(1) This Policy: (2) This Policy applies to departures from the principles and responsibilities of the Code by researchers which are referred to as “breaches”. (3) This Policy should be read in conjunction with other University Policies and Procedures including the Code of Practice – Responsible Conduct of Research, Research Integrity and Conduct Procedure: Breaches, Concerns and Complaints, relevant legislation and external documents including the Code and the Guide to Managing and Investigating Potential Breaches of the Code. (4) In the event that a student or visitor is also a staff member or vice versa, this Policy will apply to the role most relevant to the concern or complaint. (5) This Policy does not apply to concerns or complaints pertaining to academic misconduct by a researcher or a student who is wholly or substantially unconnected with the conduct of research. Instances of academic misconduct will be addressed in accordance with the relevant policy such as the Student Conduct Rules, Academic Integrity Policy or other policy of relevance. (6) The principles of procedural fairness apply to all stages of investigating and managing potential breaches of the Code. These principles encapsulate the following: (7) In investigating and managing a potential breach of the Code, the University must: (8) Breaches occur on a spectrum from minor (less serious) to major (more serious). (9) Minor breaches may include administrative or clerical errors or careless oversight and may be able to be addressed locally prior to the need to conduct a preliminary assessment. (10) Major breaches are more serious and require a more formal investigation to be undertaken. The term “research misconduct’ may be applied to these type of breaches and they must be considered in the context of other institutional processes, such as employment or student disciplinary agreements. (11) Examples of what may constitute a breach of the Code include, but are not limited to, the following: (12) To consider the seriousness of a breach of the Code the following factors to be considered (without excluding other factors) are: (13) Honest differences in judgement and unintentional errors do not usually constitute research misconduct unless they result from behaviour that is found to be reckless or negligent. (14) Repeated or persistent breaches that, in isolation, may be regarded as “minor”, but collectively constitute a serious breach. (15) The University has a responsibility to: (16) Researchers have a responsibility to: (17) Faculties/Institutes have a responsibility to promote a culture of responsible conduct of research and promote best practice in managing research misconduct. They must: (18) Research Integrity Advisers (RIAs) provide information and guidance to any person that may have a concern about research conduct or practices at the University. This includes identifying whether a concern or complaint is related to a breach of the Code and advising on the University processes to be completed to progress the concern or complaint. (19) Specific roles and responsibilities of those involved in investigating and managing concerns and complaints that relate to research activities at the University are detailed in the University Research Integrity and Conduct Procedure: Breaches, Concerns and Complaints.Research Integrity Breaches Concerns and Complaints Policy
Section 1 - Purpose
Top of PageSection 2 - Application & Scope
Section 3 - Policy Principles
Top of PageSection 4 - Breaches of the Code
Section 5 - Roles & Responsibilities
Section 6 - Definitions
View Current
This is not a current document. To view the current version, click the link in the document's navigation bar.
Word/Term
Definition (with examples if required)
ARC
Australian Research Council
Breach
Behaviour that fails to meet the principles or responsibilities of the Code, or fails to comply with relevant policies or legislation. May be used to refer to a single breach or multiple breaches.*
NHMRC
National Health and Medical Research Council
Processes
Includes reference to policies, procedures, guidelines and standards.*
Research
The creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative.
Researcher
Staff member, occupational trainees, visiting student, visiting fellow, volunteer, industry fellow, honorary and adjunct title holders, Emeritus Professors, professional staff, visiting students and all students registered for any course at the University who conduct research at or on behalf of the University.
Research Integrity Advisor (RIA)*
Person appointed to promote the responsible conduct of research and provide advice to those with concerns or complaints about potential breaches of the Code. This person will have research experience, knowledge of University policies and procedures, external legislation, obligations and familiarity with acceptable research practices. This role does not extend to the investigation or assessment of a complaint or concern.
Research Misconduct
A serious breach of the Code which is also intentional or reckless or negligent.
Staff Member
All persons appointed as an academic or professional staff member of the University, whether they hold full-time, part-time, casual, contract or conjoint appointments.
The Code
The Australian Research Council / National Health and Medical Research Council’s Australian Code for the Responsible Conduct of Research and the ARC / NHRMC Code or The Code for short.
The University
University of Wollongong.
Visiting Fellow
Honorary and visiting fellows appointed by UOW to non-salaried, full-time or fractional positions titled “Associate Fellow”, “Fellow”, “Senior Fellow”, “Principal Fellow”, “Professorial Fellow”, “Visiting Fellow”, or “Research Fellow” who are not Visiting Students or Volunteers.
Visiting Student
A student who undertakes part of their research or training at UOW but who is not registered at UOW.
Volunteer
A person who is not a Fellow, Visiting Student, Staff Member or Student of UOW but is working on a UOW project in a voluntary capacity. An example of a volunteer is someone who is undertaking unpaid work experience at UOW or is doing an internship at UOW. A collaborating colleague from another University or research institution is not a Volunteer.