Country Report Switzerland

National Research Integrity Landscape

To date, there is no national body for research integrity in Switzerland. This country report describes a commission for research integrity within the Swiss National Science Foundation (SNSF), which is the leading Swiss institution for the promotion of scientific research, as well as the role of the Swiss Academies of Arts and Sciences in the culture of science and specifically in the area of scientific integrity.  The SNSF therefore has a national reach when it comes to promoting research integrity. In addition, the Swiss Academies of Arts and Sciences (a+) plays an important role in promoting research integrity for research institutions in Switzerland.  In 2006, the Academy of Medical Sciences (SAMS) set up the “Scientific Integrity” Commission, which monitors (inter)national developments, comments on general questions of scientific integrity and advises research (funding) institutions and political authorities on fundamental questions of scientific integrity. Subsequently, in 2008, the SAMS published the brochure “Scientific Integrity: Principles and Rules of Procedure” (pdf).

Between 2018 and 2021, a group comprised of experts from the Swiss Academies of Arts and Sciences, the Swiss National Science Foundation, swissuniversities and Innosuisse, worked on a new code of conduct for scientific integrity. Its aim is to strengthen scientific integrity in research and educational settings, while addressing all actors, participating in the creation, dissemination and promotion of knowledge within the Swiss system of higher education while including the SAMS-related regulations from 2008, taking into account the European Code of Conduct for Research Integrity (published by ALLEA). For Institutions it serves as a checklist for their own regulations and as a practical reference when there is doubt about best practices. Furthermore, the code takes recent developments in the fields of open science and social media into account, and provides precise recommendations on how best to set up structures for the protection of integrity. The code of conduct for scientific integrity was published in four languages on 11 May 2021.

The Swiss National Science Foundation (SNSF)

The Swiss National Science Foundation (SNSF) was established as a private foundation in 1952. The SNSF funds research primarily in Switzerland in all academic disciplines and promotes young scientists in Switzerland. At the end of 2017, it was funding 5,800 projects, involving 16,000 researchers. It consists of the (i) Foundation Council and its Executive Committee (ii) Research Council (iii) Research Commissions at Swiss higher education institutions, and (iv) Administrative Offices. The Research Council is divided into 4 scientific divisions: (I) Humanities and Social Sciences (II) Mathematics, Natural and Engineering Sciences (III) Biology and Medicine, and (IV) Programs. The Commission on Research Integrity was appointed by the Research Council to conduct proceedings in cases of suspected research misconduct in the application procedure or in the use of grants of the SNSF. Besides, the Executive Management of the Administrative Offices appointed the Plagiarism Control Group. It is composed of collaborators of the Administrative Offices who specifically check random selections of applications submitted to the SNSF for cases of plagiarism. The SNSF is financed from the state budget.

Commission on Research Integrity

Establishment

In 2013, the Commission on Research Integrity was established. Its first members were appointed by the Presiding Board of the National Research Council on 17 September 2013 with effect from 1 October 2013. It was established as a collegial body. It operates independently from the Research Council and other organs of the SNSF .

Assessment framework

The Commission on Research Integrity is governed by the Federal Act on the Promotion of Research and Innovation, the Federal Act on Administrative Procedure, the SNSF Regulations of the Commission on Research Integrity, and SNSF Regulations on Scientific Misconduct (Research Integrity Regulations).

Mission(s) and tasks

The primary responsibility of the Commission on Research Integrity is to deal with research integrity cases. Further than that the Commission on Research Integrity discusses policy and procedural matters related to research integrity and the further development of standards for research integrity. It does not organize or give trainings, but the Commission’s members may give individual lectures on the structure and role of the Commission in upholding good scientific practice.

 Authority

The Commission on Research Integrity is the only organ within the SNSF that is authorized to examine, to give opinions and to eventually mediate in cases of research misconduct (including plagiarism) in connection with applications for SNSF grants or the use of such grants. It may not impose sanctions. Such sanctions are decided by the Presiding Board upon recommendation of the Commission.

Composition

The Commission on Research Integrity consists of 15 to 18 (Swiss) member experts, representing the four scientific divisions, the three specialized committees and the legal department of the SNSF. It consists of (I) the Chair (II) 7 Delegates from the divisions and specialized committees of the Research Council (III) 8-9 Members of the Plagiarism Control Group of the Administrative Offices, and (IV) 1 representative of the legal department. All members have voting rights. The chair is appointed by the Presiding Board of the Research Council. The members under II are appointed by their respective division or specialized committee of the Research Council. The members under III are appointed by the Executive Management of the Administrative Offices. The Chair is elected for a 4-years-term to a maximum of 8 years. The members under III are elected for a (maximum) 4-years-term. The members under II are elected for a term that is dependent of the term within the relevant division or specialized committee of the Research Council. Discussion of research misconduct cases, however, takes place in a 4-member constellation only, including one of the members of (I), (II), (III) and (IV). The Commission on Research Integrity is supported by a secretariat.

Scope and remit

The Commission on Research Integrity has the primary responsibility for cases of alleged research misconduct in the application procedure for SNSF grants. If research misconduct occurs in the use of SNSF grants, the investigation and sanctioning is the primary responsibility of the research institution that employs the researcher. However, if the results of the proceedings conducted by the responsible institution are unsatisfactory with regard to aspects relevant to the SNSF the Commission on Research Integrity is authorized to conduct its own proceedings. Before initiating its own proceedings, the Commission will ask for access to the institution’s investigation report and conclusions. Neither institutions nor people involved can ask for an SNSF investigation in the sense of a control instance/right of appeal. The investigatory and opinion-making authority of the Commission on Research Integrity is restricted to applicants, grantees and project partners. Any one from the public in- and outside Switzerland may report an alleged case of misconduct to the Commission on Research Integrity. The Commission can also act on its own initiative in that its member delegates can bring forward allegations they discovered through random checks or during the evaluation.  The Commission on Research Integrity may handle anonymous reports if they contain serious allegations.

Procedure

The enquiry with the Commission on Research Integrity must be submitted in writing. All involved must commit to strict confidentiality. Informers i.e. persons who report scientific misconduct have no party rights. The procedural parties concerned are applicants, grantees, and project partners. In examining a case, the Commission on Research Integrity will first determine the factual basis of suspected cases of research misconduct, followed by an eventual hearing. The Chair decides – after consulting the members if needed – (i) whether there are grounds for suspecting research misconduct and initiating an investigation (ii) whether an investigation should be postponed until the results of the investigation conducted by the relevant institution are available (iii) whether it should opt not to carry out its own proceedings despite grounds for suspicion if the research institution concerned is bringing or has brought proceedings against the suspected party, or (iv) whether it should opt not to conduct its own investigation and rely on the results of the investigation conducted by the institution concerned. In investigating, the Commission may obtain information from affected institutions or persons in Switzerland and abroad. It may also request confidential support from internal or external experts. Decisions of the Commission on Research Integrity require a simple majority: in the event of a tie the Chair has a casting vote. If no research misconduct has occurred, it discontinues the proceedings. If research misconduct has occurred, it submits a report to the Presiding Board of the Research Council, together with a recommendation with regard to (i) the nature and scope of sanctions (ii) whether the decision is to be made public, and (iii) whether the employer institution is to be informed about the decision.

Definition of research misconduct

The following actions, whether intentional or due to negligence, are deemed to constitute research misconduct under the SNSF Regulations on Scientific Misconduct (Research Integrity Regulations) (a) drafting research results and insights gained by third parties under one’s own name (plagiarism) (b) providing information that is false and manipulating data (c) violating the intellectual property rights of others or otherwise compromising their research activity, and (d) breaching the rules of scientific integrity and good scientific practice in some other way. Besides, a non-exhaustive list of different types of research misconduct is to be found in annex I to these Regulations.

Conclusions and appeal

The Commission on Research Integrity bases its judgements on the SNSF Regulations on Scientific Misconduct (Research Integrity Regulations). It is not bound by time limits in writing its resulting opinion, but it ensures that cases are dealt with rapidly. Based on the report of the Commission on Research Integrity, the Presiding Board of the Research Council will make a decision regarding the legal consequences of the proceedings. The findings of the Commission on Research Integrity on research misconduct are binding on the Presiding Board, but it is not obliged to adopt the Commission’s recommendation with regards to sanctioning the person. Hence, the Presiding Board can decide on the sanction i.e. (i) a written reprimand (ii) a written warning (iii) reduction, termination or reclaim of funding, or (iv) exclusion from any further applications for a limited period.  The Presiding Board also decides whether the employer institution should be informed. The decision is communicated to the parties concerned by the Presiding Board in the form of an appealable ruling that includes the reasons for the decision. Informers i.e. persons who report scientific misconduct have no right to be informed about the outcome of the proceedings. The decisions of the Presiding Board are appealable before the Federal Administrative Court within 30 days of receiving the decision.

Follow-up and monitoring

Follow-up and monitoring of sanctions is done by the Administrative Office of the SNSF.

Transparency

The Commission on Research Integrity (and the Plagiarism Control Group) must report on their activities to the Presiding Board of the Research Council. These reports are published on the website of the SNSF. The reports of 2015 and 2017 are in the English language. The report of 2016 in the German language. The Summaries of inquiries into scientific misconduct of 2015 in the French language. In the reports, reference is made to the number and nature of cases and sanctions, in summarized and anonymized form. Additionally, in the absence of any research misconduct, the discontinuation of proceedings must be made public in an appropriate manner by the Commission on Research Integrity at the request of the accused party.

 

For an illustration of the cases in English, see: Annual Reports of the Commission for Research Integrity

For further information, see: www.snf.ch

For questions, e-mail to: Sophie Kohli, integrity@snf.ch

Swiss Academies of Arts and Sciences

The Swiss Academies of Arts and Sciences (Swiss Academies of Arts and Sciences) are the largest scientific network in Switzerland. More than 100,000 members – as individual members or organised in 154 specialist societies, 132 commissions, working groups and boards of trustees as well as 29 national and regional societies – are involved on a voluntary basis and thus build an essential bridge between science and society at both national and international level.

The Swiss Academies of Arts and Sciences is an association of the Swiss Academy of Sciences (SCNAT), the Swiss Academy of Humanities and Social Sciences (SAHS), the Swiss Academy of Medical Sciences (SAMS), the Swiss Academy of Engineering Sciences (SATW) and the Swiss Young Academy (SYA). It further comprises the centre of excellence for technology assessment (TA-SWISS) and the foundation Science et Cité as well as other scientific networks.

The Swiss Academies position themselves in Switzerland’s education, research and innovation system (ERI system) at the interface between society, the economy, politics and the public. Its six members engage in dialogue and exchange with numerous stakeholders from various sectors relevant to science and research, address a broad audience and have excellent national and international networks.

Scientific culture

The academy network covers a broad spectrum of methods and perspectives: It includes basic research, citizen science and participatory technology assessment. It also includes purpose-orientated, applied research as well as disciplinary, inter- and transdisciplinary, participatory and reflective forms of research. The different research interests that generate availability, orientation and target knowledge are just as diverse. The Academies’ Network reflects this breadth and focuses on the essential characteristics that distinguish science from other forms of knowledge – namely everyday knowledge and practical action knowledge: These are logical coherence, freedom from contradiction, intersubjective verifiability and, last but not least, systematic thinking to the end. These are the prerequisites for inter- and transdisciplinary approaches and methods as well as for dealing with the multi-layered challenges of the future and for scientifically based early detection. Furthermore, only on this basis can ‘wicked problems’ be solved, as the 17 Sustainable Development Goals aim to do. The latter require discourses whose prerequisites are anchored in modern science and in a democratically constituted social order: It is the ability to argue, understand, assess, reflect and develop solutions through dialogue.

Code of conduct for scientific integrity

With the Code of Conduct for Scientific Integrity, a reference framework supported by all Swiss universities and funding bodies was published in 2021 under the auspices of the Swiss Academies’ Association and with the participation of the ERI. These use the code as the basis for their regulations and guidelines. The principles of

  • Reliability in ensuring the quality of research and teaching in order to maximise the credibility of, and trust in, science. Reliability is reflected in particular in the design, methodology, and analysis of research; it involves both transparency and traceability.
  • Honesty in developing, designing, undertaking, reviewing, reporting and communicating research and teaching activities. These activities should be carried out in a transparent manner with a view to achieving maximum impartiality.
  • Respect for colleagues, students, study and research participants, society, our cultural heritage, ecosystems and the environment. Due consideration should be given to the diversity and life experience of all persons involved.
  • Accountability for research – from an idea to its valorisation and transfer – and for its administration and organisation as well as for training, supervision, mentoring, and the careful use of resources.For the implementation of scientific integrity, the Academies focus on four closely interlinked goals.

These goals are:

  1. Clinical medical research,
  2. the exercise of ethical responsibility in the ethical responsibility in the health sector,
  3. appropriate assessment systems for scientific performance,
  4. the academic careers and career paths of young scientists, who make a significant contribution to research with both qualification theses and time-limited projects.

 

Source: Multi-annual planning of the Swiss Academies of Arts and Sciences (2023)

For further information, see: swiss-academies.ch

For questions, e-mail to: Karin M. Spycher, Head of Scientific Integrity (karin.spycher@swiss-academies.ch)

Last update: May 2024