsp;<strong>changing institutions<\/strong>?<\/h4><div id=\"ac-77225\" class=\"c-accordion__content\">\n<p>In cases of a change of institution on the part of persons in receipt of ongoing DFG funding, no proof of implementation of the rules for safeguarding good research practice by the institution is required during this period; the purpose of this is not to impair the mobility of researchers in receipt of ongoing DFG funding.<\/p>\n<\/div><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77226\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Which institutions have to implement the guidelines for&nbsp;<strong>NFDI consortia<\/strong>&nbsp;applications?<\/h4><div id=\"ac-77226\" class=\"c-accordion__content\">\n<p>In the case of NFDI consortia funding, a legal relationship exists exclusively between the DFG and the applicant institution. For the other institutions involved in the application process (\u201cco-applicant institutions\u201d and \u201cparticipants\u201d), institutional implementation of the guidelines is not mandatory.<\/p>\n<\/div><\/div>\n\n\n\n<div style=\"height:40px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\"><strong><u><strong>By when<\/strong><\/u><\/strong> must the Code of Conduct be implemented at my institution?<\/h2>\n\n\n\n<p>Since the <strong>Code came into force on 1 August 2019<\/strong>, HEIs and non-HEI research institutions have had to implement the 19 guidelines (Level 1) and their explanations (Level 2) on a legally binding basis in order to receive funding from the DFG.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>It is also possible to submit a proposal without implementation having been reviewed by the DFG Head Office and approved in a legally binding manner by the institution\u2019s internal bodies. Please note that in this case, funding cannot be disbursed until the formalities involving implementation of the Code have been completed.<\/li>\n<\/ul>\n\n\n\n<p>For those HEIs and non-HEIs that have already implemented the relevant regulations of the DFG white paper \u201cSafeguarding Good Scientific Practice\u201d on a legally binding basis, there was a <strong>transition period<\/strong> in which to implement the guidelines of the Code which ended on <strong>31 July 2023<\/strong>.<\/p>\n\n\n\n<p>The following still applies:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>If the implementation of the guidelines has already been submitted to the DFG Head Office for review prior to the deadline but communication on the matter has not yet been completed, the submission of the implementation alone is considered to have met the deadline providing the implementation includes a serious attempt at implementation and approval is to be expected.<\/li>\n<\/ul>\n\n\n\n<div style=\"height:40px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h2 class=\"wp-block-heading\"><strong><u><strong>How<\/strong><\/u><\/strong>&nbsp;must implementation be carried out?<\/h2>\n\n\n\n<p>For successful implementation of the guidelines, a&nbsp;<strong>content review and approval by the DFG Head Office<\/strong>&nbsp;(Research Integrity Team) is required. Please take into account that it will take some time to review your implementation.<\/p>\n\n\n\n<p>The final document on the implementation of the guidelines is to be sent to the DFG Head Office either by post as an original with signature, as a certified copy or as an electronic document with a qualified electronic signature within the meaning of the Digital Signature Act (Mailbox:&nbsp;<a href=\"mailto:gwp@dfg.de\">gwp@dfg.de<\/a>). This is a document which provides entitlement to the disbursement of funds.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>If you have any questions about the implementation of the Code \u201cGuidelines for Safeguarding Good Research Practice\u201d, feel free to contact us at <a href=\"mailto:gwp@dfg.de\">gwp@dfg.de<\/a>.<\/li>\n\n\n\n<li>Even if not all of the bodies responsible within your institution have been involved yet, you can still submit a draft of your implementation to the DFG Head Office (Research Integrity Team) for initial review.<\/li>\n\n\n\n<li>Please send the documents for initial review in Word format only to&nbsp;<a href=\"mailto:gwp@dfg.de\">gwp@dfg.de<\/a>.<\/li>\n<\/ul>\n\n\n\n<div style=\"height:25px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h3 class=\"wp-block-heading\"><strong>Several variants<\/strong>&nbsp;are conceivable for implementing the guidelines of the Code.<\/h3>\n\n\n\n<div style=\"height:25px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h5 class=\"wp-block-heading\">Variant one:&nbsp;<strong><strong>Own implementation<\/strong><\/strong><\/h5>\n\n\n\n<div style=\"height:30px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>The 19 guidelines (Level 1) of the Code \u201cGuidelines for Safeguarding Good Research Practice\u201d and their explanations (Level 2) are to be implemented mutatis mutandis in their essential elements. As such, verbatim adoption of the texts of the individual guidelines and explanations of the Code is not required. When implementing the guidelines in a way that suits your institution, please ensure they are worded so as to apply specifically and concretely within your institutional context. It may be helpful to provide examples to illustrate your regulations.<\/p>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77227\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">In what&nbsp;<strong><strong>legal form<\/strong>&nbsp;<\/strong>must the implementation take place?<\/h4><div id=\"ac-77227\" class=\"c-accordion__content\">\n<p>The regulations serving the legally binding implementation of the DFG Code are to be issued by the higher education institutions and non-HEI research institutions based on a sufficient legal foundation in the legislation of the respective federal state; the implementation document may be a statute, a regulation, etc. The legal nature of the implementation document depends on the organisational form of your institution. It is crucial that the content of the implementation has a legally binding effect for all academics working at your institution as well as for the management of the institution. As the DFG is not authorised to provide legal advice in individual cases in accordance with the Legal Services Act, we cannot provide any binding information on which specific implementation method can be considered for your institution in order to meet the aforementioned requirements. In case of doubt, this question should be clarified by your institution\u2019s legal department.<\/p>\n<\/div><\/div>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77228\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Is it possible to make <strong>references<\/strong> to regulations outside of the actual implementation text itself?<\/h4><div id=\"ac-77228\" class=\"c-accordion__content\">\n<ul class=\"wp-block-list\">\n<li>The guidelines of the Code concern academic work in the broadest sense. A central document is required for implementation.<\/li>\n\n\n\n<li>If you have further elaborated on individual sections or aspects of the Guidelines in other regulatory documents, these do not have to be included in the implementation text itself; instead, reference can be made to the relevant documents.\n<ul class=\"wp-block-list\">\n<li>Examples of more detailed regulations include a gender equality plan, internal regulations on staff selection and a plan for research data management.<\/li>\n<\/ul>\n<\/li>\n\n\n\n<li>It is  <strong><strong>not possible<\/strong><\/strong> to implement the Guidelines simply by means of a clause expressing a general commitment to the Guidelines. This does not constitute legally binding implementation of the Guidelines. The purpose of the implementation is to apply the guidelines specifically to your institution. The institution must independently implement the guidelines in its own regulations.<\/li>\n<\/ul>\n<\/div><\/div>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-77229\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Does the <strong>structure of the Code<\/strong> need to be maintained for implementation?<\/h4><div id=\"ac-77229\" class=\"c-accordion__content\">\n<ul class=\"wp-block-list\">\n<li>It is not necessary to adopt the structure of the Code for the purpose of implementation, although you can use its structure as a guide for a new implementation.<\/li>\n\n\n\n<li>If your institution has already implemented the regulations of the white paper, you may continue to use the previously established structure.<\/li>\n<\/ul>\n<\/div><\/div>\n\n\n\n<div style=\"height:20px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-772210\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Is there any&nbsp;<strong>further assistance<\/strong> available for implementing the guidelines?<\/h4><div id=\"ac-772210\" class=\"c-accordion__content\">\n<p>In May 2022, the German Rectors\u2019 Conference (HRK) adopted its own non-binding \u201cModel Statutes for Safeguarding Good Scientific Practice and for Dealing with Suspected Cases of Scientific Misconduct\u201d. This is intended to facilitate the process of elaboration at individual institutions. The model statutes are not mandatory: they simply provide exemplary suggestions for wording. In creating its own implementation, an institution can use only sections of the model statutes and otherwise develop different wordings. It is also possible for an institution to create its own implementation entirely without recourse to the model statutes.<\/p>\n\n\n\n<p>All implementations of the Code that have already been approved by the DFG Head Office remain valid. Draft implementations already submitted but not yet approved should only be revised based on any feedback provided by members of the Research Integrity Team.<\/p>\n\n\n\n<p>Use of the wording suggestions provided by the HRK model statutes is not a substitute for the internal reflection process that each individual institution must go through before developing its own specific and legally binding implementation of the Code.<\/p>\n\n\n<div id=\"links-block_bf92ffac48cf7ba82ff388c03c59ce3a\" class=\"kodex__comments-full--used-links links\"><a class=\"kodex__comments-full--used-links  outside-link\" href=\"https:\/\/www.hrk.de\/positionen\/beschluss\/detail\/mustersatzung-zur-sicherung-guter-wissenschaftlicher-praxis-und-zum-umgang-mit-verdachtsfaellen-wisse\/\"  target=\"_blank\">The Model Statutes of the German Rectors\u2019 Conference (available in German only)<span><\/span><\/a><a class=\"kodex__comments-full--used-links  outside-link\" href=\"https:\/\/www.hrk.de\/fileadmin\/redaktion\/hrk\/02-Dokumente\/02-01-Beschluesse\/2022-05-10_HRK-MV-Entschliessung_Mustersatzung_GWP.pdf\"  target=\"_blank\">Download Model Statutes of the German Rectors\u2019 Conference (available in German only)<span><\/span><\/a><div class=\"mb05em\">The online portal \u201cResearch Integrity\u201d provides a commentary on the individual guidelines with further notes on the meaning of the individual guidelines as well as subject-specific explanations and FAQs.<\/div><a class=\"kodex__comments-full--used-links \" href=\"https:\/\/wissenschaftliche-integritaet.de\/en\/code-of-conduct\/\"  target=\"_blank\">To the guideline commentary<span><\/span><\/a><div class=\"mb05em\">Comparison of the content of the Code and the white paper in the form of a table as additional support to consider for implementation.<\/div><a class=\"kodex__comments-full--used-links  outside-link\" href=\"https:\/\/wissenschaftliche-integritaet.de\/wp-content\/uploads\/2022\/04\/Gegenueberstellung-Kodex-Denkschrift.pdf\"  target=\"_blank\">Tabular comparison: Code \u2013 White Paper (available in German only)<span><\/span><\/a><div class=\"mb05em\">Further description of the content of the Code in detail<\/div><a class=\"kodex__comments-full--used-links  outside-link\" href=\"https:\/\/wissenschaftliche-integritaet.de\/wp-content\/uploads\/2022\/04\/Beschreibung-der-Inhalte-der-Leitlinien-im-Einzelnen.pdf\"  target=\"_blank\">Description of the content of the guidelines in detail (available in German only)<span><\/span><\/a><\/div><\/div><\/div>\n\n\n\n<div style=\"height:30px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<h5 class=\"wp-block-heading\">Variant two:&nbsp;<strong><strong>Cooperation model<\/strong><\/strong><\/h5>\n\n\n\n<div style=\"height:30px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<p>In addition to an institution implementing the guidelines on its own, there is the option to join the implementation of another institution and to recognise its implementation as being binding on your own institution. This is particularly conceivable if your institution employs a small number of people who are involved in research and for this reason, for example, it is not possible to appoint a sufficient number of people to take on ombudsperson work or form a commission to investigate research misconduct. Here it may be appropriate to cooperate with a research institution with which you maintain a (research) collaboration.<\/p>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-772211\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">What can the cooperation agreement refer to?<\/h4><div id=\"ac-772211\" class=\"c-accordion__content\">\n<p>The management of an institution can subscribe to the&nbsp;<strong>implementation of the rules for safeguarding good research practice<\/strong>&nbsp;as laid down by another institution and apply them mutatis mutandis to itself.<\/p>\n\n\n\n<p>The management of an institution can join the\u00a0<strong>ombudsperson system<\/strong>\u00a0of another institution.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Ombudspersons are trusted contacts for researchers at all career stages whenever advice is required on good research practice. Ombudspersons handle concerns confidentially and independently. They may also mediate in cases of conflict, such as disputes over authorship or the use of research data.<\/li>\n\n\n\n<li>Where the size of your academic institution allows, we recommend you appoint an ombudsperson from within your own staff. Ombudspersons are most effective when they are easily accessible.<\/li>\n<\/ul>\n\n\n\n<p>If this is not feasible, cooperation with a partner institution is a viable alternative. In any case, care should be taken to ensure that ombudspersons are familiar with your institution and its academic structures. The management of an institution may join the proceedings of&nbsp;the <strong>commission&nbsp;<\/strong>to investigate allegations of scientific misconduct at another institution.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>The composition of such a commission can vary depending on the size and profile of the academic institution, but it should consist of three individuals at least and reflect the subject range of the institution as far as possible.<\/li>\n\n\n\n<li>At smaller institutions in particular, such a commission may not be a permanent body but convened on an ad hoc basis.<\/li>\n\n\n\n<li>Responsibilities such as the preliminary inquiry into allegations can be delegated to the chair of the commission or another individual (known as the \u201crapporteur model\u201d).<\/li>\n<\/ul>\n\n\n\n<p>If, despite these and other possible measures to reduce the administrative burden, an academic institution lacks the capacity to conduct a legally sound procedure itself, it may join the commission of a larger institution.<\/p>\n<\/div><\/div>\n\n\n\n<div style=\"height:25px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-772212\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">How is the cooperation between the two institutions to be legally agreed on and reported to the DFG?<\/h4><div id=\"ac-772212\" class=\"c-accordion__content\"><div id=\"links-block_b5cef5f11cde70302bbfbd6d1ff9c658\" class=\"kodex__comments-full--used-links links\"><div class=\"mb05em\">The DFG provides a model for the implementation of a cooperation agreement of this kind and the documents to be attached:<\/div><a class=\"kodex__comments-full--used-links  outside-link\" href=\"https:\/\/www.dfg.de\/formulare\/80_11\/index.jsp\"  target=\"_blank\">\u201eNon-Binding Template &#8211; Cooperation Agreement\u201c, DFG form 80.11<span><\/span><\/a><\/div>\n\n\n<ul class=\"wp-block-list\">\n<li>Please note that only the corporate body as such (e.g. a university or a non-university research institution) can be considered as a cooperation partner. Mere sections of the overall organisation such as individual faculties or legally dependent institutes cannot act as cooperation partners.<\/li>\n\n\n\n<li>The cooperation agreement must be signed by the body within the respective institution that is \u201cresponsible\u201d for implementing the rules of good research practice at that institution. In the case of HEIs, this is usually the HEI management.<\/li>\n<\/ul>\n<\/div><\/div>\n\n\n\n<div style=\"height:25px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-772213\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Can we regulate aspects in the cooperation agreement that go beyond the points mentioned?<\/h4><div id=\"ac-772213\" class=\"c-accordion__content\">\n<p>Further arrangements may be made between institutions cooperating in the implementation of the Code. These can extend to financial or personnel aspects with regard to cooperation. These agreements can be supplemented in the model cooperation agreement provided by the DFG Head Office but they do not have to be communicated to the DFG Head Office.<\/p>\n<\/div><\/div>\n\n\n\n<div style=\"height:25px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js\" data-initially-open=\"false\" data-click-to-close=\"true\" data-auto-close=\"true\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-772214\" class=\"c-accordion__title js-accordion-controller\" role=\"button\"><strong>Can the cooperation agreement be subject to a time limit?<\/strong><\/h4><div id=\"ac-772214\" class=\"c-accordion__content\">\n<p>The legally binding implementation of the Guidelines for Safeguarding Good Research Practice serves to deepen the institutional anchoring of the underlying conditions for good research at academic institutions. This applies both to the implementation of the guidelines through internal provisions and the commitment to implement them based on a cooperation agreement. It would be counter to this objective if these conditions were to be subject to any time limit or resolutory condition of a cooperation agreement, such as its limitation to the duration of a project approved by the DFG. It is nonetheless conceivable that a commitment under a cooperation agreement between institutions might be terminated, albeit providing legally binding implementation of the rules of good research practice is ensured in another form. This can be done by implementing them internally, for example, or based on a cooperation agreement with another institution. Please inform us of any changes.<\/p>\n<\/div><\/div>\n\n\n\n<div style=\"height:25px\" aria-hidden=\"true\" class=\"wp-block-spacer\"><\/div>\n\n\n\n<div class=\"wp-block-pb-accordion-item c-accordion__item js-accordion-item no-js is-open\" data-initially-open=\"true\" data-click-to-close=\"true\" data-auto-close=\"false\" data-scroll=\"false\" data-scroll-offset=\"0\"><h4 id=\"at-772215\" class=\"c-accordion__title js-accordion-controller\" role=\"button\">Who can I turn to if I myself cannot find an institution that is willing to cooperate?<\/h4><div id=\"ac-772215\" class=\"c-accordion__content\">\n<p>If your institution cannot find a cooperation partner itself, you can contact the office of the German Rectors\u2019 Conference (HRK) (<a href=\"mailto:gwp@hrk.de\">gwp@hrk.de<\/a>), who will work with you to find a cooperation institution. Alternatively, you are welcome to contact the DFG Head Office for support (<a href=\"mailto:gwP@dfg.de\">gwP@dfg.de<\/a>).<\/p>\n\n\n\n<p>In order to relieve the cooperation partner found in this way, it can be agreed in these cases that the Ombuds Committee for Research Integrity in Germany (OWID; <a href=\"https:\/\/ombudsgremium.de\">https:\/\/ombudsgremium.de\/?lang=en<\/a>) is available to the cooperation recipient instead of the ombudsperson(s) of the cooperation partner. Such an arrangement should be communicated to the OWID in advance.<\/p>\n<\/div><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Higher education institutions and non-HEI research institutions\u00a0must implement the 19 guidelines (Level 1) and explanations (Level 2) of the Code in a legally binding manner in order to receive funding from the DFG.<\/p>\n","protected":false},"featured_media":0,"menu_order":0,"template":"","kommentar_cats":[257],"kommentar_tags":[246],"class_list":["post-7722","kommentare","type-kommentare","status-publish","hentry","kommentar_cats-general","kommentar_tags-implementation"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.3 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Notes on implementation - Wissenschaftliche Integrit\u00e4t<\/title>\n<meta name=\"description\" content=\"Higher education institutions and non-HEI research institutions\u00a0must implement the 19 guidelines (Level 1) and explanations (Level 2) of the Code in a legally binding manner in order to receive funding from the DFG.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/wissenschaftliche-integritaet.de\/en\/comments\/notes-implementation\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Notes on implementation - 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