Acuerdo 7.2/CG 23-6-17, por el que se conviene la adhesión al Código Europeo de Integridad en la Investigación.
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I.2. Consejo de Gobierno
Acuerdo 7.2/CG 23-6-17, por el que se conviene la adhesión al Código Europeo de Integridad en
la Investigación.
Acuerdo 7.2/CG 23-6-17, por el que se conviene, por asentimiento, la adhesión al Código Europeo de
Integridad en la Investigación, en los términos del documento anexo.
ANEXO
THE EUROPEAN CODE OF CONDUCT FOR RESEARCH INTEGRITY
Table of Contents
Preamble
1
2
3
. Principles
. Good Research Practices
. Violations of Research Integrity Annex 1: Key Resources
Annex 1: Key Resources
Annex 2: Revision Process and List of Stakeholders
Annex 3: ALLEA Permanent Working Group on Science and Ethics
Preamble.
Research is the quest for knowledge obtained through systematic study and thinking, observation and
experimentation. While different disciplines may use different approaches, they share the motivation
to increase our understanding of ourselves and the world in which we live. erefore, "e European
Code of Conduct for Research Integrity" applies to research in all scientific and scholarly fields.
Research is a common enterprise, carried out in academic, industry and other settings. Research
involves collaboration, direct or indirect, which of en transcends social, political and cultural
boundaries. It is underpinned by freedom to define research questions and develop theories, gather
empirical material and employ appropriate methods. erefore, research draws on the work of the
community of researchers and ideally develops independently of pressure from commissioning parties
and from ideological, economic or political interests.
A basic responsibility of the research community is to formulate the principles of research, to define
the criteria for proper research behaviour, to maximise the quality and robustness of research, and to
respond adequately to threats to, or violations of, research integrity. e primary purpose of this Code
of Conduct is to help realise this responsibility and to serve the research community as a framework
for self-regulation. It describes professional, legal and ethical responsibilities, and acknowledges
the importance of the institutional settings in which research is organised. erefore, this Code of
Conduct is relevant and applicable to publicly funded and private research, whilst acknowledging
legitimate constraints in its implementation.
e interpretation of the values and principles that regulate research may be affected by social,
political or technological developments and by changes in the research environment. An effective
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code of conduct for the research community is, therefore, a living document that is updated regularly
and that allows for local or national differences in its implementation. Researchers, academies, learned
societies, funding agencies, public and private research performing organisations, publishers and
other relevant bodies each have specific responsibilities to observe and promote these practices and
the principles that underpin them.
1
. Principles.
Good research practices are based on fundamental principles of research integrity. ey guide
researchers in their work as well as in their engagement with the practical, ethical and intellectual
challenges inherent in research.
ese principles are:
•
•
•
•
Reliability in ensuring the quality of research, reflected in the design, the methodology, the
analysis and the use of resources.
Honesty in developing, undertaking, reviewing, reporting and communicating research in a
transparent, fair, full and unbiased way.
Respect for colleagues, research participants, society, ecosystems, cultural heritage and the
environment.
Accountability for the research from idea to publication, for its management and organisation,
for training, supervision and mentoring, and for its wider impacts.
2
. Good Research Practices.
We describe good research practices in the following contexts:
•
•
•
•
•
•
•
•
Research Environment
Training, Supervision and Mentoring
Research Procedures
Safeguards
Data Practices and Management
Collaborative Working
Publication and Dissemination
Reviewing, Evaluating and Editing
2
.1 Research Environment.
•
•
•
Research institutions and organisations promote awareness and ensure a prevailing culture of
research integrity.
Research institutions and organisations demonstrate leadership in providing clear policies and
procedures on good research practice and the transparent and proper handling of violations.
Research institutions and organisations support proper infrastructure for the management and
protectionofdataandresearchmaterialsinalltheirforms(encompassingqualitativeandquantitative
data, protocols, processes, other research artefacts and associated metadata) that are necessary
for reproducibility, traceability and accountability.
•
Research institutions and organisations reward open and reproducible practices in hiring and
promotion of researchers.
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2
.2. Training, Supervision and Mentoring.
•
Research institutions and organisations ensure that researchers receive rigorous training in
research design, methodology and analysis.
•
Research institutions and organisations develop appropriate and adequate training in ethics
and research integrity and ensure that all concerned are made aware of the relevant codes and
regulations.
•
•
Researchers across the entire career path, from junior to the most senior level, undertake training
in ethics and research integrity.
Senior researchers, research leaders and supervisors mentor their team members and offer
specific guidance and training to properly develop, design and structure their research activity
and to foster a culture of research integrity.
2
.3. Research Procedures.
•
Researchers take into account thestate-of- the-art in developing research ideas.
•
Researchers design, carry out, analyse and document research in a careful and well- considered
manner.
•
•
Researchers make proper and conscientious use of research funds.
Researchers publish results and interpretations of research in an open, honest, transparent and
accurate manner, and respect confidentiality of data or findings when legitimately required to
do so.
•
Researchers report their results in a way that is compatible with the standards of the discipline
and, where applicable, can be verified and reproduced.
2
2
.4. Safeguards.
•
Researchers comply with codes and regulations relevant to their discipline.
•
Researchers handle research subjects, be they human, animal, cultural, biological, environmental
or physical, with respect and care, and in accordance with legal and ethical provisions.
•
•
•
Researchers have due regard for the health, safety and welfare of the community, of collaborators
and others connected with their research.
Research protocols take account of, and are sensitive to, relevant differences in age, gender,
culture, religion, ethnic origin and social class.
Researchers recognise and manage potential harms and risks relating to their research.
.5. Data Practices and Management.
•
Researchers, researchinstitutionsandorganisationsensureappropriatestewardshipandcuration
of all data and research materials, including unpublished ones, with secure preservation for a
reasonable period.
•
Researchers, research institutions and organisations ensure access to data is as open as possible,
as closed as necessary, and where appropriate in line with the FAIR Principles (Findable,
Accessible, Interoperable and Re-usable) for data management.
•
•
Researchers, research institutions and organisations provide transparency about how to access
or make use of their data and research materials.
Researchers, research institutions and organisationsacknowledgedataaslegitimate and citable
products of research.
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•
Researchers, research institutions and organisations ensure that any contracts or agreements
relating to research outputs include equitable and fair provision for the management of their
use, ownership, and/or their protection under intellectual property rights.
2
.6. Collaborative Working.
•
All partners in research collaborations take responsibility for the integrity of the research.
•
All partners in research collaborations agreeattheoutset onthegoalsof heresearch and on the
process for communicating their research as transparently and openly as possible.
•
•
All partners formally agree at the start of their collaboration on expectations and standards
concerning research integrity, on the laws and regulations that will apply, on protection of the
intellectual property of collaborators, and on procedures for handling conflicts and possible
cases of misconduct.
All partners in research collaborations are properly informed and consulted about submissions
for publication of the research results.
2
.7. Publication and Dissemination.
•
All authors are fully responsible for the content of a publication, unless otherwise specified.
•
All authors agree on the sequence of authorship, acknowledging that authorship itself is based on
a significant contribution to the design of the research, relevant data collection, or the analysis
or interpretation of the results.
•
•
Authors ensure that their work is made available to colleagues in a timely, open, transparent, and
accurate manner, unless otherwise agreed, and are honest in their communication to the general
public and in traditional and social media.
Authors acknowledge important work and intellectual contributions of others, including
collaborators, assistants, and funders, who have influenced the reported research in appropriate
form, and cite related work correctly.
•
•
All authors disclose any conflicts of interest and financial or other types of support for the
research or for the publication of its results.
Authorsandpublishers issue corrections or retract work if necessary, the processes for which are
clear, the reasons are stated, and authors are given credit for issuing prompt corrections post
publication.
•
•
Authors and publishers consider negative results to be as valid as positive findings for publication
and dissemination.
Researchers adhere to the same criteria as those detailed above whether they publish in a
subscription journal, an open access journal or in any other alternative publication form.
2
.8. Reviewing, Evaluating and Editing.
•
•
•
•
Researchers take seriously their commitment to the research community by participating in
refereeing, reviewing and evaluation.
Researchers review and evaluate submissions for publication, funding, appointment, promotion
or reward in a transparent and justifiable manner.
Reviewers or editors with a conflict of interest withdraw from involvement in decisions on
publication, funding, appointment, promotion or reward.
Reviewers maintain confidentiality unless there is prior approval for disclosure.
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•
Reviewers and editors respect the rights of authors and applicants, and seek permission to make
use of the ideas, data or interpretations presented.
3
. Violations of Research Integrity.
It is of crucial importance that researchers master the knowledge, methodologies and ethical practices
associatedwiththeirfield. Failingtofollowgoodresearchpracticesviolatesprofessionalresponsibilities.
It damages the research processes, degrades relationships amongresearchers, undermines trust in
andthe credibility ofresearch, wastes resources andmay expose research subjects, users, society or the
environment to unnecessary harm.
3
.1. Research Misconduct and other Unacceptable Practices.
Research misconduct is traditionally defined as fabrication, falsification, or plagiarism (the so-called
FFP categorisation) in proposing, performing, or reviewing research, or in reporting research results:
•
•
Fabrication is making up results and recording them as if they were real.
Falsification is manipulating research materials, equipment or processes or changing, omitting
or suppressing data or results without justification.
•
Plagiarism is using other people’s work and ideas without giving proper credit to the original
source, thusviolating therights of the original author(s) to their intellectual outputs.
ese three forms of violation are considered particularly serious since they distort the research record.
ere are further violations of goodresearch practice thatdamagethe integrity of the research process
or of researchers. In addition to direct violations of hegoodresearch practices set out in this Code of
Conduct, examples of other unacceptable practices include, but are not confined to:
•
•
Manipulating authorship or denigrating the role of other researchers in publications.
Re-publishing substantive parts of one’s own earlier publications, including translations, without
duly acknowledging or citing the original (‘self-plagiarism’).
•
•
•
Citing selectively to enhance own findings or to please editors, reviewers or colleagues.
Withholding research results.
Allowing funders/sponsors to jeopardise independence in the research process or reporting of
results so as to introduce or promulgate bias.
•
•
•
•
•
•
•
Expanding unnecessarily the bibliography of a study.
Accusing a researcher of misconduct or other violations in a malicious way.
Misrepresenting research achievements.
Exaggerating the importance and practical applicability of findings.
Delaying or inappropriately hampering the work of other researchers.
Misusing seniority to encourage violations of research integrity.
Ignoring putative violations of research integrity by others or covering up inappropriate
responses to misconduct or other violations by institutions.
•
Establishing or supporting journals that undermine the quality control of research (‘predatory
journals’).
In their most serious forms, unacceptable practices are sanctionable, but at the very least
everyeffortmustbemadetoprevent,discourage and stop them through training, supervision
andmentoring andthrough the development of apositive andsupportiveresearch environment.
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3
.2. Dealing with Violations and Allegations of Misconduct.
National or institutional guidelines differ as to how violations of good research practice or allegations
of misconduct are handled in different countries. However, it always is in the interest of society and the
research community that violations are handled in a consistent and transparent fashion. e following
principles need to be incorporated into any investigation process.
Integrity.
•
Investigations are fair, comprehensive and conducted expediently, without compromising
accuracy, objectivity or thoroughness.
•
e parties involved in the procedure declare any conflict of interest that may arise during the
investigation.
•
•
•
Measures are taken to ensure that investigations are carried through to a conclusion.
Procedures are conducted confidentially in order to protect those involved in the investigation.
Institutions protect the rights of ‘whistle- blowers’ during investigations and ensure that their
career prospects are not endangered.
•
General procedures for dealing with violations of good research practice are publicly available
and accessible to ensure their transparency and uniformity.
Fairness.
•
Investigations are carried out with due process and in fairness to all parties.
•
Persons accused of research misconduct are given full details of the allegation(s) and allowed a
fair process for responding to allegations and presenting evidence.
•
•
•
Action is taken against persons for whom an allegation of misconduct is upheld, which is
proportionate to the severity of the violation.
Appropriate restorative action is taken when researchers are exonerated of an allegation of
misconduct.
Anyone accused of research misconduct is presumed innocent until proven otherwise.
Annex 1: Key Resources.
-
All European Academies (2013). "Ethics Education in Science". Statement by the Permanent
Working Group on Science and Ethics. www.allea.org/wp-content/uploads/2015/07/Statement_
Ethics_Edu_web_final_2013_10_10.pdf [Accessed 15/01/2017]
-
-
AllTrials: Trials Registration and Reporting Platform. http://www.alltrials.net/find -out-more/
[
Accessed 14/03/2017]
American Association for the Advancement of Science (2017). e Brussels Declaration:
Ethics and Principles for Science & Society Policy-Making. http://www.sci-com.eu/main/docs/
Brussels-Declaration.pdf?58b6e4b4 [Accessed 14/03/2017]
-
-
Committee on Publication Ethics COPE. Guidelines. http://publicationethics.org/resources/
guidelines [Accessed 15/01/2017]
Data Citation Synthesis Group, Martone M. (ed.) (2014). Joint Declaration of Data Citation
Principles. San Diego, CA: FORCE11. https://www.force11.org/group/joint-declaration-data-
citation-principles-final [Accessed 15/01/2017]
-
EQUATOR Network: Reporting Guidelines to enhance the quality and transparency of health
research. https://www.equator-network.org/ [Accessed 13/03/2017]
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-
-
EURODAT. Collaborative Data Infrastructure: Guidelines on data management. https://eudat.
eu/data-management [Accessed 15/01/2017]
InterAcademy Partnership (2016). "Doing Global Science: A Guide to Responsible Conduct
in the Global Research Enterprise". Princeton University Press. http://interacademycouncil.
net/24026/29429.aspx [Accessed 15/01/2017]
-
-
International Committee of Medical Journal Editors. Defining the Role of Authors and
Contributors.
http://www.icmje.org/recommendations/browse/roles-and-responsibilities/
defining- the-role-of-authors-and-contributors.html [Accessed 15/01/2017]
Organisation for Economic Cooperation and Development (OECD) and Global Science Forum
(
2007). Best Practices for Ensuring Scientific Integrity and Preventing Misconduct. https://www.
oecd.org/sti/sci-tech/40188303.pdf [Accessed 15/01/2017]
-
-
-
-
Research Data Alliance RDA (2016). RDA/WDS Publishing Data Workflows WG
Recommendations. http://dx.doi.org/10.15497/RDA00004 [Accessed 15/01/2017]
Research Data Alliance RDA (2016). Data Description Registry Interoperability WG
Recommendations. http://dx.doi.org/10.15497/RDA00003 [Accessed 15/01/2017]
UK Academy of Medical Sciences (2015). Perspective on ‘Conflict of Interest ’. https://acmedsci.
ac.uk/file-download/41514-572ca1ddd6cca.pdf [Accessed 13/03/2017]
Wilkinson MD et al. (2016). e FAIR Guiding Principles for scientific data management
and stewardship, Scientific Data 3:160018 doi: 10.1038/sdata.2016.18 http://www.nature.com/
articles/sdata201618 [Accessed 15/01/2017]
-
-
World Conference on Research Integrity WCRI (2013). Montreal Statement on Research
Integrity in Cross-Boundary Research Collaborations. http://www.researchintegrity.org/
Statements/Montreal%20Statement%20English.pdf [Accessed 05/01/2017]
World Conference on Research Integrity WCRI (2010). Singapore Statement on Research
Integrity. www.singaporestatement.org/statement.html [Accessed 15/01/2017]
Annex 2: Revision Process and List of Stakeholders.
Revision Process.
is document is based on "e European Code of Conduct for Research Integrity" developed in
2
011 by All European Academies (ALLEA) and the European Science Foundation (ESF). It is a living
document that will be reviewed every three to five years and revised as necessary to take account of
evolving concerns, so that it can continue to serve the research community as a framework for good
research practice.
e current revision is motivated by developments in, among others: the European research funding
and regulatory landscapes; institutional responsibilities; scientific communication; review procedures;
open access publishing; the use of repositories; and the use of social media and citizen involvement
in research. Initiated by the ALLEA Permanent Working Group on Science and Ethics, the revision
included extensive consultation among major stakeholders in European research, both public and
private, to ensure a sense of shared ownership.
List of stakeholders.
Multilateral stakeholders organisations that provided written feedback* and/or participated at the
+
stakeholder consultation meeting in Brussels in November 2016 :
•
BusinessEurope*+
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•
•
•
Centre for European Policy Studies (CEPS)*
Committee on Publication Ethics (COPE)*+
Conference on European Schools for Advanced Engineering Education and Research
(
CESAER)*+
+
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
DIGITALEUROPE*
EU-LIFE*+
+
European Association of the Molecular and Chemical Sciences (EUCHEMS)*
European Association of Research and Technology Organisations (EARTO)*+
European Citizen Science Association (ECSA)*
European Commission*+
European Group on Ethics in Science and Technologies (EGE)*
European Network of Research Integrity Offices (ENRIO)*
+
+
European University Association (EUA)*
+
Euroscience*
FoodDrinkEurope*+
Global Young Academy (GYA)*
+
League of European Research Universities (LERU)*+
+
Open Access Infrastructure for Research in Europe (OpenAIRE)*
Open Access Scholarly Publishers Association (OASPA)+
Sense about Science*
Science Europe*+
+
Young European Associated Researchers (YEAR)*
Young European Research Universities Network (YERUN)*+
Annex 3: ALLEA Permanent Working Group on Science and Ethics.
eALLEAPermanentWorkingGrouponScienceandEthics(PWGSE)isconcernedwithawiderange
of issues, both ‘internal’ (within the scientific community) and ‘external’ (relations between science
and society). Since ethical considerations have been an essential component in the consolidation of
a united Europe, and also in the creation of ALLEA, the PWGSE was established to bring together
experts from academies across Europe and provide them with a platform for continuous debate on
research ethics and research integrity.
e PWGSE has been extending its capacities and activities during recent years, in order to adequately
fulfil its mission of collective deliberation on topics such as research integrity, ethics education in
science and research training, ethics of scientific policy advice, trust in science, scientific misconduct,
and plagiarism, among others.
Further issues recently addressed include dual use of research outcomes, ethical aspects of risks,
science and human rights, support for higher education and research in Palestine, research on human
embryos, synthetic biology, nanotechnologies etc. Additionally, the group provides expertise for the
Horizon 2020 funded ENERI project (European Network of Research Ethics and Research Integrity),
which aims to train experts in ethics related issues and to harmonise research integrity infrastructures
across Europe.
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e PWGSE meets regularly and has also convened thematic meetings in wider settings, typically
in partnerships with other relevant organisations such as the European Commission, the European
Science Foundation (ESF), the International Council for Science (ICSU), and UNESCO, among many
others. e members of the PWGSE drew on its extensive network of experts and institutions for the
successful execution of the revision process of "e European Code of Conduct for Research Integrity".
Members of the ALLEA Permanent Working Group on Science and Ethics.
-
-
-
-
-
-
-
-
-
-
-
-
-
Göran Hermerén (Chair) – Royal Swedish Academy of Letters, History and Antiquities
Maura Hiney – Royal Irish Academy, Chair of Draf ing Group
László Fésüs – Hungarian Academy of Sciences, Draf ing Group
Roger Pfister – Swiss Academies of Arts and Sciences, Draf ing Group
Els Van Damme – Royal Academy of Sciences, Letters and Arts of Belgium, Draf ing Group
Martin van Hees – Royal Netherlands Academy of Arts and Sciences, Draf ing Group
Krista Varantola – Council of Finnish Academies, Draf ing Group
Anna Benaki – Academy of Athens (Greece)
Anne Fagot-Largeault – Académie des Sciences (France)
Ludger Honnefelder – Union of the German Academies of Sciences and Humanities
Bertil Emrah Oder – Bilim Akademisi (e Science Academy, Turkey)
Martyn Pickersgill – Royal Society of Edinburgh (United Kingdom)
Pere Puigdomenech – Royal Academy of Sciences and Arts of Barcelona / Institute for Catalan
Studies (Spain)
-
-
-
Kirsti Strøm Bull – Norwegian Academy of Science and Letters
Zbigniew Szawarski – Polish Academy of Sciences
Raivo Uibo – Estonian Academy of Sciences
Support to PWGSE and Draf ing Group: Robert Vogt (ALLEA secretariat)
ALLEA, the European Federation of Academies of Sciences and Humanities, was founded in 1994 and
currently brings together 59 Academies in more than 40 countries from the Council of Europe region.
Member Academies operate as learned societies, think tanks and research performing organisations.
ey are self-governing communities of leaders of scholarly enquiry across all fields of the natural
sciences, the social sciences and the humanities. ALLEA there fore provides access to an unparalleled
human resource of intellectual excellence, experience and expertise.
Independent from political, commercial and ideological interests, ALLEA’s policy work seeks to
contribute to improving the framework conditions under which science and scholarship can excel.
Jointly with its Member Academies, ALLEA is in a position to address the full range of structural and
policy issues facing Europe in science, research and innovation. In doing so, it is guided by acommon
understanding of Europe bound together by historical, social and political factors as well as for
scientific and economic reasons.
www.allea.org
Member Academies.
Albania: Akademia E Shkencave E Shqipërisë; Armenia: գիտꢀթյꢀնների ազգային ակադեꢁա;
Austria: Österreichische Akademie der Wissenschaf en; Belarus: Нацыянальная акадэмiя навук
Беларусі; Belgium: Academie Royale des Sciences des Lettres et des Beaux- Arts de Belgique;
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Koninklijke Vlaamse Academie van Belgie voor Wetenschappen en Kunsten; Koninklijke Academie
voor Nederlandse Taal- en Letterkunde; Academie Royale de langue et de literature francaises de
Belgique; Bosnia and Herzegovina: Akademija nauka i umjetnosti Bosne i Hercegovine; Bulgaria:
Българска академия на науките; Croatia: Hrvatska Akademija Znanosti i Umjetnosti; Czech
Republic: Akademie věd České republiky; Učená společnost České republiky; Denmark: Kongelige
Danske Videnskabernes Selskab; Estonia: Eesti Teaduste Akadeemia; Finland: Tiedeakatemiain
neuvottelukunta;France:AcadémiedesSciences-InstitutdeFrance;AcadémiedesInscriptionsetBelles-
Lettres; Georgia: საქართველოს მეცნიერებათა ეროვნული აკადემია; Germany: Leopoldina
-
Nationale Akademie der Wissenschaf en; Union der deutschen Akademien der Wissenschaf en;
Akademie der Wissenschaf en in Göttingen, Akademie der Wissenschaf en und der Literatur Mainz,
Bayerische Akademie der Wissenschaf en, Berlin-Brandenburgische Akademie der Wissenschaf en,
Akademie der Wissenschaf en in Hamburg, Heidelberger Akademie der Wissenschaf en, Nordrhein-
Westfälische Akademie der Wissenschaf en und der Künste, Sächsische Akademie der Wissenschaf en
zu Leipzig (Associate Members); Greece: Ακαδημία Αθηνών; Hungary: Magyar Tudományos
Akadémia; Ireland: e Royal Irish Academy - Acadamh Ríoga na hÉireann; Israel:
האקדמיה
הלאומית
הישראלית
למדעים;
Italy: Accademia Nazionale dei Lincei; Istituto Veneto di Scienze, Lettere ed Arti; Accademia delle Scienze di Torino; Kosovo: Akademia e Shkencave dhe e Arteve e Kosovës; Latvia:
Latvijas Zinātņu akadēmija; Lithuania: Lietuvos mokslų akademijos; Macedonia: Македонска
Академија на Науките и Уметностите; Moldova: Academia de Ştiinţe a Moldovei; Montenegro:
Crnogorska akademija nauka i umjetnosti; Netherlands: Koninklijke Nederlandse Akademie van
Wetenschappen; Norway: Det Norske Videnskaps-Akademi; Det Kongelige Norske Videnskabers
Selskab Poland: Polska Akademia Umiejętności; Polska Akademia Nauk; Portugal: Academia das
Ciências de Lisboa; Romania: Academia Română; Russia: Российская академия наук (Associate
Member); Serbia: Srpska Akademija Nauka i Umetnosti; Slovakia: Slovenská Akadémia Vied;
Slovenia: Slovenska akademija znanosti in umetnosti; Spain: Real Academia de Ciencias Morales y
Políticas; Real Academia de Ciencias Exactas, Físicas y Naturales (Associate Member); Reial Acadèmia
de Ciències i Arts de Barcelona; Institut d’Estudis Catalans; Sweden: Kungl. Vetenskapsakademien;
Kungl. Vitterhets Historie och Antikvitets Akademien; Switzerland: Akademien der Wissenschaf en
Schweiz; Turkey: Türkiye Bilimler Akademisi; Bilim Akademisi (Associate Member); Ukraine:
Національна академія наук України; United Kingdom: e British Academy; e Learned Society
of Wales; e Royal Society; e Royal Society of Edinburgh
*
**
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