Managing concerns about research

University of Newcastle staff and students involved in research need to ensure their work is conducted responsibly, ethically and with integrity. They also need to operate within the principles outlined in the Australian Code for the Responsible Conduct of Research ("the Code").

  1. What is considered to be a breach of the Code?
  2. How serious are breaches of the Code?
  3. What should I do if I have a concern or suspect a breach?
  4. What type of information should I share if I’m concerned about a possible breach?
  5. What if I don’t believe my concerns have been addressed at the local level?
  6. How will the University deal with anonymous concerns?
  7. What if the concern needs investigation?
  8. What if a breach is evident?
  9. What if someone raises a concern or allegation about me?
  10. Where can I get support if I’m involved in an alleged breach of the Code?
  11. Where can I learn more about what's expected of me?
  12. Is bullying considered a breach of research conduct?
  13. More information
  14. Resources

1. What is considered to be a breach of the Code?

Activities or behaviours that could be considered a breach of the Code include:

  • not meeting funding requirements
  • conducting research without ethics approval
  • plagiarism
  • manipulating or misrepresenting research data or source material
  • not applying fair and reasonable principles in authorship
  • misuse of research funds
  • in appropriate management of data
  • not adequately declaring conflicts of interest.

2. How serious are breaches of the Code?

As described in the Code, a ‘breach’ is a failure to meet the principles and responsibilities of the Code. Breaches can occur on a spectrum from minor (less serious) to major (more serious).

A 'minor breach' may be a technical issue, unintentional mistake or issue resulting from inexperience.

A ‘serious breach’ refers to activities or behaviours that are intentional, reckless and negligent or those that involve persistent breaches. Serious breaches are likely to:

  • affect the integrity of the research and researchers involved
  • lead to potential harm of humans, animals or the environment
  • significantly damage the reputation of the University or other research project partners
  • involve the wilful concealment of activities or behaviours that might result in any of the above.

3. What should I do if I have a concern or suspect a breach?

Discuss any concerns you have at the local level first, ideally with the research supervisor. You may find that your concerns are based on simple misunderstandings, unintentional mistakes, or other minor issues that can be quickly and easily addressed.

If you’re not comfortable approaching the research supervisor, you can contact:

You can also lodge a concern or complaint using this e-Form, which gives stakeholders the option of lodging their concerns anonymously.

The form includes prompts that guide people through the type of information the Research Integrity team typically requires to assess concerns about research matters. It provides a secure platform to receive and track any concerns lodged.

4. What type of information should I share if I’m concerned about a possible breach?

Before you raise any concerns, be prepared.

  • Read the Australian Code for the Responsible Conduct of Research and make sure you can describe your concern.
  • If you’re seeking clarification or advice, talk in general terms initially.
  • Share enough information to help the advisor understand the situation and provide advice about different strategies to help resolve your concerns.

5. What if I don’t believe my concerns have been addressed at the local level?

University researchers, staff, student or members of the general community can lodge a concern or complaint using this e-Form.

The form includes prompts that guide people through the type of information the Research Integrity team typically requires to assess concerns about research matters. It also gives stakeholders the option of lodging their concerns anonymously.

6. How will the University deal with anonymous concerns?

For matters involving researchers, research supervisors or other staff, the Pro-Vice Chancellor Research & Innovation will determine if the concern relates to a potential breach of the Code and warrants assessment, or is not related to research conduct and should be referred elsewhere.

Concerns that warrant assessment will be referred to an Assessment Officer who will conduct a preliminary assessment as described in the Research Breach Investigation Procedure. This involves:

  • meeting with the key parties involved to better understand the issue and what actions have been taken so far
  • gathering initial information
  • providing the Pro Vice-Chancellor Research & Innovation with a preliminary assessment report.

7. What if the concern needs investigation?

The Pro Vice-Chancellor Research & Innovation will determine if a potential breach requires formal investigation. This involves establishing a panel to review the allegation, who then provide the Pro Vice-Chancellor Research & Innovation with a report.

8. What if a breach is evident?

Where a breach is evident after investigation, the Pro Vice-Chancellor Research & Innovation will refer the matter to the Deputy Vice-Chancellor Research & Innovation for resolution. Student matters are then referred on to the Dean of Graduate Research.

9. What if someone raises a concern or allegation about me?

If you are the subject of a formal concern, you will receive specific advice in writing. You’ll also be advised of progress along the way.

Confidentiality is an important part of the process and the University has measures in place to help protect your confidentiality.

10. Where can I get support if I’m involved in an alleged breach of the Code?

Raising a concern or being the subject of a concern can be stressful. The University provides a range of support that can help you:

11. Where can I learn more about what's expected of me?

  • Familiarise yourself with the Code.
  • Review the University’s policy and procedure for investigating concerns about the conduct of research.
  • Be aware that student matters are dealt with in accordance with the Student Conduct Rule.
  • Complete research integrity training in Discover.
  • If you have concerns, try to resolve them locally first if possible.
  • Escalate concerns if they haven’t been or can't be resolved within your team, School or College.

12. Is bullying considered a breach of research conduct?

Research breaches typically involve activities or behaviours that are inconsistent with the responsible and ethical conduct of research and the Code.

If you see or experience bullying, harassment or discrimination, report it as soon as possible to your supervisor or Head of School.

You can also contact Campus Care, Human Resource Services or the Complaints Office.

13. More information

Research Integrity Advisors

Research Integrity Office

14. Resources

University of Newcastle