Module 5: Quality and Integrity

Good scholarship requires high standards of quality and integrity. The modern scientific method emerged to ensure the integrity of research, to generate reliable knowledge. Notwithstanding debates about the philosophy of science, accepted scientific norms ensure quality and integrity. Though violation of some norms, sometimes, does not mean that the research is illegitimate, close attention to objectivity and integrity is always essential.

A reviewer of a research publication should be able to verify that the research is based on credible theories based on a body of peer-reviewed literature. The conjectures (hypotheses) being tested should be explicit.  Though identifying a pre-existing theory or hypotheses may not be possible for research that is descriptive or intended to develop hypotheses (e.g. grounded theory), good research will clearly reflect the scientific literature, and use methods that are consistent with good practice.

Objective data is essential to scientific analyses. This comes in many forms, including theoretical or descriptive evidence from publications or lectures, or empirical data from experiments or observations.  What evidence is needed depends on what analysis is intended, and this is determined by the research method.

Research findings should be based on clear evidence. Where researchers do express opinions, or propose unsupported hypotheses, these should be clearly distinguished from research findings.

In the physical sciences, new sensors and methods (particularly ‘big data’ statistics ) have increased the diversity and precision of data that is used. Other changes have happened with doctrinal studies, including computerised legal content analysis, jurimetrics or automated bibliographic analysis, though these developments are still in their early stages.  New methods in the social sciences have increased what is possible, and changed the data that is used. Social network analysis and photo-voice methods are examples of methodological changes, and (as in other fields) the analysis of datasets is now facilitated by statistical and computational innovations.

Spatial data combined with other biophysical and social data help to research environmental governance issues, or enable study of social issues such as housing, healthcare, and justice. Medico-legal studies use health statistics combined with social and legal data, and research of equality for Indigenous people can require evidence about traditional or evolved culture, or the lived experience of minorities or disadvantaged people. There is no lack of issues and methods, nor opportunities for useful innovation.

There are debates about whether some methods of cultural and social research are legitimately scientific. Auto-ethnography, where the researcher is the subject of the research and where the content cannot be independently verified, falls into this category. However, disciplines have developed their own guidelines to ensure the integrity of such research, though every researcher is responsible for the integrity of their work.

The distinction between quantitative and qualitative methods is becoming more nuanced.  Researchers investigating qualitative phenomena that might change with context (e.g. beliefs or attitudes, or judgements about fairness, or perceived quality) may also use numerical values and statistical analysis. They may use a scale to convert a subjective, situation-specific assessment into a numerical score when they are studying attitudes and beliefs. Economic methods that estimate dollar values for non-quantity human values (e.g. emotions) blur the line between qualitative and quantitative investigation. Because numbers are perceived as less subjective than words, this can create a misleading sense of precision and reliability. An estimate expressed to three decimal places remains a guess, even if it appears to be a fact, and statistical manipulation does not change its nature!

Research Ethics

Researchers are obliged to protect those who may be harmed through their research. University (and other research) bodies require ethics approval for surveys, interviews, or focus group research. It is increasingly expected that ethics approval will be obtained for interactions between researchers and other people who are part of the research.

The matters of ethical concern are diverse. They include: privacy, cultural property and sensitivity, physical harms, custodianship and use of resources, worker health and rights, and financial matters (e.g. secret commissions and conflicts of interest). The term 'ethics' covers a very wide collection of issues.

Ethics administrative requirements require time, labour and resources. The often-subjective nature of ethical issues and community expectations can create ambiguity about the requirements, and a lack of clarity about what is good practice. Ethics requirements can complicate and delay research, and can be frustrating. It is important to allow for sufficient time and be flexible to deal with these issues in research project planning.

The NHMRC National Statement

The National Statement on Ethical Conduct in Human Research is a key policy for human research bodies. Other than research with a low level of risk (defined in paragraph 2.1.6, page 18) a formal ethics approval is required for all ‘Human Research”:

Human research is conducted with or about people, or their data or tissue. Human participation in research is therefore to be understood broadly, to include the involvement of human beings through:

  • taking part in surveys, interviews or focus groups;
  • undergoing psychological, physiological or medical testing or treatment;
  • being observed by researchers;
  • researchers having access to their personal documents or other materials;
  • the collection and use of their body organs, tissues or fluids (eg skin, blood, urine, saliva, hair, bones, tumour and other biopsy specimens) or their exhaled breath;
  • access to their information (in individually identifiable, re-identifiable or non-identifiable form) as part of an existing published or unpublished source or database.

From p7 the definition of research is

‘Research’… includes work of direct relevance to the needs of commerce, industry, and to the public and voluntary sectors; scholarship; the invention and generation of ideas, images, performances, artefacts including design, where these lead to new or substantially improved insights; and the use of existing knowledge in experimental development to produce new or substantially improved materials, devices, products and processes, including design and construction. It excludes routine testing and routine analysis of materials, components and processes such as for the maintenance of national standards, as distinct from the development of new analytical techniques. It also excludes the development of teaching materials that do not embody original research

There is particular ethical sensitivity to the interests of vulnerable groups: pregnant women and the human foetus (Ch. 4.1), children and young people (Ch. 4.2), people in dependent or unequal relationships (Ch. 4.3), people dependent on medical care who may be unable to give consent (Ch 4.4), people with a cognitive impairment, an intellectual disability, or a mental illness (Ch 4.5), people who may be involved in illegal activities (Ch 4.6), Aboriginal and Torres Strait Islander people (Ch. 4.7), and people in other countries (C.. 4.8). These are all groups where there are clearly identifiable risks to their welfare and emotional or cultural well-being from ill-considered research activities. They are also groups that are often the subjects of law and policy research.

Other obligations

There are many other obligations relevant to researchers that may be relevant to some investigations. They include:

  1. obligations to avoid conflicts of interest, fraud or deception and secret commissions;
  2. taxation obligations, including corporate and personal obligations;
  3. duties to workers including contractors to provide a safe system of work, as well as insurance, and industrial law obligations;
  4. obligations to avoid deception, including the protection of consumers, criminal deception and fraud.
  5. General obligations to people (e.g. against causing physical or economic harm), animals (e.g. animal cruelty and welfare obligations), and environments (e.g. against pollution or habitat destruction).
    Obligations related to intellectual property and knowledge include copyright, trade secrets, inventions and designs, and patents. Agreements (such as agreements to hold information as confidential, or to use it only for agreed purposes) also create obligations.

An obligation also arises if a researcher takes something of economic or cultural value from another person and uses it in ways that the person who provided it did not intend. There is also an obligation is to avoid misleading or deceptive behaviours when carrying out research. Legal obligations can arise even when the interests have no commercial value, particularly the interests of Aboriginal and Torres Strait Islander people or those who are vulnerable.

The Australian Code for the Responsible Conduct of Research (Code) and The Australian Research Integrity Committee (ARIC) Framework add further details. The principles in part A encompass data management, supervision, publication, dissemination, authorship and peer review of research findings, conflicts of interest and collaborative research.

In addition, vulnerable groups interests trigger additional ethical protection. One of these groups is Aboriginal and Torres Strait Islander people. The Guidelines for Ethical Research in Indigenous Studies (Guidelines) – Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS Guidelines) provide some guidance.

Where children are concerned, child protection legislation has mandatory reporting requirements, and the Crimes Acts make concealing a serious offence such as child abuse a crime.

There are rights to privacy under federal and state laws including the Privacy Act 1988 (Cth) and state laws such as the Privacy and Personal Information Protection Act 1998 (NSW) and the Health Records and Information Privacy Act 2002 (NSW).  The Privacy Act 1988 (Cth) establishes Privacy Principles which regulate the collection, storage, security, use and disclosure of personal information, including health information. In summary, the use or disclosure of personal information generally requires consent unless the use complies with guidelines under of the Act.

Partners in a project can have different expectations about their rights to research findings. Members of a project team should follow their employer’s policies and ethics codes (e.g. the Australian Public Service Code of Conduct in the case of Federal government agencies); which may restrict what information can be disclosed. Government agencies are bound by Freedom of Information Legislation, and may be forced to disclose. Universities want researchers to publish but other stakeholders may want to safeguard intellectual property rights by not releasing information. Possible conflict over such matters is one reason for having a documented agreement with research partners.

The codes of ethics for professions can also impose obligations. Examples include Anthropologists, Engineers, Economists, Rural Consultants, and Sociologists, and may be enforceable under the disciplinary standards of a profession.

Complying with rules and agreements

Researchers are bound by rules, but also agreements, notably employment or student agreements, scholarship or grant agreements, and contracts with collaborators. Not all are written. Researchers must also comply with laws relevant to their work.

University of New England researchers (including students) are bound by the Research Policies. What rules apply depends on the circumstances and the issues. Researchers should check regularly for changes, to ensure compliance.

Research management rules

  • COLLABORATIVE RESEARCH RULE
    This rule covers institution to institution collaboration (distinct from collaboration between individual researchers). It requires a written agreement for collaborations.
  • KNOWLEDGE ASSETS AND INTELLECTUAL PROPERTY POLICY
    The policy describes rights to research outputs. The arrangements also address intellectual property protection and give the university a dominant interest and require researchers and supervisors to protect that interest.
  • CONFLICTS OF INTEREST POLICY and CONFLICTS OF INTEREST PROCEDURES
    This policy governs situations where a member of university staff (or people with whom they have close relationships) might benefit, or suffer a disadvantage, from a UNE decision that they are involved in. It requires disclosure of any possible conflict of interest.

Researcher behaviour rules

  • CODE OF CONDUCT FOR RESEARCH RULE
    This rule and its procedures implement the Australian Code for the Responsible Conduct of Research. They set out more than 20 obligations of researchers.  The procedures deal particularly with complaints about breaches.
  • MANAGEMENT AND STORAGE OF RESEARCH DATA AND MATERIALS POLICY and PROCEDURES.
    The policy sets out responsibilities for the retention, storage, accessibility, and disposal of research data and materials.  Its primary goal is long-term future use and research verification.  It requires a research data management plan, and that researchers store research data on UNE cloud storage. On completion of research, records must be kept in a designated repository. There is an overlap with the University records management requirements and the Records Management Rule.
  • AUTHORSHIP RULE
    This policy specifies that only researchers who have made material contributions to a research output should be named as authors.
  • FIELDWORK PROCEDURES
    These procedures are linked to the health, safety and welfare policies and procedures to protect staff and students of the university. They apply when researchers carry out work off-campus

Many other obligations are relevant to researchers as general members of the university community – for example rules governing finances, travel, promotion and many other day to day matters.