ACN - 101321555 Australasian Human Research Ethics Consultancy Services Pty Ltd (AHRECS)

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Australasian Human Research Ethics Consultancy Services Pty Ltd (AHRECS)

New research integrity professional development resource0

 

All Australian research institutions that receive NHMRC or ARC research funding or otherwise operate under the auspices of Universities Australia should be steadily working toward implementing the 2018 version of the Australian Code for the Responsible Conduct of Researchby 30 June 2019.

We’d argue that all other Australian research institutions should also be working on implementation.

Australian Code (2018) template ppt, over 40 short audio clips, activity sheet and facilitator notes – https://www.patreon.com/posts/23800537

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Suggested audio snippets for the slides
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Embedded audio# about the suite of workshop resources about the Australian Code (2018)
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Sample audio snippet# from the >40 audio clips

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# To listen to the embedded audio by Mark Israel, download the ppts. View the slides that have an audio speaker icon. Click the icon and press play

As you will have seen from the countdown on the AHRECS website, we’re down to the last 50% of the time to implement the Australian Code (2018). We understand that in many institutions research staff and management are stretched and that the recent cuts in research infrastructure funding will do little to help that. We are not trying to provoke panic or undue stress, but believe that a commitment to research integrity (like research ethics) involves long-term, consistent and coherent planning and investment and not erratic and unsustained bursts of ‘excitement’. Those institutions that are still struggling with the 2007 Code should see that as an indication that they need to take the 2018 Code seriously and not hope that its demands will go away.
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Awareness-raising and professional development are effective ways to implement the Australian Code (2018) and invest in the research culture of an institution.
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To assist our patrons, we’ve come up with a cost-effective resource.

Gold Patrons can now download at no charge:

  1. A template for a workshop for HDR candidates and other early career researchers (to be delivered by a member of your staff) about the Australian Code (2018) and research integrity in general.
  2. Over 40 audio clips by Dr Mark Israel that can either played within the above workshop or placed on a resource page for access by your research community.
  3. A group activity sheet of nine vignettes, that are based on real cases.

(1) and (3) are supplied with facilitator notes.

Included with this post is a sheet that suggests which audio clips to use with each slide of the ppt.  The sheet is included with the resources discussed in this post. Also included here is a PowerPoint with an embedded audio clip about the resource.

It only costs USD15/month to become a Gold Patron. Visit https://www.patreon.com/ahrecs to become a patron and for more information.

Of course, AHRECS would be delighted to run such workshops for and with you and to support the development of policy and procedures in your institution that would meet the requirements of the 2018 Australian Code.  See https://ahrecs.com/australiancode2018 for further information about the ways AHRECS can assist you with implementation.

Contributor
Mark Israel, AHRECS Senior Consultant | AHRECS profilemark.israel@ahrecs.com

This post may be cited as:
Israel, M. (9 January 2018) New research integrity professional development resource. Research Ethics Monthly. Retrieved from: https://ahrecs.com/research-integrity/new-research-integrity-professional-development-resource

Griffith University’s implementation of the Australian Code (2018)0

 

Dr Amanda Fernie, Manager Research Ethics & Integrity, Griffith University Dr Gary Allen, Senior Policy Officer, Griffith University

AUSTRALIAN CODE (2007)

At Griffith University, the implementation, operation, investigations and related professional development of/for the 2007 edition of the Australian Code for the Responsible Conduct of Research is the responsibility of the Research Ethics & Integrity team in the Office for Research.

The Griffith University Code for the Responsible Conduct of Research was the University’s policy implementation of the Australian Code (2007) and it was supplemented by the Research Integrity Resource Sheet (RIRS) series. The Griffith University Code was largely a direct repeat of the Australian Code into Griffith University policy. The RIRS is a series of short (most are four pages) guidance documents that provide practical tips related to the University’s implementation of Part A and Part B of Australian Code (2007).

IMPLEMENTING THE AUSTRALIAN CODE (2018)

This is the first post in the series about institutions implementing the Australian Code (2018). We’d love to hear about your instution’s progress and story. Email us at IntegrityStory@ahrecs.com to discuss logistics.

At the outset, Griffith University decided to give its Research Integrity Adviser (RIA) network a more collegiate advisory role, and while RIAs were made available to advise complainants and respondents, or parties in a dispute, their primary role was providing advice and suggestions.
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Professional development workshops on research integrity for new HDR candidates were conducted a few times a year (as part of the orientation) and were co-facilitated by the Office for Research and the Griffith Graduate Research School. Workshops on research integrity were also conducted for new HDR Supervisors as part of their accreditation. Since 2007, professional development workshops in Schools, Departments, Research Centres, Administrative units and Groups have been co-facilitated by the relevant RIA and a member of the Research Ethics & Integrity team.
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APPROACH TO THE AUSTRALIAN CODE (2018)

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Griffith University aims to have fully implemented the Australian Code (2018) by the end of March 2019. Griffith’s Research Committee has recommended to the Academic Committee that the redundant detail of the Griffith University Code be replaced by the Griffith University Responsible Conduct of Research policy. This policy articulates the University’s implementation of the principles and responsibilities of the Australian Code (2018), the role of the University’s collegiate RIAs, and the existence and role of the resource material that will be produced by the Office for Research.
Our Office for Research is currently liaising with the relevant parts of the University to determine who has control of:

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Level 1 – Documents that refer to or link to the Australian Code, where a simple change to the reference/URL is required. Example: HDR candidate supervision policy.
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Level 2 – Documents that derive authority from the Australian Code, where it will need to be determined if the Australian Code (2018) still directly provides that authority or if any changes are required. Example: Publication ethics standards.
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Level 3 – Documents that copy, refer to or use a component of the Australian Code (2007), where it will need to be determined if the Australian Code (2018) still provides that component or if it needs to be replaced by institutional guidance.
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The above work is underway and progressing well.
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In the event new institutional guidance is required, it will be included in the updated RIRS series.
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UPDATED RESEARCH INTEGRITY RESOURCE SHEETS

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The following resource sheets are being produced:
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  1. Introduction to research integrity at Griffith University
  2. Moving to the 2018 version of the Australian Code
  3. Planning and conducting a project responsibly
  4. Responsible research outputs
  5. Responsible data management
  6. Collaborative research: Hints and tips
  7. The responsible supervisor
  8. The responsible candidate
  9. Conflicts of interest
  10. Tips for peer review
  11. Disputes between researchers
  12. Investigations of alleged breaches of the Australian Code for the Responsible Conduct of Research
  13. Alleged breaches: Tips for complainants
  14. Alleged breaches: Tips for respondents
  15. Research Misconduct

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Initially any ‘new’ guidance material will use text from Part A of the Australian Code for the Responsible Conduct of Research (2007), but the intention is to refine the material based on (sub)discipline and methodological feedback from the University’s research community, drawing from useful ideas from the Committee on Publication Ethics (COPE), International Committee of Medical Journal Editors (ICMJE), US Office of Research Integrity (ORI) and the UK Research Integrity Office.
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As new good practice guides are released the relevant RIRS will be reviewed and updated as required.
Griffith University is taking a ‘learning institution’ approach to this material, where it is refined and improved over time based on user feedback and suggestions, institutional and (inter)national experience/events and changes in needs.
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COMMUNICATION PLAN

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The Office for Research is currently finalising a communication plan, in addition to regular updates to Research Committee, the RIA network and the areas of the University identified for the consultation above. This will include briefings for the Group Research Committees.
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AWARENESS AND PROFESSIONAL DEVELOPMENT PLAN
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Early in 2019, the Office for Research and RIAs will commence professional development activities to raise awareness and understanding of the national and international changes.
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Amanda is happy to be contacted with any questions or suggestions about this work.
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Contributors
Amanda Fernie, Griffith University | a.fernie@griffith.edu.au & Gary Allen, Griffith University

This post may be cited as:
Fernie, A. & Allen, G. (26  November 2018) Griffith University’s implementation of the Australian Code (2018). Research Ethics Monthly. Retrieved from: https://ahrecs.com/research-integrity/griffith-universitys-implementation-of-the-australian-code-2018
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We invite debate on issues raised by items we publish. However, we will only publish debate about the issues that the items raise and expect that all contributors model ethical and respectful practice.

 

New resources coming soon from AHRECS0

 

AHRECS has always had two primary missions: to provide relevant and up-to-date information services on human research ethics and research integrity and to provide expert consultancy services in those areas. We have developed and maintain free services – the Research Ethics Monthly and the Resources Library – that feedback shows are increasingly used and valued. We actively maintain these by regular surveying relevant literature to identify items of interest and value. We have attracted a regular community of readers and user of our services.

We have come to the view that, in order to ensure that these are maintained, a subscriber or patronage arrangement is needed. This patrons’ area will provide additional online services and resources.

We plan to establish such a subscription/patron’s area on 1 July. Our aim is to make available to subscribers material that supplements what we continue to offer at no charge and so rewards those who commit to this way of supporting us.

There will be different financial levels of patronage, starting at 1USD a month. For research institutions, our expectation is that one (for example, the ethics manager) or two (the HREC Chair as well) would become patrons, but we would of course be delighted if members of the research ethics committees and researchers (from all disciplines and across career stages) who are an important intended audience for this new material, decide to become AHRECS patrons.

The kinds of things that will be available are:

(i) Vignettes on human research ethics/research integrity topics;

(ii) Commentaries (about 300 words) on breaking news and significant research outputs;

(iii) A few times a year a group Q&A session with one of the AHRECS consultants;

(iv) Booklets and resource papers; and

(v) Periodic webinars on topics nominated by patrons.

The information and resources will be shared on a non-commercial creative commons basis.

On the more fun side of things, patrons will be able to download images AHRECS have commissioned for use in professional development workshops and receive free mugs/desktop mice pads.

The base level of subscription will grant access to an exclusive behind the scenes feed from the AHRECS team.

The monthly payments will be via Patreon and Paypal and can be discontinued or modified at any time without losing the right to use already downloaded material.

We’re excited by this new way to engage with the human research ethics and research integrity communities.

Rest assured the Resource Library and Research Ethics Monthly will continue and remain free.

The Contributors
Gary Allen, Mark Israel and Colin Thomson – senior consultants AHRECS

This post may be cited as:
Allen G., Israel M. and Thomson C. (22 June 2018) New resources coming soon from AHRECS. Research Ethics Monthly. Retrieved from: https://ahrecs.com/ahrecs-admin/new-resources-coming-soon-from-ahrecs

We invite debate on issues raised by items we publish. However, we will only publish debate about the issues that the items raise and expect that all contributors model ethical and respectful practice.

Australian Code 2018: What institutions should do next1

 

Gary Allen, Mark Israel and Colin Thomson

At first glance, there is much to be pleased about the new version of the Australian Code that was released on 14th June. A short, clear document that is based upon principles and an overt focus on research culture is a positive move away from the tight rules that threatened researchers and research offices alike for deviation from standards that might not be appropriate or even workable in all contexts.

The 2007 Code was rightly criticized on several grounds. First, weighing a system down with detailed rules burdened the vast majority with unneeded compliance for the recklessness and shady intentions of a very small minority. Second, there was reason to suspect the detailed rules did not stop the ‘bad apples’. Third, those detailed rules probably did not inspire early career researchers to engage with research integrity and embrace and embed better practice into their research activity. Finally, the Code did little to create an overall system able to undertake continuous improvement.

But, before we start to celebrate any improvements, we need to work through what has changed and what institutions and researchers need to do about it. And, then, maybe a quiet celebration might be in order.

Researchers have some fairly basic needs when it comes to research integrity. They need to know what they should do: first, as researchers and research supervisors in order to engage in good practice; second, if they encounter poor practice by another researcher; and, third, if other people complain about their practices.

The 2007 Australian Code offered some help with each of these. In some cases, this ‘help’ was structured as a requirement and over time was found wanting. The 2018 version appreciated that these questions might be basic but that the answers were often complex. The second and third questions are partly answered by the accompanying Guide to Managing and Investigating Potential Breaches of the Code (the Investigation Guide) and we’ll return to this. The answer to the first question is brief.

The Code begins to address responsibilities around research integrity through a set of eight principles that apply to researchers as well as their institutions: honesty; rigour; transparency; fairness; respect; recognition of the rights of Indigenous peoples to be engaged in research; accountability, and promotion of responsible research practices. Explicit recognition of the need to respect the rights of Aboriginal and Torres Strait Islander peoples did not appear in the 2007 version. There are 13 responsibilities specific to institutions. There are 16 responsibilities, specific to researchers, that relate to compliance with legal and ethical responsibilities, require researchers to ensure that they support a responsible culture of research, undertake appropriate training, provide mentoring, use appropriate methodology and reach conclusions that are justified by the results, retain records, disseminate findings, disclose and manage of conflicts of interest, acknowledge research contributions appropriately, participate in peer review and report breaches of research integrity.

In only a few cases might a researcher read these parts of the Code and conclude that the requirements are inappropriate. It would be a little like disagreeing with the Singapore Statement (the one on research integrity, not the recent Trump-Kim output). Mostly, the use of words like ‘appropriate’ within the Code (it appears three times in the Principles, twice in the responsibilities of institutions and five times in responsibilities of researchers) limit the potential for particular responsibilities to be over-generalised from one discipline and inappropriately transferred to others.

There are some exceptions, and some researchers may find it difficult to ‘disseminate research findings responsibly, accurately and broadly’, particularly if they are subject to commercial-in-confidence restrictions or public sector limitations, and we know that there are significant pressures on researchers to shape the list of authors in ways that may have little to do with ‘substantial contribution’.

For researchers, the Code becomes problematic if they go to it seeking advice on how they ought to behave in particular contexts. The answers, whether they were good or bad in the 2007 Code, are no longer there. So, a researcher seeking to discover how to identify and manage a conflict of interest or what criteria ought to determine authorship will need to look elsewhere. And, institutions will need to broker access to this information either by developing it themselves or by pointing to good sectoral advice from professional associations, international bodies such as the Committee for Publication Ethics, or the Guides that the NHMRC has indicated that it will publish.

We are told that the Australian Code Better Practice Guides Working Group will produce guides on authorship and data management towards the end of 2018 (so hopefully at least six months before the deadline of 1 July 2019 for institutions to implement the updated Australian Code). However, we do not know which other guides will be produced, who will contribute to their development nor, in the end, how useful they will be in informing researcher practice. We would hope that the Working Group is well progressed with the further suite if it is to be able to collect feedback and respond to that before that deadline.

There are at least eight areas where attention will be required. We need:

  1. A national standard data retention period for research data and materials.
  2. Specified requirements about data storage, security, confidentiality and privacy.
  3. Specified requirements about the supervision and mentoring of research trainees.
  4. A national standard on publication ethics, including such matters as republication of a research output.
  5. National criteria to inform whether a contributor to a research project could or should not be listed as an author of a research output.
  6. Other national standards on authorship matters.
  7. Specified requirements about a conflicts of interest policy.
  8. Prompts for research collaborations between institutions.

For each of those policy areas the following matters should be considered:

1. Do our researchers need more than the principle that appears in the 2018 Australian Code?

2. If yes, is there existing material upon which an institution’s guidance material can be based?

3. Who will write, consider and endorse the guidance material at a national or institutional level?

Many institutions will conclude it is prudent to wait until late 2018 to see whether the next two good practice guides are released and discover how much they cover. Even if they do so, institutions will also need to transform these materials into resources that can be used in teaching and learning at the levels of the discipline and do so in a way that builds the commitment to responsible conduct and the ethical imaginations of researchers rather than testing them on their knowledge of compliance matters.

Managing and Investigating Potential Breaches

The Code is accompanied by a Guide to Managing and Investigating Potential Breaches of the Code (the Investigation Guide). The main function of this Guide is to provide a model process for managing and investigating complaints or concerns about research conduct. However, before examining how to adopt that model, institutions need to make several important preliminary decisions.

First, to be consistent with the Code, the Guide states that institutions should promote a culture that fosters and values responsible conduct of research generally and develop, disseminate, implement and review institutional practices that promote adherence to the Code. Both of these will necessitate the identification of existing structures and processes and a thorough assessment to determine any changes that are needed to ensure that they fulfil these responsibilities.

This means that institutions must assess how their processes conform to the principles of procedural fairness and the listed characteristics of such processes. The procedural fairness principles are described as:

  • the hearing rule – the opportunity to be heard
  • the rule against bias – decisionmakers have no personal bias in the outcome
  • ‘the evidence rule – that decisions are based on evidence.

The characteristics require that an institution’s processes are: proportional; fair; impartial; timely; transparent, and confidential. A thorough review and, where necessary, revision of current practices will be necessary to show conformity to the Guide.

Second, when planning how to adopt the model, institutions need to consider the legal context as the Guide notes that enterprise bargaining agreements and student disciplinary processes may prevail over the Guide.

Third, the model depends on the identification of six key personnel with distinct functions. Some care needs to be taken to match the designated roles with the appropriate personnel, even if their titles differ from those in the model, in an institution’s research management structure. The six personnel are:

  • a responsible executive officer, who has final responsibility for receiving report and deciding on actions;
  • a designated officer, appointed to receive complaints and oversee their management;
  • an assessment officer or officers, who conduct preliminary assessments of complaints;
  • research integrity advisers, who have knowledge of, and promote adherence to, the Code and offer advice to those with concerns or complaints;
  • research integrity office, staff who are responsible for managing research integrity;
  • review officer, who has responsibility to receive requests for procedural review of an investigation.

Last, institutions must decide whether to use the term ‘research misconduct’ at all and, if so, what meaning to give to it. Some guidance is offered in a recommended definition of the term but, as noted above, this will need to be considered in the legal contexts of EBAs and student disciplinary arrangements.

Conclusion

The update to the Code provides a welcome opportunity to reflect on a range of key matters to promote responsible research. The use of principles and responsibilities and the style of the document offers a great deal of flexibility that permits institutions to develop their own thoughtful arrangements. However, this freedom and flexibility comes with a reciprocal obligation on institutions to establish arrangements that are in the public interest rather than ‘just’ complying with a detailed rule. We have traded inflexibility for uncertainty; what comes next is up to all of us.

Click here to read about the AHRECS Australian Code 2018 services

The Contributors
Gary Allen, Mark Israel and Colin Thomson – senior consultants AHRECS

This post may be cited as:
Allen G., Israel M. and Thomson C. (21 June 2018) Australian Code 2018: What institutions should do next. Research Ethics Monthly. Retrieved from: https://ahrecs.com/research-integrity/australian-code-2018-what-institutions-should-do-next

We invite debate on issues raised by items we publish. However, we will only publish debate about the issues that the items raise and expect that all contributors model ethical and respectful practice.