View Current

Responsible Conduct of Research Policy

This is the current version of this document. To view historic versions, click the link in the document's navigation bar.

Section 1 - Purpose and Context

(1) Western Sydney University considers research and the pursuit of knowledge as vital institutional functions and is committed to pursuing these activities in accordance with the highest standards of professional conduct as set out in enabler 5 of the Sustaining Success Strategic Plan 2021-2026.

(2) This Policy establishes the principles and processes to support the responsible conduct of research in accordance with the Australian Code for the Responsible Conduct of Research, 2018 that:

  1. promote the highest possible standards of research practice
  2. establish and maintain good governance and management practices for responsible research conduct
  3. protect all those associated with research from any avoidable harm that may arise from failures to maintain high standards of research conduct
  4. discourage misconduct and fraud through encouraging the open presentation and discussion of results via peer review
  5. identify and comply with relevant laws, regulations, guidelines and policies related to the conduct of research
  6. apply clear procedures for dealing with breaches of this Policy
  7. provide ongoing training and education that promote and support responsible research conduct for all researchers and those in other relevant roles, and
  8. protects or otherwise balances the rights of all those associated with the research, human and non-human alike.

(3) This Policy applies to all research activity carried out by, at or on behalf of the University, and to all individuals and industry partners who carry out research at or on behalf of the University.  This includes but is not limited to: academic staff; professional staff; students; technical staff; adjunct, clinical or conjoint appointments; honorary appointments; and visiting fellows, whose work involves or supports research activity.

(4) This Policy operates in accordance with the Australian Code for the Responsible Conduct of Research, 2018, the AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research (AIATSIS, 2020), and the Guide to Managing and Investigating Potential Breaches of the Australian Code for the Responsible Conduct of Research (Investigation Guide), both jointly released by the National Health and Medical Research Council (NHMRC), Australian Research Council (ARC) and Universities Australia (UA) in June 2018.

(5) The Australian Code for the Responsible Conduct of Research, 2018 requires institutions to establish and maintain good governance and management practices for responsible research conduct, develop a suite of policies and procedures and guidelines on good research practice, and provide mechanisms to receive concerns or complaints about potential breaches of these Procedures and, investigate and resolve potential breaches. Additionally, institutions are required to ensure that the processes for managing and investigating concerns or complaints about potential breaches of their Procedures are timely, effective and in accordance with procedural fairness. The purpose of research is the creation and dissemination of new knowledge, and research processes aim to protect the reliability of knowledge claims.

(6) This Policy should be read in conjunction with the Australian Code for the Responsible Conduct of Research, 2018, NHMRC Research Integrity and Misconduct Policy 2019, Australian Research Council, Research Integrity Policy 2023, AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research (AIATSIS, 2020), Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and communities: Guidelines for researchers and stakeholder (NHMRC, 2018), Indigenous Knowledge: Issues for protection and management (Janke & Senita, 2017), United Nations, Declaration on the Rights of Indigenous Peoples 2008, the Higher Education Standards Framework (Threshold Standards) 2021, and the University's Biological and Gene Technology Work Safety Policy, Code of Conduct, Conflict of Interest Policy, Privacy Policy, Research Data Management Policy and Student Code of Conduct.

Top of Page

Section 2 - Definitions

(7) For the purpose of this policy, definitions that apply can be found in the Policy DDS Glossary, in addition to the following:

  1. Applied Research means original investigation undertaken to acquire new knowledge but directed towards a specific, practical aim or objective (including a client-driven purpose).
  2. Assessment Officer means the staff member to whom a suspected breach of the Procedures is referred by the Deputy Vice-Chancellor and Vice-President, Research, Enterprise and International for preliminary assessment. An Assessment Officer may be the relevant Dean, Director, Research Institute, or Academic Unit Director of Research, the Director, Research Impact and Integrity, or an alternative senior member of staff with experience in research.
  3. Author means an individual who has made a substantial intellectual or scholarly contribution (includes a combination of two or more of the following: conception and design of project or output; acquisition of research data, where the acquisition has required significant intellectual judgement, planning, design or input; contribution of knowledge including Indigenous knowledge; analysis or interpretation of research data; drafting significant parts of the research output or critically revising it so as to contribute to its interpretation), to a research output, is accountable for the research output, and agrees to be listed as an author.
  4. Breach means a contravention of this Policy that does not yet amount to Research Misconduct. This includes any of the principles contained in the guides and codes listed as related to this Policy.
  5. Research means 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, processes, devices, software, hardware and understandings. This could include synthesis and analysis of previous research to the extent that it leads to new and creative outcomes, and also encompasses pure and strategic research, applied research and experimental development.
  6. Traditional Indigenous Knowledges means the Indigenous knowledges encompassing intellectual activities stemming from traditional contexts. Examples include (but are not limited to) Indigenous: agricultural knowledge; scientific knowledge; technical knowledge; ecological knowledge; medicinal knowledge related medicines and remedies; cosmology; biodiversity - related knowledge; and knowledge about genealogical and genetic resources.
  7. Traditional Cultural Expressions means tangible and intangible ways through which Indigenous cultural knowledges and practices are expressed, communicated or manifested. Examples include (but are not limited to) Indigenous languages; music, performance; literature; song lines, stories and other oral traditions, dance, games, mythology; rituals, customs; narratives, names and symbols, designs; visual art and crafts; and architecture.
Top of Page

Section 3 - Policy Statement

(8) The University acknowledges the research community's responsibility to the public and to itself, particularly where professional practice or public policy may be defined or modified in light of research findings.

(9) The University gives due emphasis to the quality and originality of research, as well as to volume of research output (Refer Academic Promotions Policy).

(10) As a generator of new knowledge and contributor to scholarly outputs, the University is committed to ensuring it receives appropriate academic and financial recognition from the publications of its staff and students.

(11) Any individual found to be in breach of this Policy in relation to research activity may be subject to disciplinary or other action.

Research Principles

(12) Researchers at the University must adhere to the following Principles, aligned with the Australian Code for the Responsible Conduct of Research, 2018, in their conduct of research:

  1. Honesty in the development, undertaking and reporting of research, that is, University researchers ensure all information is presented truthfully and accurately in proposing, conducting and reporting research.
  2. Rigour in the development, undertaking and reporting of research, that is, University researchers ensure their conduct of research is underpinned by attention to detail and application of robust methodology, while avoiding or acknowledging any bias.
  3. Transparency in declaring interests and reporting research methodology, data and findings, that is, University researchers share and communicate the research methodology, data and findings openly and accurately, and disclose any concerns.
  4. Fairness in the treatment of others, that is, University researchers treat their fellow researchers and others involved in their research fairly and with respect. They appropriately reference and cite others’ work and give due credit including authorship where relevant, to all those who have contributed to the research.
  5. Respect for research participants, the wider community, animals and the environment, that is, all research conducted by University researchers is underpinned by the treatment with care and respect of all research participants (human and animal) with minimal adverse effects on the environment.
  6. Recognition of the right of Aboriginal and Torres Strait Islander peoples to be engaged in research that affects or is of particular significance to them [This recognition should be guided by overarching key Indigenous ethical guidelines, and when possible, local community protocols]. This includes:
    1. Recognise, value and respect the diversity, heritage, knowledge, cultural property, and connection to land of Aboriginal and Torres Strait Islander peoples [see Spirit and Integrity and Cultural Continuity within NHMRC - Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and Communities and Self-Determination within AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research]
    2. Engage with Aboriginal and Torres Strait Islander peoples prior to research being undertaken to empower them to take decisions about their involvement in the research [see Responsibility and Respect within NHMRC - Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and Communities and Leadership within AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research]
  7. Report to Aboriginal and Torres Strait Islander peoples on the outcomes of research in which they were engaged [see Reciprocity and Equity within NHMRC - Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and Communities and Impact and Value and Sustainability within AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research].
  8. Accountability for the development, undertaking and reporting of research including complying with relevant legislation, policies and guidelines, ensure good stewardship of public resources used to conduct research, and consider the consequences and outcomes of research prior to its communication.
  9. Promotion of responsible research practice, fostering a research culture and environment that supports the responsible conduct of research.

(13) University staff, students and other individuals acting in the University's name or using its facilities for research must demonstrate integrity and professionalism in the conduct of their research.

(14) In demonstrating integrity University researchers must:

  1. act in a manner that serves to promote the reputation of the University
  2. augment the confidence of the public in its research credentials
  3. primarily serve scholarly and public interests
  4. achieve and maintain the highest standards of intellectual honesty and ethical practice in the conduct of all aspects of their research and
  5. only participate in work they are competent to perform and which conforms to accepted ethical standards, University policies and procedures and prevailing legislation.
Top of Page

Section 4 - Procedures

(15) The Deputy Vice-Chancellor and Vice-President, Research, Enterprise and International is responsible for the overall adherence to this Policy for the University.

(16) Each Dean and Director, Research Institute is accountable for the conduct of research and observance of this Policy within their areas of responsibilities.

(17) Schools and Research Institutes must periodically review procedures for communicating the requirements for the conduct of research within their respective areas. This may involve re-issuing established guidelines; improving procedures for monitoring and documenting research practices; or further training.

Part A - Conducting Research

(18) In conducting research activities, researchers must uphold the principles of responsible research conduct in all aspects of their research including:

  1. support a culture of responsible research conduct, guide and mentor other researchers and research trainees under their supervision on responsible conduct of research, and monitor their conduct where appropriate
  2. undertake and promote education and training in responsible research conduct
  3. comply with the relevant laws, regulations, guidelines, standards and policies in relation to the responsible conduct of research
  4. ensure that ethical principles of research merit and integrity, justice, beneficence and respect are applied to human research
  5. when engaging with Aboriginal and Torres Strait Islander peoples and communities, adhere to overarching Indigenous ethical guidelines and respect Indigenous peoples’ legal rights, local laws, Indigenous Cultural and Intellectual Property rights, and their local customs, ethics and protocols
  6. ensure that the 3Rs (Replacement, Reduction and Refinement) are considered at all stages of research involving animals and minimise the impacts on animals used in research and in so doing support the welfare and wellbeing of those animals
  7. adopt methods appropriate to the aims of the research and ensure that conclusions are justified by the results
  8. retain clear, accurate, secure and complete records of all research including research data and primary materials. Where possible and appropriate, allow access and reference to these by interested parties
  9. disseminate research findings responsibly, accurately and broadly. Where necessary, take action to correct the record in a timely manner
  10. disclose and manage actual, potential or perceived conflicts of interest. Adhere to the principles of honesty, transparency and accountability when using generative artificial intelligence in the conduct and dissemination of research
  11. ensure that authors of research outputs are all those, and only those, who have made a significant intellectual or scholarly contribution to the research and its output, and that they agree to be listed as an author.
    Note. Authorship should be offered to Indigenous peoples who have shared their Indigenous Knowledges (e.g., lived cultural experiences, family histories, Traditional Knowledges, Language), and memorandums of understanding be established for Indigenous Cultural and Intellectual Property rights. (Refer to the Aboriginal Cultural and Intellectual Property (ACIP) Protocol)
  12. acknowledge those who have contributed to the research
  13. cite and acknowledge other relevant work appropriately and accurately
  14. responsibly and respectfully participate in peer review (assessing grant applications, selecting material for publication, and the review of performance of researchers and teams) - in a way that is fair, rigorous and timely and maintains the confidentiality of the content
  15. report suspected contraventions of this Policy to the relevant institution and/or authority
  16. assess and manage the risk of international research partner activities particularly in relation to:
    1. Countering foreign interference:  When collaborating with international partners, researchers should take reasonable steps to consider and mitigate the threats of foreign interference and assess whether a potential contributor, employee or partner poses a risk, either reputational or security related, and make decisions about their research, based on this assessment. Researchers must report any concerns about foreign interference to the Foreign Arrangements Team or through their School Dean/Institute Director. (Refer Foreign Arrangements Scheme webpage)
    2. Export Controls and Autonomous Sanctions Legislation: If researchers transfer certain items, technologies or information outside Australia they may have obligations under the Defence Trade Controls Act 2012 (Cth). Supplying, brokering or publishing items, technologies and information outside of Australia that are considered by government as 'controlled' may require a permit. Exporting 'controlled' technologies and information may also require a permit. Permits are administered by the Defence Export Controls Office (DEC) at the Department of Defence. It is important to become familiar with Australia's defence related legislation and the types of technology and items that require a permit. Failure to comply with these Acts is considered a criminal offence. (Refer to Controlled Goods and Technology webpage)
    3. Autonomous sanctions: As well as the sanctions imposed by the United Nations Security Council, Australia also imposes autonomous sanctions on certain countries and individuals to support our foreign policy objectives that researchers should be aware of. (Refer Autonomous Sanctions Act 2011 (Cth))
  17. conduct their research in a safe manner
  18. comply with established policies and guidelines as listed in this Policy
  19. obtain necessary permissions (including permits, licences) before conducting research, including from the University's Human Research Ethics Committee, the Animal Care and Ethics Committee, the Biosafety and Radiation Safety Committee or any other safety or validly constituted regulatory committee, as required
  20. assess and manage the risk of their research activities as per the Research Project Risk and Compliance webpage through submission and regular review of a Research Project Risk Assessment, a Research Project Risk Disclosure Form and submitting an Annual Declaration including the disclosure of project risks and submitting an annual declaration form (available on the Research Project Risk and Compliance web page). Staff must ensure transparency in disclosing external interests and in the completion of the Annual Declaration.
  21. correctly attribute authorship, acknowledge sources correctly, cite referencing and remove plagiarism
  22. where several parties are involved (researchers, assistants, funding agencies, enterprises, government departments, universities), ensure explicit consensus in writing on intellectual property rights and authorship among all parties in advance of research commencing
  23. in international research or on-line environments, take due account of national laws, especially with respect to requirements around the collection of personal data
  24. The University recognises that competition in research can have a strong and positive influence on enhancing the quality and immediacy of research work, however researchers must not allow competitive pressures to encourage:
    1. hasty or poor preparation and submission of papers
    2. the division of reports or substantial bodies of work into multiple small reports to enhance the 'publication count' of the author(s)
  25. Researchers and grant recipients are required to undertake a risk assessment to identify the level of responsibility for vulnerable people including children, and the potential risk of harm or abuse and to identify appropriate strategies to be put into place to manage those risks. It is important that researchers comply with relevant legislation and obtain necessary checks.  For example, in NSW researchers working with children on their research projects, must obtain the Working With Children Check (WWCC) from the NSW Office of the Children's Guardian. Researchers must inform their respective School/Institute once they obtain their WWCC.
  26. The National Statement on Ethical Conduct in Human Research (2018) also provides guidelines for researchers working with particular groups, where researchers have special responsibilities. These groups include: women who are pregnant and the human foetus; children and young people; people in dependent or unequal relationships; people highly dependent on medical care who may be unable to give consent; people with a cognitive impairment, an intellectual disability, or a mental illness; people who may be involved in illegal activities; and people in other countries. In doing research with these groups, researchers must ensure that they adhere to the requirements of the national guidelines (refer to the Australian Research Council webpage).

Part B - Data Management and Data Sharing

(19) The University manages research data in accordance with the Research Data Management Policy.

(20) Researchers must submit a Research Data Management Plan for all research projects via the ResearchDirect Portal.

(21) Researchers have primary responsibility for deciding which research data and primary materials should be subject to long-term retention and wider accessibility, in accordance with legislative requirements.

(22) Researchers who are part of cooperative data sharing relationships between researchers outside the project team are to enter in a Data Sharing Agreement, as outlined in the Research Data Management Policy.

Part C - Authorship and Attribution

(23) Authorship must be an honest reflection of the contribution to research, be assigned fairly and consistently with established disciplinary practice, and must be communicated clearly and transparently between contributors to the research.

(24) When research engages with Indigenous Traditional Knowledges and/or Cultural Expressions, researchers are required to establish sustainable memorandums of understanding with Traditional Knowledges and Cultural Expressions custodians. This includes agreed upon negotiations relating to data sharing, dissemination, authorship, development of Aboriginal Cultural and Intellectual Property (ACIP) Protocol statements, and the translation of Traditional Knowledges and Cultural Expressions back to the custodians and their local communities.

(25) Please refer to the Western Sydney University Authorship Guidelines for further information on authorship requirements.

Part D - Publication and Dissemination of Research

(26) Western Sydney University supports transparency, accuracy, and responsible publication, dissemination and communication of the findings and results of research widely and to all appropriate audiences.  This applies to the publication and dissemination of traditional and non-traditional research outputs, non-refereed publications as well as dissemination undertaken as part of research grant applications and other forms of financial support.

(27) Where necessary, the University will work with researchers to ensure that incorrect or incomplete records are corrected in a timely manner.

(28) Researchers should consider the potential application and consequences of publication and dissemination of research and be mindful of the unintended consequences for individuals and communities.

(29) The University grants the ownership of the copyright in scholarly works or creative works created by an employee in the course of employment to the employee. Unless otherwise agreed in writing, the University will, in its capacity as an employer, own all data and datasets developed by employees in the course of employment with the University, except for scholarly works such as books, book chapters, published journal articles, research papers and other published materials (refer to the Copyright Policy and Intellectual Property Policy).

(30) University ownership over Indigenous Traditional Knowledges and/or Cultural Expressions can be relinquished through the establishment of agreed upon Memorandums of Understanding with Knowledge/Expression custodians and clear Aboriginal Cultural and Intellectual Property (ACIP) Protocol rights statements.

(31) Please refer to the University's Publication and Dissemination of Research Guidelines for further information on responsibilities of researchers.

Part E - Research Integrity

(32) Refer to the University's Supervision of Research Candidates Policy and Supervision of Research Candidates Procedures for information on the responsibilities of supervisors and related procedures.

Part F - Research Integrity Advisors (RIAs)

(33) Research Integrity Advisors (RIAs) are experienced researchers with a good knowledge and understanding of accepted practices in research, good communication skills, empathy, and analytical skills, who actively promote the University's commitment to the responsible conduct of research. Refer to the Research Integrity Advisors webpage for more information.

(34) RIAs help promote a research culture of honesty and integrity and provide impartial advice and guidance about responsible research practice and where possible practices that are discipline specific.

(35) Where a matter is reported, the RIA will not generally be involved in the investigation or institution’s response other than as a witness or to provide testimony, where required.

(36) The Associate Dean, Research (Schools) and the Director of Research (Research Institutes), or their equivalent positions, are appointed as RIAs by the Deputy Vice-Chancellor and Vice-President, Research, Enterprise and International.

(37) Staff, students, and affiliates can contact a Research Integrity Advisor to obtain confidential advice on good research practices, including publication and dissemination of research findings, authorship, conflicts of interest and management of research data and primary materials.

Part G - Disclosure of Potential Conflicts of Interest

(38) The definition and procedures for handling a conflict of interest are contained in the Conflict of Interest Policy.

(39) Researchers have obligations to:

  1. at the time of reporting or proposing research (for example, in a grant application), or earlier, disclose to the, Associate Dean, Research (or equivalent), in confidence, any affiliation with, or financial involvement in, any organisation or entity that has a direct interest in the subject matter or materials of the research. Financial interests requiring disclosure include but are not limited to: direct payments to the researcher (e.g., salary, consultancy payments, speaking fees, panel memberships); indirect payments to the researcher (e.g., luxury funding of travel accommodation, professional development, hospitality); company equity or options; royalties; directorships; some forms of scholarships
  2. maintain records of activities that may be relevant to the assessment of whether a conflict of interest exists (such as consultancies; memberships of boards of directors, advisory groups, or committees)
  3. disclose any material interest in a timely fashion
  4. update any disclosures of interest as circumstances change, and at least annually during the period where the research remains active
  5. comply with the Conflict of Interest Policy and avoid conflicts of interests which have the potential to influence research and investigations, publication and media reports, grant applications, or applications for appointment and promotion, including direct benefits such as sponsorship of the investigation, and indirect benefits such as the provision of materials or facilities or the provision of travel or accommodation expenses to attend conferences
  6. RIAs will assist researchers to communicate with funding bodies and editors of publications potential or alleged conflicts of interest in research as required.

Part H - Disclosure of Personal Information

(40) Researchers must comply with the University's Privacy Policy and all associated legislation. The University's Privacy Management Plan sets out how to comply with the Privacy and Personal Information Protection Act 1998 (NSW) and Health Records and Information Privacy Act 2002 (NSW) and related procedures.

Part I - Contraventions of the Research Practice Procedures and Research Misconduct

(41) Allegations of contraventions of research practice procedures set out in this Policy are serious, and the principles of confidentiality, sensitivity to all parties, protection of interested parties and procedural fairness apply to managing and investigating these potential breaches and research misconduct. (Refer to the Guidelines on Procedural Fairness and Good Decision-Making).

(42) Researchers who consider a contravention of this Policy has occurred are to report their suspicions as soon as possible to the relevant Associate Dean, Research (or equivalent); or the Director, Research Impact and Integrity; who will commence investigations.

(43) Supervisors (of staff), who become aware of possible breaches of this Policy will endeavour to informally resolve the breach by appropriate guidance, counselling, conciliation, training or other appropriate action.

(44) In investigating allegations of a breach of this Policy it may be required to speak to other relevant parties as part of that process.  This may include:

  1. the person making the allegation
  2. the person against whom a complaint is made
  3. research students/trainees and staff working with the researchers concerned
  4. journals, or other media, in which allegedly fraudulent papers have been or are about to be published
  5. funding bodies that have contributed to the research
  6. staff external to the University in cases of research collaboration
  7. the public - for example participants in a project where a drug was involved

(45) Breaches of this Policy and the Australian Code for the Responsible Conduct of Research, 2018 will be dealt with on case-by-case basis in accordance with the relevant Academic Staff Agreement and the Student Misconduct Rule.

(46) In certain circumstances the University is required to report matters involving research misconduct to the National Health and Medical Research Council and the Australian Research Council. When complying with this requirement, the relevant School Dean or Director, Research Institute will ensure the personal information of researchers is not disclosed before an inquiry is completed.

(47) Refer to the Contraventions of the Responsible Conduct of Research Policy: Procedural Guidelines for information on how contraventions of research practice procedures and research misconduct are managed at the University.

National Health and Medical Research Council (NHMRC)

(48) The National Health and Medical Research Council (NHMRC) expects the highest levels of research integrity and conduct to be observed in the research that it funds. Institutions that administer NHMRC funding are bound by a Funding Agreement and must observe the requirements of the Australian Code for the Responsible Conduct of Research, 2018.

(49) Institutions must notify National Health and Medical Research Council of research integrity matters that relate to complaints received on or after 1 July 2019.

(50) A matter is related to National Health and Medical Research Council funding if the complaint, allegations, investigation or findings relate to:

  1. current or past NHMRC grants
  2. current NHMRC grantees, regardless of whether the matter relates to their current NHMRC grants
  3. application/s in a current NHMRC funding round, and
  4. current NHMRC applicants, regardless of whether the matter relates to an NHMRC grant application.

Preliminary Assessments

(51) Research Services will notify National Health and Medical Research Council of research integrity matters as follows.

(52) The University must notify National Health and Medical Research Council within two weeks of:

  1. The outcomes of a preliminary assessment where:
    1. the matter is referred for investigation, and/or NHMRC had been previously notified about a matter, or has referred a matter to the University, irrespective of the outcome of the assessment or whether the matter has been referred under other institutional processes
    2. the complaint has been resolved without the need for an investigation, and/or
    3. it has been established that a complaint, if proven, would constitute a breach of this Policy and
  2. Matters that relate to research administration that can easily be rectified at the local level and resolved prior to the need to consider a preliminary assessment, or once a preliminary assessment has been conducted, do not need to be notified. Unintentional administrative errors, clerical errors or oversights are some examples of these types of matters.

(53) The University must notify National Health and Medical Research Council of:

  1. Any instance where a preliminary assessment has taken, or will take, longer than twelve weeks from the date of receipt of a complaint.
  2. Notifications should be made as soon as it is determined that the preliminary assessment will take more than twelve weeks or at the end of the twelfth week if the assessment is not complete.

(54) The University must notify National Health and Medical Research Council of matters before the completion of the preliminary assessment or investigation if:

  1. the University suspends funding to an individual or team involved in NHMRC-funded research before the completion of the preliminary assessment, or
  2. the University identifies an imminent or real risk of harm to humans, animals or the environment before completion of the preliminary assessment and has suspended or intends to suspend the research activity

(55) In these circumstances, the University must notify National Health and Medical Research Council as soon as possible and no later than one week after the risks have been identified or the funding suspended. If these issues are only identified or a suspension is put in place at a later point in the investigation, NHMRC should be informed of the identification and/or suspension as soon as possible, and at the latest, within one week.

(56) In some circumstances, such as where a complaint has been made directly to National Health and Medical Research Council, or NHMRC becomes aware of a concern via other means (e.g., from media reports or from its peer reviewers), NHMRC will know of a complaint before the University has had the opportunity to consider it. NHMRC will engage directly with the University to seek further information and may advise of future notification requirements. (refer to the NHMRC Research Integrity and Misconduct Policy 2019)

Australian Research Council (ARC)

(57) Under Australian Research Council Funding/Grant Agreements the University is responsible for reporting to the ARC on potential and actual breaches of this Policy as they arise. Reporting is required in the following circumstances:

  1. Before the completion of a preliminary assessment where:
    1. the University has suspended funding to an individual or team involved in ARC funded research. The University must notify the ARC as soon as possible and no later than one week after the funding is suspended
    2. the complaint or evidence collected identifies an imminent or real risk of harm to humans, animals or the environment and the University has suspended, or intends to suspend, the research activity related to an ARC grant. The University must notify the ARC of the risks no later than one week after the risks have been identified
    3. the preliminary assessment is expected to take longer than 12 weeks from the date of receipt of the complaint. Notifications should be made as soon as it is determined that the preliminary assessment will take longer than 12 weeks. Following this notification, progress updates should be provided to the ARC every 6 weeks until the preliminary assessment is complete.
  2. On the outcome of a preliminary assessment the University must inform the ARC within two weeks of the outcome of a preliminary assessment where:
    1. it has been established that a complaint, if proven, would constitute a breach of the Procedures in this Policy, and the complaint has been resolved without the need for an investigation
    2. the matter has been referred to an investigation or
    3. irrespective of the outcome of the preliminary assessment, the ARC was aware of the complaint before the completion of the preliminary assessment and has notified the University that reporting to the ARC is required.
  3. While an investigation is underway the University must report to the ARC where:
    1. the University has suspended funding to an individual or team involved in ARC funded research. The University must notify the ARC as soon as possible and no later than one week after the funding is suspended
    2. the complaint or evidence collected identifies an imminent or real risk of harm to humans, animals or the environment and the University has suspended, or intends to suspend, the research activity related to an ARC grant. The University must notify the ARC of the risks no later than one week after the risks have been identified
    3. an investigation takes longer than 12 weeks from the date of commencement of the investigation. Regular progress updates should be provided to the ARC every 12 weeks while an investigation is underway

(58) The University must inform the Australian Research Council within two weeks of the outcome of any investigation into potential breaches of this Policy. (Refer to the Australian Research Council, Research Integrity Policy 2023)

Top of Page

Section 5 - Guidelines

(59) This Policy should be read in conjunction with the following associated University guidelines:

  1. Authorship Guidelines
  2. Contraventions of the Responsible Conduct of Research Policy: Procedural Guidelines
  3. Publication and Dissemination of Research Guidelines
  4. Research Supervision Guidelines
  5. Foreign Arrangements Scheme webpage.

(60) The University's ethics reviews are guided by the following national guidelines:

  1. National Statement on Ethical Conduct in Research Involving Humans
  2. Australian Code for the Responsible Conduct of Research, 2018 
  3. Australian Code of Practice for the Care and Use of Animals for Scientific Purposes
  4. NHMRC - Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and Communities (2018)
  5. Indigenous Knowledge: Issues for protection and management (Janke & Senita, 2017)Janke & Sentina, 2017)
  6. United Nations Declaration on the Rights of Indigenous People (United Nations, 2007)
  7. AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research (AIATSIS, 2020)
  8. Vancouver Protocol
  9. The University's Biosafety and Radiation Safety review is guided by National and State guidelines and standards (refer to ARPANSA - Radiation Protection Series - Codes and standards and EPA - Radiation).

(61) Other documents and sites of relevance:

  1. Universities Australia Principles for Respectful Supervisory Relationships
  2. On Being a Scientist - A Guide to Responsible Conduct in Research
  3. Suppressing Research Data by Brian Martin.