Part 5 Conduct of Research

Statement and Guidelines on Research Practice

This can be found in the University’s policy on Code of Conduct for Responsible Practice of Research

General Principles

It is a basic assumption of the University that academic and research staff, and postgraduate research students, are committed to high standards of professional conduct. Researchers have a duty to ensure that their work enhances the good name of the University and the profession to which they belong.

Researchers should only participate in work which conforms to accepted ethical standards and which they are competent to perform. When in doubt they should seek assistance with their research from their colleagues, peers or Supervisors. Debate on, and criticism of, research work are essential parts of the research process.

The University and its researchers have a responsibility to ensure the safety of all those associated with the research. It is also essential that the design of the project takes account of any relevant ethical guidelines. Research must comply with established guidelines such as the NHMRC Statement on Human Experimentation and Supplementary Notes (1999). Where research procedures are of a kind requiring approval by a human or animal experimentation ethics committee, or by other validly constituted regulatory committees, research must not proceed without such approval.

If data of a confidential nature are obtained, for example from individual patient records or from certain questionnaires, confidentiality must be observed and researchers must not use this information for their own personal advantage or that of a third party. Secrecy may also be necessary for a limited period in the case of contracted research or of non-contractual research which is under consideration for patent protection. In general, however, research results and methods should be open to scrutiny by colleagues within the University and, through appropriate publication, by the profession at large.

In general conduct, and in the conduct of research, there should be no display of bias or prejudice towards other persons based upon their race, creed, gender, physical disabilities, or for any other reason.

Requirements for ethical clearance

Research workers undertaking experimentation that involves humans, animals, or genetic manipulation are required to have the ethical aspects of their project considered by the Principal Supervisor and Head of School, and projects must be approved by the appropriate Ethics Review Committee. Research which employs known pathogens/ carcinogens or ionising radiation must also be cleared with the Radiation Safety Officer.

Research may not commence before the required clearances are obtained. Information about specific requirements and application forms may be obtained from Supervisors, Heads of Schools or the Ethics Administrator.

Manipulative research on protected fauna or flora, in national parks, or in the Great Barrier Reef Marine Park will require permits from the relevant regulatory agency. If research is on land or sea which is or is likely to be under claim by Indigenous peoples, these agencies will also be required by law to notify the traditional owners before a research permit can be issued. Such permits are likely to take several months to issue and this delay needs to be factored into the research timetable.

Confidentiality of data

In some disciplines, particularly in the Social Sciences and Health fields, research workers must obtain the consent of individuals to gather and record data concerning them. Those who have made the research possible must be protected from inconvenience or embarrassment through the release of personal information. The confidentiality of individual records must be protected during and after the study, and anonymity must be preserved in the publication of results. Research workers must not use such information for their own personal advantage or for that of a third party.

To the best of their ability, research workers will conform to the principles laid down in relation to confidentiality, by such bodies as NHMRC, The Helsinki Declaration, and The American Psychological Association.

Retention of data

The University requires all data to be recorded in a durable and appropriately referenced form. It is strongly recommended that original data be retained in the school in which the data were generated. It is “data” on which publications are or will be based, that are to be retained or their location recorded, not materials. For example, raw samples gathered during a field trip, electronically recorded interviews, or serum taken from subjects would be kept only for a sufficient period to collate and analyze those samples.

Only aggregate data that are to be used for publication need to be kept, and this should be for a minimum period of five years. It is a good idea to include a CD record of the aggregate data on which the thesis is based, in the bound copies of the thesis that are lodged in the School library.

Confidentiality agreements and contractual arrangements

Any contract with an external company or agency relating to a research higher degree program must be referred to and processed through Research Services.

A research higher degree student may not, as part of a degree program, undertake research which requires the student to sign a confidentiality agreement imposing restrictions on the publication of any material resulting from their thesis, without prior approval from the Dean of Graduate Research Studies. Students and their Supervisors should make an appointment with the Dean to discuss their situation before signing any such agreement.

Intellectual Property

Intellectual property has many facets including the following areas of particular relevance to research: copyright, patents, authorship, and managing confidentiality within a research project.

Submission of the thesis requires the student to sign a statement of originality, and it is implicit in the statement that the text has been written by the student in his or her own words. In legal terms, it is the student who has copyright in the thesis. Section 31(1)(a) of the Copyright Act 1968 (Cth) confers on the owner of copyright in a work, the exclusive right to reproduce it in any material form, and to publish the work.

Universities are able to supply a copy of the thesis to a person who requires it for study/research purposes. The Australian Copyright Council believes that if a university wishes to supply a thesis copy to a person who intends to use it for business purposes, then the permission of the author must be obtained.

Generally, the author of a work is the owner of copyright in it. In the same way, an inventor is the owner of a patentable invention. However, there are a number of cases in which these rights are modified or overridden by law or agreement. For example, an agreement to assign copyright can be effected in writing, either before or after work is produced.

Information on the University’s intellectual property policies may be obtained from the Research Development Officer in Research Services.

If a student is also employed by the University and makes an invention in the course of his or her work as a staff member, the University will have rights over the invention.

Ownership of copyright or a patent will also depend on contributions made by others to the work. In cases where the ideas or other work of a Supervisor contribute significantly to a project, the student may have only a joint interest or, in some cases, no interest in the underlying intellectual property referred to in the student’s written work. However, a student will own copyright in his or her thesis on the basis that it must be the student’s own work in order to qualify as a thesis.

As noted earlier, ownership of copyright and inventions may be transferred by agreement. In recent years there has been a significant increase in industry-linked research scholarships. These arrangements with third parties are beneficial to students as they provide resources and research topics for their projects. However, third parties may require rights to intellectual property in return for their input. In such cases, students need to be aware of the implications of undertaking research supported by third parties in that there may be restrictions on or transfer of their rights.

For example, publication from a thesis may be subject to a period of restriction. However, the University will use its best efforts to ensure that students retain copyright in their theses and that conditions imposed by sponsors do not prejudice the students' interests. In some cases difficult decisions may have to be made by the student and the University about the impact of such conditions and whether to accept the support. Full details can be found in the University's policy document on Students and Intellectual Property