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

3. 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…’

4. 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

5. 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

6. 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

7. Office of Research Services 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

8. 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

9. Office of Research Services Required Policies Collaborative research projects Retention, storage and ownership of research data and primary materials Ownership of and access to databases Intellectual property Authorship Conflicts of Interest Managing complaints about research misconduct and breaches of the Code

10. Office of Research Services 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

11. 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 Breach: less serious deviations from the Code

12. Office of Research Services 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

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

14. 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

15. 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

16. 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: Jen Bruyn Schmidt, Research Integrity Coordinator

17. Office of Research Services 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

18. 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