Responsible Conduct of Research Policy and Procedure

Date approved 10/03/20
Next review date 10/03/22
Authored by Nathan Beu

 

1. Overview
   1. WARRI’s vision is to transform high-quality empirical research into better mental health outcomes for Australian healthcare consumers and communities. We conduct translational research in order to generate an evidence base for best practice mental health interventions. In so doing, we combine the best clinical and public health research with advances in experimental fields to generate and evaluate innovative and practical health care.
   2. The WARRI team is dedicated to undertaking high-quality, methodologically rigorous mental health research in its priority themes (alcohol and other drug use and gambling addiction; trauma and resilience; suicide prevention; and, general wellbeing) that has direct and impactful benefit to Australians.

       

2. Scope
   1. The policies outlined in this document apply to WARRI researchers and titleholders, as well as WARRI’s independent research committee members, affiliates, and collaborators, all WARRI staff and research assistants, and students supervised by the aforementioned. Those within this scope are henceforth referred to as Researchers.
   2. All Researchers covered by the above are expected to read, understand, and endorse the frameworks, policies, and procedures described in this document.

       

3. Responsibilities of WARRI researchers and associates
   1. WARRI Researchers have an obligation to comply with the following:
      1. Australian Code for the Responsible Conduct of Research (the Code);
      2. WARRI Research Policies and Procedures outlined in this document, and other relevant WARRI policies, procedures, and guidelines; and,
      3. NHMRC and ARC approved standards and guidelines including but not limited to:
         1. National Statement on Ethical Conduct in Human Research
         2. National principles of Intellectual Property management for publicly funded research
         3. Guide to the development, evaluation and implementation of clinical practice guidelines and related policies
      4. All Researchers are expected to:
         1. Maintain high standards of research;
         2. Respect research participants;
         3. Report research misconduct.

             

4. Aboriginal and Torres Strait Islander peoples
   1. WARRI, its researchers, and its associates, acknowledge and value Aboriginal and Torres Strait Islander peoples and communities. WARRI is dedicated to conducting research that directly impacts these communities in Adelaide and its surrounding regions. Researchers and Associates are expected to engage with established guidelines for conducting research with Aboriginal and Torres Strait Islander participants and/or communities:
      1. Ethical conduct in research with Aboriginal and Torres Strait Islander Peoples and communities (NHMRC, 2018),
      2. Keeping research on track II (NHMRC, 2018),
      3. Guidelines for Ethical Research in Australian Indigenous Studies (AIATSIS, 2012).
   2. All research is to be conducted in accordance with the South Australian Aboriginal Health Research Accord, developed by Wardliparingga, which extends beyond Aboriginal Health research, applying to all WARRI research activities. This accord was developed in collaboration with Aboriginal Elders, organisations, and community members, and encourages a çulture of excellence’ in health and medical research by outlining nine core principles: (i) priorities; (ii) involvement; (iii) partnership; (iv) respect; (v) communication; (vi) reciprocity; (vii) ownership; (vii) control; (ix) knowledge translation.
   3. WARRI acknowledges that research with Aboriginal and Torres Strait Islander peoples and communities spans many methodologies and disciplines, and all staff are trained in cultural competency.

       

5. Diversity and Equality in Health and Medical Research
   1. WARRI supports diversity and equality in all forms within the institution and its research scope and priorities. It is committed to providing an environment free from all forms of discrimination and harassment, and strives to support workplace equity practices in employment and retention.

       

6. Consumer and Community Engagement
   1. The consumer and the community are integral to WARRI research themes, and Researchers are encouraged to engage with consumers and communities and support and facilitate their participation in research at all of its stages, including direction and co-design, where suitable.

       

7. Management of research materials
   1. Researchers involved in any WARRI research activity must act in accordance with the Code to ensure that all research material, data, and records are maintained, retained, and stored in a secure, durable, compliant, and appropriately referenced form.
   2. Researchers are responsible for ensuring the security and confidentiality of all research material and data. Consistent with the Code, data are to be de-identified where possible.
   3. All physical data is to be secured and backed up in electronic format on a password protected and encrypted drive where possible.
   4. Consistent with the Code, data is to be retained for sufficient time to allow reference, and for the suggested periods in accordance with section 2.1.1 of the Code depending on the type of data.
   5. The location and management arrangements for all data is to be documented in a Data Management Plan that is stored in the WARRI records management system.
   6. All data that is used in any format of publication must be made available where appropriate and permissible by privacy and confidentiality provisions.

       

8. Research integrity
   1. WARRI Researchers are committed to the conduct of methodologically and ethically robust research that complies with the core principles outlined in the Code:
      1. Honesty and Integrity;
      2. Respect for human participants, animals, and the environment;
      3. Responsible use of public resources to conduct research;
      4. Appropriate acknowledgement of the role of others in research; and,
      5. Responsible communication of research results.
   2. Researchers and staff are encouraged to communicate any concerns, complaints, or allegations regarding breaches to the Code, including any forms of research misconduct or misrepresentation, to a Designated Person who undertakes a confidential review process. Such breaches are taken very seriously by WARRI and will be investigated by its independent research committee and its board.

       

9. General principles
   1. It is a fundamental assumption that WARRI research staff is committed to high standards of research integrity and professional conduct.
   2. Duty to ensure research is in line with WARRI’s mission statement and general research themes.
   3. Must produce research with practicable outcomes.
   4. Only participate in work consistent with accepted ethical standards, and as outlined in the National Statement on Ethical Conduct in Human Research.
   5. WARRI has a responsibility to ensure the safety of all those associated with the research.
   6. Researchers must determine if ethics and/or other relevant compliance approvals are required prior to commencement of research, attain such approvals if necessary, and conduct research within the bounds of such approvals.
   7. Publication and dissemination of research findings:
      1. WARRI recognises the importance of communicating research findings to other Researchers, health care practitioners, and the wider community. In such cases where WARRI research is reported in the public mediate before peer review, reporting must be strictly based on existing research data and outcomes and not expected data and outcomes.
      2. WARRI encourages its Researchers to publish and disseminate their research in an effective and efficient manner in, including but not limited to, journal articles, conference and/or seminar presentations, media correspondences, research reports, or other materials.
      3. Consistent with the Code, all publications must include information describing the sources of financial support for the research, including scholarship funding where applicable.
      4. All reasonable steps are to be taken to ensure the completeness and accuracy of research findings, statistics, and conclusions. Deliberate inclusion of inaccurate or misleading information on any WARRI documents, correspondences, releases, or publications is a form of research misconduct.

          

10. Authorship
    1. WARRI adopts the principles outlined by the Code regarding rules for authorship of research outputs. Attribution of authorship depends on substantial contributions to:
       1. Conception and design of the project;
       2. Analysis and interpretation of data;
       3. Drafting significant parts of the work or critically revising so as to contribute to the interpretation or provide important intellectual content; and,
       4. Final approval of the submission.
    2. Authorship is in no way tethered to position, profession, or seniority, and in no way depends on whether the contribution was voluntary or compensated, either by salary or other form.
    3. In cases of multiple authorship, one author should be nominated as executive author and who is responsible for record keeping. This should be discussed between Researchers at an early stage in the research project. No author will be included or excluded without their permission, and all persons who qualify as an author should describe their contribution to the work.
    4. Participation solely in the acquisition of funding or collection or data does not justify authorship. General supervision of the research group is not sufficient for authorship.
    5. Any part of an article critical to its main conclusion must be the responsibility of at least one author; an author’s role must be sufficient such that the author takes responsibility for at least that part of the research output.

        

11. Conflict of interest
    1. Disclosure of any actual, potential, or perceived conflict of interest is essential for the responsible conduct of research.
    2. Researchers have an obligation to disclose any potential conflict of interest which could possibly influence research activities, interpretation of data, or output in any form. Such conflicts may be personal, professional, or financial, and may represent an actual, potential, or perceived conflict. Conflicts may also be affiliation with an organisation or entity with a direct interest in the subject matter or materials of research.
    3. A conflict of interest may arise if an organisation or entity with a direct interest in the research subject matter provides direct or indirect benefits to the Researchers.
    4. A conflict of interest extends beyond WARRI Researchers to their spouses, dependents, and/or families who stand to gain any benefit associated with research.
    5. Under any circumstances outlined above, the Researcher must disclose the potential conflict to the Designated Person.