(1) This Procedure was approved by Academic Board on 11 April 2017, and incorporates amendments to 23 June 2017. This Procedure comes into effect for study periods commencing on or after 10 July 2017. (2) This Procedure includes the following schedule: (3) This Procedure documents the processes that apply to student research integrity and the management of allegations of breaches of research integrity and research misconduct. (4) This Procedure applies to allegations of research integrity breach/es or research misconduct by students conducting research in Honours, coursework or higher degrees by research (HDR). Allegations relating to academic integrity involving coursework units and additional HDR program content will usually be addressed according to the Student Academic Integrity procedure. (5) Where an allegation concerns a student who is also a staff member, the Deputy Vice-Chancellor Research will determine whether the matter be dealt with under this Procedure or the Staff Research Misconduct procedure. (6) Refer to the Research Conduct policy. (7) Course Directors and Faculty HDR Coordinators will ensure that students enrolled in courses involving research are provided with information about research integrity as part of their orientation to the University. (8) Information about research integrity will be included in all relevant unit sites, HDR candidature agreements and websites as appropriate. This will include a statement on research integrity incorporating definitions, sources of support and penalties that may apply to research integrity breaches and research misconduct. (9) Supervisors will provide students with genuine opportunities to learn how to conduct research with integrity in accordance with expected discipline conventions when they commence research units or courses at the University, with reminders provided throughout their course. (10) A member of staff in each Academic Unit will be nominated to ensure that: (11) A Faculty, Institute or Academic Unit staff member or group will be nominated to support new and existing staff to improve relevant practices and manage cases of possible research integrity breaches or research misconduct. (12) Anyone who believes a research integrity breach or research misconduct by a student has taken place must act in a timely manner and formally report the allegation/s to the Head of Academic Unit. The Head of Academic Unit will keep the Pro Vice-Chancellor Researcher Development and Integrity informed on the management of the allegation and ensure that it is recorded in the Incident/Breach Register according to clause 17. (13) Where the allegation relates to academic integrity involving coursework units and additional HDR program content, the Pro Vice-Chancellor Research Training and Performance Enhancement will seek the advice of the Dean of Students as to whether the matter should be head according to this Procedure or the Student Academic Integrity procedure. The Pro Vice-Chancellor Research Training and Performance Enhancement may refer the matter to be heard according to the Student Academic Integrity procedure. (14) Anyone considering making an allegation/s of research integrity breach or research misconduct may obtain advice on integrity from the Advisers in Research Integrity appointed by the Deputy Vice-Chancellor Research. The advice is confidential except as noted in clause 16. Advisers provide advice on research matters, the research misconduct processes and options for reporting a research integrity breach and research misconduct. They will not attempt to assess or investigate an allegation/s or contact the person(s) who is the subject of the allegation/s. (15) Where the allegation/s is serious enough to constitute a protected disclosure under the Protected Disclosure Act 2012 and the person considering making the allegation/s decides not to proceed, the Adviser in Research Integrity will determine whether the allegation/s warrants further investigation. The Adviser may also choose to make a protected disclosure under the Protected Disclosure Act 2012. In this case, the Adviser will make all reasonable efforts to avoid identifying the source of the information. (16) On receipt of an allegation/s, the Head of Academic Unit will consider whether there are likely to be significant risks to human or animal safety, the environment or national security. Where it is determined that a significant risk has been identified, appropriate protective or precautionary action will be taken by the Head of Academic Unit. (17) All reports of suspected research integrity breaches or research misconduct will be entered into an Incident/Breach Register held by the Pro Vice-Chancellor Researcher Development and Integrity. This register will include the following: (18) The Head of Academic Unit will notify the student against whom the allegation/s have been made that they are the subject of allegation/s of a research integrity breach/es or research misconduct, the nature of the allegation/s, and that a preliminary assessment of the allegation/s will be conducted. (19) The Head of Academic Unit will, with the advice of Deakin Research Integrity, appoint an Assessment Officer who will receive the written allegation/s and conduct a preliminary assessment. The Assessment Officer must: (20) The Assessment Officer will review the allegation/s, seek a response to the allegation/s from relevant parties, and gather relevant documents, evidence, and any additional information to inform their decision. (21) The Assessment Officer should prepare a preliminary assessment report within 10 working days and advise the Head of Academic Unit if there are reasonable grounds for the allegation/s of research misconduct and whether there is scope for further investigation. (22) The Head of Academic Unit will consider the preliminary assessment report and within 10 working days of receiving the report should decide: (23) Both the complainant and student against whom the allegation is made shall be notified of the outcome of the preliminary assessment. (24) Where the matter is actioned by the Head of Academic Unit, supervisor/s or Executive Dean, a report of the action taken at the conclusion of the matter must be provided to the Pro Vice-Chancellor Researcher Development and Integrity. (25) Where it is determined there are reasonable grounds for the allegation, the matter will be referred to the Pro Vice-Chancellor Researcher Development and Integrity for a formal hearing. (26) Where the allegation also involves general integrity, the Director, Internal Audit will be notified and will make a decision on the appropriate action to be taken. (27) The Pro Vice-Chancellor Researcher Development and Integrity will report annually to the Risk and Compliance Office on the occurrence and nature of allegations and any actions to address the underlying causes. The Research and Research Training Committee will monitor trends through the biannual report from Deakin Research Integrity. (28) Where a formal hearing of an allegation of research misconduct is required under clause 22c, a Student Research Integrity Committee will be appointed to hear the case. (29) The Student Research Integrity Committee shall consist of: (30) The Chair will nominate the other members of the Committee. (31) Committee members will not have any conflict of interest in hearing the case. Deakin Research will notify the student at least 10 working days before the hearing of: (32) Where further evidence is received it will be provided to the student as soon as possible. (33) The Committee may request the attendance of staff, students and other relevant people at the hearing to help them to make a decision. (34) Students may bring a support person to any meetings associated with the investigation or management of the case, provided that the person is not a practising lawyer. Where the support person has expertise likely to assist the Committee on procedural, technical or factual matters or if the student requires reasonable adjustments, the Committee will allow the support person to speak on the student’s behalf. (35) At the hearing, the Committee will review the evidence of the allegation and will give the student the opportunity to respond and interview any staff, students or other relevant people as required. The Committee will: (36) The Committee will make a decision at the end of the hearing or as soon as possible afterwards. The Committee Chair may adjourn the hearing if appropriate. (37) The Committee will decide whether it is more likely than not that: (38) Where the Committee decides that research misconduct has occurred, it will decide the outcomes using Schedule A: Outcomes for student research misconduct. (39) The Committee will notify the student within five working days about the outcome, reasons and right to appeal the decision. Deakin Research will coordinate the implementation of the outcome. The decision will be implemented immediately, except where the decision relates to suspension or exclusion and the student appeals the outcome to the University Appeals Committee, in which case the decision will not be implemented until the appeal process is completed. (40) Deakin Research will record the decision and outcome in the incident/breach register and the student’s record after the conclusion of any appeal process. (41) The Committee will report outcomes to the Pro Vice-Chancellor Researcher Development and Integrity, who will inform all relevant parties of the decision and outcome. Relevant parties may include affected staff, research collaborators including those at other institutions, all funding organisations, journal editors, and professional registration bodies. (42) Where research misconduct has occurred, the public record, including publications, may need to be corrected where the research findings and/or their dissemination have been affected. (43) Where an allegation/s of research misconduct poses significant risks to human or animal safety, the environment or national security; or there is a pattern of allegations; or the allegation has been substantiated, the Pro Vice-Chancellor Researcher Development and Integrity will notify: (44) The Pro Vice-Chancellor Researcher Development and Integrity will report annually on decisions and trends to Academic Board and University Council through relevant committees. (45) A student may appeal to the University Appeals Committee according to the Student Appeals procedure against the decision only on one or more of the following grounds: (46) The appeal must be lodged by email within 20 working days of being notified of the outcome of the hearing according to the Student Appeals procedure. (47) Students will remain enrolled throughout the management of an allegation and internal management of a breach of research integrity, including the University appeals process. The Pro Vice-Chancellor Researcher Development and Integrity will decide whether the student can continue to conduct research during this time. (48) Allegations will be heard and decided even if the student withdraws from the unit or course. (49) Written documentation of the preliminary assessment, the outcome and reasons for it and reports on actions must be provided to the Pro Vice-Chancellor Researcher Development and Integrity and included in the Incident/Breach Register. (50) Where a research integrity breach or research misconduct has resulted in incorrect information being placed upon the public record, action will be taken by the Pro Vice-Chancellor Researcher Development and Integrity to correct the public record, including Deakin Research Online. (51) For the purpose of this Procedure:Student Research Integrity procedure
Section 1 - Preamble
Section 2 - Purpose
Section 3 - Scope
Section 4 - Policy
Section 5 - Procedure
Education and support
Allegations of breaching research integrity
Preliminary assessment
Outcome of preliminary assessment
Formal hearing of allegation of research misconduct
Outcomes of hearing
Appeal
Continuing study and enrolment
Records
Correction of the public record
Section 6 - Definitions
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