Research integrity

The RIA’s can provide valuable advice on responsible research and the ethical design and conduct of human and animal research, on good practices and strategies to avoid research integrity problems/disputes, on whether a situation appears to be a breach/research misconduct, and about the University’s and integrity and ethics review arrangements.

RIA’s are not involved in the review, assessment or investigation of alleged breaches of the Australian Code and/or CDU policy but rather act in an advisory and support capacity to the CDU research community as well as contribute to the development of University policies and process and to the enhancement of practical resources and training.

The Australian Code for the Responsible Conduct of Research 2018, (the Australian Code) confirms that Charles Darwin University must “identify and train Research Integrity Advisors who assist in the promotion and fostering of responsible research conduct and provide advice to those with concerns about potential breaches of the Code.”

The role of a Research Integrity Advisor (RIA) is crucial to the operation of the Code at CDU. This role is presented in Section 4.1 of the Guide to Managing and Investigating Potential Breaches of the Australian Code for the Responsible Conduct of Research, 2018.

What does the RIA do?

1. Promotes the responsible conduct of research.

2. Develops and promotes of a culture of research ethics and integrity.

3. Provides advice to researchers regarding any aspect of research integrity and the Australian Code for the Responsible Conduct of Research.

4. Discusses concerns and complaints in relation to potential breaches of the Code.

5. Recognize that situations may be complex, and particular cases may be referred to other CDU policies, such as staff or student misconduct, or bullying.

What does the RIA not do?

1. The RIA must not comment on matters where there is potential or actual conflict of interest.

2. The RIA does not assess or investigates complaints.

3. The RIA does not contact the person who is a subject of a complaint.

4. The RIA may provide testimony for an investigation, but is not involved in any other capacity as an Assessment Officer (AO) or a Designated Officer (DO)

What is the role of the RIA in relation to potential breaches of the Code?

1. Academic staff and higher degree students who believe that another person has not upheld the Code may discuss this matter in confidence with an RIA.

2. The RIA provides information about University processes, the options that are available, and how to make a formal complaint.

3. Maintain clear records of all meetings and discussions. These are confidential records and are not to be used in a subsequent investigation.

4. At all times the RIA must maintain confidentiality

What options are available to academics or students when considering making a complaint?

1. Discussing the matter directly to the person against whom the complaint may be made

2. Withdrawing a complaint if the matter is resolved

3. Referring the matter to a person in a line management or supervisory capacity for resolution

4. Make a formal complaint of a breach of the Code in writing to the Designated Officer via the CDU email address: researchintegrity@cdu.edu.au

Training for RIAs

The Office of Research and Innovation (ORI), in conjunction with People and Culture, will provide a formal induction to new RIAs. Further, professional development sessions will be offered as required to ensure currency in relation to the Australian Code for the Responsible Conduct of Research, and current trends in research integrity.

CDU researchers, staff and students are encouraged to consult with RIA’s regarding matters related to responsible research conduct.

Research Integrity Advisors at CDU

Faculty of Science and Technology: 

Dr Erica Garcia - Lecturer in Environmental Science;  Phone: 08 8946 7445

Faculty of Arts and Society: 

Faculty of Health: 

Dr Natasha Franklin, Lecturer - Nursing and Midwifery ; Phone: 02 8047 4156

Professor Phil Giffard, Professor - Medical Laboratory Science; Phone: 08 8946 7559

Designations for Research Integrity at CDU

Responsible Executive Officer (REO):

Professor Scott Bowman AO,Vice-Chancellor and President

Professor Steve Rogers,Deputy Vice-Chancellor Research & Innovation

Designated Officer (DO):

Professor Steven Greenland, Dean of Graduate Studies

Dr Karen Cavanagh,Director ORI

Professor Dominic Upton, PVC Faculty of Health

Professor Ruth Wallace, PVC Faulty of Arts and Society

Professor Suresh Thennadil, PVC Faculty of Science and Technology

Assessment Officer (AO):

Professor Steven Greenland, Dean of Graduate Studies

Dr Karen Cavanagh,Director ORI

Research Integrity Officer (RIO)

Ms Hayley Germaine,RIO

Associate Deans of Research (ADR)

Dr Karen Hazell-Raine, ADR - Faculty of Health 

Dr Adele Sefton-Rowston, ADR - Faculty of Arts and Society

Dr Vinuthaa Murthy, ADR - Science and Technology

Resources

The Australian Code for the Responsible Conduct of Research establishes a framework for the Responsible Conduct of Research.

The Australian Code for the Responsible Conduct of Research (the Australian Code) provides a foundation for high-quality research, credibility and community trust in the research endeavour. Institutional compliance with the Australian Code is a prerequisite for receipt of funding by the National Health and Medical Research Council and the Australian Research Council.¹

CDU has implemented the Responsible Conduct of Research Policy and Responsible Conduct of Research Procedure to meet its obligation and to promote CDUs ongoing commitment to the Responsible Conduct of Research.

The Research Code applies to all CDU Researchers conducting research. This includes:

• HDR Students conducting research
• Early Career Researchers
• Research Staff
• Adjunct / Honorary Appointees to CDU
• Professional/non-academic staff undertaking research or a research function

The Research Code sets out the responsibilities of Institution and Researchers:

Institutions must:

• promote the responsible conduct of research
• establish good governance and management practices
• train staff
• promote mentoring
• ensure a safe research environment.

Researchers must:

• maintain high standards of responsible research
• report research responsibly
• respect research participants, animals used and the environment
• report research misconduct.

The Research Code sets out 8 principles which are the hallmarks of Responsible Conduct of Research, as well as specific responsibilities which all CDU researchers must comply with throughout all stages of their research and related activities.

The 8 principles of Responsible Conduct of Research:

[1] Australian Government, National Health and Medical Research Council

The collection and analysis of data is one of the most important aspects of conducting research. The responsible conduct of research requires that appropriate methods are used in data collection. It also requires the proper management and retention of research records, including data and primary materials. Robust research data are essential to justify and, when required, defend the outcomes of research. 

CDU researchers act in accordance with the Australian Code for the Responsible Conduct of Research (2018) and the University’s Responsible Conduct of Research Policy, which include the following responsibilities related to research records:

• Retain clear, accurate, secure and complete records of all research including research data and primary materials. Where possible and appropriate, allow access and reference to these by interested parties

To meet these obligations researchers at CDU observe the University’s Research Data Management Policy. Researchers also need to be aware of relevant legal, statutory, ethics and funding body requirements.

Research can generate very large volumes of data, records and primary materials. Effective management is therefore important to ensure efficiency in research and to prevent compromises to data integrity. If sufficient materials and data are not retained the results of research should not be published. 

Institutions must

• retain research data and primary materials
• provide secure research data storage and record-keeping facilities
• identify ownership of research data and primary materials
• ensure security and confidentiality of research data and primary materials

Researchers must

• retain research data and primary materials
• manage storage of research data and primary materials
• maintain the confidentiality of research data and primary materials

The University Library provides information and planning tools to assist researchers in meeting their obligations. The guide includes information on CDUs Research Data Manager system. In developing their data management plan researchers must take into consideration requirements of research agreements, funding organisations, publishers and the University's Policy and Procedures

Researchers should seek advice from their supervisor at the start of a project to understand the resources available for the management and retention of research records, including data and primary materials.

Resources

• Research Data Management Procedure
• Research Data Management Guide
• Research Data Management Planning

Refer to LibGuides or contact library@cdu.edu.au for advice and support.

Most researchers will supervise research trainees, such as Higher Degree by Research (HDR) candidates, Honours students or research assistants. Many researchers find that supervision is one of the most rewarding parts of their work, allowing them to expand their research portfolio and to pass on their knowledge and expertise. In doing so, supervisors play an important role in promoting quality research that is conducted with integrity.  

CDU researchers act in accordance with the Australian Code for the Responsible Conduct of Research (2018) and the University’s Responsible Conduct of Research Policy, which include the following responsibilities related to supervision:

• Provide guidance and mentorship on responsible research conduct to other researchers or research trainees under their supervision and, where appropriate, monitor their conduct

Supervisors will promote responsible practices in all areas of research including ethics compliance, management of data and materials, authorship, and publication and dissemination of research outputs. Supervisors will also ensure that all trainees receive education in discipline-based research methods and related skills. Supervisors must have competency to fulfil these obligations and seek support where required. Supervisors should familiarise themselves with the Higher Degree by Research - Supervision Procedure and Student Academic Integrity Policy, as well as related CDU policies and procedures.

Institutions must:

• set standards for supervision and mentorship
• induct research trainees.

CDU delivers a range of research staff, supervisor and student development programs annually.

Programs for the current year can be located on the Research Enhancement Program webpage.

Researchers and HDR Supervisors must:

• ensure training
• mentor and provide support
• ensure valid and accurate research
• ensure appropriate attribution.

Research trainees must 

• seek guidance
• undertake induction and training.

Resources

• Higher Degree by Research - Supervision Procedure
• Student Academic Integrity Policy
• Code of Conduct - Students
• Complaints Policy - Students

Refer to the HDR Webpage or contact researchstudents@cdu.edu.au for advice and support.

A research project often culminates in publication or dissemination of the findings. This passes on the potential benefits of research to a wide range of individuals and organisations, including other researchers, consumers, industry, policy makers and the wider community. It also fulfils obligations to funding bodies. Dissemination includes reporting of research in academic journals or books, conference presentations, creative works, web pages, and professional and institutional repositories.

CDU researchers act in accordance with the Australian Code for the Responsible Conduct of Research (2018) and the University’s Responsible Conduct of Research Policy, which include the following responsibilities related to publication and dissemination of research outputs:

• Adopt methods appropriate to the aims of the research and ensure that conclusions are justified by the results
• Disseminate research findings responsibly, accurately and broadly. Where necessary, take action to correct the record in a timely manner
• Cite and acknowledge other relevant work appropriately and accurately

For others to benefit from the results of research they must be able to trust in the accuracy of reporting. The responsible publication and dissemination of research outputs also involves:

• provision of a complete account of the research findings
• adherence to criteria for authorship, acknowledgement and affiliation
• accurate disclosure of research support and conflicts of interest
• appropriate protection of confidential and sensitive information
• careful evaluation of the credibility of the publisher and journal

In choosing an outlet for their work, researchers must consider funding requirements related to Open Access and the University’s Open Access Policy.

Institutions must:

• promote responsible publication and dissemination of research findings
• protect confidentiality and manage intellectual property
• support communication to the wider public.

Researchers must: 

• disseminate all research findings
• ensure the accuracy of publication and dissemination
• cite the work of other authors fully and accurately
• disclose multiple submissions of research findings
• obtain permission for republishing
• disclose research support accurately
• register clinical trials
• manage confidentiality
• responsibly communicate research findings in the public arena.

Communicating research findings in the public arena

Communicating research to the public may occur through traditional media, public forums or via emerging social media technologies. Researchers have responsibilities when communicating their research to the public in relation to restrictions or embargos imposed by various parties, in how they report on research that has not been finalised (e.g. not peer reviewed) and in ensuring research participants directly impacted by the outcomes are properly informed. Communications must also comply with the University’s Media Policy.

CDU researchers wishing to communicate their findings to the public and in the media should consult their local school or faculty media/communications officer or CDUs research communications team.  

Resources

• Intellectual Property Policy
• Open Access Policy
• Open Access Support for Increased Citations (OASIC)
• ARC Open Access Policy
• NHMRC Open Access Policy

Authorship signifies that an individual has made a significant contribution to the work and is accountable for it. It also carries significant value for a researcher. It is therefore important that authorship is attributed accurately and responsibly.

CDU researchers act in accordance with the Australian Code for the Responsible Conduct of Research (2018) and the University’s Responsible Conduct of Research Policy, which include the following responsibilities related to authorship:

• Ensure that authors of research outputs are all those, and only those, who have made a significant intellectual or scholarly contribution to the research and its output, and that they agree to be listed as an author
• Acknowledge those who have contributed to the research

Author eligibility

Attribution of authorship and author order depends to some extent on the discipline. In all cases authorship must be based on a substantive contribution to the work. Researchers should discuss authorship at an early stage in a research project to establish:

• Who will be listed as an author on potential research outputs
• The order in which the authors will be listed
• The responsibilities of each author

Written records of authorship agreements should be kept and reviewed periodically, such as when a researcher leaves or joins the project. 

Authorship is not tied to position or profession and will not be offered to those who do not meet the requirements; gift, ghost or honorary authorship is unacceptable. Researchers should also be aware of the authorship guidelines of the publisher to which they are submitting.

Author responsibilities

The contribution of authors to a research publication will often vary. All authors, however, have responsibility for the validity, originality and integrity of the work. The University’s Responsible Conduct of Research Policy and Authorship of Research Output Procedure set out the responsibilities of all authors, which include:

• Adhering to author eligibility criteria
• Ensuring accuracy of reporting and in assigning credit for work contributed
• Reaching agreement on authorship in writing prior to submission of a work for review
• Acknowledging the contributions of others, including funding agencies
• Declaring conflicts of interest

Institutions must:

• have criteria for authorship.

Researchers must:

• follow policies on authorship
• agree on authorship
• include all authors
• not allow unacceptable inclusions of authorship
• acknowledge other contributions fairly
• extend the authorship policy to web-based publications
• maintain signed acknowledgements of authorship for all publications.

Resources

• Authorship of Research Output Procedure
• Authorship A guide supporting the Australian Code for the Responsible Conduct of Research

Peer review refers to the assessment of research or researchers by others working in the same or a related field. Peer review is used in the selection of works for publication, in the evaluation of funding applications and in the selection and promotion of staff. Peer review plays an important role in research by helping to maintain high standards and encourage accurate, thorough and credible research reporting. It is therefore important that peer review is fair, impartial and independent.

CDU researchers act in accordance with the Australian Code for the Responsible Conduct of Research (2018) and the University’s Responsible Conduct of Research Policy which include the following responsibilities related to peer review:

• Participate in peer review in a way that is fair, rigorous and timely and maintains the confidentiality of the content

All researchers can expect to have their work peer-reviewed. Participation as a reviewer is therefore a responsibility of researchers. Participation also provides advantages to individuals by affording them a better understanding of the peer review system and by honing their critical evaluation skills.

Different peer review activities will require varying levels of assessment and reporting and researchers must follow the relevant guidelines and assessment criteria (e.g., of a journal or funding body). Peer reviewers are also expected to possess appropriate expertise, to acknowledge and disclose relevant interests and to obtain permission before delegating their responsibilities or asking others to assist with a review. Researchers must not seek to influence the process or outcomes when their work is undergoing review.

Institutions must:

• encourage participation in peer review.

Peer Reviewers must:

• conduct peer review responsibly.

Researchers must:

• not interfere during the peer review process
• participate in peer review
• mentor trainees in peer review
• declare conflicts of interest

Resources

• ARC Peer Review webpage
• Guide to NHMRC Peer Review

Refer to the LibGuides or contact Library@cdu.edu.au for advice and support.

A conflict of interest in research exists where an individual may preference, or be perceived to preference, their own interests or obligations over their duties and responsibilities as a researcher. Conflicts of interest may be actual, potential or perceived and involve financial and non-financial benefits. Conflicts of interest may affect, or be perceived to affect, a researcher's impartiality and judgement, which can erode confidence in the research.

CDU researchers will act in accordance with the Australian Code for the Responsible Conduct of Research (2018) and the University’s Responsible Conduct of Research Policy, which include the following responsibilities related to disclosure of interests:

• Disclose and manage actual, potential or perceived conflicts of interest

There are a broad range of research-related activities that may give rise to a conflict of interest. All researchers should expect to have a conflict of interest from time to time. For example, researchers may be asked to peer-review a colleague's work or provide consultancy for a company that also funds their research. The mere existence of a conflict does not imply wrongdoing and in some cases is unavoidable. 

The responsibility to identify, manage and declare circumstances and associations that may give rise to a conflict of interest rests with the individual researcher. The University’s Conflicts of Interest Policy require staff to acknowledge, declare and monitor conflicts of interest. Researchers must also declare relevant conflicts of interest in research outputs, in submissions to research ethics committees and as required by outside organisations, such as in applications for funding or when undertaking peer review.  

Institutions must:

• maintain a policy.

Researchers must:

• disclose conflicts of interest according to the Conflicts of Interest Policy.

Resources

• Conflicts of Interest Policy
• Conflicts of Interest Procedures

Research increasingly involves collaboration within and between Universities and with other organisations. Collaboration enables research by offering expertise and/or resources not otherwise available. Collaboration can also create particular challenges in relation to the responsible conduct of research due to differences across disciplines and institutions in research norms, rules and regulations.

CDU researchers act in accordance with the Australian Code for the Responsible Conduct of Research (2018) and the University’s Responsible Conduct of Research Policy, which include the following responsibilities: 

• Comply with the relevant laws, regulations, disciplinary standards, ethics guidelines and University policies and procedures related to responsible research conduct. Ensure that appropriate approvals are obtained prior to the commencement of research, and that conditions of any approvals are adhered to during the course of research

Differences between institutions in rules and regulations may affect practices related to authorship, data management, research ethics, conflicts of interest and intellectual property. Researchers involved in collaboration across institutions must ensure that differences in standards do not compromise the integrity of data collection and analysis. Effective collaboration therefore begins with a clear understanding of the roles, responsibilities and expectations of each party.

Researchers wishing to engage in collaborative research should consult their faculty's Associate Dean for Research or the Research Contract Officer for advice and assistance.

Institutions must:

• establish agreements for each collaboration
• manage conflicts of interest
• manage access to research materials.

Contact research.contracts@cdu.edu.au for advice and support in the development and execution of Collaborative Research Agreements.

Researchers must:

• comply with multi-institutional agreements
• declare conflicts of interest.

Resources

CDU places the highest importance on upholding the integrity of our research. Researchers have an obligation and a personal responsibility to conduct their research activities in an ethical and professional manner in compliance with the Australian Code for the Responsible Conduct of Research (2018); (the Australian Code), the University’s Responsible Conduct of Research Policy and all other applicable policies, laws, guidelines and codes of conduct. A failure to meet these obligations may constitute a breach and, in serious cases, research misconduct.

Under the Australian Code and the University’s Responsible Conduct of Research Policy researchers also have a responsibility to:

• Report suspected breaches of the Code to the relevant institution and/or authority

CDUs Responsible Conduct of Research Procedure, strongly encourages staff, students and third parties to report any potential breaches of the Australian Code.

Institutions must:

• promote the responsible conduct of research
• establish good governance and management practices
• train staff
• promote mentoring
• ensure a safe research environment.

Researchers must:

• maintain high standards of responsible research
• report research responsibly
• respect research participants, animals used and the environment
• report research misconduct.

Defining a breach

The Guide to Managing and Investigating Potential Breaches of the Australian Code for the Responsible Conduct of Research (The Guide) defines research misconduct. It is distinct from other forms of professional misconduct, such as bullying and sexual harassment. Research misconduct does not include honest errors or differences in academic judgement.

Types of Research Integrity Breaches

The Guide defines a breach as "a failure to meet the principles and responsibilities of the Code, and may refer to a single breach or multiple breaches." 

Examples of breaches of the Code include:

• Not meeting required research standards, such as conducting research without appropriate ethics approval
• Fabrication, falsification, misrepresentation
• Plagiarism
• Research data management, which includes failing to appropriately maintain research records
• Supervision. Failing to provide adequate guidance or mentorship
• Authorship
• Conflict of Interest
• Peer Review

If you have a concern

Individuals who have a concern about the conduct of research at CDU may wish to speak with a Research Integrity Advisor or the Research Integrity Officer (RIO) in the first instance. 

Potential Breach

CDU encourages staff, students and third parties to report any potential breaches of the Code.

CDUs Responsible Conduct of Research Procedure policy prescribes how potential breaches of research integrity (breaches) are managed at the University. Specifically:

1. the means for making complaints of potential breaches;
2. the mechanisms for assessing and investigating potential breaches; and
3. the approved processes for managing and resolving potential and actual breaches, including requests for reviews of decisions.

To report a potential breach of the Australian Code for the Responsible Conduct of Research (2018), or CDU policy, please contact the Research Integrity Officer (RIO):

• Hayley Germaine - RIO; Phone: 08 8946 6063

Formal complaints can also be made by completing the online Research Integrity Complaints Form. This form will be sent directly to the RIO to review in the first instance, and will be treated in confidence.

Please see the below flowchart for the management of complaints at CDU:

Resources

• Responsible Conduct of Research Procedure / Governance Document Library (cdu.edu.au)
• Responsible Conduct of Research Policy