This page explains some basic research ethics and academic manners to be observed by all students when conducting research, writing theses or dissertations, and publishing or presenting papers at conferences or in academic journals.

Integrity is the most important principle to be observed in the conduct of research. It is important to respect the existing achievements of other researchers and conduct one’s own research and data interpretation in such a manner as to exclude prejudice and foregone conclusions. Above all, the object of one’s research must be treated objectively. Under no circumstances should data be fabricated or falsified, nor should other researchers’ works, data or ideas be plagiarized. Such actions are clear violations of the spirit of academic research and cannot be justified for any reason at all.

The University of Tokyo has adopted a “Code of Research Ethics”, which all those conducting research at this university are asked to read carefully and understand. This code should also be read when applying for a degree, and every effort must be made to ensure that its contents are fully understood and complied with.

東京大学　科学研究行動規範コーナー
(University of Tokyo: Science Research Ethics Corner)

An extremely effective way to ensure the objectivity of research is to record every stage of the research process as accurately as possible. Such records are necessary in order to establish the validity and reproducibility of research results and provide factual and objective explanations of the research process. The preservation of dated notes on experiments conducted, raw data directly obtained from experiments, and records of surveys enables accurate reproduction of the experimental or survey conditions.

Experiments and surveys involving human subjects must be conducted in a manner that ensures the scientific justifiability of the research, safety, ethicalness, respect for human rights, and personal data privacy. Experiments on human subjects should only be carried out after consultation with faculty supervisors and the III’s “Ethics Committee Regarding Experiments and Surveys on Human Subjects” and obtaining approval from the University of Tokyo’s Ethics Committee. Further details are provided below:

東京大学ライフサイエンス研究倫理支援室
(University of Tokyo: Bio-ethics Support)

文部科学省：生命倫理・安全に対する取組
(MEXT: Bio-ethics and Safety)

社団法人日本心理学会会員倫理綱領および行動規範
(Japanese Psychological Association: Research Ethics Guidelines)

疫学研究のための倫理指針ホームページ
(Research Ethics for Epidemiological Research)

In the course of carrying out questionnaire surveys or evaluative experiments, personal information on research subjects may come into the possession of researchers. Such information should be used exclusively for research purposes and must not be carelessly disclosed. Personal information is defined as any information about living persons that enables the user to identify who the individual is by their name, date of birth, or other personal characteristics. This includes information on individuals’ bodily characteristics and wealth if the said information is inseparable from individual names or other data.

Rules governing the treatment of personal information by independent administrative agencies are specified in the “Act on the Protection of Personal Information Held by Independent Administrative Agencies, etc.”. These rules are designed to preempt any violation of individuals’ rights or interests as a result of improper handling of personal information. The said act also enables any individual to demand disclosure of any information held about him/her.
Further details are available from the following link:

東京大学　「保有個人情報の開示等について」
(University of Tokyo: Disclosure of Personal Information Possession)

It is important first of all to bear in mind the basic nature of academic writing. An academic paper, thesis or dissertation is first and foremost a way of sharing knowledge. The process of knowledge creation involves the addition of new ideas or discoveries to previous research, provoking new discussion and further research, and spreading these insights to the wider society. Academic writing plays an extremely important role in this process. Publishing the achievements of one’s own research is a very important part of the work of a researcher. In the past, this activity was largely carried out through the medium of print. Nowadays, however, the publication of research on the Internet is becoming increasingly widespread, thus further raising the speed at which knowledge develops.

Moreover, academic publications are important to each individual researcher as a record of his/her research accomplishments. The publication of academic papers whose quality has been guaranteed by external reviewers is vital proof of a researcher’s abilities and achievements.

All academic papers, theses and dissertations must be original and new. In other words, all generally accessible academic works must have content that has not been previously published. Any content that has already appeared in an academic journal or is currently under review for publication cannot be resubmitted for publication in another journal. It is also forbidden to submit the same content to more than one journal simultaneously. Any researcher perpetrating such “multiple submissions” will be severely criticized and discredited. However, an exception is allowed in the case of papers previously submitted to a journal but rejected for publication. These may be resubmitted for consideration by another journal. Furthermore, the definition of “previously published” differs according to the journal. In some fields, prospectuses and proceedings of symposia and lectures are not treated as publications. It is therefore advisable to consult the journal’s “notes for contributors” before submitting a paper for publication.

Theses and dissertations are always attributable to a single author. However, papers written for external publication may in some cases be authored in collaboration with a faculty supervisor or other researchers involved in joint projects. Such joint authors will have made some contribution to the research carried out by the main author and will be able to explain and answer questions regarding the content of the paper. Joint authors also bear responsibility for the content of the paper.

When submitting a jointly authored paper for publication, care must be taken to include a sufficient but not excessive number of joint authors, and to ensure that all joint authors have seen the paper and have agreed to be named as authors before submission takes place. One should refrain from naming people as authors simply as a way of currying their favor without obtaining their consent. Since joint authorship necessarily implies responsibility for the content of the paper, papers should not be submitted before consent is obtained. Some journals require all the named authors of a joint publication to formally declare their consent (by signing a document or some other means) before a paper is finally adopted for publication. Obtaining prior consent can therefore be a means of avoiding future trouble.

It should also been born in mind that the order in which names of joint authors are listed generally reflects the extent of their contribution to the paper. The main author’s name will be listed first, followed by the other author(s) in descending order of the size of their respective contributions. It is not considered appropriate to list names in an order that simply reflects the authors’ professional status and rank in the organization.

In all academic writing, regardless of the field of research, a clear distinction must be drawn between fact and opinion. This is particularly important in the fields of research covered by the III/GSII. Research on information, culture and society is especially prone to be influenced (often in unexpected ways) by the overwhelming presence of the mass media and Internet, which seem to dominate the realms of both fact and opinion.

In general terms, there are two levels of fact. Firstly, there are generally recognized facts, such as the population of Japan and Internet penetration rates in different countries, to which almost anyone would attribute the same values and meaning. Secondly, there are facts revealed as the result of some kind of empirical research. The latter type of facts have the potential to be overturned by further research and can therefore be described as hypothetical. Opinion, on the other hand, is a very broad category, including everything from collective opinions shared by a group of people holding the same beliefs or ideas (such as the common presuppositions of a particular academic discipline) to individual opinions.

It is important first to distinguish individual opinion from fact. Knowledge derived from empirical research (data) must be distinguished from interpretations(opinions) about that data. In other words, data must be presented in a manner that does not foreclose the possibility of interpretations different from the author’s own. This is necessary in order to enable the continued progress of academic research.

A further point to be emphasized is the need to avoid taking on trust the collective opinions or discourse promulgated by the mass media and Internet. Such generalizations as “young people are being ruined by cartoons, the Internet and cell phones” or “Japanese society is in decline” represent the society-wide tone of debate in the mass media and Internet, rather than individual opinion. Although they certainly cannot be regarded as empirically grounded facts, they have nevertheless gained the status of presuppositions in much academic debate. Such discourse must be treated critically in all fields of research, including both the natural sciences and the social sciences and humanities. The previously mentioned distinction between fact and opinion must be maintained throughout the process of academic research.

Theses, dissertations and academic papers must be written in a manner that enables them to be understood not only by specialists in a narrowly defined field but also by a wider range of scholars (“moderate specialists”) in related fields. Furthermore, sufficient information on the research procedure (including numerical values used in calculations and experimental conditions) should be provided to enable follow-up trials. An academic work only achieves recognition after its results have been independent verified by other researchers.

Data obtained from experiments and surveys are indispensable as evidence to substantiate the claims made in an academic publication. Therefore, any action resulting in the suppression of data not supporting one’s conclusions, or tampering with data to make it suit one’s conclusions is a violation of research ethics. Every effort must be made to avoid such violations. It is especially important to preserve raw data obtained from experiments and surveys and keep dated records of every stage of the research process. Such records can be used in one’s defense in the event that accusations of fabrication or falsification ever arise.

Copyright is a right recognized with respect to the expression of one’s ideas or feelings in novels, academic papers, paintings, photographs, films, and computer programs. Along with patents and trademarks, it is one of the sub-categories of intellectual property.

Copyright arises automatically (no registration procedure is required) whenever one produces a paper, artwork or computer program based on one’s own research. The same is obviously true for all other producers of such work. Therefore, besides enjoying the right to control the use of one’s own work, one also has a duty to respect the copyrights of others. Whenever quoting the copyrighted works of another person, it is necessary to cite the source. Depending on the type of work cited and the legal conventions of the jurisdiction in which the copyright holder resides, it may even be necessary to obtain permission from the copyright holder. When citing sources or obtaining permission, one should follow the conventional style adopted in one’s field of research.

Copyright cannot be understood as a single unified entity, since there are significant differences depending on its historical development and the countries or regions where it is implemented. Moreover, in recent years, new trends requiring consideration have emerged, such as new forms of expression brought about by new media, the development of creative styles, “personality rights” and other related rights, and the creative commons.

In the process of conducting research, it is particularly important to understand the reason why copyrights must be observed. Research is not an activity that can be carried out in isolation. In all fields of research, ideas and hints are obtained from the examination of previous research, case studies, and academic information. All research is conducted in the context of academic networks. The pursuit of academic research is an inherently public activity, in which researchers both respect each others’ originality and offer mutual advice and criticism. To this extent, copyright is not only for the individual benefit of the copyright holder. It has to be seen in the context of a public network of mutually beneficial relations. This is precisely why it is so important to follow the necessary procedures when quoting or obtaining permission to use other people’s work.

It is important first to understand the reason why quotations are included in academic works. When developing an argument, one can often enhance the clarity and persuasiveness of one’s writing by including extracts of the exact words used in previously published research or source materials.

Quotations play a particularly important role in the humanities and social sciences, where verification through the reproduction of experiments is not possible. Laws of nature should be the same regardless of when, where, and by whom they are proclaimed. There is therefore little need for quotations in the natural sciences. In the humanities and social sciences, by contrast, there is a need to record and examine specific speech events or statements and consider the historical and social circumstances in which those events or statements occurred. When discussing the early historical development of television, for example, it might be very effective to quote the actual words written or spoken about television in the 1950s in order to demonstrate how the new technology was received at the time.

While quotation is certainly an effective technique in the development of academic arguments, writers must exercise care to ensure that they do not commit acts of plagiarism or falsification when quoting from other works. Quotations must be within the bounds allowed by copyright law, and the fact that they are quotations must be clearly indicated. The source of the quotation must also be accurately recorded. Failure to follow these principles could give the impression that the quoted material is an expression of the authors’ own ideas, which would amount to plagiarism. Moreover, the quoted material must be reproduced exactly as it appeared in the original source. Any modification of the content of a quotation to suit one’s own purposes would constitute an act of falsification and is definitely not permissible.

Quotations should be as short as possible and included only when necessary. Excessive quotations (either in length or number) will not only make one’s writing less easy to understand but also reduce its originality. In extreme cases, excessive resort to the use of quotations could provide grounds for accusations of plagiarism, and should therefore be avoided at all costs.

Generally speaking, the quotation of illustrative matter is treated in the same way as the quotation of text.

The clarity and persuasiveness of one’s argument may sometimes be enhanced by the reproduction of images or diagrams excerpted from primary historical materials or previous research. The procedures to be followed in such quotations of illustrative material are the same as those that must be observed in the case of textual quotations. The original material must not be modified and the source must be identified accurately.

Particular care must be exercised when redrawing figures or diagrams of models from previous research without altering their original meaning. Every effort should be made to avoid distortion of previous researchers’ intentions. An accurate and detailed explanation of any modifications must be included(in a footnote, for example). As with textual quotations, redrawing and adding one’s own ideas to material derived from an existing work could amount to disregard for the previous author’s originality. By inadvertently adding one’s own interpretation to a source, one could end up distorting the original intent. Such adaptations of existing material should therefore be avoided as much as possible. When necessary, however, the original figure should be quoted alongside one’s adaptation, so as to make it clear exactly what modifications have been introduced. Alternatively, a detailed verbal explanation of the modifications could be included. Whenever in doubt as to the proper procedure, it is best to seek advice from one’s faculty supervisor or obtain permission from the author of the original.

Books or papers to which one refers in the process of writing one’s own work are known as “references” or “reference literature”. Other information sources, such as historical documents, archival material, and websites, may also be included.

There are two main types of references. The first type consists of works explicitly mentioned or quoted in one’s own work. The second type consists of works not directly mentioned or quoted but which provide a necessary foundation for one’s own arguments. The latter type may include classic texts in one’s field, standardized tests and comprehensive data collections. As a general rule, only items belonging to the first type should be listed as references. Ph.D. dissertations and papers in the humanities and social sciences may sometimes also include references of the second type. However, listing a large amount of reference works of the second type tends to give the impression that the author is simply flaunting the extent of his/her reading. To avoid giving such an impression, only the most directly relevant works should be listed.

There are various different styles for the format and order in which references are listed. In general terms, the references should be arranged in a manner that is readily understandable to the reader. However, some academic journals have adopted a unified reference style that all submissions are required to follow.

Peer review is a procedure widely adopted by specialist and academic journals whereby papers submitted to the journal are evaluated by a panel of researchers (known as “reviewers” or “referees”) from the same field of research and either approved or rejected for publication on the basis of that evaluation. By thus screening papers before they are published, the overall quality and value of the journal is maintained. Having one’s work published in a peer-review journal is also regarded as a significant academic achievement and helps to establish one’s reputation as a researcher.

Papers to be submitted to peer-review journals should be structured in such a way that the value and freshness of the research is immediately evident to the reviewers. Many academic societies publish guidelines (often on their webpages) about the qualities sought in papers accepted for publication in their journals. Information on papers previously accepted for publication may also be available. All such information should be read carefully before preparing one’s paper for submission.

If, on the other hand, one is charged with the role of being a reviewer, it is necessary to have a clear understanding of the journal’s review policy and undertake the task of performing the review fairly and in strict compliance with the rules. A reviewer is bound by a duty of secrecy regarding the content of any paper currently being reviewed by him/her. It is not permissible to communicate to another person anything about the content of such papers before they are published. In addition, there are various rules regarding the disclosure of information about the paper’s author to the reviewer. In “double-blind” review, neither the author’s name nor his/her institutional affiliation is revealed to the reviewer. In “single-blind” review, the reviewer is allowed to know the author’s name. In the latter case, one should decline any request to review a paper if there is a conflict of interests. This includes cases where one’s institutional affiliation is the same or close to that of the author and cases where one is involved in the same joint research projects as the author. In any such instance of a conflict of interests, academic ethics also requires that one should abstain from any discussion that could influence whether or not the paper is adopted for publication.

The evaluation of academic papers depends on the extent of their influence on other researchers. In particular, their value increases the more they are quoted or cited as references in subsequent publications. Information on where a paper has been cited can be obtained by consulting Web of Science, an online database provided by Thompson Reuters. Although this database only covers papers published in journals registered with Thompson Reuters, most major academic journals are so registered.

The standing of any given journal is often measured using an index known as the impact factor. This is calculated by dividing the number of citations in a given year of articles published in a journal in the two previous years by the total number of articles published in the same journal in those two preceding years. The higher the journal’s impact factor, the higher the level of the papers published in it are supposed to be, and the greater the public attention it receives. In order to maximize one’s readership, it is generally desirable to have one’s paper published in a journal with a high impact factor. However, the impact factor differs according to the field of research. Rather than selecting a journal simply on the basis of its impact factor, one also has to take into account whether the journal’s field of specialization matches the content of one’s paper. Publishing in the journal of an unrelated field is not advisable.

Intellectual creations and intellectual property resulting from the research process are among the major achievements of any research activity. The University of Tokyo has adopted a university-wide policy for the protection and socially beneficial use of intellectual property created at the University of Tokyo. Further details are available from the following links:

産学連携本部ホームページ
(Science-Industry Partnership Headquarters)

東京大学知的財産ポリシー(PDF)
(University of Tokyo: Policy on Intellectual Property)

Researchers must be attentive to the relationship between patents and academic publications. According to Japanese patent law, inventions that have already been disclosed in publications become public knowledge and therefore cannot subsequently be patented. There is however an exception provided in Article 30 of the Patent Law whereby an inventor can, under certain specified circumstances, publish (or present to an academic conference) information about his/her own invention without the said invention thereby losing its claim to originality. In order to enjoy the benefits of this exception, the inventor must apply for a patent no later than six months after the publication. There a number of further conditions that have to be fulfilled for this exception to be applicable. In cases where the invention has been presented at an academic conference, the exception is only applied when the said conference has been held under the auspices of an academic organization approved by the Patent Office. Simply filing a patent application within six months may not be sufficient. In any case, certain approved procedures must be careful observed in order to take advantage of the exception. Further details are available from the Patent Office website:

特許庁ホームページ
(Patent Office: Official Website)

特許法第３０条の適用について
(Application of Article 30 of the Patent Law)