Monitoring Compliance

1. Director (Research Services) identifies projects in consultation with Exec Deans >
2. Director (Research Services) forwards checklist to researcher for action, cc to Head of School & Exec Dean >
3. Researchers complete checklist, submit online to Research Services >
4. Research Services delivers all relevant responses to Head of School to acknowledge >
5. Director (Research Services) conducts simple audit process of researcher's records >
   1. Problem free: the Director sends acknowledgement and files checklist OR
   2. Problem identified: checklist referred to PVC(RO)/DVC(R) for consideration/action.

Compliance with the Code is a prerequisite for receipt of National Health and Medical Research Council funding.

The NHMRC audits institutions in relation to their compliance with the Australian Code for the Responsible Conduct of Research and the NHMRC Deed of Agreement. The Audit process is rigorous and involves an investigation of not only the institution's ability to comply with the Code but also, where they are administering grants on behalf of titleholders from affiliated organisations, how the institution ensures that this cohort of researchers are complying with the Code.

The NHMRC selects a number of individual projects and requires that all financial reports, progress reports and copies of ethics approvals be provided to them for review at short notice. A good deal of emphasis is placed on retention of Authorship statements, data management practices etc. The audit team interviews the Deputy Vice-Chancellor (Research) (DVCR), the Chief Financial Officer (CFO), individual Ethics Committee Chairs, researchers involved in the projects, and research office staff. 

Incidences where non-compliance with the Code is identified may lead to the use of the University Research Misconduct Procedure.

Non-compliance with the Code may also be notified to funding bodies as required by funding agreements. More information can be found in the NHMRC Research Integrity and Misconduct Policy or the ARC Research Integrity Policy.

It should be noted that all Titleholders of the University are required to abide by University policies. If instances of misconduct are detected amongst Affiliated Titleholders, discussions should be held between representatives of the University and the affiliate's employer.