Embedding Research Integrity In Research Mobility
Dr Ren Yi
Director Research Training
And International Research Training
Partnerships
What is Research Integrity?
Research integrity can be defined as the trustworthiness
of research due to the soundness of its methods and the
honesty and accuracy of its presentation
- Singapore Statement 2010
- http://www.singaporestatement.org/
Research Integrity is
critical to Academic Freedom
Academic freedom is the foundation of the University.
It is the right to put forward a position and have that position openly debated.
The principles of Academic Freedom only hold if researchers act with integrity.
• Reliability of research
• University’s reputation
• Reliability of degrees
• Health and safety
• Funding
• Public or criminal investigation
Why does Research Integrity Matter?
The Australian 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
The Macquarie Code
Developed and implemented during 2014
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
Principles and Practices
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
General Principles of Responsible Research
• The Macquarie Code applies to all staff and students
• Everyone must conduct themselves ethically, with integrity and professionally
• Follow all policies, regulations and laws including
o Animal Ethics
o Human Ethics
o Biosafety
• Respect the environment
• Acknowledge the special responsibilities we have towards working with Indigenous
People and other groups
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
Researcher’s Responsibilities
Promote research integrity
Report suspected Breaches or Research Misconduct
Responding to allegations:
process
A Research Integrity
Advisor provides advice
and assistance
Report made to the
Director, Research Ethics
and Integrity
Possible breaches
referred to Faculties for
resolution
Possible misconduct
referred to the DVC(R)
Breach process
Executive Dean or delegate (e.g. HoD) assesses evidence
Respondent given opportunity to respond
Remedial action determined
Review of remediation
Breach resolved
Breach unresolved Referred to research misconduct process
• Can be raised to misconduct at any time if a prima facie case exists
• Can be escalated to address risk of corporate exposure
Research misconduct process
Referred to DVC(R) who appoints internal or external inquiry
Internal Enquiry – MQ staff with outside expertise if necessary
External Inquiry – All outside experts
Terms of Reference: to report on facts & find whether or not failure to comply with
the Macquarie Code
Report to DVC(R) who then makes determination and decides on course of action
Research Integrity Advisors
Associate Deans of Research and Higher Degree Research
RIAs can provide advice on the proper conduct of research and
the areas covered in the Macquarie Code
• If you have concerns:
o Talk to any RIA, not just in your faculty
o Talk in hypotheticals
o Get their help and advice in preparing
your complaint
Online Resources
Epigeum Research Master Skills Course - iLearn Research Integrity Module
Contact HDRO for access
U.S. Office of Research Integrity The Lab - http://ori.hhs.gov/thelab
The Research Clinic - http://ori.hhs.gov/TheResearchClinic
What if I need to report something?
We all have an obligation to report suspected breaches or misconduct
You can discuss your concerns with an Advisor
Reports can be made to Dr Kandy White,
Director, Research Ethics and Integrity
www.dx.doi.org/10.1038/453980a
Comparison between MQU and CAS
About Conflicts of Interest Management
Ms Xin Zhai (CAS Visiting Schloar at MQU) Headquarter of the Chinese Academy of
Sciences [email protected]
Dr Ren Yi (MQU)
From the Perspective of Policies
Australia MQU China CAS
Australian Code For The
Responsible Conduct of
Research---Section 7 (NHMRC with ARC will commence the review of the Code very shortly)
The Macquarie University Code for
the Responsible Conduct of
Research
(September 2014 )
No clear definition
In CAS we only have partially defined concept
No systematic
policies
The ideas of avoiding conflicts of interest appear in scattered policies made across different departments of CAS
ARC Conflict of Interest and
Confidentiality Policy (very important , instructive and feasible)
There are comprehensive and established policies on conflicts of interest management
from government level as well as institutions and Universities in Australia.
From the Perspective of Policies
To Whom the Policies Will Apply?
MQU CAS
All academic staff All professional researchers
---However for those professional researchers who are members of the communist party of China, self-discipline and anti-corruption regulations will get priority in application when dealing with failure to disclose serious conflicts of interest.
Professional staff
Students Students who are involved in research work in
institutes.
Technical and other support staff Technical support staff
Visiting academics and conjoint appointees Not available.
It is of my colleagues and my view, that a uniform regulation for conflicts of interest management should
be drawn up and applied throughout Chinese institutions, regardless of whether the researchers are
a member of the CP or CAS .
To Whom the Policies Will Apply?
Approaches to Management and Supervision
MQU CAS
Education Education (focusing on anti-corruption)
Have a series of policies of responsible conduct of research
and managing conflicts of interest
Income Declaration
Ensure those policies are clearly and readily available to
all staff and research students by introduction and
training
Auditing (internal and external)---a very important and effective way of discovery of cases of misuse of public grants or omitting to disclose serious conflicts of interest
Encourage a full disclosure of conflicts of interest Inspection(internal)
Focus on Ex Ante Monitoring Focus on Ex Post Monitoring
At MQU, the policies, procedures and guidelines are strong and efficient, where as at CAS we are attempting to improve the policy study and training for staff.
Approaches to Management and Supervision
Optional Penalties for Research
Misconduct &Nondisclosure
MQU CAS
Warning Warning
Reprimand Reprimand
Disqualification from future grant applications Salary modification
Notification of funding agency, journal, or both of
nondisclosure
Suspension
Removal of investigator from project Termination
Suspension Disciplinary penalty
Termination Turning over to the judicial system
With the comparison, we can see the optional penalties within CAS may be more severe, however I feel those penalties closely relating to the qualification of applying for grants or research projects can really serve as a warning to the researchers.