Procedure for Handling Complaints on Violations of Academic Integrity and Publication Ethics
1. The Commission on Academic Integrity and Ethics (hereinafter – the Commission), as the main authorized body of the University for considering complaints regarding violations of academic integrity and publication ethics, is vested with the authority to receive and review applications (complaints) and to submit proposals on imposing appropriate sanctions on violators of academic integrity and publication ethics.
2. In its activities, the Commission is guided by the Constitution of Ukraine, current legislation of Ukraine in the field of higher education, нормативно-правові acts of the Cabinet of Ministers of Ukraine, the Ministry of Education and Science of Ukraine, international recommendations on publication ethics (COPE, WAME, DORA), the editorial policies of the University’s scientific publications, the University Charter, the Code of Ethics, and other regulatory documents of the University.
3. The personal composition of the Commission is approved by an order of the Rector of the University based on a decision of the Academic Council of the University. The term of office of the Commission is three years.
4. The Commission includes ex officio: the First Vice-Rector, Vice-Rector for Research, Deans of Faculties, Heads of Departments, Legal Counsel, the Head of the Young Scientists’ Society of the University, the Head of the Student Council of the University, Heads of Faculty Student Councils, and the Head of the Student Scientific Society named after M. Tugan-Baranovsky.
5. Any author may apply to the Commission with a statement regarding violations of the provisions of this Regulation, as well as with proposals or amendments.
6. The Commission elects from among its members a Chair, Deputy Chair, and Secretary. The Chair presides over meetings, signs minutes and decisions, etc. In the absence of the Chair, their duties are performed by the Deputy Chair. The Secretary is responsible for keeping minutes of meetings, technical preparation of materials for consideration, etc.
7. The organizational form of the Commission’s work is meetings. Meetings may be regular (held according to the work plan) or extraordinary (convened when necessary to address urgent matters).
8. Decisions are adopted by open voting. A decision is considered adopted if more than half of the members present at the meeting vote in favor.
9. Meetings of the Commission are documented in minutes signed by the Chair and the Secretary.
10. The Commission reports on its activities to the Academic Council of the University at least once a year.
11. Any participant in the educational process who becomes aware of violations of this Regulation or preparation for such violations must submit a written statement addressed to the Chair of the Commission (through the Chair or Secretary). The statement must include the applicant’s personal data (full name, contact details: address, phone number, place of work, position, course of study, group, personal signature). Anonymous or improperly formulated statements are not considered by the Commission.
12. Powers of the Commission:
- to conduct informational activities to promote the principles of academic integrity and professional ethics among academic staff and students of the University;
- to receive, review, and analyze complaints regarding violations of academic integrity and publication ethics and to prepare relevant decisions;
- to involve experts from relevant fields and use technical and software tools to reliably establish facts of violations;
- to initiate, conduct, and support research on academic integrity, quality of education, and scientific activity;
- to prepare proposals for improving the effectiveness of implementing the principles of academic integrity in the University’s educational and research activities;
- to provide recommendations and consultations on ways and means of more effective compliance with the provisions of the Academic Integrity Policy;
- to exercise other powers in accordance with current legislation of Ukraine and University regulations.
13. The procedure for handling complaints regarding violations of academic integrity and publication ethics defines the порядок for submission, registration, consideration, and resolution of such complaints within the University and its scientific periodicals.
14. Complaints are considered by the University Commission on Academic Integrity and Ethics (hereinafter – the Commission).
15. The Commission is authorized to consider complaints regarding violations of academic integrity and publication ethics by authors of scientific publications, reviewers, members of editorial boards, academic staff, students of the first, second, and third levels of higher education, doctoral candidates, and other persons involved in the preparation and publication of scientific and educational materials.
16. The main types of violations include: plagiarism or self-plagiarism, data fabrication and falsification, authorship manipulation, duplicate publications, undisclosed conflicts of interest, violations of peer review procedures, unethical conduct of editors or editorial board members, citation manipulation, copyright infringement, improper use of AI technologies by authors, and other violations defined by regulations and legislation.
17. A complaint may be submitted by an individual or legal entity, an author, reviewer, editor, University employee, student, reader, independent researcher, or representative of a public authority or institution.
18. A complaint is submitted in written or electronic form to the official address of the University указану in the “Contacts” section of the official website.
19. The complaint must include information about the applicant (if available), a description of the violation, details of the publication or person involved, and evidence supporting the alleged violation.
20. The Secretary of the Commission registers the complaint, checks its completeness, and forwards it to the Chair.
21. The Chair conducts a preliminary assessment. Possible decisions include: acceptance for consideration, request for additional materials, referral to another body, or rejection (if unfounded). The preliminary review period is up to 10 working days.
22. If accepted, the Commission initiates proceedings, forms a working group, notifies the parties, and ensures confidentiality. Parties may provide explanations, submit evidence, and participate in meetings.
23. The working group analyzes publications, conducts plagiarism checks, reviews peer review materials, evaluates editorial procedures, and consults experts. Independent experts may be involved. The review period is up to 30 working days and may be extended if necessary.
24. After completing all procedures, the Commission holds a meeting, hears the working group report and parties’ explanations, discusses the case, and votes. Decisions are adopted by majority vote.
25. Possible decisions include: establishing no violation, recommending corrections, issuing a retraction or correction notice, retracting an article, banning submissions for a defined period, disciplinary measures, notifying editorial offices or University leadership, or informing other institutions. Decisions are documented by an extract from the minutes.
26. Decisions of the Commission are binding within the University’s competence. Editorial offices implement recommendations, ensure transparency, and publish notices where necessary. The Commission monitors compliance.
27. Parties may appeal within 14 working days. Appeals are considered by a subcommittee or extended composition of the Commission, possibly involving external experts. Outcomes may include upholding, modifying, or overturning the decision.
28. The Commission is guided by principles of impartiality, confidentiality, fairness, transparency, efficiency, evidence-based assessment, presumption of innocence, and avoidance of conflicts of interest.
29. All materials related to complaints are stored securely in the University’s research department for at least three years. Access is restricted to authorized persons appointed by the Rector.
