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Policy on Research Practice
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Approving Authority: |
Council |
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Establishment Date: |
29 March 2001 |
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Date Last Amendment: |
20 December 2004 |
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Nature of Amendment: |
Change of title: PVC to DVC |
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Date Last Reviewed: |
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Publication Reference: |
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Contact Officer: |
Ms Christine Steele, Office of Research |
1. |
Definitions
Research data means - without limiting the generality of
the term or precluding an interpretation that may apply in
a specific research field - the data, records, files or other
elements that form the basis of the main inferences, observations,
findings, conclusions, outcomes or elements of a research
project or publication, irrespective of the form in which
it exists (eg in print, electronic, physical, multi-media
or other forms).
(Note: separate guidelines will be issued by the Deputy-Vice-Chancellor
(Research) to assist researchers to interpret the concept
of research data as it applies in particular research fields.)
Researcher means any staff member, person awarded honorary
or academic status by the University, student, or person otherwise
associated with the University, who conducts research in the
course of employment, study or a formal research affiliation
with the University.
Research Misconduct means research fraud or any other form
of misconduct in the research environment, and will be taken
to mean either misconduct or serious misconduct in accordance
with the definitions that apply in any Flinders University
Enterprise Certified Agreement, or Statute 6.4: Student Conduct.
Statement and Guidelines means the Joint National Health
and Medical Research Council (NH&MRC) and Australian Vice-Chancellor's
Committee (AV-CC) Statement and Guidelines on Research Practice. |
2. |
Preamble
A broad policy framework for research is identified in the
University's Education and Research Policy. The Policy on
Research Practice addresses the following specific aspects
of the operation of research within the University, in compliance
with the Joint NH&MRC/AVCC Statement and Guidelines on
Research Practice:
o research practice within the University;
o requirements for maintaining a safe and ethical research
environment;
o conduct of research under commercial and contractual
arrangements;
o maintenance of records and retention and storage of research
data;
o confidentiality provisions relating to research;
o publication and authorship;
o conduct of research by students;
o conflict of interest;
o handling of research misconduct and fraud.
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3. |
Policy on research practice
3.1 The University aims to provide a research environment
that will promote a high standard of professional conduct
of its researchers, and a culture of research practice that
is ethical, competent, safe and accountable.
3.2 Research within the University must be conducted in accordance
with the principles outlined in the Statement and Guidelines,
with relevant legislation and guidelines, with this Policy
and with other University policies, guidelines and procedures
on research matters.
3.3 The Deputy-Vice-Chancellor (Research) will be responsible
for monitoring observance of the Policy on Research Practice
across the University and reporting to the Vice-Chancellor
on any significant issues that may arise with regard to the
conduct of research.
3.4 The Head of a Faculty and a Director of a Flinders Institute
will be responsible for ensuring the Policy on Research Practice
is implemented within the relevant faculty or Flinders institute,
and for monitoring its observance.
3.5 The Head of an Academic Organisational Unit (AOU) will
be responsible for:
(i) implementing the Policy on Research Practice
within the AOU, and ensuring that researchers are made aware
of their responsibilities with regard to complying with it;
(ii) ensuring that the AOU develops, and operates within
guidelines, procedures and strategies that will promote
good research practice, as required, to address research
issues within the AOU that are not covered elsewhere by
University policies and guidelines;
(iii) ensuring that researchers are informed about, and
have the opportunity to undertake, induction and training
that will equip them to conduct their research in accordance
with appropriate professional standards that apply in their
research area/s;
(iv) reporting on compliance with the Policy on Research
Practice to the Head of Faculty, Research Directors of the
Flinders Institutes and the Deputy-Vice-Chancellor (Research)
as required.
3.6 Researchers will be responsible for:
(i) keeping their Head of AOU/supervisor informed
of their research activities, and:
(a) in the case of staff members or persons holding honorary
or academic status, conducting their research in compliance
with this Policy under the management directions of the
appointed Head of AOU or supervisor, or other responsible
officer of the University;
(b) in the case of students, conducting their research
in compliance with this Policy under the management directions
of the appointed supervisor/s, Head of AOU or other responsible
officer of the University, and in accordance with the provisions
specified in Section 9, below;
(c) in the case of researchers who do not have a direct
relationship with the University (ie researchers who are
not a staff member, a student or a person accorded honorary
or academic status), conducting their research in compliance
with this Policy under the management directions of the
relevant Head of AOU or other responsible officer of the
University, and in compliance with any conditions specified
by the Deputy-Vice-Chancellor (Research) or outlined in any
agreement entered into between the University and the researcher
or his or her employer.
3.7 Researchers must submit all applications for grant funding
through the University in accordance with guidelines established
by the Deputy-Vice-Chancellor (Research), keep the University
informed about any funding they have received to support their
research, and comply with any conditions specified by funding
bodies in respect of their research. |
4. |
Requirements for maintaining a safe and ethical research
environment
4.1 Heads of AOU, in collaboration with researchers, are
responsible for developing and maintaining an ethical and
safe research environment in the context of each research
field undertaken within the AOU. Research activities should
be undertaken by an AOU only where a suitable professional
environment can be achieved.
4.2 Researchers must comply with relevant legislation, guidelines,
policies and directives with regard to ethical and safe practices
in research.
4.3 All research involving human subjects, animals or biosafety
matters must be approved and monitored by the relevant University
committee or authorised body, as outlined below:
(i) proposals involving experimentation with animals
are to be submitted to the Animal Welfare Committee;
(ii) proposals involving the participation of human subjects,
or the use of human tissue or blood, or those that involve
participation of or may impact on Indigenous peoples, are
to be submitted either to the Joint Flinders Clinical Research
Ethics Committee, or to the Social and Behavioural Research
Ethics Committee, as appropriate;
(iii) proposals involving the use of clinical drugs in
research trials must be submitted to the Clinical Drug Trials
Committee;
(iv) proposals involving biosafety matters including experimentation
involving genetic modification or work with a genetically
modified organism ; carcinogens; toxic substances; and infectious
substances; must be submitted to the Flinders University/Flinders
Medical Centre Biosafety Committee;
(v) proposals involving radiation must be submitted to
the Radiation Safety Officer in the Occupational Health
and Safety Unit;
(vi) where a proposal may involve research with other significant
hazards advice should be sought from the Head of AOU and,
where appropriate, the Occupational Health and Safety Unit;
(vii) where research is to be conducted off-campus or through
an external affiliation, the University may approve an arrangement
whereby a proposal may be approved and monitored by another
authorised committee, and will specify the conditions under
which such an arrangement will operate.
4.4 Researchers will be responsible for submitting research
proposals, as required, to the committees identified in 4.3
above, in accordance with policies or guidelines specified
by the relevant committee. Researchers must:
(i) obtain relevant consents and approvals, including
variations to research protocols, and maintain evidence of
such approvals;
(ii) provide relevant information about their research
and research data, including progress reports, as required;
and
(iii) notify the relevant committee, and the Head of the
relevant AOU, immediately of any adverse events or experiences
in their research that may be of concern to the University
in respect of ethical or safety matters
Note: draft legislation is presently before
the Australian Parliament, which contains the definition that
follows. This definition will apply for the purposes of this
policy:
A genetically modified organism is:
(a) an organism which has been modified by
techniques of genetic modification;
(b) an organism which has been derived or
developed from an organism which has been modified by techniques
of genetic modification;
(c) anything declared in the regulations
pursuant to the Act to be a genetically modified organism.
Genetic modification is the altering of the
genetic material in an organism by a way that does not occur
naturally (for example through processes such as mating or
natural recombination or both). |
5. |
Commercialisation of research and research conducted
under a contractual arrangement
5.1 Research may be commercialised, and may be conducted
under a contractual arrangement or agreement with another
party, for commercial purposes or otherwise, subject to authorisation
by the University, and in compliance with any conditions specified
by the Deputy-Vice-Chancellor (Research), a Head of Faculty,
a Director of a Flinders Institute, or a Head of AOU.
5.2 Research conducted for commercial purposes, or that is
to be commercialised or conducted under a contractual arrangement
or agreement must be carried out, as appropriate, in compliance
with relevant University policies and procedures, in particular,
the:
o Policy on Intellectual Property; and
o Policy on Extra-Mural Work.
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6. |
Maintenance of research records, and data storage and
retention
6.1 Research records and data must be retained and stored
appropriately to enable the accuracy, veracity and basis of
research findings and research methods to be tested, established
and scrutinised.
6.2 The Deputy-Vice-Chancellor (Research) will issue guidelines
specifying the University's requirements for reporting on
research activities, maintaining research records and retaining
and storing research data.
6.3 The Head of an AOU/supervisor will be responsible for:
(i) ensuring appropriate arrangements are made to
provide for data storage, ensuring that appropriate facilities
are available for storing data, and approving arrangements
for the storage of data;
(ii) monitoring compliance of researchers within the AOU
with regard to the matters specified in 6.4 below, and exercising
supervisory responsibility on these matters in a manner
consistent with the provisions in the Flinders University
Certified Enterprise Agreement relating to Academic Staff
Supervision, and the University policy statement entitled
"Heads of Academic Organisational Units".
6.4 Each researcher will be responsible for:
(i) reporting on his or her research activities,
projects and publications, as required, through the annual
Research Data Collection;
(ii) completing and lodging an Authorship Form in respect
of any research material that has been published or submitted
for publication;
(iii) maintaining records in respect of the conduct of
experimentation involving animals, human subjects or biosafety
matters, in accordance with the provisions and processes
identified in 4 above;
(iv) maintaining research records, and ensuring that arrangements
are made for his or her research data and records to be
stored and referenced in accordance with this Policy;
(v) advising the Head of AOU of any confidentiality provisions
or contractual arrangements that apply in relation to a
research project or with regard to publication of the research,
both in respect of his or her own research and that of any
student whose research he or she has been appointed to supervise.
6.5 The Vice-Chancellor, Deputy-Vice-Chancellor (Research),
the Head of the AOU, and other persons authorised by the Deputy-Vice-Chancellor
(Research) will be entitled on request to the relevant researcher/s,
to have access to research records and data of any researcher,
for the purpose of ensuring compliance with this Policy, and
with the proviso that any confidentiality arrangements authorised
by the University must be respected.
6.6 A researcher who uses data or research materials obtained
under an agreement between the University and an external
agency or institution is bound by the terms and conditions
to which the University is a signatory, and is required to
use the data or materials in compliance with such terms and
conditions. |
7. |
Confidentiality
7.1 Access to research data may be limited by confidentiality
provisions, normally for the purposes of protecting:
o a third party who is the subject of the research;
o intellectual property that may be the subject of a commercial
or contractual arrangement;
o confidential source materials.
7.2 Any confidentiality provisions that apply to research
intended for publication should, as far as possible, provide
for data and records to be kept in a way that will enable
a third party to have access to them without breaching confidentiality,
and where practicable for data and records to be available
for discussion with other researchers.
7.3 The Head of AOU and the researcher will be responsible
for ensuring arrangements are made to protect the security
of any confidential research data, including data held in
computer systems. |
8. |
Authorship and publications
8.1 The Deputy-Vice-Chancellor (Research) will issue guidelines
on authorship and publication, and an Authorship Form.
8.2 The Authorship Form must be completed by each researcher
in respect of each item of research that is to be submitted
for publication; and lodged with the Head of AOU and the publisher.
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9. |
Conduct of research by students
9.1 Students conducting research must comply with the provisions
contained in:
o the Policy on Research Practice;
o the University's Research Higher Degree Policies and
Procedures;
o other relevant policies and guidelines on research.
9.2 Students must report, as required, in the following ways:
(i) maintain regular contact with appointed supervisors
(or in the absence of the supervisor the Head of AOU), and
complete an annual review of progress, as specified in the
Research Higher Degree Policies and Procedures in the case
of research higher degree students; or as specified in University
or Faculty policies for students conducting research as part
of another degree;
(ii) participate in the University's Research Data Collection,
as required, in accordance with instructions issued by the
Deputy-Vice-Chancellor (Research);
(iii) complete an Authorship Form, as required, in respect
of any research to be published;
(iv) notify the supervisor and Head of AOU, in advance,
of any proposal to enter into a contractual arrangement
or agreement for commercial or other purposes of the student's
research;
(v) submit other reports as specified by the Head of AOU,
the Faculty, or in relevant University policies.
9.3 A supervisor of a student conducting research will be
responsible for providing guidance to students on all matters
of research practice, and ensuring that students are informed
of relevant University policies and procedures that affect
the conduct of the student's research.
9.4 In accordance with the Statement and Guidelines, a supervisor
will be entitled to have access to research data and other
relevant information about the research of a student for the
purposes of undertaking normal supervisory responsibilities
and ensuring compliance with this Policy and other University
policies and procedures. The supervisor must:
(i) consult with the student about the need to maintain
confidentiality in respect of the student's research data,
methodology, or findings; and
(ii) ensure the integrity of the student's research data
is preserved; and
(iii) where a student is conducting research as part of
a research team, inform the student at the commencement
of the research project of any protocols or operating conditions
that may apply in respect of the conduct of the research
project, the use and storage of research data, publication
of research findings, confidentiality, or commercialisation
or other agreements or arrangements that may apply to the
research.
9.5 A supervisor will:
(i) take such steps as are practicable to ensure
the validity of a student's data and research methodology,
and provide verbal and written feedback to the student on
a regular basis;
(ii) ensure appropriate induction and ongoing advice is
provided to the student about professional approaches that
should be adopted with regard to ensuring the validity of
data, and about requirements for maintenance of records
and storage and retention of research data; and
(iii) ensure that discussions with the student on research
practice are documented in the student's annual review form.
9.6 Where a supervisor has concerns about the validity of
a student's data or about whether the student is undertaking
appropriate record keeping or data storage or research practices,
the following steps must be taken:
(i) the supervisor should provide written advice
to the student, and document any steps taken by the student
to address the matter;
(ii) if the matter is not addressed expeditiously, and
to the satisfaction of the parties, the supervisor should
advise the Head of AOU and notify the student accordingly;
(iii) if the Head of AOU is unable to resolve the matter
expeditiously and to the satisfaction of all parties, the
matter will be referred to the Chairperson of the Faculty
Higher Degrees Committee, who will consider any further
action to be taken in accordance with the relevant University
policies and procedures.
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10. |
Conflict of interest
10.1 Researchers must disclose to the Head of the AOU and
the Deputy-Vice-Chancellor (Research) any affiliation with or
financial involvement in any organisation or entity with a
direct interest in the subject matter or materials of the
researcher. The researcher must identify:
o direct benefits such as sponsorship of the research;
or
o indirect benefits which may include provision of materials
or facilities; or
o support of individual researchers through provision of
travel or accommodation expenses to attend conferences,
or similar benefits.
10.2 Researchers should disclose to any relevant outside
parties including editors of journals, readers of published
work and external bodies from which funds are sought any potential
conflict of interest that could be seen to influence the research
and investigations, publication and media reports, grant applications,
and applications for appointment and promotion. |
11. |
Handling of research misconduct and fraud
11.1 Misconduct or fraud in research may include, but are
not limited to, the following:
(i) fabrication of data: claiming results where
none has been obtained;
(ii) falsification of data, including changing records;
(iii) plagiarism, including the direct copying of textual
material, the use from other people without adequate attribution;
(iv) misleading ascription of authorship, including the
listing of authors without their permission, attributing
work to others who have not in fact contributed to the research,
and the lack of appropriate acknowledgment of the work of
a student or associate;
(v) other practices that seriously deviate from those commonly
accepted within the research community for proposing, conducting
or reporting research;
(vi) an infringement of the University's Policy on Research
Conduct or other research related policies that is either
intentional or caused by negligence;
(vii) negligence, or failure to uphold commonly accepted
standards in the conduct of research within the relevant
field of research.
Misconduct does not generally include honest errors, or honest
differences in interpretation or judgement about data.
11.2 The Deputy-Vice-Chancellor (Research) will appoint, on
the recommendation of the Head of Faculty, two senior academic
staff members who are experienced researchers from each Faculty
as Advisers on integrity in research. Advisers must have a
sound understanding of issues surrounding research integrity,
the capacity to make judgements about acts that might constitute
research misconduct and familiarity with the Statement and
Guidelines, and with the research policy environment within
and outside the University. Advisers will be responsible for
providing confidential advice to staff, students or other
persons about:
o actions that might constitute misconduct in research;
o the rights and responsibilities of a potential complainant;
and
o the procedures that will apply in the handling of allegations
of research misconduct within the University.
11.3 The Deputy-Vice-Chancellor (Research) will appoint, on
the recommendation of the Head of Faculty, two senior academic
staff members from each Faculty who are experienced researchers
as Contact Officers towards whom allegations of research misconduct
can be directed. Contact Officers must not be the same persons
as those identified in 11.2 as Advisors on integrity in research.
11.4 A complaint alleging research misconduct may be made
to a Contact Officer appointed in accordance with 11.3 above,
to the Deputy-Vice-Chancellor (Research), or to the Vice-Chancellor,
and may be made in writing or orally.
11.5 Once a complaint has been received the following steps
must be taken:
(i) the person that receives the complaint must
immediately inform the Vice-Chancellor that a complaint has
been received and provide any information that the complainant
has presented about the matter to the Vice-Chancellor;
(ii) the Vice-Chancellor (or nominee) will consider the
material that has been provided, and if necessary seek such
additional information and advice, which may include advice
from the Advisors identified in 11.2 or another person with
relevant specialist expertise, that may be required to establish
whether the matter warrants further investigation, and will
either:
(a) decide that the allegations have no substance and dismiss
the complaint; or
(b) decide that there is no evidence of misconduct or fraud,
but that alternative action is required, and refer the matter
for consideration and action through an appropriate University
process; or
(c) decide that the allegations require further investigation
as a potential matter involving misconduct or fraud, and initiate
an investigation of the matter in accordance with 11.6 below.
11.6 In the event that an investigation is to be conducted,
the Vice-Chancellor (or nominee) will take the following actions:
(i) in the case of a member of the academic staff,
refer the matter for investigation and consideration in accordance
with the disciplinary provision for Academic Staff contained
in the Flinders University Enterprise Certified Agreement;
(ii) in the case of a member of the general staff, refer
the matter for investigation and consideration in accordance
with the disciplinary provision for General Staff contained
in the Flinders University Enterprise Certified Agreement;
(iii) in the case of a research student, refer the matter
for investigation and consideration in accordance with Statute
6.4: Student Conduct;
(iv) in the case of a person who is affiliated with the
University but who is not a staff member or a student, take
such action on the matter as the Vice-Chancellor deems appropriate.
11.7 In the event that a matter may be the subject of investigation
or action under more than one process (such as an alternative
investigation, complaints resolution or disciplinary process
specified in another University policy, a duplicate or similar
process of another organisation, or a duplicate or similar
process where a staff member is also a student) the Vice-Chancellor,
subject to obtaining the agreement of all relevant parties,
will approve an arrangement whereby the matter can be considered
in a manner that will minimise unnecessary duplication of
processes.
11.8 Where an allegation of misconduct is under investigation,
the Vice-Chancellor will, as appropriate:
(i) inform grant funding bodies or other parties
with a direct and legitimate interest in the matter, that
the matter is under investigation, and of the status of any
proceedings, and of any other matters that may be of direct
concern to them; and
(ii) take such other action as may be necessary to protect
the interests of the University, and exercise a duty of
care towards staff members, students, the public or any
other parties involved in the matter.
11.9 In a case of misconduct, the University may, in addition
to taking action in accordance with the provisions outlined
above, exercise its right to take legal or other action against
the researcher or a third party. |
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