Policy Directory

Code of Practice - Research

Date first approved:

12 October 2007

Date of effect:

12 October 2007

Date last amended:
(refer to Version Control Table)

Date of Next Review:

October 2019

First Approved by:

University Council

Custodian title & e-mail address:

Deputy Vice-Chancellor (Research and Innovation)

Author:

Director, Research Services Office

Responsible Division & Unit:

Research Services Office, Research and Innovation Division (RAID)

Supporting documents, procedures & forms:

Higher Degree Research Supervision and Resources Policy

Academic Integrity Policy

Authorship Policy

Research Data Management Policy

Records Management Policy

Research Sponsorship and Collaboration Policy

Conflict of Interest Policy

Animal Handling Policy

Fieldwork Monitoring Policy for Animal Research

IP Commercialisation Plan Guidelines

IP Commercialisation Report Guidelines

IP Commercialisation Revenue Guidelines

IP Disclosure Review Guidelines

IP Review Committee Guidelines

IP Fellow, Volunteer and Visiting Student Assignment of intellectual Property Guidelines

IP Intellectual Property Guidelines

IP Student Assignment of Intellectual Property Guidelines

Workplace Health and Safety Policy

Autonomous Sanctions Procedure

Research Misconduct Policy

Higher Degree Research (HDR) Student Academic Complaints Policy

Relevant Legislation &

External Documents:

Public Interest Disclosures Act, 1994 (NSW)
NHMRC Australian Code for the Care and Use of Animals for Scientific Purposes (8th Edition 2013)

NHMRC National Statement on Ethical Conduct in Human Research (2007)

Gene Technology Act, 2000 (C’wealth)
and the Gene Technology Regulations 2001 (C’wealth)

NHMRC Values and Ethics: Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research ( 2003)
Guidelines for Ethical Research in Indigenous Studies (Australian Institute of Aboriginal and Torres Strait Islander Studies, revised 2nd Ed. 2012)

Statement on Consumer and Community Participation in Health and Medical Research (NHMRC and Consumers’ Health Forum of Australia inc. 2002)

Defence Trade Control Act (2012)

Autonomous Sanctions Act (2011)

Australian Autonomous Sanctions Regulations 2011
United Nations Security Council Sanctions Regimes

Weapons of Mass Destruction (Prevention of Proliferation) Act 1995

Audience:

Public – accessible to anyone

Contents

1 Purpose of Policy

    1. The Code of Practice – Research (hereto referred to as “the Code”) mandates the current policy and best practice relating to procedures for responsible research.

    2. The University of Wollongong (UOW) adheres to the guidelines provided by the Universities Australia Committee (UA) and the National Health and Medical Research Council (NHMRC) in the drafting of this document.

2 Definitions

Word/Term

Definition (with examples if required)

HDR student

A student registered in a Higher Degree Research (HDR) program of study, namely a Masters-by-Research degree or a Doctoral degree.

Original Data

Original data is primary data from which published works result. A digitised copy is an acceptable form of original data.

Graduate Research School

The UOW administrative division responsible for policy, governance and the management of Higher Degree Research student functions.

Research misconduct

Conduct by a researcher, staff member, visitor or HDR Student that is in breach of the Rules, Codes, Policies and Procedures of UOW or the Australian Code for Responsible Conduct of Research where such a breach relates to the five fundamental values of academic integrity, namely honesty, trust, responsibility, respect and fairness.

Staff member

A person appointed to the academic or professional services staff of UOW.

UOW

The University of Wollongong.

Visiting fellow

Honorary and visiting fellows appointed by UOW to non-salaried, full-time or fractional positions titled “Associate Fellow”, “Fellow”, “Senior Fellow”, “Principal Fellow”, “Professorial Fellow”, “Visiting Fellow”, or “Research Fellow” who are not Visiting Students or Volunteers.

Visiting student

A student who undertakes part of their research or training at UOW but who is not registered at UOW.

Volunteer

A person who is not a Fellow, Visiting Student, Staff Member or Student of UOW but is working on a UOW project in a voluntary capacity. An example of a volunteer is someone who is undertaking unpaid work experience at UOW or is doing an internship at UOW. A collaborating colleague from another University or research institution is not a Volunteer.

3 Application & Scope

  • 1. This Code applies to all research conducted by any staff member, student or visiting person (academic/fellow or student) under the auspices of the University of Wollongong. This Code should be read in conjunction with other related policies.

    2. It is a basic assumption of institutions conducting research that their researchers are committed to high standards of professional conduct. Researchers have a duty to ensure that their work enhances the good name of the institution and the profession to which they belong.

    3. Research workers should only participate in work which conforms to accepted ethical, safety and environmental standards.

4 Roles and Responsibilities

Responsibilities of Researchers

Maintain High Standards of Responsible Research

  • 1. Researchers must:

    1.1. Maintain intellectual honesty and integrity and scholarly and scientific rigour;

    1.2. Comply with statutory and other requirements relating to ethical, safe and responsible conduct of research;

    1.3. Adhere to policies of the University and any other policies or agreements that affect the research project;

    1.4. Ensure that research findings are disseminated accurately, responsibly and honestly;

    1.5. Report any suspected research misconduct;

    1.6. Participate in peer review processes by:

    a. contributing where possible to the review of applications seeking substantial public funding support;

    b. not seeking to influence the process or outcomes when their work is being peer reviewed;

    c. informing sponsors in cases where work has not been subject to peer review because of confidentiality issues.

Data Management

    2. All data generated in the course of research conducted at UOW or by UOW research must adhere to the requirements set out in the Data Management Policy and associated Guidelines.

Publication and Dissemination of Research Findings

    3. Researchers must:

    3.1. Wherever appropriate, and subject to restrictions related to intellectual property and confidential or cultural sensitive data, researchers should communicate their research findings to the wider community.

    3.2. Publish research results according to the requirements of the University’s Authorship Policy;

    3.3. Ensure accuracy of publications and dissemination of research. If inaccurate or misleading statements are inadvertently released they must be rectified as soon as possible.

    3.4. Ensure work of others is correctly cited and used with permission as required by the University’s Authorship Policy and Academic Integrity Policy.

The Responsibilities of Supervisors of Research Trainees

    4. Full responsibilities for supervisors of research trainees are detailed in the Higher Degree Research Supervision and Resources Policy, in brief, these include, but are not limited to:

    4.1. As part of the formal Commencement of Candidature process research supervisors must advise each research student of applicable government and institutional guidelines for the conduct of research, including those ethical requirements for studies on human or animal subjects, requirements for the use of potentially hazardous agents and Workplace Health and Safety practices, and acknowledgement, plagiarism and authorship policies.

    4.2. Research supervisors should be the primary source of guidance to research students in all matters of sound research practice. This should include discipline based research methods and other relevant skills, and the ability to interact with industry and working with diverse groups of people. Supervisors must be satisfied that the research methods and outcomes of research students under their supervision are appropriate and valid.

    4.3. The research supervisor should also guide the professional development of the research student in all matters relating to research conduct and overseeing all stages of the research process, including identifying the research objectives and approach, obtaining ethics and other approvals, obtaining funding, conducting research and reporting on the outcomes in appropriate forums and media.

    5. The substantive responsibilities outlined in the above mentioned policy should also be considered to apply to any other research trainees engaged at the University of Wollongong UOW or working under more senior staff supervision. For example research supervisors have a responsibility to provide guidance in the responsible conduct of research to post-doctoral staff, research assistants, undergraduate research students, visitors or other staff as required.

The Role of Research Students

  • 6. Full responsibilities for Research students are detailed in the Higher Degree Research Supervision and Resources Policy, in brief, research students are expected to:

    6.1. Meet the same professional standards in conducting research as required by research staff;

    6.2. Adhere to all relevant university rules and policies; and

    6.3. Actively seek guidance and training as required.

5 Peer Reviewers

  • 1. Impartial and independent assessment of research by people in the same or related field is an important aspect of research. Researchers who participate as peer reviewers must ensure that they declare all conflicts of interest, are fair and timely in their review, act in confidence and give fair and proper consideration to research within their area of expertise.

6 Disclosure of Potential Conflict of Interest

  • 1. Disclosure of any potential conflict of interest is essential for the responsible conduct of research. The formal written disclosure of such interests will be to: the Dean of Research, the editors of journals to which papers are submitted, research collaborators and to bodies from which funds are sought, as appropriate.

7 Research Misconduct

  • 1. All members of the University have a responsibility to report any incident of suspected research misconduct. Researchers should be aware of the research governance framework within which they work and in particular the provisions relating to research misconduct. Misconduct does not include genuine errors or differences in interpretation or judgements of data. A researcher suspecting possible misconduct should first consult the Research Misconduct Policy.

8 Version Control and Change History

Version Control

Date Effective

Approved By

Amendment

1

12 October 2007

University Council

Major modifications to Code of Practice – Research in response to changes to the guidelines provided by the Australian Vice Chancellors’ Committee (AVCC) and the National Health and Medical Research Council (NHMRC), and compliance with Policy Template.

2

6 May 2009

Vice Principal (Administration)

Migrated to UOW Policy Template as per Policy Directory Refresh

3

8 October 2009

Deputy Vice-Chancellor (Research)

Review of policy with minor amendments including replacement of references to the PVC (Research) with reference to the Dean of Research

4

1 December 2010

Deputy Vice-Chancellor

(Research)

Review of policy with minor amendments including reference to and definition of ‘Original Data’ and retention of original data.

5

23 March 2011

Snr Mgr, Policy & Governance

Links amended, reference to AVCC updated to Universities Australia (UA) and Academic Integrity & Plagiarism Policy.

6

3 February 2012

Vice-Principal (Administration)

Minor amendment to update references to Public Interest Disclosure legislation

7

30 Nov 2012

Vice-Principal (Administration)

Updated to reflect change from OHS to WHS.

8

Autumn Session 2015

University Council

Updated to reflect renaming of the Student Research Centre (SRC) to the Graduate Research School (GRS).

9

4 December 2015

University Council

Updated to reflect Academic Integrity Policy name change (formerly Academic Integrity & Plagiarism Policy)

10

20 February 2017

Vice-Chancellor

Amendments to the links to current Legislation and other information to bring in line with other UOW policy.

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