• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Section 4 - Procedures
• Part A - Conducting Research
• Part B - Data Management
• Part C - Authorship and Attribution
• Part D - Publication
• Part E - Data Sharing
• Part F - Supervision of Students/Research Trainees
• Part G - Disclosure of Potential Conflict of Interest
• Part H - Disclosure of Personal Information
• Part I - Integrity in Research Committee
• Membership
• Terms of Reference
• Part J - Allegations of Misconduct in Research
• Reporting Requirements
• Section 5 - Guidelines
• Examples of Misconduct
• External Guidance
• Associated Information
• Section 6 - Dictionary

Section 1 - Purpose and Context

(1) Western Sydney University considers research and the pursuit of knowledge are vital institutional functions and is committed to pursuing these activities in accordance with the highest standards of professional conduct.

(2) This policy forms a code of practice for the responsible conduct of research, and aims to:

1. promote the highest possible standards of research practice;
2. protect all those associated with the research from any avoidable harm that may arise from failures to maintain high standards of research conduct;
3. discourage misconduct and fraud through encouraging the open presentation and discussion of results via peer review mechanisms;
4. apply clear procedures for dealing with allegations of misconduct;
5. protect or otherwise balance the rights of all those associated with the research, human and non-human alike.

(3) The policy also establishes the University's Integrity in Research Committee.

(4) The Code of Practice applies to all research activity carried out by, at or on behalf of the University, and to all individuals who carry out research at or on behalf of the University whether as an employee, student or in some other representative or associated capacity.

(5) The Code of Practice has been formulated in accordance with the Australian Code for the Responsible Conduct of Research (2007) (ACRCR) and Australian Research Council, Research Integrity Policy 2023. The ACRCR requires institutions to establish procedures and guidelines on good research practice and on steps to be followed if suspicions or allegations exist regarding research misconduct. The AIRMP outlines when and how Australian Research Council-funded institutions (universities) should report information regarding research integrity breaches or research misconduct.

(6) The processes of research aim to protect the reliability that knowledge claims. The Code of Practice is to be implemented having regard to the following principles that guide research and which have been long established and contribute to the largely self-correcting nature of research, and accepted ethical research practice and legislation:

1. Maintenance of ethical standards;
2. Validity and accuracy in the collection and reporting of data;
3. Communication between collaborators;
4. Maintenance and reference to records;
5. Presentation and discussion of work at scholarly meetings;
6. Publication of results, including the important element of peer refereeing;
7. The possibility that investigations will be repeated or extended by other researchers.

(7) The Code of Practice should be read in conjunction with the ACRCR, AIRMP, and the University's Code of Conduct, Student Code of Conduct, Research Data Management Policy and Conflict of Interest Policy.

Section 2 - Definitions

(8) Expressions used in this Code of Practice are defined in the Dictionary in Section 6 unless otherwise specified.

Section 3 - Policy Statement

(9) The University expects staff, students and other individuals acting in its name or using its facilities for research to:

1. demonstrate integrity and professionalism in the conduct of their research;
2. act in a manner that serves to promote the good name of the University; and
3. augment the confidence of the public in its research credentials.

(10) Integrity requires researchers to:

1. primarily serve scholarly and public interests;
2. achieve and maintain the highest standards of intellectual honesty and ethical practice in the conduct of all aspects of their research; and
3. only participate in work they are competent to perform and which conforms to accepted ethical standards, University policies and procedures and prevailing legislation.

(11) 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.

(12) The University gives due emphasis to the quality and originality of research, as well as to volume of research output.

(13) 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.

(14) Research data will be securely stored to ensure the validity of the data can be demonstrated as required and to ensure the University meets its obligations relating to privacy under NSW legislative requirements, Intellectual Property protection under international laws and any other confidentiality or research agreements entered into in relation to the research.

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

Section 4 - Procedures

(16) The Deputy Vice-Chancellor and Vice-President, Research, Enterprise and International will monitor the observance of the Code of Practice.

Part A - Conducting Research

(17) In conducting research activities, researchers have responsibilities to:

1. assess and manage the risk of their research activities;
2. conduct their research in a safe manner-
3. comply with established policies and guidelines such as the National Statement on Ethical Conduct in Humans Research (2007), the Research Integrity and Research Misconduct Policy (2015), the NHMRC - Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and Communities, the University's Health Safety and Wellbeing Policy and related Work Health and Safety legislation, the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes (2013) and the NSW Animal Research Act 1985;
4. obtain necessary permissions (includes 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;*
5. correctly attribute authorship, acknowledge sources correctly, cite referencing and avoid plagiarism;
6. 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;
7. in international research or on-line environments, take due account of national laws, particularly if more stringent requirements with respect to the collection of personal data operate than those in Australia.

(18) 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);
3. an undue emphasis on 'logical-next-step' research at the expense of more creative and more innovative lines of study;
4. rapid publication of papers without due consideration of Intellectual Property protection.

Part B - Data Management

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

Part C - Authorship and Attribution

(20) The University is guided by the Vancouver Protocol in applying research authorship.

(21) Any part of an article critical to its main conclusion must be the responsibility of at least one author

(22) An author's role in a research output must be sufficient for that person to take public responsibility for at least that part of the output in their area of expertise.

(23) Authors of research are responsible for:

1. ensuring all participants are given due recognition;
2. ensuring any person who is an author is not excluded as an author without his or her permission in writing;
3. discussing and agreeing on the authorship of a research output with any other relevant researchers at an early stage of the research project, and reviewing any changes in participation as they occur;
4. where there is more than one co-author of a research output, and with the agreement of all co-authors, nominating one co-author as corresponding author for that research output who is to take responsibility for the record keeping for the research output;
5. preparing a signed statement of authorship, which may be required by publishers at the time of submission of any research paper, including electronic dissemination of research findings (an exemplar statement is available from the Research Services).
6. ensuring the work of research students/trainees, research assistants and technical officers is properly acknowledged;
7. acknowledging funding agencies, individuals and organisations providing facilities in the research output;
8. for a multiple authored article that is substantially based on the student's own research project and unique contribution, providing the student as the first author;
9. ensuring a person is not listed as an author when they have not substantially participated in the research output, such as:
   1. through an 'honorary authorship'; or
   2. as the head or supervisor of a research group, or a person who has provided or acquired funding or collected data is not automatically named as author
10. ensuring all publications are correctly attributed to Western Sydney University (written in full) and, if space permits, Western Sydney University, followed by the relevant Institute, School and Research Centre.
11. ensuring the University is correctly and consistently attributed first as the institutional affiliation of University based authors (refer to Procedures for Attribution of Publications Affiliation);
12. placing the written acknowledgement of authorship on file in the corresponding author's academic unit or division for safe keeping, and providing the statement to the publishers at the time of submitting the research output for publication.

(24) Supervisors of higher degree students:

1. must ensure their students are fairly treated in relation to authorship of their research output and
2. should reach agreement with the candidate and the supervisory panel concerning authorship of publications and acknowledgment of contributions during and after candidature
3. ensuring there is open and mutual recognition of the candidate's and any supervisor's contribution on all published work arising from the project (see Conflict of Interest Policy).

(25) Unless there is a formal agreement to the contrary, students own their own intellectual property (see Intellectual Property Policy).

(26) If there are multiple authors, all co-authors of a publication or research output, or their head of academic unit or division if the co-author is unavailable, must in writing:

1. acknowledge their involvement as authors;
2. specify the signatories are the only authors;
3. state the signatories have read the version of the paper submitted for publication.

(27) Chief Investigators are responsible, at the time of submitting progress and final research reports to the funding agency and/or Research Services (Research Services), for reporting on authorship for quality assurance purposes.

(28) Staff and students should refer disputes about authorship to the Pro Vice-Chancellor, Research who will seek a negotiated resolution in the first instance. If a dispute results in a formal complaint, the procedures for handling research misconduct will be implemented (see Part J - Allegations of Misconduct in Research below).

Part D - Publication

(29) Researchers have the following responsibilities in relation to the publication of their research:

1. disseminating a full account of the research as broadly as possible, by ensuring:
   1. published reports, statistics and public statements about research activities and performance are complete, accurate and unambiguous and, where applicable, include negative findings and results contrary to the hypotheses;
   2. publication activities take account of any restrictions relating to ethics approval, intellectual property, personally or culturally sensitive data;
   3. where feasible, providing research participants with an appropriate summary of the research results;
2. citing their institutional research base as Western Sydney University when recording their institutional affiliation in research articles, conference papers and other publications, irrespective of the placement of the affiliation in the publication (refer to Affiliation Procedures document);
3. where possible, providing an accurate source citation with any image used, including, where possible, correct attribution of the creator who is the artist/photographer/illustrator, or adding a list of references or credits at the end of their work;
4. avoiding the publication of multiple papers based on the same set(s) or sub-set(s) of data unless there is full cross-referencing within the papers (for example, in a series of closely related work, or where a complete work grew out of a preliminary publication and this is fully acknowledged);
5. disclosing the simultaneous submission to more than one journal or publisher of material based on the same set(s) or sub-set(s) of data at the time of submission;
6. including in publications information on the sources of financial support for the research;
7. accurately describing the state of publication (in preparation, submitted, accepted), research funding (applied for, granted, funding period), and awards conferred, and where any of these relate to more than one research worker;
8. ensuring all reporting of research complies with any contractual obligations associated with project funding or other conditions, and with the Intellectual Property Policy;
9. where there is private reporting of research that has not yet been exposed to open peer-review scrutiny, especially when it is reported to prospective financial supporters, fully explaining the status of the work and the peer-review mechanisms to which it will be subjected;
10. reporting all eligible publications to DIISR via Research Services (see HERDC Publications Collection) and providing verification as specified.

(30) In relation to reporting in the media, researchers are to:

1. contact the Office of Marketing and Communication for assistance in communicating with and through the media (see Media Policy);
2. avoid reporting research findings in the public media before they have been reported to a research audience of experts in the field of research, preferably by publication in a peer-reviewed journal, except where there is a contractual arrangement;
3. where issues of public policy and concern make prior public reporting desirable, first tender such advice and the unreported status of the findings to the public or professional authorities responsible. Where the responsible authorities do not act, a researcher may report on their research and the unpublished status of the findings to the media.

(31) Each Dean and Director, Research Institute is responsible for the conduct of research within their areas of responsibilities and for the observance of the Research Code of Practice.

(32) The Deputy Vice-Chancellor and Vice-President, Research, Enterprise and International may nominate the University's Advisers on Integrity in Research. The Advisers will be familiar with these Guidelines and other issues relating to research integrity and misconduct.

(33) Schools and Research Institutes should 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.

(34) The University owns Copyright in Materials created, developed and presented by employees of the University in the course of their employment (refer to the Copyright Policy and Intellectual Property Policy).

Part E - Data Sharing

(35) Researchers who are part of cooperative data sharing relationships between researchers outside the project team are to enter in a "Data Sharing Agreement".

Part F - Supervision of Students/Research Trainees

(36) Supervisors of higher degree research students must be registered on the University's Graduate Supervisor Register.

(37) The ratio of research trainees to supervisors must be appropriate for effective intellectual interaction.

(38) Supervisors of research degree candidates are responsible for:

1. undertaking appropriate training to impart knowledge of best practice research methods to the students;
2. guiding the students in acquiring research experience that conforms to the highest standards of integrity and professionalism as set out in this Code of Practice;
3. ensuring the conduct of the student's research meets relevant ethical, legislative and work health and safety standards, including in fieldwork;
4. ensuring, as far as possible, the validity of research data obtained by a student under his/her supervision
5. ensuring training for research trainees starts as soon as possible in the career of a researcher and encompasses discipline-based research methods and other relevant skills, such as awareness of intellectual property, the ability to interact with industry and to work with diverse communities;
6. providing each research student/trainee with written material of applicable government and institutional guidelines for the conduct of research, including those covering ethical requirement for studies on human or animal subjects, requirements for confidentiality, and work health and safety matters;
7. ensuring each research student/trainee (including honours, masters honours and doctoral students, and junior postdoctoral staff) is assigned to at least one specific, responsible and appropriately qualified senior research worker;
8. guiding the professional development of research trainees, including relating to research conduct and overseeing all stages of the research process by identifying the research objectives and approach, obtaining ethics and other approvals, obtaining funding, conducting the research, and reporting the research outcomes in appropriate forums and media.

Part G - Disclosure of Potential Conflict of Interest

(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 Integrity in Research Committee, 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,
2. comply with the Conflict of Interest Policy; and
3. 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.

(40) The Integrity in Research Committee will communicate with funding bodies and editors of publications potential or alleged conflicts of interest in research as required.

Part H - Disclosure of Personal Information

(41) The University is required to report certain matters involving research misconduct to the National Health and Medical Research Council and the Australian Research Council as set out in Part J below. The relevant Dean or Director, Research Institute will comply with this requirement so that the personal information of researchers is not disclosed before an inquiry and any disciplinary proceedings are concluded.

Part I - Integrity in Research Committee

(42) The University's Integrity in Research Committee is responsible for advising on high level issues relating to the ethical and professional conduct of research.

(43) The Integrity in Research Committee reports to the Vice-Chancellor and President.

Membership

(44) Membership of the Committee, appointed by the Vice-Chancellor and President, shall be as follows:

1. External Chair
2. Nominee of the University Research Committee
3. Chair or nominee of the University's Human Research Ethics Committee or Chair or nominee of the University's Animal Care and Ethics Committee
4. Two Professors or Associate Professors of the University.

Terms of Reference

(45) The Committee will:

1. advise the Vice-Chancellor and President on issues of integrity in research;
2. provide confidential advice to both staff and students on ethical issues in research matters, including potential conflict of interest in funding and sponsorship;
3. receive, in confidence, notification from researchers on any affiliation or financial involvement in, or payments or other assistance in kind from, any organisation with direct interest in the subject matter or materials of their research, and maintain the information on a confidential register;
4. communicate with external bodies such as research funding bodies and journal editors in the event of actual or alleged conflict of interest in research.

(46) The Committee may consult with experts in specified research areas as required.

(47) The Committee will meet formally on at least an annual basis.

Part J - Allegations of Misconduct in Research

(48) Allegations of research misconduct are serious and the principles of confidentiality, sensitivity to all parties, protection of interested parties and procedural fairness will apply.

(49) Interested parties may include:

1. the person bringing the allegation;
2. the person against whom a complaint is made;
3. research students/trainees and staff working with the person 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. in some cases the public - for example if a drug is involved.

(50) Researchers who consider research misconduct may have occurred are to act in a timely manner in accordance with this Code of Practice and the relevant Academic Staff Agreement.

(51) Supervisors shall make reasonable efforts to resolve incidents of possible misconduct informally by appropriate guidance, counselling, conciliation, or other appropriate action that may include staff development.

(52) Investigative and disciplinary action will be initiated in accordance with:

1. the appropriate employment agreement, for allegations of staff misconduct in research;
2. the process in the Student Misconduct Rule, for allegations relating to research students. The allegations are to be directed to the Pro Vice-Chancellor, Research for preliminary investigation.

Reporting Requirements

(53) For the purposes of the following reporting requirements, a complaint or allegation relates to Research Misconduct if it involves all of the following:

1. an alleged breach of the Australian Code for the Responsible Conduct of Research; intent and deliberation, recklessness or gross and persistent negligence; serious consequences, such as false information on the public record, or adverse effects on research participants, animals or the environment; or
2. repeated or continuing breaches of the Australian Code for the Responsible Conduct of Research, including where the breaches have been the subject of previous counselling or specific direction; or
3. failure by supervisors or heads of departments to address issues properly.

National Health and Medical Research Council

(54) The University must notify the National Health and Medical Research Council (NHMRC) of the following matters within ten working days of the relevant event occurring:

1. receipt of any complaint or allegation of research misconduct that is made to the University that involves any Specified Personnel and an NHMRC-funded grant; and
2. any decision resulting from any preliminary investigation or formal inquiry into any alleged research misconduct, whether conducted internally or independently, and the reasons for that decision.

(55) For these purposes, the University may disclose an individual's personal information to the NHMRC.

(56) The University will notify any person who may become specified personnel that their personal information may be disclosed to the NHMRC before they become involved in a research activity.

(57) For the full notification procedures, refer to the NHMRC Funding agreement.

Australian Research Council

(58) The University must notify the Australian Research Council of the following matters within ten working days of the relevant event occurring:

1. an allegation of a research integrity breach or research misconduct which is proven (and not contested) without the need for a formal research inquiry;
2. the commencement of a formal, internal or external research misconduct inquiry;
3. the conclusion of a formal, internal or external research misconduct inquiry (regardless of whether an allegation is proven or dismissed); and/or
4. the University suspending funding to an individual or team involved in Australian Research Council funded research while an assessment or inquiry relating to research integrity or research misconduct is underway.

(59) The information the University must provide to the Australian Research Council will include:

1. information to identify the funded project;
2. personal information about the individual(s) alleged to have committed the integrity breach;
3. an outline of the alleged integrity breaches; and
4. any further information the ARC requests.

Section 5 - Guidelines

Examples of Misconduct

(60) Examples of misconduct include but are not limited to the following:

1. Misappropriation: A researcher or reviewer shall not intentionally or recklessly
   1. plagiarise, which shall be understood to mean the presentation of the documented words or ideas of another as his or her own, without attribution appropriate for the medium of presentation;
   2. make use of any information in breach of any duty of confidentiality associated with the review of any manuscript or grant application;
   3. intentionally omit reference to the relevant published work of others for the purpose of inferring personal discovery of new information.
2. Interference: A researcher or reviewer shall not intentionally and without authorisation take or sequester or materially damage any research-related property of another, including without limitation the apparatus, reagents, biological materials, writings, data, hardware, software, or any other substance or device used or produced in the conduct of research.
3. Misrepresentation: A researcher or reviewer shall not with intent to deceive, or in reckless disregard for the truth,
   1. state or present a material or significant falsehood, or
   2. omit a fact so that what is stated or presented as a whole states or presents a material or significant falsehood.

(61) To clarify whether an issue is an instance of research misconduct, researchers may seek advice from:

1. a School Director of Research or Higher Degree Research Director
2. the Pro Vice-Chancellor, Research
3. Equity, Diversity and Wellbeing
4. Student Support Services
5. University Advisers in Research Integrity.

(62) For further information contact:

1. Research Services
2. Office of the Deputy Vice-Chancellor and Vice-President, Research, Enterprise and International.

External Guidance

(63) The University's ethics policy and review is guided by the following national guidelines:

1. Vancouver Protocol
2. Australian Code for the Responsible Conduct of Research
3. National Statement on Ethical Conduct in Research Involving Humans
4. Australian Code of Practice for the Care and Use of Animals for Scientific Purposes
5. NHMRC - Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and Communities
6. The University's Biosafety and Radiation Safety review is guided by National and State guidelines and standards: Office of the Gene Technology Regulator
7. Australian Institute for Aboriginal and Torres Strait Islander Studies, Guidelines for Ethical Research in Australian Indigenous Studies (2012).

(64) Other documents and sites of interest and relevance:

1. The RESPECT Guideline
2. On Being A Scientist - Responsible Conduct in Research
3. Suppressing Research Data by Brian Martin
4. Authorder - assists researchers to determine author order on the basis that while the Vancouver Protocol describes what constitutes authorship, it does not consider how to allocate author order. The tool has been developed by a Nature published Australian academic.

Associated Information

(65) NHMRC Funding Rules Link

(66) NHMRC Funding Agreement Link

(67) NHMRC Complaint Link

(68) Australian Research Council, Research Integrity and Research Misconduct Policy.

Section 6 - Dictionary

(69) For the purpose of this policy and its attendant procedures, the following definitions apply:

1. Applied Research is original investigation undertaken to acquire new knowledge but directed towards a specific, practical aim or objective (including a client-driven purpose).
2. Authorship* is, as defined by the ACRCR, substantial participation in the preparation of a paper or report, where all the following conditions are met:
   1. conception and design, or analysis and interpretation of data;
   2. analysis and interpretation of research data
   3. drafting significant parts of the work or critically revising it so as to contribute to the interpretation.
3. Data refers to information held in any form including paper, electronic, visual (x-rays, CT scans, videos, photos and MRIs), audio records or personnel records of any kind (such as student or job records, salary payment details or health and medical details).
4. Misconduct in Research includes but is not limited to:
   1. the fabrication of data, including claiming results where none have been obtained;
   2. the falsification of data, including changing or destruction of records;
   3. misleading ascription of authorship, including: the listing of authors without their permission, attributing work to others who have not in fact contributed to the research, and the lack of appropriate acknowledgment of work primarily produced by a research student/trainee or associate. It does not include honest errors or honest differences in interpretation or judgements of data;
   4. deliberate inclusion of inaccurate or misleading information relating to research activity and publications in: curriculum vitae, grant applications, job applications or public statements; or the failure to provide relevant information;
   5. intentional infringements of this Code of Practice or those which occur through gross or persistent neglect;
   6. failure to declare or manage a serious conflict of interest;
   7. conducting research without required ethics approval;
   8. risking the safety of human participants or the well-being of animals or the environment;
   9. wilful concealment or facilitation of research misconduct by others; and
   10. other practices that seriously deviate from those commonly accepted within the research community for proposing, conducting or reporting research.
5. Personal Information has the same meaning as in the Privacy Policy.
6. Research** is 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 and understandings. This could include synthesis and analysis of previous research to the extent that it leads to new and creative outcome, and encompasses pure and strategic basic research, applied research and experimental development.
7. Research Data is the originally constituted body of evidence, or other materials, on which the findings or interpretation of the research are based. It also includes all forms of dissemination, including non-refereed publications, such as web pages, and other media such as exhibitions or films, as well as professional and institutional repositories.
8. Research Integrity Breach has the same meaning as in the Australian Research Council, Research Integrity Policy 2023, that is it is a breach or deviation from any of the principles contained in the following documents:
   1. the Australian Code for the Responsible Conduct of Research (2007)
   2. the National Statement on Ethical Conduct in Human Research (2007)
   3. NHMRC - Ethical Conduct in Research with Aboriginal and Torres Strait Islander Peoples and Communities
   4. Guidelines for Ethical Research in Australian Indigenous Studies (2012);
   5. Australian code for the care and use of animals for scientific purposes (2013)
   6. Commonwealth and State/Territory legislation
   7. best practice guidelines relevant to the research being undertaken as outlined in the relevant Funding Rules and Funding Agreement.
9. Specified Personnel means a person(s) the University requires to perform all or part of a research activity that is funded by the National Health and Medical Research Council.
10. Substantial Participation in research means input beyond that of:
    1. providing materials, instruction or advice;
    2. granting use of laboratory space or equipment;
    3. providing financial support or involvement solely in the acquisition of funding;
    4. the collection of data;
    5. general supervision of the research group or a higher degree student.