Inquiries and Complaints

A breach of the Code of Conduct for Research Rule (CCR) is a failure to adhere to the principles (cl 6) and responsibilities (cls 7-11) of the CCR.

There is a spectrum of breaches of the CCR. Some can be minor and relate, for example, to administrative errors, and be easily resolved. Other breaches may be more serious in nature and may be regarded as research misconduct.

The CCR defines research misconduct as ‘a serious breach of the CCR which is also intentional, or reckless, or negligent’.

Serious breaches include, but are not restricted to:

• Fabricating, falsifying and/or misrepresenting data or source material
• Plagiarism
• Failing to declare or manage a conflict of interest
• Concealing or facilitating research misconduct by others
• Failing to follow conditions of approval of research as set by a research ethics committee, particularly where this might result in unreasonable risk or harm to humans, animals or the environment.

It’s in everyone’s interests for you to seek information as soon as you become aware there may be an issue.

Research Integrity Advisor (RIA).

Research Integrity Advisor’s (RIA) are there to give you advice and answer your questions on research practices and researcher responsibilities. RIA’s also give advice to those with concerns or complaints about potential breaches of the Code of Conduct for Research Rule (CCR).

RIA’s can:

• Talk you through Australian Code for the Responsible Conduct of Research (2018) (ACRCR 2018), the Code of Conduct for Research Rule (CCR), and the  Research Conduct - Managing Potential Breaches Procedures (Procedures).
• Listen to what you have to say and, if you decide you want to make a formal complaint, tell you how to go about it.

RIA’s cannot:

• Predict the outcome should you go ahead with a complaint.
• Try to mediate or resolve your concerns or contact the subject of the complaint.

If the RIA believes what you’re reporting might be a potentially serious or major breach of the CCR, they are obliged to report it to the Research Integrity Office (RIO).

Research Integrity Office (RIO)

The Research Integrity Office (RIO) is there to answer inquiries about research conduct and integrity, and to receive complaints about potential breaches of the Code of Conduct for Research Rule (CCR).

You make your complaint directly to the RIO at researchintegrity@une.edu.au.

If your concern is related to human research ethics or animal ethics, you should first contact the Chair of the Human Research Ethics Committee through humanethics@une.edu.au or the Chair of the Animal Ethics Committee through animalethics@une.edu.au .

Researchers are required to take action to correct the research record in a timely manner.  This means addressing unintentional mistakes or errors, as well as brining attention to the problems, researchers are aware of, in research integrity.

Researchers can do this without making a complaint.  However, making a complaint is the best way to stop poor or damaging research practices continuing, and to address and correct errors in published research.

Maintaining high research standards is the responsibility of all researchers and research institutions.  The Australian and international community expects research to be conducted responsibly, ethically and with integrity.

UNE encourages the community, staff , and students to report a possible breach of the Code of Conduct for Research Rule to help maintain high research standards and support public trust in research.

You can. Please remember that the Research Integrity Office (RIO) can only act on the information it receives. If RIO needs further information about the complaint (as is often the case), RIO will have no way of contacting you and this may affect the progress of the complaint.

You can make an anonymous complaint by:

• Sending a written complaint by email to researchintegrity@une.edu.au from an email address that doesn’t identify you, or
• Sending a written complaint by postal mail to the Research Integrity Office using the address:
  Research Integrity Office, Research Services
  University of New England
  Elm Avenue, Armidale NSW 2351, Australia

UNE has a process for internal review of the handling of a complaint about the potential breach of the Code of Conduct for Research Rule (CCR).  Internal review is on the grounds of procedural fairness of a:

• Preliminary assessment of a potential breach of the CCR, or
• Investigation into allegations of a potential breach of the CCR, as outlined in the Research Conduct - Managing Potential Breaches Procedures.

External review providers (e.g. The Australian Research Integrity Committee (ARIC), NSW Ombudsman, National Student Ombudsman) usually expect or require the person requesting an external review to have first engaged with UNE's internal review process.

If the complaint relates to issues that are not related to potential breaches of the Code of Conduct of Research (CCR), the complaint should be directed to the appropriate complaint process:

• UNE Human Research Ethics Committee (HREC) – For complaints about the conduct of HREC, HREC members, or the conduct of a HREC approved research project.
• UNE Animal Ethics Committee (AEC) – For complaints about regulatory breaches or non-compliance in relation to Animals used in teaching and research at UNE.  And complaints about the conduct of AEC, AEC members, or the conduct of a AEC approved research project.
• UNE Student Grievance Unit - For UNE student complaints or grievances and student conduct investigations.
• UNE People & Culture - For UNE staff informal complaints or formal grievances.
• UNE Grapevine Complaint Management System – For anonymous reporting of grievances at UNE.
• UNE Keep Safe – For reporting Workplace Health and Safety (WHS) incidents and hazards at UNE.
• UNE Privacy – For informal and formal complaints in relation to the management of personal information at UNE.
• UNE Reporting Wrongdoing at UNE Policy – For reporting serious wrongdoing at UNE such as fraud and corrupt conduct.

There are three things to bear in mind when you’re thinking about making a complaint:

• Don’t leave it too late – the sooner you lodge a complaint, the quicker the issue is likely to be resolved; the people involved may be able to explain what they perceive has happened and the records may be readily available.
• Remain respectful – Staff of the Research Integrity Office (RIO) and other people involved in handling your complaint are there to support you throughout the process. While you might be dissatisfied or frustrated about something, it helps to be able to communicate your concerns by focusing on the facts and communicating with courtesy and respect
• Maintain confidentiality – In fairness to all parties it is important that the details of the complaint stay confidential.

You lodge it in writing with the UNE Research Integrity Office at researchintegrity@une.edu.au.

You’ll receive an acknowledgment of your complaint, usually within five working days.

If a complaint gets to the Preliminary Assessment stage (see this diagram), you will have the chance to respond to the issues raised in the complaint both verbally and in writing.

If you are dissatisfied with the outcome or the way your complaint was handled by UNE, you can request an internal review.  Please send your request for internal review to the Research Integrity Office (RIO) at researchintegrity@une.edu.au

Following an internal review, if you are still dissatisfied with the outcome or the way your complaint was handled by UNE, you can lodge a request for external review with:

• The Australian Research Integrity Committee (ARIC). ARIC undertakes external review of the UNE processes used to manage and investigate potential breaches of the Australian Code for the Responsible Conduct of Research, 2018 (ACRCR 2018).

You also have the option to make a complaint about the outcome, or the way your complaint was handled by UNE, with the NSW Ombudsman.

If you are a student the National Student Ombudsman.

Please be aware that making a complaint that is shown to be vexatious or malicious, may result in ramifications for the complainant (person making the complaint).

It is important to provide the facts that detail your complaint, as early as you can in the complaint process.