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 zhaixin@cashq.ac.cn

Dr Ren Yi (MQU)

ren.yi@mq.edu.au

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.