Policy Directory

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CODE OF PRACTICE – RESEARCH

Date first approved:

12 October 2007

Date of effect:

12 October 2007

Date last amended:

18 August 2017

Date of Next Review:

18 August 2022

First Approved by:

University Council

Custodian title & e-mail address:

Deputy Vice-Chancellor (Research and Innovation)

Email: judy_raper@uow.edu.au

Author:

Director, Research Services Office

Responsible

Division & Unit:

Research Services Office, Research and Innovation Division (RAID)

Supporting documents, procedures & forms of this policy:

Academic Integrity Policy

Academic Misconduct (Coursework) Procedures

Authorship Policy

Autonomous Sanctions Procedure

Conflict of Interest Policy

Defence Trade Controls Guideline

Higher Degree Research (HDR) Supervision and Resources Policy

Higher Degree Research (HDR) Student Academic Complaints Policy

IP Intellectual Property Policy

Research Misconduct and Complaints Management Policy

Research Misconduct and Complaints Management Procedure

Research Data Management Policy

University Research Sponsorship and Collaboration Policy

Workplace Health and Safety Policy

Relevant Legislation &

External Documents:

Australian Autonomous Sanctions Regulations 2011

Australian Code for the Care and Use of Animals for Scientific Purposes 8th Edition 2013

Autonomous Sanctions Act (2011)

Biological Control Act 1984

Biosecurity legislation (various including the Biosecurity Act 2015)

Customs Act 1901

Defence Trade Control Act 2012

Defence Trade Controls Amendment Bill 2015

Export Control Act 1982

Gene Technology Act 2000

Gene Technology Amendment Act 2015,

Gene Technology Regulations 2001

Guidelines for Ethical Research in Australian Indigenous Studies

National Statement on Ethical Conduct in Human Research 2007

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)

Public Interest Disclosures Act, 1994 (NSW)

Research Integrity and Research Misconduct Policy 2016

Statement on Consumer and Community Involvement in Health and Medical Research 2016

The Australian Code for Responsible Conduct of Research (2007)

Values and Ethics – Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health Research 2003

Weapons of Mass Destruction (Prevention of Proliferation) Act 1995,

Weapons of Mass Destruction Regulations 1995.

Audience:

Public – accessible to anyone

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

Contents

1. Purpose of Policy

2. Definitions

Word/Term

Definition

Conflict of Interest

Exists where there is a divergence between the individual interests of a researcher and his/her professional obligation to the University such that an independent observer might reasonably question whether the professional actions or decisions of that person are influenced by their own interests or are for their own benefit.

It should be noted that enmity as well as friendship can give rise to perceptions of a conflict of interest and similarly that detriment to a third party can give rise to a conflict of interest just as much as benefit to a third party.

Peer Review

The impartial and/or independent assessment of research or work by others working in the same or a related field.

Research

The creation of new knowledge and/or the use of existing knowledge in a new and creative way so as to generate new concepts, methodologies, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative.

Researcher

Staff member, occupational trainees, visiting student, visiting fellow, volunteer, industry fellow, honorary and adjunct title holders, Emeritus Professors, professional staff, visiting students and all students registered for any course at the University who conduct research at or on behalf of the University.

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 the Responsible Conduct of Research where such a breach relates to the general principles of responsible research namely honesty and integrity, respect, good stewardship, appropriate acknowledgement and responsible communication.

Staff Member

All persons appointed as an academic or professional staff member of the University whether they hold full-time, part-time, casual, contract or conjoint appointments.

The Code

Australian Code for the Responsible Conduct of Research (2007) or any subsequent published revision thereof.

The University

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 CoP applies to all Researchers engaged in any form of research activity under the auspices of the University.

4. Policy Statement

    • 1. The University is committed to the provision of support for all Researchers to promote a culture of responsible and ethical conduct of research. Researchers should only participate in work which conforms to accepted integrity, safety and environmental standards.
    • 2. This CoP describes the principles of the responsible conduct of research at the University and adheres to the guidelines provided by the Code. The CoP should be read in conjunction with the supporting documents cited above.

5. Principles of Responsible Research Conduct

    • 1. Researchers have an obligation and personal responsibility to conduct any research activities with integrity and in an ethical and professional manner. Researchers must comply with University Policies, the Code, and legislative obligations, and conduct their research in accordance with the professional standards of their relevant discipline.
    • 2. Researchers must demonstrate adherence to the following principles:
      • 2.1 Honesty
        • Ensure all information is presented truthfully and accurately in proposing, conducting and reporting on research and that any claims or conclusions are justifiable.
      • 2.2 Rigour
        • Conduct research with attention to detail and using a robust methodology, with strategies in place to avoid or acknowledge any bias and produce high-quality outputs.
      • 2.3 Transparency
        • Disclose and manage any conflicts of interest, and share and openly communicate research findings and knowledge.
      • 2.4 Fairness
        • Treat all fellow Researchers fairly and with respect and apply appropriate references and citations when referring to the work of others, assigning the appropriate credit and authorship to those who have contributed to the work.
      • 2.5 Respect
        • Treat all human research participants, communities and animals with care and respect. Any decisions and actions pertaining to the care and use of animals in research must be made with respect underpinning them. Adverse effects on the environment as a result of research must be minimised.
      • 2.6 Recognition
        • The heritage, diversity, cultural property and knowledge of Aboriginal and Torres Strait Islander peoples or communities will be recognised, valued and respected. There will be consultation and involvement in decisions about research and information provided on research outcomes and benefits to Aboriginal and Torres Strait Islander peoples and communities.
      • 2.7 Accountability
        • Researchers and institutions are responsible for the research they conduct and must ensure good stewardship of public resources used to conduct research.
        • Researchers will consider the consequences and outcomes of research and comply with all relevant legislation, governmental and University policies and guidelines.
      • 2.8 Promotion
        • Researchers and institutions will promote the principles of the responsible conduct of research and ensure research trainees and early career researchers are mentored and supervised accordingly.

6. Roles & Responsibilities of the University

      1. The University must:

        a. Promote a culture and environment that supports the responsible and ethical conduct of research.

        b. Provide training and education for all Researchers in responsible research conduct.

        c. Establish good management practices and governance, including the availability of a suite of policies and procedures that are consistent with the Code.

        d. Encourage Researchers to participate in peer review in a manner that is fair, rigorous and timely, maintaining the confidentiality of the content at all times.

        e. Ensure Supervisors of research trainees have the appropriate skills, qualifications and resources to undertake this role in accordance with the Code and the University Higher Degree Research (HDR) Supervision and Resources Policy.

        f. Provide systems and facilities for the safe and secure storage and management of data, records and primary materials, with access permissions.

        g. Provide a safe and healthy workplace in compliance with the work health and safety regulations and legislation. It must ensure there are sufficient facilities for the welfare of workers, there are effective notification processes and recording of workplace incidents, there is adequate information, training, instruction and supervision for all Researchers.

7. Roles & Responsibilities of the Researcher

      • e. Disclose and manage actual, potential or perceived conflicts of interest in accordance with the University Conflict of Interest Policy.
      • f. Retain clear and complete records of their research, inclusive of data and primary materials, and maintain the confidentiality of research data, records and primary materials in accordance with the University Research Data Management Policy.

        g. In addition:

        • i) Wherever appropriate, and subject to restrictions related to intellectual property and confidentiality or culturally sensitive data, Researchers must communicate their research findings to the wider community.
        • ii) Research results must be published according to the requirements of the University’s Authorship Policy and ensure the work of others is acknowledged, correctly cited, and used with permission.
        • iii) All scholarly outputs must be recorded in the University Research Information System (RIS). This system is used for reporting research publications to the Government and for internal reporting purposes. Research publications in RIS are also made available online via Research Online, the University’s institutional repository.
        • iv) Ensure any unintentional inaccuracy, or misleading statements or findings that are inadvertently released, are rectified as soon as possible.
      • h. Researchers must take reasonable care for their own health and safety and the health and safety of others. They must comply with all reasonable University instructions, policies and procedures including the Workplace Health and Safety Policy.

8. Research Misconduct

    • 1. Researchers must comply with the Code and this CoP.
    • 2. Researchers must 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 judgments of data.

9. 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.

11

18 August 2017

University Council

Updated to reflect more aptly the requirements of the NHMRC Australian Code for the Responsible Conduct of Research and the Draft Code provisions that expand the principles and roles and responsibilities of Institutions and Researchers.

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