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Purpose | Scope | Principles | Policy statements | Roles and responsibilities | Definitions | Approval information | Version history | References

Related procedures

Research Management (SharePoint)

Research Finance (SharePoint)

Research Data Management

Authorship

Defence Industry Security Program (SharePoint)

Defence Trade Controls Compliance (SharePoint)

University Consulting (SharePoint)

US Public Health Service Funded Research Procedure

Use of AI in Research Guidelines

1. Purpose

1.1 The Research Policy (the policy) outlines how research at UTS is conducted and managed. In support of the UTS Research Strategy (the research strategy), the policy establishes the research environment and culture in which UTS researchers work. The policy also supports and enables UTS’s recognition of the importance of research translation as a mechanism for the delivery of research impact.

1.2 Research is fundamental to UTS’s purpose, in particular the delivery of excellent research with strong economic, environmental, cultural and social impact. Research is broadly defined by the Australian Code for the Responsible Conduct of Research (the Australian Code) as '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'.

1.3 Research at UTS involves critical and experimental inquiry guided by a hypothesis or intellectual position that is open to scrutiny from peers and formal analysis by experts in the field. UTS sees research as having a direct impact on communities, government, business, industry and the environment.

2. Scope

2.1 The policy applies to all staff, students and affiliates (hereafter researchers) conducting or managing research for UTS. In addition, UTS staff will undertake research in line with the Enterprise agreements.

2.2 In addition to this policy, graduate research students and supervisors must comply with the Graduate Research and Supervision Policy and section 11, Student Rules.

2.3 University consulting is acknowledged as a specific type of research and is managed under the University Consulting Procedure (SharePoint).

3. Principles

3.1 The Australian Code establishes a framework for research to be conducted responsibly, ethically and with integrity by articulating the characteristics of an honest, ethical and conscientious research culture. Researchers must be familiar with, and comply with, the principles and responsibilities outlined in the Australian Code, this policy and other integrity-related policies (for example, the Academic Integrity Policy and the Conflicts of Interest Disclosure Policy).

3.2 The principal objective of human and animal research ethics and biosafety review is to facilitate safe and ethical research. UTS affirms its commitment to the:

  1. National Statement on Ethical Conduct in Human Research
  2. AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research
  3. Australian Code for the care and use of animals for scientific purposes, and
  4. National Gene Technology Scheme.

3.3 The UTS 2030 strategy establishes the goal of excellence in connected research. The research strategy and its enabling plans provide a roadmap for researchers to deliver excellent research with impact, establish characteristics of research excellence and connect researchers with the tools needed to create and translate high-quality research outcomes.

3.4 Research must be conducted and managed in line with relevant legislative requirements, this policy and its procedures and guidelines to enable UTS to effectively support its research endeavours and report publicly on its research activities.

3.5 Research conducted at UTS must be the subject of peer review to ensure necessary standards via expert scrutiny in line with the requirements of the Australian Code.

3.6 UTS will only collaborate with partners who hold the same ethical standards as UTS. UTS will not engage in a collaboration that impinges on its institutional autonomy or compromises academic freedom. This allows UTS to comply with its values (refer Academic Freedom and Freedom of Expression Policy), external legislation (for example, Modern Slavery Act 2018 (Cth)) and other external guidelines (for example, Guidelines to counter foreign interference in the Australian university sector). 

3.7 Research funding is assessed through a rigorous due diligence and benefit-risk assessment process (refer Guidelines and principles for accepting research funding (available at Research Funding: Funding types)). UTS will not seek or accept research funding in any form from the tobacco industry.

4. Policy statements

Research requirements

4.1 This policy supports the university’s research strategy by outlining requirements and expectations for UTS researchers and lead chief investigators (lead CIs). This policy and its procedures will help produce high-quality research with impact by:

  1. identifying requirements and expectations for all researchers
  2. supporting the development of high-quality, competitive research proposals
  3. encouraging researchers to consider potential research translation as a fundamental part of their research endeavours
  4. providing the necessary structure for researchers and UTS delegates to act responsibly, with rigour and honesty, promoting responsible leadership at all levels of research
  5. encouraging fairness, respect and recognition for all those involved in UTS research
  6. ensuring transparency and accountability when reporting research methodologies and findings
  7. supporting the management of research data in a secure, accessible, interoperable and reusable manner
  8. enabling open, equitable and worldwide access to research outcomes where possible.

4.2 Researchers, individually or collaboratively, will carry out research, scholarship and/or creative activities relevant to their discipline. In line with the Enterprise agreements, the requirement for researchers to undertake research is considered a natural part of a career at UTS. To this end, researchers will:

  1. contribute to UTS's culture of responsible research conduct and undertake research with impact
  2. provide support to and supervise graduate research students in line with the Graduate Research and Supervision Policy and engage in mentoring
  3. disseminate research findings (through more than one medium or one audience), including through teaching
  4. connect with external stakeholders and be a member of relevant professional bodies and communities
  5. help to secure financial support for research activities from external sources (for example, government funding, industry partnerships and contracts, and commercialisation opportunities).

Research risks, opportunities and conflicts

4.3 Research direction and impact at UTS is determined by understanding the risks, benefits and opportunities of research. Before carrying out any research, or research translation activities, researchers must: 

  1. undertake appropriate due diligence and benefit-risk assessments in line with the Research Project and Engagement Risk Guidelines (SharePoint) and the Risk Management Policy, and
  2. consider any opportunities for research translation in line with the Research Translation Plan (available at Research Ecosystem (SharePoint)).

4.4 UTS understands the risks and opportunities provided by artificial intelligence (AI). The use and application of generative AI models, tools and technology in research must be considered in line with the Use of AI in Research Guidelines.

4.5 Researchers must meet:

  1. health, safety and wellbeing obligations in line with the Health, Safety and Wellbeing Policy and any relevant faculty/unit risk and health and safety requirements, and
  2. behavioural and integrity requirements in line with the Code of Conduct, the Academic Integrity Policy and the Equity, Inclusion and Respect Policy.

4.6 Researchers must understand and comply with the university’s requirements on identifying, declaring and managing any actual, perceived or potential conflicts of interest in line with the Conflicts of Interest Disclosure Policy and the Research Management Procedure (SharePoint).

4.7 Researchers must be cognisant of all potential spheres of influence and report any conflicts of interest or other types of influence that may arise during the undertaking of any research activities. This includes the university’s obligation to comply with funder requirements and the Guidelines to counter foreign interference in the Australian university sector.

Research integrity, ethics and biosafety

4.8 Lead CIs must obtain all necessary ethics and biosafety approvals before the start of any work involving:

  1. research conducted with or about people, or their data or tissue
  2. innovations, interventions and therapies, including clinical and non-clinical trials
  3. the care and use of animals for scientific purposes
  4. biological hazards (such as genetically modified organisms (GMOs), pathogens, ionising radiation, cytotoxic substances and imported biological materials).

4.9 Researchers and lead CIs must follow the research ethics and biosafety requirements outlined in the Research Management Procedure (SharePoint). Further guidance on animal ethics, biosafety, clinical trials and human research ethics is available at Research Ethics (SharePoint).

Research collaborations

4.10 Research collaborations are encouraged by the research strategy and must be guided by Collaborative research: A guide supporting the Australian Code. 

4.11 Researchers must ensure that research projects or collaborations that involve international partners meet all applicable regulatory requirements as outlined in the Offshore Activities Policy. This includes defence trade controls and autonomous sanctions (refer International collaboration and engagement: Regulatory considerations (SharePoint)).

4.12 Research that involves collaboration or partnership with the Department of Defence may fall under the Defence Industry Security Program (DISP). Researchers engaging in DISP collaborations must comply with the Defence Industry Security Program Procedure (SharePoint).

Research projects

4.13 Lead CIs are responsible for the accuracy of the information provided in the research proposal and for the general management and oversight of the research project. Researchers and lead CIs must plan, conduct and manage their research project in line with the Research Management Procedure (SharePoint). 

4.14 Lead CIs are responsible for ensuring the completion of a research project in line with the Research Management Procedure (SharePoint).

Costing, pricing and expenditure

4.15 The costing, pricing and expenditure of research forms part of the research proposal. Lead CIs must comply with the Research Finance Procedure (SharePoint) to ensure appropriate expenditure and management of funds, including appropriate approvals in line with the Delegations.

Approvals

4.16 All research projects must be formally approved before any research activity begins. This includes all human and animal ethics and biosafety approvals (refer Research Ethics (SharePoint)) and a Working with Children Check where relevant (refer Child Protection Policy). 

4.17 Lead CIs must provide all the necessary information in the proposal to allow the UTS delegate to approve the project in line with the Delegations and the Research Management Procedure (SharePoint). This includes having approval for the proposal by the lead CI's faculty/institute.

4.18 In approving a research proposal, the UTS delegate must ensure that:

  1. costing and pricing is accurate
  2. risks have been identified and any necessary due diligence has been completed
  3. compliance with the international regulatory environment has been considered (refer Offshore Activities Policy and International collaboration and engagement: Regulatory considerations (SharePoint)), and
  4. all requirements of the approval process have been met before submission to the client and/or before the research project begins.

Research contracts

4.19 Most research projects require a research contract. Research contracts must be negotiated, agreed and signed in line with the Research Management Procedure (SharePoint). A research contract cannot be negotiated or signed until the research proposal has been approved by the UTS delegate (refer Delegations).

4.20 Lead CIs must ensure that all researchers involved in a research project are aware of their responsibilities and obligations under the research contract.

4.21 Agreements and commitments in relation to intellectual property (IP), including its translation, provision of rights, transfer of ownership or transfer of university material relating to university IP, must be outlined in the research contract and approved by the UTS delegate (refer Delegations).

Research translation at UTS

4.22 UTS will, through the research strategy, the Research Translation Plan, the Research Intellectual Property and Research Translation Procedure and other supporting documents and frameworks, work to ensure research translation is an explicit and deliberate undertaking, embedded as part of normal research activity that is directly supported, facilitated and enabled when there are discreet opportunities for impact and translation. 

4.23 The Deputy Vice-Chancellor (Research) may establish advisory committees to support research translation. Advisory committees may make recommendations and provide advice on research translation activities, which may include, but not be limited to: 

  1. supporting research translation activities and research translation capabilities at UTS by reviewing opportunities, strategies, policies, procedures, plans, processes and data related to research translation
  2. considering and recommending to the Deputy Vice-Chancellor (Research) for endorsement or approval (as appropriate) reports on research translation activities in line with the appropriate governance pathways
  3. reviewing and providing advice on intellectual property management and associated research translation plans (including research commercialisation) in line with the Delegations, and
  4. advising on risks and opportunities associated with all forms of research translation. 

4.24 Council has delegated responsibilities for the management, licensing and assignment of research intellectual property and the establishment, composition, winding-up and variations of companies established for the purposes of research commercialisation (refer Delegations and the Commercial Activities Policy). 

4.25 The establishment, review and approval processes for the disclosure, management and commercialisation of research intellectual property, including the commercial licensing of intellectual property and the formation of companies, and the monitoring of such activities, will be managed in line with the Research Intellectual Property and Research Translation Procedure. 

Research data, primary materials and records

4.26 The effective management of research data enables and supports research collaborations and the publication and validation of research. Researchers must manage all research data, primary materials and research records in line with the Research Data Management Procedure (RDM Procedure), the Privacy Policy, the Records Management Policy and the Data Breach Policy as appropriate.

4.27 Research involving the sharing of data outside UTS must include data sharing arrangements in the research contract or a separate data sharing agreement. This includes projects where a researcher leaves UTS and requires continuing access to the data.

Research outputs

4.28 Research outputs take many forms and are critical to UTS's research reputation and impact. Research outputs must be shared responsibly, accurately and as widely as possible in line with the Open Access Policy. Exceptions to this may occur where:

  1. commercial, legal, technical, privacy or ethical constraints (as part of an approved research contract) prevent sharing of data and data outputs
  2. researchers have the right to keep research data associated with publications confidential until the results have been published.

4.29 Researchers must manage research outputs and all associated data in line with the RDM Procedure.

4.30 Researchers should think strategically about when, where and how to disseminate their research findings, and to make informed decisions to avoid being exposed to predatory publishers and conference organisers.

4.31 Lead CIs must manage the authorship and attribution of research outputs in line with Authorship: A guide supporting the Australian Code and the Authorship Procedure.

Evaluating and monitoring performance

4.32 The Deputy Vice-Chancellor (Research) is responsible for the evaluation and monitoring of research performance at UTS, which involves annual reporting to Council.

4.33 Impact must be considered in all research projects. UTS uses internal and external measures to determine the impact of its research (refer Research engagement and impact (SharePoint)).

Reporting requirements

4.34 UTS collects data on all of its research outputs annually (refer UTS Research Outputs Collection (SharePoint)). Researchers are required to submit data on their authored research outputs to this annual collection in line with the Research Management Procedure (SharePoint).

4.35 UTS collects and reports data on its research income on an annual basis, as guided by the Higher Education Research Data Collection (HERDC) specification. Researchers are required to confirm that an externally funded research project meets the definition of research in line with the HERDC specification.

4.36 Faculties must notify the Research Office and the Graduate Research School when a researcher leaves UTS so that any necessary amendments to research contracts, ethics, graduate research supervision or other reporting requirements can be managed.

4.37 The Deputy Vice-Chancellor (Research) will report on research translation and research commercialisation in a manner determined by the relevant committee chair as follows: 

  1. at least once a year to the Research Committee for review and submission to Academic Board, and
  2. on request by Council to the Audit and Risk Committee or other university committee (refer Commercial Activities Policy).

Complaints 

4.38 Complaints may be made via the Student Complaints Policy or the Staff Complaints Policy or may be made directly to the lead CI or to the Research Office. Researchers are expected to take complaints seriously and ensure they are managed in line with UTS complaints and reporting mechanisms as follows:

  1. Concerns or complaints about workplace behaviour or researcher conduct must be managed in line with the Code of Conduct, the relevant Enterprise agreement and/or research contract.
  2. Concerns or complaints about ethics or biosafety, including conscientious objections, must be managed in line with the relevant guidance available at Research Ethics (SharePoint).
  3. Concerns or complaints about research integrity, including potential breaches of this policy and/or the Australian Code, must be managed in line with the guidelines for research integrity breaches (available at Research Integrity (SharePoint)) for staff or section 16 (Student misconduct and appeals), Student Rules for students.
  4. Concerns and complaints about gender-based violence must be managed in line with the Gender-based Violence Prevention and Response Policy and the Gender-based Violence Response Procedure. 

Policy breaches

4.39 Breaches of this policy or its procedures will be managed in line with the Code of Conduct, the Graduate Research and Supervision Policy (and section 11, Student Rules) or the guidelines for research integrity breaches (Research Integrity (SharePoint)), depending on the nature and circumstances of the breach.

4.40 Serious wrongdoing or misconduct will be referred for consideration in line with the Whistleblowing and Public Interest Disclosures Policy.

4.41 Under the Code of Conduct, the Student Rules and the Student Conduct Rules, UTS may take action against researchers if they breach this policy or any other university requirement. Any such action may result in the imposition of sanctions up to and including termination of employment, appointment or engagement.

5. Roles and responsibilities

5.1 Policy owner: The Deputy Vice-Chancellor (Research) is responsible for enforcement of this policy, ensuring that its principles and statements are observed. The Deputy Vice-Chancellor (Research) is also responsible for: 

  1. the UTS Research Strategy
  2. approval of any associated university-level procedures, plans and guidelines that support UTS’s research activities
  3. research translation and commercialisation, including the approval of terms of reference for advisory committees that support research translation
  4. the evaluation and monitoring of research performance, which involves annual reporting to Council, and
  5. receiving research integrity complaints as the designated officer under the Australian Code.

5.2 Policy contact: The Director, Research Office is the primary point of contact for advice on implementing and administering this policy. 

5.3 Implementation and governance roles:

Associate deans (research) and institute directors are responsible for managing faculty and institute requirements in this policy and for promoting awareness of the responsible conduct and management of research at UTS. This includes responsibility for arranging data sharing agreements for researchers who leave UTS but remain involved in a research project.

The Research Office provides strategic and procedural guidance to researchers and is responsible for the development and publication of research-related guidance.

Manager, Research Integrity and Governance is responsible for managing complaints about research integrity, on behalf of the Deputy Vice-Chancellor (Research), and for