Research Ideas and Outcomes :
Guidelines
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Corresponding author: Eglė Ozolinčiūtė (egle.ozolinciute@etikostarnyba.lt)
Received: 03 Nov 2022 | Published: 30 Nov 2022
© 2022 Eglė Ozolinčiūtė, William Bülow, Sonja Bjelobaba, Inga Gaižauskaitė, Veronika Krásničan, Dita Dlabolová, Julija Umbrasaitė
This is an open access article distributed under the terms of the Creative Commons Attribution License (CC BY 4.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.
Citation:
Ozolinčiūtė E, Bülow W, Bjelobaba S, Gaižauskaitė I, Krásničan V, Dlabolová DH, Umbrasaitė J (2022) Guidelines for Research Ethics and Research Integrity in Citizen Science. Research Ideas and Outcomes 8: e97122. https://doi.org/10.3897/rio.8.e97122
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Students and researchers might have diverse ideas about and motivations for citizen science (CS) projects. To prevent uncertainty, we address ethical concerns emerging in CS projects and in CS in general, specifically, the transferability of the ethical skills and knowledge gained within academia (e.g. through studying and research conduct). We dedicate these Guidelines for Research Ethics and Research Integrity in Citizen Science primarily to Masters and Doctoral students and their supervisors, to facilitate CS-related research activities (i.e. mainstream CS) in line with the values of academic integrity. Using a pool of 85 papers, we identified nine topics covering 22 customised guidelines and supplemented them with further readings to build more in-depth knowledge.
citizen science, citizen scientist, mainstream citizen science, academic integrity, research integrity, student, supervisor
Citizen scientists
Citizen scientists (interchangeable with volunteers, lay-people, citizens, amateurs, the public etc.) are primarily co-researchers and sometimes research subjects who, in collaboration with professional researchers, engage in scientific activities in various ways (e.g. data collection, data aggregation and data analysis) to generate genuine outcomes, such as new scientific knowledge, societal impacts and policy change.
Extreme citizen science
Extreme citizen science is a bottom–up approach in which citizen scientists get involved in citizen science at their discretion and determine in what stages of exploration they will be involved (adaptation of the definition of extreme citizen science of
Mainstream citizen science
Mainstream citizen science is a top–down approach in which citizen scientists co-research with professional researchers in citizen science projects led by professional researchers.
Professional researchers
Professional researchers are individuals with relevant scientific educational backgrounds who enquire deeply and intensively in specific fields to learn and generate new knowledge, develop theories and explain processes with real-world applications.
Research subjects
Research subjects are individuals about whom data are gathered through observation, interaction, intervention or other forms of enquiry.
The overall purpose of these Guidelines for Research Ethics and Research Integrity in Citizen Science (henceforth, Guidelines) is to facilitate and improve the ethical implementation of citizen science (CS) projects in the European Union context, aiming to address the issues that are crucial for implementing ethical CS in Europe. The target audience is primarily Masters students, Doctoral students and their supervisors as professional researchers, although long-standing citizen scientists might also benefit from reading these Guidelines.
CS is a prevalent approach in a growing number of research fields, such as natural sciences, technological sciences, social sciences, humanities and medicine. It includes a wide range of types of projects in which citizens not only are research subjects, but actively contribute to research as co-researchers, for instance, by collecting environmental data in their communities, contributing medical data to research projects or helping identify how proteins are folded by playing games (for discussion of these and other examples, see
For further discussion of how the definition of CS has evolved over time, see
When implementing any scientific project, one needs to consider the ethical values that are the cornerstones of every activity undertaken in academia. It is expected within the academic community that anyone involved in research and higher education should uphold the fundamental values of academic integrity: honesty, trust, fairness, respect, responsibility and courage (
There are many guidelines for research ethics and research integrity, such as the Helsinki Declaration (
Nevertheless, none of the above guidelines is entirely devoted to ethical issues in CS and neither moral conflicts nor dilemmas are widely discussed in them. Yet involving the public in research raises different ethical challenges from those arising in traditional forms of research. This is most evident when it comes to data management, privacy and confidentiality, ownership of data, intellectual property, informed consent, conflict of interest, power balances and how to prevent various forms of research misconduct (
We structured our Guidelines into three sections: Introduction, Methodological Approach and Guidelines. The Introduction briefly introduces the reader to the relevance of discussing research ethics and research integrity in CS. The Methodological Approach section presents the steps used in desk research during the literature review and how the main topics were selected. Finally, the Guidelines section explores the most relevant topics in the field in more detail. The reference list is provided in a separate section, while suggestions for further reading are provided next to each topic.
The Guidelines have been developed as part of the project “Bridging Integrity in Higher Education, Business and Society” (BRIDGE, 2020-1-SE01-KA203-077973). BRIDGE aims to create linkages of intersectoral integrity by deepening our understanding of integrity in higher education, business and society and by providing relevant skills needed to act in accordance with the values of academic integrity.
At the initial stage, the project team reviewed the scientific literature about linkages between academic integrity and CS using various international databases (N = 277) accessible from Uppsala University Library. The first search was made on 12–25 March 2021. Initially, search filters were used, such as language (only English), title (Booleans, such as “academic integrity AND citizen science”, “academic ethics AND citizen science”, “research integrity AND citizen science”, “research ethics AND citizen science”) and type of content (only full-text peer-reviewed publications). That search resulted in 0 items. The further search was, therefore, broadened to include these terms in all fields and to target only open-access publications (Table
Search Booleans |
No. of records (databases; all fields) |
No. of relevant records (databases) |
“research ethics” AND “citizen science” |
351 |
144 |
“research integrity” AND “citizen science” |
66 |
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“academic integrity” AND “citizen science” |
4 |
|
“academic ethics” AND “citizen science” |
0 |
|
Total |
421 |
Later, on 16–17 August 2021, we continued our search using “citizen science ethics” in an independent Boolean search, resulting in an additional 24 records. Overall, the collection of sources consisted of 168 records, which were proportionally divided amongst the team members. The team members were requested to read the full-text sources, identifying the relevant topics and ethical issues of concern and marking the relevance of the sources to the Guidelines (Table
Source reference |
Focus of a paper |
Key aspects for ethics in CS |
Additional notes |
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Article addresses the issues of children participation in CS projects. |
Issues: Data quality. Ethical protocols for working with young children (p. 406). |
n/a |
In this stage, we evaluated the relevance of the papers to the Guidelines and selected only those sources that appeared to be the most relevant; accordingly, 85 sources were selected (Fig.
Guideline’s topics (critical issues to be considered) |
Source |
PRIVACY AND CONFIDENTIALITY |
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Privacy and confidentiality |
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Details about handling personally identifiable data |
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RELATIONSHIP/POWER BALANCE |
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Relationship between scientist and volunteer |
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Types of collaborations: community mapping and monitoring; community-based participatory research; interest group research |
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Power balance (scientist-volunteer) |
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Eight topics were preselected for further discussion amongst the project members: Common Ethical/Moral Concerns; Privacy and Confidentiality; Relationships/Power Imbalances; Intellectual Property/Data Ownership; Informed Consent; Quality of Data/Data Governance; Conflict of Interest; and Institutional Oversight Process (and platforms). During the discussion, the list was extended to 10 topics to be used as part of the Guidelines structure: Responsible Conduct in Research; Common Ethical/Theoretical Issues; Privacy and Confidentiality; Power Balances; Intellectual Property; Informed Consent; Data; Avoiding Conflicts of Interest; Institutional Oversight Process; and Technological Issues. Additionally, experts in CS from partner countries were invited to complete a survey identifying topics relevant to ethics in CS (Appendix 1, part A). Four external experts contributed by identifying several issues, for example, inequality, issues of invisibility and displacement of outsiders, informed consent, ethics of citing sources, public participation, ethics of not modifying data and power imbalances.
Overall, the contributions of the project team members and experts helped to create the final list of the nine most relevant topics in the Guidelines (Fig.
Furthermore, feedback was gathered in a workshop at the European Conference on Academic Integrity and Plagiarism 2022 (Porto, May 2022), a seminar at the Centre for Research Ethics & Bioethics, Uppsala University (Uppsala, May 2022) and during three days of learning, teaching and training events in Vilnius with representatives of all three target groups (May 2022). At the workshop of the European Conference on Academic Integrity and Plagiarism 2022, three topics of the Guidelines (i.e. Informed Consent, Privacy and Confidentiality and Power Balances) were introduced in detail. Attendees of the workshops at the learning, teaching and training events in Vilnius independently outlined the same topics as did the authors of the Guidelines, in this way, confirming their relevance. Attendees of the seminar at the Centre for Research Ethics & Bioethics, Uppsala University, read the draft of the Guidelines and provided valuable comments for their further improvement.
As the target groups of these Guidelines are Masters students, Doctoral students and their supervisors, our main limitation is that the Guidelines focus on mainstream citizen scientists. These Guidelines are not designed to be applied to extreme citizen scientists due to the missing institutional component. Another limitation relates to web-based links: although all cited web-based links were valid at the time the Guidelines were completed in 2021–2022, with time, some links may have expired and others may only be available once cookies are accepted.
We provide 22 guidelines. Each guideline refers to a particular topic that is explained in more detail and supported by evidence. To obtain in-depth knowledge of the topic, we strongly suggest that readers, namely, professional researchers as our primary target group, read the references and, where relevant, undertake further reading.
Guideline #1
CS research that involves human subjects should undergo ethical review. This also includes CS research that involves personally-identifiable information.
Guideline #2
CS research should be considered on a country-by-country basis and in legal terms.
Various ethical and legal standards that outline ethical principles for research with human subjects emphasise the need for an institutional review board (IRB) or other independent external oversight body, stressing that the research protocol must be submitted for consideration by an ethics committee (interchangeable with IRB) before the study begins (e.g.
Although the details of specific systems for ethical review (oversight) vary between countries, the aim of any such system for regulating human subject research is to protect the rights and well-being of research subjects (
For further information on this topic, we recommend reading the works of
Guideline #1
Expectations and characteristics of citizen scientists should be taken into account.
Guideline #2
CS research should involve inclusive dialogue between professional researchers and citizen scientists.
It is frequently noted that a range of power imbalances within CS projects may result in the exploitation and instrumentalisation of citizen scientists and in related tensions between professional researchers and citizen scientists (
The fact that power imbalances of this sort exist within CS projects does not necessarily pose an ethical issue for citizen scientists. Some citizen scientists who choose to participate in CS might do so merely because they find it rewarding to engage in a scientific project, the specific project genuinely interests them or they believe that the project might help bring about change or influence various stakeholders, including professional researchers and policy-makers (regarding the latter, see Conflict of Interest). However, given these instances, there is a risk that professional researchers, either knowingly or accidentally, might sometimes exploit the goodwill of citizen scientists due to their different expectations about the CS project and its expected outputs (
Since CS projects differ, what represents an efficient number of citizen scientists per activity in a CS project should be considered. For example, in CS projects that involve a huge number of citizen scientists, it might be rather difficult to have smooth and inclusive dialogue, so structuring the activities and dividing citizen scientists into groups could be ways to ensure that their voices are heard.
In addition, the expectations of citizen scientists play a paramount role in the power balance. As suggested by
For further information on this topic, we recommend reading the works of
Guideline #1
All possible conflicts of interest should be disclosed and declared before the start of a CS project, during a CS project and/or afterwards.
Professional researchers in any field of research may have financial, political or personal interests that sometimes conflict with their ethical and professional obligations as professional researchers (
Although established research ethical regulations seek to prevent known or anticipated risks, it is frequently recognised that these regulations are not always suitable or sufficient for CS projects (
Professional researchers with conflicting interests might be less careful and critical in their analysis of the data. If such conflicts arise, it is crucial that professional researchers openly declare them in any related publication (
For further information on this topic, we recommend reading
Guideline #1
Whenever CS projects involve humans as citizen scientists and research subjects, informed consent should be obtained.
Guideline #2
In CS research, the appropriate protection of vulnerable groups must be ensured. Citizen scientists should benefit from knowledge, practices or interventions.
Guideline #3
It should be seriously considered what type of consent best fits CS.
When a CS project involves humans as research subjects, citizen scientists should, with few exceptions, be informed about the research and their participation and be free to choose whether to consent or decline to participate in it. This is crucial in order to show proper respect to research subjects and their right to self-determination (
Informed consent involves three criteria: the information criterion, voluntariness criterion and decision-making capacity criterion. In practice, this means that professional researchers should provide accurate and correct information to research subjects about what their participation involves, so that they can make an informed decision. This information should cover the aim and purpose of the study, research methodology, risks and benefits associated with participation, measures taken to protect their rights and integrity and the dissemination of results. The information provided should also be accessible and comprehensible to the research subjects (e.g. using appropriate style and avoiding technical terms). Research subjects should not experience any undue pressure or coercion (real or perceived) to participate. There should also be an opportunity for research subjects to opt out of participation. Valid informed consent requires that those consenting have the relevant capacity to make informed decisions – for example, small children or people with certain health conditions lack the relevant capacity (
CS projects may pose new and unique challenges when it comes to informed consent, since those participating in the research are not necessarily participating merely as research subjects, but also as co-researchers (
For further information on this topic, we recommend reading the documents of the
Guideline #1
Whenever a CS project involves humans as professional researchers or citizen scientists (active or passive providers of data), their privacy and confidentiality should be respected and assured.
Guideline #2
Professional researchers are obliged to inform citizen scientists of technical details concerning the collection and treatment of personal information.
Privacy and confidentiality are amongst the key principles of research ethics whenever research involves humans as research subjects and/or citizen scientists. CS projects need to set up procedures securing the privacy and confidentiality of personal data and avoiding the violation of citizen scientists’ right to privacy. Although data privacy laws vary from country to country, they all require the protection of personal information (i.e. information that could allow the direct or indirect identification of a person). It is crucial that individuals’ data should be collected, saved and stored in such a way that there is no opportunity to identify research subjects at any stage of the project or research (
(1) Create transparency, accountability and audit mechanisms, allowing others to verify that the stated policies are a clear reflection of actual data policies. (2) Determine what data can be released and under which conditions (anonymisation). (3) Require only minimal personal information about CS project participants, give sufficient notice of privacy options, provide users the option to hide some of their data and allow citizen users (i.e. research subjects) the possibility to modify and delete their data.
It is advised to uphold the principle of data minimisation (see, for example,
Many ways to protect confidentiality can be used depending on the CS project design (e.g. encoding data, using pseudonyms or using anonymity in aggregate-only forms). In line with the General Data Protection Regulation, which focuses on data minimisation and protection, CS projects have to ensure that personal data and research data are kept separately. The storage of data has to be password protected (e.g. in institutional cloud storage and/or personalised institutional computers) and ensure limited access. Personal data should not be available to third parties. Potential privacy risks, terms of use of collected personal information and agreements about the timeline of the storage and erasure of the data during or after the CS project must be stated before the data collection process starts (
Professional researchers have to ensure that all citizen scientists are aware of the privacy and confidentiality details of the CS project and agree to the terms and conditions of the research (see Informed Consent). The level of confidentiality to which the citizen scientists agree is an important aspect of CS projects. The research subjects have to know if their personally-identifiable data will be held fully confidentially or not confidentially (e.g. in case the citizen scientists agree that their participation in the CS project will be publicly acknowledged;
Although scientific research as a default commonly presumes the (full) anonymity and confidentiality of data provided by research participants, there can be cases in which default settings might not be the desired solution or might even bring harm (e.g. participatory research on indigenous groups;
Privacy and confidentiality are also related to the use of technology (e.g. mobile devices) for data collection and analysis in CS projects.
Technology and privacy issues have been discussed by
Professional researchers should also recall that children could sometimes participate in some CS projects as citizen scientists (e.g. using apps to monitor trees by taking pictures of them). In such cases, professional researchers should take age into consideration and ensure that children under the age of 13 years are safeguarded by parents or teachers, to prevent their personal information from being shared in CS projects (
For further information on this topic, we recommend reading the Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data and repealing Directive 95/46/EC (General Data Protection Regulation [GDPR]) (https://eur-lex.europa.eu/eli/reg/2016/679/oj).
Guideline #1
Technical solutions that do not limit inclusiveness and are comprehensible and user friendly should be selected for CS projects.
Guideline #2
Professional researchers should ensure that all users are informed about the technological solutions used in the CS project and provided with proper technical support.
Guideline #3
Value trade-offs between usefulness and citizen scientists’ privacy should be considered in advance.
Guideline #4
The selected technical solutions should be transparent to citizen scientists.
Advances in technology have enabled citizens to make even more substantial contributions to science as citizen scientists (
When using technology, it is important not only to focus on its benefits, but also to be aware of its potential risks (e.g. threats to privacy and inclusion) and to take actions to prevent them. The use of technology entails risks related to privacy, so proper data management is crucial (see Privacy and Confidentiality; Data Management and Verification of Findings).
Before selecting a technical solution, inclusiveness and non-discrimination should be carefully considered. For example, the technology should not exclude prospective citizen scientists due to its high price and should not be too complicated for some groups of citizen scientists, such as elderly people (
Citizen scientists should be informed by professional researchers about the use of technology and provided with the necessary support and training. It is important to recall that the use of any application must be voluntary and with full user consent (
Technical solutions should also be transparent. Open-source technical solutions increase credibility and enable independent auditing (
For further information on this topic, we recommend reading
Guideline #1
Citizen scientists should receive appropriate training in data collection and the importance of keeping good research records.
Guideline #2
Appropriate methods for data validation should be implemented.
Guideline #3
Discussions amongst professional researchers and citizen scientists on questions pertaining to data ownership and future data accessibility should be facilitated.
As in any other research, both professional researchers and citizen scientists in CS projects need to keep accurate records of the research data, research protocols and research methods used. As
A potential issue in any CS project is that the citizen scientists might lack appropriate or relevant training in proper data management and record keeping and, consequently, lack knowledge of these matters (
In addition to educating citizen scientists,
One of the key principles in research ethics is openness (
For further information on this topic, we recommend reading
Guideline #1
Both professional researchers and citizen scientists should adhere to intellectual property regulations in the country or countries where a CS project will be implemented.
Guideline #2
Professional researchers should ensure the respect and protection of intellectual property in line with a CS project’s needs.
Guideline #3
Professional researchers should discuss issues pertaining to data ownership and intellectual property with all researchers (both professional researchers and citizen scientists) before the CS project begins.
The principles of intellectual property (IP) form a very complex system that affects the fields of literature, science, art, film and photography, computer programmes and much more. They are used to protect all creations, works of art, discoveries, trademarks and trade secrets and are applied through effective formal and informal tools, such as protective patents or copyrights (
Both professional researchers and citizen scientists should understand at least the basic principles of IP and their implementation in practice. In this context, it is important to recognise that IP law and practice may differ between jurisdictions and that both professional researchers and citizen scientists have a responsibility to abide by the IP laws of the country or countries where a CS project will be implemented. It is necessary not only to know how to defend IP, but also to what extent one can work with someone’s IP. As
Issues concerning IP may sometimes arise in CS projects because citizen scientists may simply assert ownership over the information and data that they are sharing with and contributing to the CS project (
Citizen scientists often work on a volunteer basis, so their discoveries and outputs may be subject to different rights from those of professional researchers who are employed on a CS project. To avoid potential disputes,
Only copyright holders or their designated representatives can apply Creative Commons licences to a copyrighted work. If a CS project intends to apply for a Creative Commons licence, professional researchers should, as emphasised in the section on Power Imbalances, involve citizen scientists in inclusive dialogue regarding the ownership of the copyright (or permission) and the choice of the most suitable licence. Professional researchers should communicate the choice to the whole team and be sure to include the copyright notice in the work. It should be noted that selected licences cannot be revoked even if a citizen scientist decides not to share the material in the future.
For further information on this topic, we recommend reading
Guideline #1
It should be ensured that both professional researchers and citizen scientists are properly acknowledged in research publications related to the CS project.
Guideline #2
It is recommended that research related to the CS project be published as open-access and in legitimate research outlets.
Like the results of any other research, the results of CS projects will likely be published. This raises several questions related to scientific authorship, proper acknowledgement of citizen scientists and where and how to publish one’s results.
As noted in relation to the above discussion of power balances in CS projects, professional researchers and citizen scientists may have different expectations about their participation in a CS project. For professional researchers, one expectation is authorship of research publications coming out of the CS project, as this is crucial for academic career advancement. In contrast, citizen scientists may not require, but would be eager to receive acknowledgement for their contributions.
There might be cases in which individual citizen scientists have contributed significantly to the research in the CS project and those citizen scientists should have the opportunity to be listed as authors (
Given the nature of CS and its association with the democratisation of science and “Open Science” (
It is the responsibility of professional researchers to publish only with legitimate publishers. With the changing conditions of academic publishing and particularly following the launch of open-access publishing, there now exist fraudulent – i.e. predatory or fake – publishers. These actors publish scientific work merely for profit, but without any real concern for the quality or content of the work, although they present themselves as adhering to academic procedures, such as those associated with peer review. It is important to learn how to identify such actors to avoid publishing with them and to discourage others from doing so (see
For further information on this topic, we recommend reading the works of
Appendix 1. Case Collection Initiative on Citizen Science Ethics
BRIDGE project Case Collection Initiative on Citizen Science Ethics
Available
11-12-2021 – 15-03-2022
Contact person
Sonja Bjelobaba, employed at Centre for Research Ethics & Bioethics, Uppsala University
This case collection initiative on citizen science ethics is conducted on the behalf of the Erasmus+ funded project “Bridging Integrity in Higher Education, Business and Society” (BRIDGE, 2020-1-SE01-KA203-077973). The main goal of this project is to create a bridge of intersectoral integrity by deepening the understanding of integrity in higher education, business and society and by providing relevant skills needed to act in accordance with the values of academic ethics. Within the scope of the BRIDGE project, we will develop Guidelines for Citizen Science Ethics and educational material with gamified cases and this case collection initiative will help us design that material. We seek to develop hands-on and real-life grounded material; therefore, the contribution of the participants with the experience in Citizen Science (CS) is highly valuable.
We are here asking you questions on various academic and research integrity issues while conducting CS projects or research. When answering, please keep in mind that your answers will serve to create educational material for target groups: Masters Students, PhD Students and Supervisors. Your examples and insights might be used for educational material as they are or in changed form, adapting them to the project needs. If you agree to participate, the acknowledgement certificate will be provided by our project leader and, in the final report and Guidelines, if you wish, your name will be referenced in an expert list of contributors, amongst those who gave significant input to the final outcomes of the project.
All the information provided in the case collection initiative will be stored at Uppsala University and handled according to the GDPR standards.
Note that it is a good idea to write the answers in a separate document and copy-paste them in the form just in case of any technical problems (the online document does not allow saving and continuing).
If you prefer to fill in this information in a Word format or have an interview meeting online about the identified issues, do not hesitate to contact us via e-mail: sonja.bjelobaba@crb.uu.se.
1. Would you prefer to be indicated as a contributor or not?
Yes
No
Please indicate your name and the affiliation institution or project you would like to be presented with if you agree to be indicated as a contributor.
PART A
2. A.1. Please write below what topics you think are most important when dealing with Ethics in Citizen Science.
We thank project partners Hajrulla Hajrullai and Veli Kreci (South East European University, North Macedonia), Sandra Krutulienė and Sonata Vyšniauskienė (Lithuanian Centre for Social Sciences) and Maryna Zharikova and Volodymyr Sherstiuk (Kherson National Technical University, Ukraine) for their contributions to the literature review. We also thank: Simona Vaškevičiūtė, former analyst of the Office of the Ombudsperson for Academic Ethics and Procedures in Lithuania, for her contribution to the literature review; Jakub Trojan from Tomas Bata University in Zlin and the Institute of Geonics of the Czech Academy of Sciences for his contribution to the survey identifying relevant ethics topics in CS; all other survey participants and all attendees of workshops (held in Porto, Uppsala, and Vilnius) for their valuable feedback and support; and five experts from Lithuania and Sweden for presenting the CS context.
The Guidelines were developed during the Erasmus+ project “Bridging Integrity in Higher Education, Business and Society” (BRIDGE, 2020-1-SE01-KA203-077973). No funding was obtained for publishing this study.
Office of the Ombudsperson for Academic Ethics and Procedures in Lithuania.
EO, SB and IG contributed to the conceptualisation, stakeholders’ feedback gathering, development of the methodological approach, literature review and writing of the final version of the Guidelines. WB, VK, DHD and JU contributed to the literature review, stakeholders’ feedback gathering and writing of the final version of the Guidelines. All authors read and approved the final version of the Guidelines.
The sole responsibility for the content of these Guidelines lies with the authors. There are no conflicts of interest to declare.