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MISCONDUCT IN RESEARCH
Section 24.02

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OVERVIEW

24.02.01 This document sets down policy and procedures for dealing with misconduct in research and its investigation. These procedures and policies are designed to be part of a code of good practice in research at Macquarie University, and are linked to the Disciplinary Procedures in the Macquarie University Academic Staff and English Language Centre Teachers Enterprise Agreement 1997 and the By-Laws under the Macquarie University Act 1989. (The General Staff Enterprise Agreement 1997 relies upon the By-Laws).

24.02.02 Nothing in this document is intended to interfere with or alter in any way the procedures laid down in the Agreement and the By-laws, and which would be followed if, following a complaint, a case is found to exist and the decision is taken to proceed to a formal investigation.

24.02.03 It is also intended that the procedures set down here, together with those required by the Agreement and the By-laws, will provide the necessary mechanism to allow institutional certification to the NH&MRC as is required to enable the University to access research funds from that grant agency.

REFERENCES

Macquarie University General Staff Enterprise Agreement 1997 Clauses 11.04 and 11.05

Macquarie University Academic Staff and English Language Centre Teachers Enterprise Agreement 1997 Clauses 11.03 and 11.05

Council Resolution 17 December 1993

DEFINITIONS

24.02.04 'Misconduct' or 'Scientific Misconduct' here means fabrication, falsification, plagiarism, or other practices that seriously deviate from those commonly accepted within the academic or research community for proposing, conducting or reporting research. It includes misleading ascription of authorship including the listing of authors without their permission, attributing work to others who have not in fact contributed to the research, and the lack of appropriate acknowledgment of the work of others. It does not include honest errors or honest differences in interpretation of data.

Good Research Practice

24.02.05 Information on integrity in research, what constitutes misconduct in research, the rights and responsibilities of potential complainants, and these procedures is available from the Deputy Vice-Chancellor (Research) and members of the Research Committee.

24.02.06 Members of the Research Committee who are approached by staff or students for information on the above matters will provide it on the clear understanding that all matters discussed will remain entirely confidential between the parties. Research Committee members will not consult further on the above matters unless such action is agreed by them and the person(s) seeking information.

Statement on Good Practice in Research

24.02.07 A nationally agreed statement on good practice in research is to be found in the relevant AV-CC and NH&MRC documents. Macquarie University takes these as the basis for good practice by its staff.

POLICY

24.02.08 All action taken on a complaint of misconduct in research, from the receipt of an initial allegation through to any formal investigation, will be taken in accordance with these procedures and the Agreement(s), to ensure that all parties are fairly treated, that there is no needless damage to personal reputation or career consequent to any investigation, and that the overall impacts of both accusation and either the proving or disproving of a case of misconduct in research are minimal both within and outside the University.

PROCEDURES

Allegations or Formal Complaints

24.02.09 Allegations of misconduct in research will be received and appraised by the Deputy Vice-Chancellor (Research) or another member of the Research Committee or a senior member of Academic staff to whom the Vice­Chancellor formally delegates the responsibility.

24.02.10 Immediately following receipt of an allegation the person so delegated will immediately inform the appropriate Head and provide all relevant available information for the attention of the supervisor. The delegate will also provide advice in terms of 24.02.05 and will remain available to assist the supervisor and Head in that regard.

24.02.11 Where the Vice-Chancellor is satisfied that a complaint involves an allegation of misconduct, the Vice-Chancellor shall deal with the allegation in accordance with the Macquarie University General Staff Enterprise Agreement 1997 or the Macquarie University Academic Staff and English Language Centre Teachers Enterprise Agreement 1997.

24.02.12 Where the Vice-Chancellor is satisfied that a complaint does not constitute an allegation of misconduct which should be dealt with under either the Macquarie University General Staff Enterprise Agreement 1997 or the Macquarie University Academic Staff and English Language Centre Teachers Enterprise Agreement 1997, the Vice-Chancellor shall dismiss the complaint. (It may be necessary to take action to redress damage resulting from the allegation (see 24.02.23) or to make enquiries outside this policy concerning good practice).

Protection of Interested Parties

24.02.13 Allegations of misconduct in research can be extremely serious matters which place at potential risk the reputations of both the complainant and the person against whom the allegations are made, even before a decision is taken to conduct any form of investigation. It is for this reason that from the outset all actions taken must ensure the protection of any interested parties. Interested parties are defined as:

the person bringing the allegation;

the staff member against whom the allegation is made;

research students and staff working with the staff member concerned;

the University, the School and the units concerned;

the publishers of journals in which papers containing information under question have been or are about to be published;

funding agencies which have supported the research which is under question;

external organisations or members of the public if the consequences of the research in any way impact upon them.

24.02.14 In particular, protection of both the complainant and the staff member who is the subject of the allegation must be ensured by means of complete confidentiality and the most expeditious possible investigation of the allegation.

Formal Investigation

24.02.15 Formal procedures for dealing with serious misconduct of staff members are set down in Macquarie University General Staff Enterprise Agreement 1997 or the Macquarie University Academic Staff and English Language Centre Teachers Enterprise Agreement 1997.

24.02.16 A Committee of Investigation constituted under either of the above provisions shall not include any person from the academic discipline associated with the research nor any person directly or indirectly involved with the allegation.

24.02.17 In the conduct of an investigation, the Committee of Investigation will have access to legal and expert advice on the research subject to which the misconduct complaint is related. The University will take responsibility for payment for this advice.

24.02.18 The University will use all means to ensure the confidentiality of the investigation.

Action following the Formal Investigation

24.02.19 Where the staff member who is the subject of the complaint is found to have a case proved against them the Vice-Chancellor will take action in accordance with the provisions of the Agreements.

24.02.20 The University will inform any interested third parties where an allegation is proved. These will include publishers of journals to which papers have been submitted or in which papers have been published, and other members of the research community or the wider external private and public sector organisations which in the judgment of the Committee may suffer adverse impact from the consequences of the misconduct about which the complaint has been brought.

24.02.21 In cases where an allegation has been proved it will be a responsibility of the Committee to advise the Vice-Chancellor if further investigations should be undertaken of other research work undertaken by the staff member where there is reasonable evidence that other research work that the staff member has conducted in the past may be rightly called into question.

24.02.22 The Committee will also be responsible to advise the Vice­Chancellor if it believes that a proved case of misconduct in research has had such adverse impact on other staff members or students as to require the consideration of compensation to those persons.

24.02.23 Where the staff member who is the subject of the complaint is not found to have a case proved against them, action may be needed to redress damage resulting from the allegation. Where external funding agencies or publishers or others have been informed of the progress of a formal investigation as previously indicated, and no case has been proved, these bodies will be advised as promptly as possible.

24.02.24 To protect all parties, no record of the allegation will be placed on any individual's personal file during the investigations, rather the matter will be documented on a confidential Central Records file. Where the allegation is not proved, that file will be destroyed once the investigations have been completed and all parties notified of the innocence of the staff member.

24.02.25 Where the staff member has been found guilty the details of the allegation and finding will be recorded on the staff member's personal file. If the staff member is in receipt of funding from external agencies or was so at the time that the misconduct occurred or is currently an applicant for external funding, the relevant officers of these agencies will be provided with a full written report of the formal investigation and the details of the allegation and finding as recorded on the staff member's personal file.

SOURCES OF INFORMATION

Sharon Litchfield, Personnel Office (9768)
or
Peter Freeman, Research Management Unit (8611)