Ethical Guidelines

[Journal of Asia Trade and Business (JATB)] 

Chapter 1. General Rules
Article 1 (Purpose)
The purpose of the following rules is to present the basic ethical principles and direction needed to ensure the research ethics of editorial board members, peer-reviewers, and authors who examine or submit articles to the Journal of Asia Trade and Business (JATB). The Asian Trade Association (ATA) publishes these rules to present the procedure and actions for research misconduct.
Article 2 (Object of the Study and Scope)
The research is subject to sanction, investigation and judgement to determine whether research ethics were followed when any of the following occurs:

i. The study was submitted to the Journal of Asia Trade and Business, 

ii. The study was confirmed to be published in the Journal of Asia Trade and Business, 

iii. The study has already been published in the Journal of Asia Trade and Business.

Chapter 2. Honesty and Social Responsibility of the Research
Section 1. Honesty in the Research
Article 3 (Honesty of the Research)

a. Researchers must conduct every research behavior (proposing research, researching, reporting and presenting research, investigating and judging) honestly and sincerely.

b. Researchers must describe the content and the importance of the study clearly and objectively, and must not delete or add results arbitrarily.

c. Researchers must carry out every study without any bias or prejudgment.

Article 4 (Ethics for Researchers)

a. Researchers must not commit research misconduct during any part of the research process.

b. A study must not be submitted if it has been published in other journals, and researchers must not request review of the study to different journals at the same time. However, a thesis or a paper presented in a conference as a working paper shall be exceptions.

Article 5 (The Record, Storage, and Report of Research Data and its Disclosure)

a. All research information must be clearly and precisely recorded, processed, and preserved so that it may be accurately analyzed and confirmed.

b. Researchers shall use proper research methods and statistics, and those shall be available to the public if necessary.

Section 2. Fairness in Researchers’ Contributions
Article 6 (Collaborative Research)
Researchers must make the roles and contributions of all contributors clear if they conduct a joint study with other researchers, and shall take full responsibility for establishing this. Prior to conducting research, mutual agreement and understanding shall be made with regard to property rights and ownership issues, research director selection, authorship and the standard of order, the data collection method, individual role in the study, and expectations and objectives of the study.
Article 7 (Responsibility and Duty, Order of Authors)

a. Researchers are responsible only for the study that they carry out or are involved in as an author, and are recognized for that achievement.

b. Authors must accept requests for proof of their contributions.

c. The order of authors must accurately reflect the academic contribution by each author to the research contents or results, regardless of the authors’ relative positions.

Article 8 (Corresponding Author)

a. Corresponding authors shall take overall responsibility for the results of the study and proofs.

b. Corresponding authors shall have the burden of proof with respect to the order of the author and co-author(s).

Article 9 (Affiliation of Author)

When indicating the affiliation of author(s), the author’s current status in principle shall be given. However, it is possible to follow the customs of the author’s academic field if their field of affiliation follows a different custom.

Chapter 3. Research Misconduct and Unethical Research Conduct
Section 1. Methods and Principles of Citation
Article 10 (Methods and Principles of Citation)

a. The author may cite a part of other researchers’ studies in his/her research paper using their original text, or the translated version by introducing, referring to or making a comment on the original.

b. The author shall take all possible measures to ensure the accuracy in stating sources and making the list of references. The author must confirm all elements of a citation (author’s name, number/volume of the journal, page and published year) not depending on the secondary source but solely on the original work. However, when inevitable, the author can include with acknowledgment.

c. The author must cite in a reasonable manner and use the good faith principle, so that uncited works can be clearly distinguished from cited works.

d. The author must cite published works only. However, in the case of citing unpublished academic materials that have been acquired through personal contact, paper review or proposal review, the author must acquire consent from the relevant researcher(s).

e. When the author introduces ideas or theories in his/her work that have been presented in another study, the source must be stated.

f. The author must distinguish his/her own ideas from cited materials when borrowing substantive parts from one source, so readers can clearly recognize the author’s work.

g. If a reference has a significant impact on the direction of the research or can help the reader understand the contents, the author must include all such works on the list of references, except in such cases where the relevant research can theoretically and empirically be inferred.

Article 11 (Method of General Knowledge Citation) 

a. If the author uses someone else’s idea or a fact provided by them, the source should be provided. However, general knowledge or material that general readers will already recognize shall be an exception.

b. If the author is unsure whether any concept or fact qualifies as general knowledge, it is recommended to cite the original text.

Section 2. Research Misconduct
Article 12 (Definition of Research Misconduct) 
“Research misconduct” refers to any instances of forgery, falsification, plagiarism, failure to give proper credit to co-authors or redundant publications that may emerge during the entire research process (research proposal, conduct of research, report and presentation of research, investigation and judgement).

a. “Forgery” refers to the act of presenting non-existent data or research results.

b. “Falsification” refers to the acts which artificially manipulate research processes, randomly modify, or delete data resulting in distorted research content or research results. (Here, “deletion” refers to the act of using only favorable data and intentionally excluding the data that might cause unexpected or undesired results.).

c. “Fabrication” refers to the act of intentionally creating a document or record that does not exist.

d. “Plagiarism” refers to the acts which pirate other’s work, ideas or research, using ideas, hypotheses, theories, research contents, or research results without justifiable approvals, citation, or quotations, as if those were his/her own. 

i. “Idea Plagiarism” refers to the act of using someone else’s ideas (explanations, theories, conclusions, hypothesis and metaphors) in full, substantial proportions or in a fragmented revised form without giving appropriate credit to the originator of the words and ideas. Authors have moral responsibility to indicate the source of ideas through a footnote or a reference. Authors must furthermore not steal other’s ideas which are known through peer review of research proposals and submitted articles.

ii. “Text plagiarism” refers to the act of copying text from another’s work without clarifying the original author.

iii. “Mosaic plagiarism” refers to the act of combining a part of a text with a few words added, inserted or replaced with synonyms, and others without clarifying the source or the original author.

e. “Redundant Publication” refers to the act of publishing a paper that is identical or highly similar text to one that has already been published in the past in another academic journal without alerting the editors or readers of the fact that this work was previously published elsewhere. If the contents of the paper are almost the same as his/her previously published paper, the later paper is regarded as a redundant publication even if the text has a different point of view or perspective, or including a different analysis based on the same data that has been previously published. In the case in which the author would like to publish a paper using a previously published paper, he/she must acquire permission from the chairperson after providing the information about the publication and double-checking whether it is a redundant publication or duplication of a publication.

f. “Self-plagiarism” refers to the act of using images, graphs or part of one’s own research already published without identifying the source, and it is regarded as redundant publication.

g. “Failing to give proper credit to co-authors” refers to the act of failing to list those who have contributed academically to the research process or results as a co-author or conversely to the act of listing those who have not made any academic contribution as co-authors.

Article 13 (Research Misconduct and Copyright Infringement) 

a. Generally, the copyright of all papers and instances published through ATA is assigned to the author. However, if they are utilized for public objects like education, ATA owns the right of use.

b. The full term of copyright is assigned to the academic journal publisher in all papers published in academic journals.

c. It should be noted that “Redundant Publication” may cause copyright violation.

d. It should be noted that the author should use proper quotation marks when widely citing text from copyrighted sources, and even if the text is properly cited, it could infringe copyright.

Section 3. Inappropriate Writing
Article 14 (Inappropriate Writing) 
The following are regarded as inappropriate writing:

i. Inappropriate citations 

ii. Distorting references 

iii. The act of depending on abstracts when citing the published paper 

iv. Citing papers that the author did not read or understand 

v. The act of partially citing despite intensively borrowing from a single source 

vi. The act of reusing text

Article 15 (Prohibition of Distortion of References)

a. References must only include documents that are directly related to the article content. Unrelated references for the purpose of intentionally manipulating the citation index of the paper or academic journal should not be included.

b. As a moral responsibility, the author should not only cite the references which will be favorable to his/her data or theory, but also cite references which may contrast with his/her point of view.

Article 16 (Reuse of Text) 

a. “Reuse of Text” refers to the act of re-using a part of the manuscript that he/she has used in a previous paper.

b. Text reuse is an act contradictory to ethical writing, so the author must avoid re-using text already used. In case of unavoidable text re-use, the author should not violate copyright infringement by following standardized reference practices including the use of quotation marks or proper indication.

Chapter 4. Ethical Rule Enforcement
Section 1. Research Ethics Committee
Article 17 (Ethical Rule Pledge) 
New members who have enrolled in the research pool of ATA shall acquaint and pledge to abide by these research ethics when submitting to the “Journal of Asia Trade and Business” and conducting research. Current members shall be regarded as having pledged to abide by these research ethics when initiated.
Article 18 (The Announcement of Violation of Ethical Rule) 
If a member learns that another member has violated any ethical rules, he/she should endeavor to correct the mistake by helping make him/her be aware of the rules. However, if he/she does not correct the violation or the ethical violation is obviously unveiled, the member must report to the committee immediately.
Article 19 (Organization of the Research Ethics Committee) 
ATA shall establish a Research Ethics Committee (hereinafter referred to as the “Committee”) mandated to deliberate on matters falling under each of the following sub-paragraphs:

a. Matters concerning establishment and revision of these rules

b. Matters concerning acceptance and handling of misconduct

c. Matters concerning beginning actual investigation and decision, approval, and re-deliberation of investigation results

d. Matters concerning protection of informant and examinee

e. Matters concerning investigation of research integrity, handling of investigation results and follow up measures

f. All the matters concerning operations of other committees

Article 20 (Organization of Research Ethics Committee) 

a. The Committee shall consist of one chairperson and members of no less than five but no more than nine persons.

b. The chairperson and the members shall be appointed by the chairman of ATA.

c. The members of this committee shall hold a one year term and they may be reappointed.

d. The chairperson and the members of this committee shall maintain independence and confidentiality with respect to the details relating to deliberations and decisions.

Article 21 (Organization of Research Ethics Committee) 

a. The chairperson of the committee shall convene any meeting and preside over such meetings.

b. The committee’s meetings shall open with the attendance of a majority of the total members including the chairperson and resolve with the concurrent vote of a majority of those present. 

c. No meeting of the committee shall be open to the public. [The meeting shall not be open to the public in principle, but whenever deemed necessary, the committee can ask the related party and hear their opinions.]

d. Whenever deemed necessary, the committee can ask the related party and hear their opinions.

e. Any member who is involved in the research subject to an investigation will not be permitted to attend the concerned meeting due to a conflict of interest.

Article 22 (Authorities and Responsibilities of the Committee) 

a. The committee can summon for attendance and data submission any informants, examinees, witnesses and testifiers, in the process of an investigation.

b. When the examinee refuses to attend the meeting or data submission without a justifiable reason, it could be presumed as an indication that he/she has acknowledged the allegations.

c. The committee can take substantial measures to prevent any loss, damage, concealment or falsification of research records or evidence.

d. The committee members should comply with confidentiality concerning deliberation-related matters.

Section 2. Research Integrity Investigation
Article 23 (Reporting a Fraudulent Act)
An informant can report a fraudulent act using any means available when reporting using their real name. However, when reporting anonymously, he/she must submit the title of the paper, and the evidence and detail of the misconduct in writing or by e-mail.
Article 24 (Confidentiality and Protection of Rights of Examinee and Informant)

a. The committee should not reveal the personal information of the informant unless it is necessary.

b. The committee must take action to protect the informant if the informant experiences illegitimate pressure or threats due to reporting the fraudulent act.

c. Until the investigation of a fraudulent act is completed, the committee must be careful not to infringe upon the rights or reputation of the examinee. If the person turns out to be innocent, the committee must make efforts to recover the reputation of the person.

d. The identity of the informant, investigators, testifiers, and consultants should not be disclosed.

e. All facts relating to research ethics and authenticity investigations must remain confidential and the people involved in the investigation must not reveal any information obtained during the process. If there is a need to disclose related information, the committee can vote to make such a decision.

Article 25 (Raising an Objection and Protection of Defense Right)

a. The committee must ensure the informant and examinee have equal rights and opportunities to state their opinions and objections. Such procedures must be informed to them beforehand.

b. An examinee or informant may require the avoidance of deliberation and decision after explanation in case he/she expects an unfair decision.

c. The research ethics committee must give the examinee a chance to submit their opinion and clarify any fact revealed during the first report or any additional report.

Article 26 (Preliminary Investigation of Research Misconduct)

a. The committee must investigate the presence of misconduct if there is a considerable doubt about legitimate conduct or detailed information about misconduct.

b. The chairperson can officially carry out the investigation (hereinafter referred to as the “preliminary investigation”) which is a procedure to decide whether the suspected misconduct should be investigated after consultation with the chairman of ATA.

c. The committee shall form the preliminary investigation committee consisting of no more than five members within 30 days of reporting.

d. The committee shall inform the informant and examinee of the formation of such a committee, and give the examinee a chance to clarify within 30 days.

e. A preliminary investigation is initiated within 30 days of the formation of the preliminary investigation committee, and the investigation should be completed within 30 days of the start of the investigation except in unavoidable circumstances.

f. If it has been more than five years since a misconduct was committed, the reporting is not handled in principle even if the reporting is accepted.

g. Through preliminary investigation, the following is reviewed:

i.   Whether the reported instance qualifies as research misconduct

ii.  Whether the reporting is specific and clear enough to lead to an actual investigation

iii. Whether more than five years has passed since the reported misconduct was committed

Article 27 (Report and Notice of the Preliminary Investigation Result)

a. The result of the preliminary investigation shall be notified to the informant and examinee within ten days of the committee’s decision, and reported to the chairman of ATA.

b. The result report of the preliminary investigation must include the following:

i. Specific information regarding the alleged misconduct 

ii. Facts regarding the alleged misconduct 

iii. Grounding for decision on whether to conduct an actual investigation

Article 28 (Raising an Objection and Protection of Right of Defense)

a. The committee must ensure that the informant and examinee have equal rights and opportunities of opinion statement and objection. Such procedure must be informed beforehand.

b. The informant and examinee can make an objection within ten days from the day of being notified of the preliminary investigation.

Article 29 (Beginning and Duration of an Actual Investigation)

a. The actual investigation begins within 30 days after a positive result from a preliminary investigation. During the period, the actual investigation committee consisting of no more than nine persons (including the preliminary investigation committee) must be formed to conduct an actual investigation.

b. The actual investigation must be completed within 90 days from the beginning date.

c. If the investigation committee decides that it cannot be completed within the specified period, it can explain the reason to the committee and request a 30 day extension (one time only).

Article 30 (Formation of an Actual Investigation Committee)

a. An actual investigation committee is composed of no more than nine members.

b. Formation and duration of an actual investigation committee is determined by the committee. The chairperson of the actual investigation committee is elected among the actual investigation members.

c. The investigation committee shall include at least two members with specialized knowledge and experience in the relevant field.

d. A person who has a stake in the investigated matter must not be included in the actual investigation committee.

Article 31 (Request for Appearance and Document Submission)

a. The actual investigation committee can request the examinee, informant(s), and testifiers to appear for testimony, and the examinee must comply.

b. The actual investigation committee can ask the examinee for submission of a document, and retain and store the relative research materials about the person involved in the misconduct after the approval of the head of the research organization in order to preserve evidence relating to the investigation.

Article 32 (Exclusion, Avoidance and Evasion)

a. The examinee or informant(s) can require exclusion by identifying the reason if there are reasons to believe that a committee member is unable to maintain fairness. When such request for exclusion is recognized, the member subjected to the request shall be excluded from the concerned investigation.

b. If the committee member is directly related to the corresponding matter, he/she shall be excluded from all deliberation, decisions, and investigation of the matter.

c. The chairperson can suspend the qualification of a member who is related to the corresponding matter in connection with the corresponding investigation.

Article 33 (Investigation Report Submission)
The actual investigation committee must submit the result to the committee within the actual investigation period, and the result must include the following:

i. Specific details of the alleged misconduct 

ii. Facts regarding the alleged misconduct 

iii. Evidence, witness list and affidavits 

iv. Investigation results 

v. Other data useful for decisions

Article 34 (Decision)

a.  The decision must be made within six months from the beginning of the preliminary investigation.

b. The committee shall make the decision confirming that the examinee committed research misconduct after reviewing the result report.

Section 3. Action after Investigation
Article 35 (Action in accordance with Investigation Result)
When a decision is made confirming the research misconduct, the committee can sanction the author with applicable punishment to each of following, or impose corresponding retribution.

i. The publication is postponed until the final decision of the research ethics committee is made even if the paper has been confirmed to the author that it will be published.

ii. The publication of the paper to which the research misconduct is related is to be canceled and deleted from the article list of the journal even if the volume has already been published.

iii. The author found to have committed such misconduct is prohibited from submitting papers to the journal for three years, and these facts are made public on the homepage of the journal (

iv. If there is an author found to have committed plagiarism or redundant publication, the editorial board stores the relevant investigation details for five years.

v. The chairperson of the organization with which the author(s) is affiliated is notified of the final decision.

Article 36 (Investigation Result Notification)
The chairperson of the committee shall immediately notify the related persons such as the informant and examinee of the committee’s decision regarding the investigation result in writing.
Article 37 (Investigation Result Notification)

a. If the informant or the examinee refuses the committee’s decision, he/she must submit a re-deliberation request to the committee within 15 days from receipt of the result notice as prescribed in Article 37.

b. The committee must decide whether re-deliberation is necessary within 10 days of the receipt of the re-deliberation request.

c. The committee will decide there-deliberation procedure and method.

Article 38 (Follow-ups such as Recovery of Author’s Honor)
If the results of the investigation confirm that no research misconduct has been identified, the committee must take follow-up steps to recover the reputation of the examinee.
Article 39 (Storing the Record and Confidentiality)

a. All records regarding the preliminary and actual investigation are stored for five years from the date of the investigation’s conclusion.

b. All facts relating to research ethics and the investigation must remain confidential and the people involved in the investigation must not reveal any information obtained during the process. If there is a need to disclose investigation information, the committee can vote to make such decision.

Article 40 (Etc.)
Matters that are not determined by these rules are to be decided by the editorial board.
Article 41 (Date of Effectiveness)
These regulations shall be effective as of December 12, 2015.