Policy: AB-66-P1
This procedure details the processes involved where there is a possible breach of the Australian Code for the Responsible Conduct of Research. This procedure must be read in conjunction with AB-66 Research Integrity Policy.
Academic Board is the approving authority for these procedures.
The Deputy Vice Chancellor: Research and Enterprise is the officer responsible for organisation-wide adherence to these procedures and related policy, as delegated by the Vice Chancellor.
Members of the University Community are responsible for complying with these procedures and related policy.
The Manager: Research Integrity is responsible for ensuring the management of Research Integrity procedures.
A. Possible Breach of the Australian Code for the Responsible Conduct of Research
1. The Australian Code for the Responsible Conduct of Research describes breaches of the code, which include the following:
a. Ethics or safety breaches: conducting research without the required ethics or other approvals, permits or licenses;
b. Misuse of research funds;
c. Repeated failure to meet reporting requirements, or breach of contract terms and conditions;
d. Fabrication, falsification or misrepresentation of research data or source material;
e. Breach of security;
f. Falsification and/or misrepresentation in an application for research funding or for other activities related to research;
g. Obstruction of research activities including publication;
h. Plagiarism of theories, concepts, research data and source material, including self-plagiarism, duplication of publication or excessive self-citation;
i. Research record management failure, including failure to appropriately maintain research records; inappropriate destruction of research records, research data and/or source material; inappropriate access to research records, research data and/or source material; failure to comply with open access instructions;
j. Failure to provide adequate instruction or guidance to researchers or research trainees under their supervision;
k. Authorship: failure to acknowledge the contributions of others fairly—including Aboriginal and Torres Strait Islander knowledges—or awarding authorship to those who have not contributed adequately;
l. Failure to disclose and manage personal, commercial, or political conflicts of interest;
m. Failure to conduct peer review responsibly;
n. Concealment or facilitation of breaches of the Australian Code for the Responsible Conduct of Research
by others.
2. Where a person is unsure whether the Australian Code for the Responsible Conduct of Research has been breached, guidance should be sought from a Research Integrity Advisor.
3. The Research Integrity Advisor will advise the potential complainant of the options that are open to them, including:
a. (i) not proceeding if the concern is clearly not related to a breach of the Australian Code for the Responsible Conduct of Research;
(ii) proceeding under other institutional processes; or
(iii) making a complaint about a potential breach to the Deputy Vice-Chancellor: Research and Enterprise.
B. Reporting a Possible Breach of the Australian Code for the Responsible Conduct of Research
4. Anyone who has reasonable grounds to believe that a breach of the Australian Code for the Responsible Conduct of Research is occurring or has occurred must report the matter, in writing and in confidence to the Deputy Vice-Chancellor: Research and Enterprise using the approved form and with accompanying information.
5. The Review Officer will consider the complaint including any relevant documents and evidence and will keep the matter confidential and make a determination on whether it will be able to take reasonable steps to address the matter. The Review Officer will ensure that all aspects of the complaint and associated documentation is treated as confidential.
6. If a complaint is made anonymously, the University may be limited in how it may progress the complaint.
7. The Deputy Vice-Chancellor: Research and Enterprise will consider the complaint and determine whether:
a. A prima facie case exists for an assessment; or
b. The complaint is not related to the Australian Code for the Responsible Conduct of Research and should be referred under another process or policy; or
c. There is no prima facie case for an assessment; or
d. They have a conflict of interest and will refer the matter to another member of the University’s Enterprise Leadership Team for consideration.
8. If the Deputy Vice-Chancellor: Research and Enterprise determines that an assessment is warranted, an Assessment Officer will be appointed.
9. Any named complainants and respondents will be informed in writing as to the nature of the complaint, the name of the Assessment Officer and provided with links to the Policy and to this procedure and the Australian Code for the Responsible Conduct of Research and The Guide to Managing and Investigating Breaches of the Australian Code for the Responsible Conduct of Research and any further relevant materials.
10. If the respondent is in receipt of NHMRC or ARC funding, those bodies will be notified in writing that a complaint has been made. The timing of any notification will be in accordance with the relevant bodies’ policies .
11. The Assessment Officer will take all reasonable steps to promptly collect and consider all relevant information concerning the complaint, including interviewing or seeking testimony from those involved.
12. The Assessment Officer will report any concerning behaviour or potential threats to safety during the investigation to the Deputy Vice-Chancellor: Research and Enterprise. These may be referred to the Executive Director: People, Talent and Culture to consider in accordance with the provisions of the relevant industrial instrument.
13. The Assessment Officer will prepare a preliminary written report which outlines the evidence considered, and may include, as appropriate a summary of the process that was undertaken, an inventory of the facts and information that was gathered and analysed, an evaluation of facts and information including any mitigating evidence; declared conflicts of interest by any complainants or respondents; any concerning behaviours or threats to safety; how the potential breach relates to the principles and responsibilities of the Code and/or institutional processes (i.e. provide an example of what action occurred and what principle it breached); and recommendations for the consideration of the Deputy Vice-Chancellor: Research and Enterprise.
14. Following consideration of the Assessment Officer’s report, the Deputy Vice-Chancellor: Research and Enterprise may:
a. dismiss the complaint;
b. refer the complaint to the relevant organisational area with instructions as to how it should be handled or notify the relevant employer, in the case of adjuncts; or
c. refer the complaint to other appropriate institutional processes; or
d. determine that a breach appears to have occurred and refer the matter to the Executive Director: People, Talent and Culture to consider in accordance with the relevant industrial instruments.
e. Subject to the provisions of the applicable industrial instrument, where the University and one or more other Institutions receive a complaint in relation to the same subject matter, the University and those Institutions will confer and determine the most appropriate Institution to manage it, if required. Where it is agreed that an Institution other than the University should conduct that investigation, and provided the investigation is conducted consistently with the Australian Code for the Responsible Conduct of Research, then the findings and recommendations of that investigation may be considered by the University in accordance with applicable processes contained in its industrial instruments.
f. The Deputy Vice-Chancellor: Research and Enterprise will notify any named complainants, respondents and any relevant parties (e.g. Dean Research or Executive Dean) and, where appropriate, funding bodies such as the ARC and the NHMRC of the outcome of the assessment and provide a summary of findings.
C. Referral of an Alleged Breach of the Australian Code for the Responsible Conduct of Research
15. Where the Deputy Vice-Chancellor: Research and Enterprise determines that there has been a potential breach of the Code, the matter will be referred to the Executive Director: People, Talent and Culture to investigate in accordance with the provision of the applicable industrial instrument.
D. Annual Review and Identification of Opportunities for Improvement
16. The Deputy Vice-Chancellor: Research and Enterprise will report annually to Research Leadership Committee on the University’s management of the Australian Code for the Responsible Conduct of Research. This will include a de-identified report noting the nature and number of complaints in the preceding year, and opportunities for improvement in practice and management.
Manager: Research Integrity, Research and Innovation Services
• Associated Documentation
Policy AB-66 Research Integrity policy
• Officer Responsible for Update and Review: Deputy Vice Chancellor and Enterprise
• Approving Authority: Academic Board
• Commencement Date: 25 June 2021
• Review Date: June 2024
• History: This procedure supersedes the Managing Research Misconduct Procedure