Office of Research Services
The Responsible
Conduct of
Research at
UTAS
The Code
• Endorsed by NHMRC,
ARC and Universities
Australia in 2007
• Why is it important?
– Promote research integrity
– Describes best practice in
research for researchers
and institutions
– Compliance is a requisite
for NHMRC and ARC
funding
Office of Research Services
Purpose of the Code
• To guide institutions and researchers in
responsible research practice
– ‘…a basic reference for the development of
appropriate policies and procedures…’
• ‘…a reference for people outside the
research community who require
information on the standards expected…’
Office of Research Services
Requirements of the Code
• Each institution should provide an
appropriate research governance
framework which:
– assesses research for assessed for quality,
safety, privacy, risk management, financial
management and ethical acceptability
– specifies roles, responsibilities &
accountabilities
– demands compliance with laws, regulations,
guidelines and codes of practice
Office of Research Services
Requirements of the Code
• Each institution must ensure availability of
documents that help guide good research
governance, conduct and management
• Specific responsibilities for institutions and
researchers detailed in the Code
Office of Research Services
Structure of the Code
• The Code has two parts:
– Part A describes principles and best practices for
the responsible conduct of research for
institutions and researchers
– Part B provides a framework for handling
breaches of the Code and research misconduct
Office of Research Services
Part A: Principles and practices of
responsible research conduct
• Main topics addressed:
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General principles of responsible research
Management of research data and primary materials
Supervision of research trainees
Publication and dissemination of research findings
Authorship
Peer Review
Conflicts of Interest
Collaborative research across institutions
Office of Research Services
Institution’s Responsibilities
• Provide an appropriate research governance
framework which:
– Assesses research for quality, safety, privacy, risk
management, financial management & ethical acceptability
– Ensures compliance with codes, guidelines and regulations
– Provides policy and procedure documents
– Promotes awareness of the Code and responsible research
practices
– Specifies roles, responsibilities and accountabilities
– Includes a process for handling allegations of research
misconduct
– Provides induction, training and continuing education
– Promotes mentoring and supervision
– Ensures a safe working environment
Office of Research Services
Researcher’s Responsibilities
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Comply with policies and procedures
Comply with ethical principles
Report allegations of research misconduct
Ensure findings are disseminated responsibly, accurately
and properly
Cite relevant work appropriately and accurately
Maintain confidentiality
Adhere to authorship criteria
Participate in peer review
Supervisors:
– Ensure training, mentor & provide support, maintain
oversight of research
Office of Research Services
Part B: Breaches of the Code and
Research Misconduct
• Research misconduct involves all of the following:
– an alleged Breach of the Code
– intent & deliberation, recklessness or gross and persistent
negligence
– serious consequences
• Examples of research misconduct:
– fabrication, falsification, plagiarism or deception
– failure to declare or manage a conflict of interest
– failure to follow research proposals as approved by a
research ethics committee
– wilful concealment or facilitation of research misconduct
•Office
Breach:
less Services
serious deviations from the Code
of Research
Institution’s Responsibilities
• provide a written policy for receiving and
managing research misconduct complaints
• appoint a Designated Person to:
– Receive allegations, conduct preliminary
investigations
• appoint Research Integrity Advisers to:
– Advise staff considering, making or having made
an allegation
• ensure procedural fairness for involved parties
Office of Research Services
Researcher’s Responsibilities
• act in a timely manner in accordance with
institutional policy if concerned that research
misconduct has occurred
Office of Research Services
UTAS response to the Code
• Appointment of a Research Integrity Coordinator
within the Research Integrity & Ethics Unit,
Office of Research Services
• Establishment of the Australian Code Steering
Committee
• Development of the Research Integrity website
Office of Research Services
The Australian Code Steering
Committee
Purpose:
• Oversee the development of policies and
procedures based on the Code
• Establish an appropriate research governance
framework
• To develop a committee with ongoing research
governance oversight
Office of Research Services
Steering Committee: Membership
Prof Paddy Nixon (Chair, DVC-R)
Prof Peter Frappell (Dean, Graduate Research)
Dr Mark Hochman (Senior Advisor: Research Policy and Strategy)
Assoc Prof Frances Martin (Chair, SSHREC)
Prof Di Nicol (Chair, AEC)
Prof Madeleine Ball (Head, Faculty of Health Science)
Ms Brigid Freeman (Manager, Policy & Delegations)
Dr Mark Potter (Director, Office of Research Services)
Dr Lisa Schimanski (Research Manager, Menzies Research Institute)
Prof Sue Dodds (Dean, Faculty of Arts)
Associate Deans Research
Assoc Prof Anthony Koutoulis
Assoc Prof Keith Jacobs
Prof Gary Meyers
Assoc Prof Kim Beswick
Prof Andrew Robinson
Secretary:
Bruyn Schmidt,
Research Integrity Coordinator
Office of Jen
Research
Services
What’s going on now…
• Policies in development:
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Responsible Conduct of Research Policy
Research Ethics Policy
Gene Technology Policy
Authorship of Research Policy & Procedures
Management of Research Data Policy &
Procedures
– Collaborative Research Policy
– Management of Research Funding
Procedures
Office of Research Services
Further information and updates
• Jen Bruyn Schmidt, 6226 6254
jen.bruynschmidt@utas.edu.au
301 Sandy Bay Road, Level 1
• Research Integrity website:
http://www.utas.edu.au/research/integrity-and-ethics/integrity
Office of Research Services