Australian Code for Responsible Conduct in Research UTAS ...


Nov 10, 2013 (7 years and 10 months ago)


The Responsible
Conduct of
Research at

Office of Research Services

Office of Research Services

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

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 &

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:

General principles of responsible research

Management of research data and primary materials

Supervision of research trainees

Publication and dissemination of research findings


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

Specifies roles, responsibilities and accountabilities

Includes a process for handling allegations of research

Provides induction, training and continuing education

Promotes mentoring and supervision

Ensures a safe working environment

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


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

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

Institution’s Responsibilities

provide a written policy for receiving and
managing research misconduct complaints

appoint a Designated Person to:

Receive allegations, conduct preliminary

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

Development of the Research Integrity website

Office of Research Services

The Australian Code Steering


Oversee the development of policies and
procedures based on the Code

Establish an appropriate research governance

To develop a committee with ongoing research
governance oversight

Office of Research Services

Steering Committee: Membership

Prof Paddy Nixon (Chair

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

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 &

Collaborative Research Policy

Management of Research Funding

Office of Research Services

Further information and updates

Jen Bruyn Schmidt,

6226 6254

301 Sandy Bay Road, Level 1

Research Integrity website: