The Responsible Conduct of Research at UTAS

1. The Responsible Conduct of Research at UTAS • Office of Research Services

2. 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

3. 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

4. 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

5. 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

6. 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

7. Part A: Principles and practices of responsible research conduct • Main topics addressed: • 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

8. 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

9. Researcher’s Responsibilities • 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

10. 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 • Breach: less serious deviations from the Code Office of Research Services

11. 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

12. Researcher’s Responsibilities • act in a timely manner in accordance with institutional policy if concerned that research misconduct has occurred Office of Research Services

13. 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

14. 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

15. 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: Jen Bruyn Schmidt, Research Integrity Coordinator Office of Research Services

16. What’s going on now… • Policies in development: • 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

17. 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