D/2.6 QUT Code of Conduct for Research

[Print-friendly version]

2.6.1 Preamble
2.6.2 General principles for responsible practice in research
2.6.3 Management of research data and primary materials
2.6.4 Supervision of research trainees
2.6.5 Publication and dissemination of research findings
2.6.6 Authorship
2.6.7 Peer review
2.6.8 Conflicts of interest
2.6.9 Collaborative research across institutions
2.6.10 Breaches of the Code, research misconduct, and the framework for resolving allegations
Related Documents
Modification History

2.6.1 Preamble

QUT is committed to the highest standard of integrity in research. QUT's Code of Conduct for Research is based on the Australian Code for the Responsible Conduct of Research and sets out the obligation for all University researchers, staff and research students to comply with the ethical framework governing research at the University and other relevant institutional and regulatory requirements.

The broad principles that guide the conduct of research are consistent with general codes of ethical conduct, including QUT's Code of Conduct ( B/8.1 ). Central to these are the maintenance of high ethical standards, and validity and accuracy in the collection and reporting of data.

In addition to the requirements for disclosure of potential conflicts of interest in research (see D/2.6.8 ), the University maintains a Register of Disclosed Interests. The University also has a specific policy relating to gifts (see G/2.3 ).

Top

2.6.2 General principles for the responsible conduct of research

Responsible research is encouraged and guided by the research culture of the organisation. A strong research culture will demonstrate:

• honesty and integrity
• respect for human research participants, animals and the environment
• good stewardship of public resources used to conduct research
• appropriate acknowledgment of the role of others in research
• responsible communication ofresearch results.

The conduct of research at QUT is based on a culture of shared responsibility. This includes responsibilities for the University and responsibilities for researchers, and all must contribute to maintaining QUT's strong culture of integrity and ethical conduct.

Responsibilities of the University

QUT has a responsibility to maintain an environment that fosters responsible research which is achieved through:

• the promotion of responsible conduct of research
• the establishment of good governance and management practices
• appropriate training for research staff
• the promotion of mentoring
• ensuring a safe research environment.

Responsibilities of researchers

Researchers also have accountability for the responsible conductof their research which can be achieved through:

• maintaining high standards of responsible research which foster and maintain a research environment of intellectual honesty and integrity, and scholarly and scientific rigour
• reporting research responsibly
• respecting research participants
• respecting animals used in research
• respecting the environment
• reporting research misconduct

Aboriginal and Torres Strait Islander peoples

The cornerstone of an ethical relationship with Aboriginal and Torres Strait Islander peoples is respect for and valuing of cultural and language diversity. QUT is involved in research with Aboriginal and Torres Strait Islander peoples that spans many methodologies and disciplines. There are wide variations in the ways in which Aboriginal and Torres Strait Islander individuals, communities or groups can be involved in research. These variations depend on a range of factors including but not limited to:

• scope of the project the
• demographics of the participants
• the social phenomena under study
• historical, social and cultural context and connections.

QUT researchers must refer to the following documents when framing a project that involves Aboriginal and Torres Strait Islander participants:

• Australian Code for the Responsible Conduct of Research
• National Statement on Ethical Conduct in Human Research
• Values and Ethics: Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research (NHMRC 2003).

Top

2.6.3 Management of research data and primary materials

Research data, including primary materials, are treated as University records under the records management policy ( F/8.1 ) and as such the storage, disposal or transfer of data must follow the procedures outlined in that policy.

Responsibilities of the University

• QUT adheres to the guidelines on the retention and storage of data outlined in the Australian Code for the Responsible Conduct of Research .
• Schools, centres and research units must establish procedures for the retention of data, data storage and confidentiality and security of data that are consistent with the Australian Code for the Responsible Conduct of Research.
• Under QUT's intellectual property policy ( D/3.1 ), research data is owned by the University, unless explicitly stated as part of a contractual arrangement with an external party.
• Collaborative research involving QUT as lead site or as a participant must be undertaken under a Collaborative Research Agreement (see D/2.6.9 below). The agreement must deal specifically with intellectual property ownership and the ownership of data and research materials.

Responsibilities of researchers

(a) Retain research data and primary materials

• Researchers must retain records in accordance with the minimum timeframes set out in the Queensland State Archives General Retention and Disposal Schedule for Queensland Universities (see F/8.1 ). In addition, researchers must take into account professional standards, as well as legal and contractual requirements when considering how long research data and primary materials need to be retained.
• Researchers must make research data available for use by other researchers unless prevented by ethical, privacy or confidentiality matters.
• Where the results or outcomes from research are challenged, all relevant data and materials must be retained until the matter is resolved.  Research records that may be relevant to allegations of research misconduct must not be destroyed.

(b) Management and storage of research data and primary materials

Researchers are responsible for the management and storage of research data and primary materials. As part of this obligation researchers must:

• keep clear and accurate records of the research methods and data sources including any approvals granted, during and after the research process
• ensure the research data and primary materials are kept in safe and secure storage provided within the school/centre or research unit, even when not in current use
• provide the same level of care and protection to primary research records, such as laboratory notebooks, as to analysed research data
• retain research data, including electronic data, in a durable, indexed and retrievable form
• maintain a catalogue of research data in an accessible form
• manage research data and primary materials according to ethical protocols and relevant legislation.

(c) Maintain confidentiality and privacy of research data and primary materials

Confidential information must only be used in ways agreed with those who provided it. Confidentiality agreements to protect intellectual property rights may be agreed between the University, the researcher and a research sponsor. Where confidentiality agreements limit free publication and discussion, explicit agreement must be reached on the limitations and restrictions which apply. Confidentiality agreements must comply with the University's intellectual property policy ( D/3.1 ), the Code of Good Practice for Postgraduate Research Studies and Supervision at QUT ( D/5.4 ) and the Universities Australia Code of Practice for Maintaining and Monitoring Academic Qualities and Standards in Higher Degrees.

Researchers are required to abide by the following protocols when dealing with confidential information:

• Individual researchers must enquire whether confidentiality provisions apply. The head of school / centre director or research project leader must inform researchers of their obligations to confidentiality provisions.
• Researchers must ensure all confidentiality agreements are made known at an early stage to the Deputy Vice-Chancellor (Research and Commercialisation) as the Vice-Chancellor's representative.
• Researchers must be responsible for ensuring appropriate security for any confidential material, including data held in computing systems. Where networked computing systems are involved, security of confidential data must be assured where multiple researchers are involved or where individual researchers have departed.
• In all cases, prior to the publication of research findings researchers must complete and lodge a Statement of Authorship and Location of Data form within their school/centre or research unit.

Top

2.6.4 Supervision of research trainees

For the purposes of this document, the term "research trainee" covers:

• QUT students enrolled in an honours, research masters or doctoral program, or any substantial postgraduate research project, and
• research assistants, associates, fellows and similar positions appointed at the level of academic Level A or Level B, or equivalent.

Responsibilities of the University

• The executive dean of faculty, together with the head of school / centre director, must have systems in place that ensure there is an identified, responsible and appropriately qualified supervisor for each staff member / student who is a research trainee or researcher new to research in the University.
• The executive dean of faculty, together with the head of school / centre director should provide sufficient training and guidance to ensure that research trainees are aware of:
• the legislative requirements and government guidelines for the conduct of research
• the QUT Code of Conduct for Research
• the University's research ethics arrangements
• the University's requirements on privacy, environmental protection and occupational health and safety matters.
• Supervisors of research trainees must adhere to the standard for staff behaviour outlined in the University's Code of Conduct ( B/8.1 ) and according to the guidelines contained in the University's Doctor of Philosophy Regulations and the Code of Good Practice for Postgraduate Research Studies and Supervision at QUT.
• Supervisors of research trainees are obliged to provide advice in all matters of good research practice consistent with the Code of Good Practice for Postgraduate Research Studies and Supervision at QUT.
• Supervisors of research trainees must ensure, as far as possible, the validity of research data obtained by a student under their supervision.

Top

2.6.5 Publication and dissemination of research findings

Responsibilities of the University

• QUT adheres to the criteria for authorship, publication and dissemination of research findings outlined in the Australian Code for the Responsible Conduct of Research.

Responsibilities of researchers

• Publication of multiple papers based on the same set(s) or subset(s) of data is not acceptable except where there is full cross-referencing within the papers (for example, in a series of closely related work, or where a complete work grew out of a preliminary publication and this is fully acknowledged).
• An author who submits substantially similar work to more than one publisher must disclose this to the publisher at the time of submission. Details must be supplied on the University's Statement of Authorship and Location of Data form .
• Researchers must make sure that they cite other relevant work appropriately and accurately when disseminating research findings. Use of the work of other authors without acknowledgement is unethical.
• As a general principle, research findings should not be reported in the public media before they have been reported to a research audience of experts in the field of research - preferably by publication in a peer-reviewed journal, except where there is a contractual arrangement.
• In some situations, issues of public policy and concern may make it desirable to seek prior advice from the responsible public or professional authorities, making clear to the authority the unreported status of the findings. Only where responsible authorities fail to act can prior reporting to the media be justified, and again the unpublished status of the findings must be reported at the same time.
• Where there is private reporting of research that has not yet been exposed to open peer-review scrutiny, especially when it is reported to prospective financial supporters, researchers have an obligation to explain fully the status of the work and the peer-review mechanisms to which it will be subjected.
• Publications must include information on the sources of financial support for the research. Financial sponsorship that carries an embargo on such naming of a sponsor should be avoided.
• Deliberate inclusion of inaccurate or misleading information relating to research activity in a curriculum vitae, grant application, job application or public statement, or the failure to provide relevant information, is research misconduct. Accuracy is essential in describing the state of publication (in preparation, submitted, accepted), research funding (applied for, granted, funding period) and awards conferred, and where any of these relate to more than one researcher. Researchers must be aware of and abide by confidentiality provisions.
• Researchers must register clinical trials with a recognised register to promote access to information about all clinical trials.
• Where a project receives funding from an external source and a contract is in place, it is the responsibility of researchers to be aware of and understand any obligations regarding the dissemination/publication of research findings.

Top

2.6.6 Authorship

Authorship of a research output is defined as substantial participation in a research output, including:

• conception and design, or analysis and interpretation of data
• drafting an article or revising it critically for important intellectual content
• final approval of the version to be published.

Responsibilities of the University

• QUT adheres to the authorship principles outlined in the Australian Code for the Responsible Conduct of Research.
• The University will take reasonable steps to respect the right of a creator of intellectual property to be acknowledged as the author of a work and to endeavour to ensure that others respect that right, unless the creator wishes not to be acknowledged or chooses not to attribute the work at the time of creation. The University will also take reasonable steps to respect the right of integrity of authorship in respect of works produced at QUT. The University is not obliged to take further action if the moral rights of authors are not (asserted) exercised. Guidelines for staff on moral rights are in section D/3.1.10 of the University's Intellectual Property Policy .
• Schools, centres and research units are responsible for encouraging and promoting responsible authorship practices that are considered appropriate within the discipline area.
• The head of school / centre director is responsible for the resolution of conflicts arising through disputes about authorship. Where resolution cannot be achieved, the matter should be escalated to the Deputy Vice-Chancellor (Research and Commercialisation).

Responsibilities of researchers

• An author's role in a research output must be sufficient for that person to take public responsibility for at least that part of the output in the person's area of expertise.
• Authorship of a research output cannot be claimed where participation is solely in the acquisition offunding or the collection of data. General supervision of the researchgroup does not constitute authorship.
• Authorship of a research output should be discussed between researchers at an early stage in a research project and reviewed whenever there are changes in participation.
• When there is more than one co-author of a research output, one co-author (by agreement amongst the authors) should be nominated as executive author of the whole research output and should take responsibility for record keeping regarding the research output.
• Publication of the research output, including electronic publication, requires all co-authors of the publication to sign the University's Statement of Authorship and Location of Data form , to certify that the minimum criteria for authorship have been fulfilled.
• Signature and lodgement of the University's Statement of Authorship and Location of Data forms must be retained in the school / centre or research unit and may be subsequently audited at the request of the Deputy Vice-Chancellor (Research and Commercialisation).
• If, for any reason, one or more co-authors are unavailable or otherwise unable to sign the statement of authorship, the head of school / centre director may sign on their behalf and must provide a written statement noting the reason for their unavailability.
• Due recognition of all participants is part of a proper research process, and the authors must ensure that others who have contributed to the work are recognised in the research output. Authors should ensure that the work of research students / trainees, research assistants and technical officers is properly acknowledged. Courtesy demands that individuals and organisations providing facilities should also be acknowledged.
• No person who is an author, consistent with the minimum requirement for authorship can be excluded as an author without their prior written permission. This must be attached to the University's Statement of Authorship and Location of Data forms and lodged and retained by the school / centre.

Top

2.6.7 Peer review

Responsibilities of the University

• QUT adheres to the principles of peer review outlined in the Australian Code for the Responsible Conduct of Research.
• QUT supports transparent and constructive peer review as a vital component of a dynamic and evolving research environment.
• Schools, centres and research units are encouraged to promote a culture of constructive peer review involving their staff and students.

Responsibilities of peer reviewers

When accepting an invitation to act as a peer reviewer, researchers are expected to:

• be fair and timely in their review
• act in confidence and not disclose the content of the outcome of any process in which they are involved
• declare all conflicts of interest, not permit personal prejudice to influence the peer review process, and not introduce considerations that are not relevant to the review criteria
• not take undue or calculated advantage of knowledge obtained during the peer review process
• ensure they are informed about, and comply with, the criteria to be applied
• not agree to participate in peer review outside their area of expertise
• give proper consideration to research that challenges or changes accepted ways of thinking.

Responsibilities of researchers

• Researchers whose work is undergoing peer review must not seek to influence the process or outcomes.
• Researchers in receipt of public funding have a responsibility to participate in the peer review process. Some funding agencies, such as the Australian Research Council, make this a requirement for all researchers in receipt of their funding.
• Supervising researchers have a responsibility to assist trainee researchers and students in developing the necessary skills for peer review and understanding their obligation to participate.
• Researchers involved in the peer review process must declare all relevant conflicts of interest.

Top

2.6.8 Disclosure of potential conflicts of interest

QUT researchers, whether staff or students, must make a full disclosure of any potential or actual conflicts of interest in their research.

Responsibilities of the University

QUT has a policy for identifying and managing conflicts of interest under its Code of Conduct (see B/8.1.6 )

Responsibilities of researchers

• In the case of a possible conflict of interest with a funding body, the researcher must advise the Office of Research, Research Students Centre or Office of Commercial Services, through the Deputy Vice-Chancellor (Research andCommercialisation), in writing under confidential cover.
• Researchers have an obligation to disclose at the time of reporting or proposing research (eg in a grant / contract / consultancy submission) any conflict of interest which has the potential to influence research and investigations, publication andmedia reports, grant applications, and applications for appointment or promotion.
• It is the responsibility of authors to ensure that editors are advised of any conflict of interest.
• In the case of research student supervision, a supervisor must adhere to the standard for staff behaviour outlined in the University's Supervision Guide for Postgraduate Students and Supervisors and Code of Conduct .
• Where a supervisor recognises an actual or potential conflict of interest with a research student that he/she is supervising, either on personal or professional grounds, the supervisor must advise the Chair of Research Degrees Committee in writing under confidential cover.
• Where a supervisor recognises an actual or potential conflict of interest with a research trainee that he/she is supervising, either on personal or professional grounds, the supervisor must advise the Deputy Vice-Chancellor (Research and Commercialisation) in writing under confidential cover.
• When conducting research involving the participation of humans, the research team must disclose any potential conflicts of interest in the recruitment / informed consent materials. This includes the disclosure of any sources of external funding for the research.

Top

2.6.9 Collaborative research across institutions

Responsibilities of the University

Where QUT is the lead organisation for a joint research project it will ensure that an agreement is reached with partners on the management of the research. Such an agreement should follow the general principles of this Code of Conduct for Research and be consistent with the University's intellectual property policy ( D/3.1 ).

The agreement will normally be in writing and should cover intellectual property, confidentiality, privacy and copyright issues, sharing of commercial returns, responsibility for ethics and safety clearances and reporting requirements. Delegation of authority to enter in agreements is outlined in policy G/6.1.4 .

Responsibilities of researchers

When establishing a research collaboration, researchers must disclose as soon as possible any actual or apparent conflicts of interest relating to any aspect of the project. See section D/2.6.8 above.

Top

2.6.10 Breaches of the Code, research misconduct and the framework for resolving allegations

(a) Role of the Vice-Chancellor

The Vice-Chancellor, as Chief Executive Officer of the University, receives advice from the Deputy Vice-Chancellor (Research and Commercialisation), as designated person, on matters relating to breaches of the Code or allegations of research misconduct.

(b) Designated person

Under QUT's Code of Conduct for Research, the Deputy Vice-Chancellor (Research and Commercialisation) is the designated person responsible for dealing with breaches of the Code and allegations of research misconduct. In the case of higher degree research students, these matters are normally referred by the Deputy Vice-Chancellor (Research and Commercialisation) to the Dean of Research and Research Training.

It is the responsibility of the Deputy Vice-Chancellor (Research and Commercialisation) to advise the Vice-Chancellor on whether allegations of research misconduct appear to be justified and whether a prima facie case exists.

Heads of school / centre directors and supervisors have an important role to play in the creation of an environment that is supportive of research practice and reflects the principles contained within this Code. It is expected that supervisors and heads of school / centre directors will act as the first point of contact when concerns over research practice arise. In cases where the supervisor, head of school or centre director has a conflict of interest, advice should be sought from the Faculty Research Ethics Advisor (see D/6.1.4 ). Where the breach is technical or minor, supervisors, heads of school and centre directors must work with the staff member or student in a productive way to address the concerns in a timely manner and ensure processes are in place to reduce the likelihood of a repeat occurrence. Written details of all breaches must be kept and copies forwarded to the Deputy Vice-Chancellor (Research and Commercialisation) for noting.

Actions which clearly constitute research misconduct must be referred to the Deputy Vice-Chancellor (Research and Commercialisation).

(d) Role of the assistant dean (research) and/or institute director

Matters which cannot be resolved at the head of school, centre director or supervisor level should be forwarded to the assistant dean (research) and/or institute director for consideration and mediation where possible.

Actions which clearly constitute research misconduct must be referred to the Deputy Vice-Chancellor (Research and Commercialisation).

(e) Types of complaints

Allegations and/or complaints relating to research practice may fall into the following categories:

(i) Failure to implement the Australian Code for the Responsible Conduct of Research

This includes failure of the University and its research community to adopt a shared responsibility around the principles articulated under the Australian Code for the Responsible Conduct of Research. Complaints under this category should be made to the Deputy Vice-Chancellor (Research and Commercialisation). Procedures for dealing with such complaints are provided in D/2.7.4 .

(ii) Research misconduct

Research misconduct represents a serious breach of the Australian Code for the Responsible Conduct of Research and/or the QUT Code of Conduct for Research that is sufficiently substantial to warrant formal allegation, investigation, and denial or admission. If proven, such misconduct would be expected to lead to disciplinary action by the University in accordance with its enterprise bargaining agreements, policies and Statutes.

Detailed procedures for dealing with allegations of research misconduct are provided in D/2.7.

Top

Related Documents

MOPP B/8.1 Code of Conduct

MOPP D/5.4 Code of Good Practice for Postgraduate Research Studies and Supervision at QUT

MOPP D/2.7 Procedures for dealing with allegations of research misconduct

Australian Code for the Responsible Conduct of Research

National Statement on Ethical Conduct in Human Research

Statement on Consumer and Community Participation in Health and Medical Research (NHMRC and Consumers' Health Forum of Australia Inc, 2002)

Values and Ethics - Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research (NHMRC, 2003)

Top

Modification History

Top