Policy Directory

RESEARCH SPONSORSHIP AND COLLABORATION POLICY

Date first approved:

15 October 2010

Date of effect:

15 October 2010

Date last amended:

(refer to Version Control Table) 22 August 2017

Date of Next Review:

Currently under review

First Approved by:

University Council

Custodian title & e-mail address:

Deputy Vice-Chancellor (Research and Innovation)

Judy_Raper@uow.edu.au

Author:

Senior Manager, Innovation and Commercial Research

Responsible Division & Unit:

Innovation and Commercial Research,

Research and Innovation Division (RaID)

Supporting documents, procedures & forms of this policy:

Code of Practice - Research

Commercial Research Approval Form

Commercial Research Policy

Conflict of Interest Policy

Delegations of Authority Policy

External Research Grants Submission Form

HDR Scholarship Approval Forms

Intellectual Property (IP) Policy

Research Misconduct and Complaints Management Policy

Secondary Employment Policy

University Code of Conduct

Relevant Legislation &

External Documents:

Australian Code for the Responsible Conduct of Research

Convention Establishing the World Intellectual Property Organisation, July 1976

Copyright Act 1968 (Commonwealth)

National Principles of Intellectual Property Management

National Statement on Ethical Conduct in Human Research (7007) – Updated May 2015

Patents Act 1990 (Commonwealth)

University of Wollongong Act 1989

Audience:

Public

Submit your feedback on this policy document using the Policy Feedback Facility.

Contents

1 Purpose of Policy

  • 1. The purpose of this policy is to ensure that the good reputation and integrity of the University of Wollongong (UOW) is maintained by Staff Members, Fellows and Students who are considering undertaking research sponsored by a Third Party or in collaboration with a Third Party.

2 Definitions

Word/Term

Definition (with examples if required)

Collaborative Research

Research where UOW is collaborating with a Third Party.

Reputational Risks

Activities that could potentially damage UOW’s good name or reputation or give the impression that UOW’s research outcomes are not independent and objective.

Examples include being associated with Third Parties known to engage in activities that are fraudulent, misleading, unethical, deceptive, illegal, or that cause health and population damage or significant environmental damage, or that exploit disadvantaged members of the community (e.g. impoverished communities).

It could also include presenting a research outcome in a way that is viewed as commercially endorsing a particular product, service or Third Party or in a way that is not objective, unbiased or independent or involves a real or perceived conflict of interest.

Sponsored Research

Research where UOW is being funded by a Third Party either directly or indirectly.

Staff Member

All people employed by the University including conjoint appointments, whether on continuing, permanent, fixed term, casual or cadet or traineeship basis.

Student

A person registered for a course at the University of Wollongong.

Third Party

A party other than the University of Wollongong. This could include a company, sole trader, individual, government department, not-for-profit institution, or partnership.

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.

UOW

The University of Wollongong.

UOW Fellows (Fellows)

Honorary and Visiting Fellows appointed by UOW to non-salaried, full-time or fractional positions. These can be titled “Associate Fellow”, “Fellow”, “Senior Fellow”, “Principal Fellow”, “Professorial Fellow”, “Visiting Fellow”, or “Research Fellow” who are not Visiting Students or Volunteers and includes Visiting Academics, Honorary Academics and Honorary Clinical Academics as defined in the Appointment of Visiting and Honorary Academics Policy.

3 Application & Scope

  • 1. This policy applies to all UOW Staff Members, Fellows and Students.

4 Protecting UOW’s Reputation and Research Integrity

  • 1. UOW encourages its Staff Members, Fellows and Students to seek external sponsorship of their grant, consultancy, and contract research activities and to undertake research activities in collaboration with third parties. However, in doing so, UOW wishes to protect its good name, reputation and integrity.
  • 2. Accordingly, Staff Members, Fellows and Students must notify UOW of any possible Reputational Risks that may arise or have arisen from research sponsorship and collaboration activities. These Reputational Risks can be identified through:
    • 2.1 the Commercial Research Approval Form, or by Innovation and Commercial Research (ICR) if the risk is identified post project commencement, for Commercial Research Activities (referring to the Commercial Research Risk Indicators);
    • 2.2 the External Research Grants Submission Form, or the Research Services Office if the risk is identified post project commencement, for external grant applications;
    • 2.3 the Executive Officer of Research Development for collaborative research activities with third parties requiring a formal contract and where the risk is identified pre- or post- project commencement;
    • 2.4 the Dean of the Faculty (for Academic Staff, Students and Fellows) or Director of an Administrative Unit (for General Staff) for collaborative research activities with third parties where a contract is not required and where the risk is identified pre- or post- project commencement; or
    • 2.5 a HDR Scholarship Proposal Form, for new scholarships with third parties requiring a formal contract or Graduate Research School if the risk is identified post scholarship commencement.
  • 3. The Delegated Authority identified in the Delegations of Authority Policy will determine if a commercial research project, collaborative research project involving a contract, research student scholarship or grant application can proceed with the potential Reputational Risk(s) so identified - in consultation with relevant Faculty staff (e.g. Faculty Research Chair or Dean.
  • 4. For collaborative research projects (other than grants or commercial research) not requiring a contract, the relevant Dean or Director will make this determination in consultation with appropriate staff (eg. Administrative Director or Faculty Research Chair). In doing so, the Delegated Authority, Dean or Director must not expose UOW to unreasonable risk. If the project is to proceed, the Delegated Authority, Dean or Director (or their nominees) must work with the project proponent to develop appropriate methods to mitigate risk and do all things reasonably possible to mitigate risk contractually if the project is to proceed under contract.
  • 5. UOW also wishes to ensure that sponsored research and research collaboration activities do not prevent UOW from seeking funding from Government and other prestigious funding sources, such as various Cancer Councils or health-related Foundations. Accordingly, UOW may prevent a Staff Member, Fellow or Student from obtaining Third Party sponsorship or collaborating with a Third Party if such activities will prevent future research funding applications being approved by reputable funding agencies.
  • 6. Further, UOW wants to ensure that its research activities are free from biases, conflicts of interest (real and perceived) and undue influence. Accordingly, when considering sponsored research and research collaboration activities, the University Code of Conduct, Code of Practice - Research, Commercial Research Policy, Research Misconduct Policy, Secondary Employment Policy and the Conflict of Interest Policy should be complied with.
  • 7. Wherever possible, in grant, commercial research and research collaboration contracts, UOW should seek to retain the rights to publish research outcomes. Where publication restrictions are required, they should only be made on the basis of protecting commercially sensitive or commercially important information and not merely on the basis that the results will be unfavourable to the Third Party.
  • 8. Any publications should be objective and not written in a way that can be construed as UOW commercially endorsing a particular product, service or Third Party. UOW must remain, and be seen to remain, independent and objective in any Third Party research interactions.
  • 9. UOW must comply with the National Statement on Ethical Conduct in Human Research 2007 and/or the Australian Code for the Responsible Conduct of Research 2007.

5 Alcohol Industry Research Sponsorship and Collaboration

  • 1. UOW will only accept funding from the alcohol industry for research purposes on a case-by-case basis.
  • 2. Projects to receive funding from the alcohol industry or involving the alcohol industry can only proceed with the prior written approval of the Deputy Vice-Chancellor (Research and Innovation). For the avoidance of doubt, such approval must be obtained PRIOR to a grant or commercial research project being submitted for funding consideration.

6 Tobacco Industry Research Sponsorship and Collaboration

  • 1. UOW will not accept funding from the tobacco industry for any purpose, including research.
  • 2. UOW will not participate in collaborative research with the tobacco industry, even when there is no exchange of funds.

7 Roles & Responsibilities

  • 1. It is the responsibility of the Research and Innovation Division to develop and review the communication strategy for this policy.
  • 2. It is the responsibility of Staff, Fellows and Students participating in sponsored research and research collaboration activities to ensure that the Reputational Risks of such activities are identified and declared to the relevant delegate, Dean or Director.
  • 3. It is the responsibility of the relevant delegate, Dean or Director to ensure that the Reputational Risks of sponsored research and research collaboration activities do not unreasonably expose UOW.
  • 4. It is the responsibility of Staff, Fellows and Students to ensure that they obtain prior approval from the Deputy Vice-Chancellor (Research and Innovation) for research activities involving the alcohol industry.
  • 5. It is the responsibility of Staff, Fellows and Students to refrain from all research involving the tobacco industry.

8 Version Control and Change History

Version Control

Date Effective

Approved By

Amendment

1

15 October 2010

University Council

New Policy

2

21 June 2011

Vice-Principal (Administration)

Updated to reflect change of name from Wollongong College Australia to UOW College

3

16 January 2012

Deputy Vice-Chancellor (Research)

Updated to reflect name change from Commercial Research Unit (CRU) to Innovation and Commercial Research (ICR)

4

22 August 2017

Deputy Vice-Chancellor (Research & Innovation)

Updated to reflect UOW Policy Template, UOW definitions, Division titles and supporting documents with links.

Here to Help

Need a hand? Contact the Governance Unit for advice and assistance on policy issues.