Further information
Research and the pursuit of the truth are vital functions of this university.
The broad principles that guide research have long been established, and central to these are the maintenance of high ethical standards, and validity and accuracy in the collection and reporting of data.
These guidelines should be seen as a framework for sound research practice and for the protection of individual research workers, including both staff and postgraduate research students, from possible misunderstandings.
All queries regarding the observance of the guidelines should be directed to the Deputy Vice-Chancellor (Research).
The guidelines are based largely on the Joint NHMRC/AVCC Statement and Guidelines on Research Practice (1997), which was developed to provide a comprehensive framework of minimum acceptable standards.
- General principles
- Data storage and retention
- Authorship
- Publication
- Supervision of students/research trainees
- Disclosure of potential conflicts of interest
1. General principles
1.1. 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.
1.2. 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 or peers. Debate on, and criticism of, research work are essential parts of the research process.
1.3 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 (1992). 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.
1.4 If data of a confidential nature are obtained, for example from the 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 institution and, through appropriate publication, by the profession at large.
2. Data storage and retention
2.1 Data (including electronic data) must be recorded in a durable and appropriately referenced form. Data management should comply with relevant privacy protocols, such as the Australian Standard on personal privacy protection.
2.2 Data must be held for sufficient time to allow reference. For data that is published this may be for as long as interest and discussion persists following publication. It is recommended that the minimum period for retention is at least five years from the date of publication but for specific types of research, such as clinical research, 15 years may be more appropriate.
2.3 Wherever possible, original data must be retained in the department or research unit in which they were generated. Individual researchers should be able to hold copies of the data for their own use. However, retention solely by the individual researcher provides little protection to the researcher or the University in the event of an allegation of falsification of data. When the data are obtained from limited access databases, or via a contractual arrangement, the location of the original data must be identified, or key information regarding the database from which it was collected, and this must be retained by the researcher or research unit. In all cases, prior to the publication of research findings a Location of Data Form must be completed.
2.4 Data related to publications must be available for discussion with other researchers. Where confidentiality provisions apply (for example, where the researchers or the University have given undertakings to third parties, such as the subjects of the research), it is desirable for data to be kept in a way that reference to them by third parties can occur without breaching such confidentiality.
2.5 Confidentiality agreements have been developed to protect intellectual property rights belonging to the University, or to pass on obligations of confidence to others in relation to confidential information received by the University. Where such agreements limit free publication and discussion, limitations and restrictions must be explicitly agreed.
2.6 It is the obligation of the researcher to enquire whether confidentiality agreements apply and of the Head of Department or the research unit to inform researchers of their obligations with respect to these provisions. All confidentiality agreements should be made known at an early stage to the Deputy Vice-Chancellor (Research).
2.7 Researchers must be responsible for ensuring appropriate security of any confidential material, including that held in electronic media. Where computing systems are accessible through networks, particular attention to security of confidential data is required. Security and confidentiality must be assured in a way that copes with multiple researchers and the departure of individual researchers.
3. Authorship
3.1 Minimum requirements for authorship should accord with the 'Vancouver Protocol' as set out in the fifth edition of the Uniform Requirements for Manuscripts Submitted to Biomedical Journals. Authorship is substantial participation, where all the following conditions are met:
- conception and design, or analysis and interpretation of data
- drafting the article or revising it critically for important intellectual content
- final approval of the version to be published.
Participation solely in the acquisition of funding or the collection of data does not justify authorship. General supervision of the research group is not sufficient for authorship. Any part of an article critical to its main conclusion must be the responsibility of at least one author. An author's role in a research output must be sufficient for that person to take responsibility for at least that part of the output in that person's area of expertise. No person who is an author, consistent with this definition, must be excluded as an author without their permission in writing.
3.2 Research students can be authors and own the copyright of their thesis, in accordance with Sub-Regulation 4(2) of the UWA Intellectual Property Regulations.
3.3 Authorship of a research output is a matter that should be discussed between researchers at an early stage in a research project, and reviewed whenever there are changes in participation. If there are conflicts arising through disputes about authorship then the Deputy Vice-Chancellor (Research) should be notified and will decide on what course of action.
3.4 When there is more than one co-author of a research output, one co-author (by agreement amongst the authors) should be nominated as executive author for the whole research output, and should take responsibility for record-keeping regarding the research output.
3.5 Where the research is published, including electronically, one author will be given principal status with the responsibility for signing a Statement of Authorship form ensuring that all co-authors are in agreement with their inclusion and that no person entitled to authorship as defined in clause 3.1 above has been excluded.
3.6 The authors must ensure that others who have contributed to the work are recognised in the research output. Courtesy demands that individuals and organisations providing facilities should also be acknowledged.
4. Publication
4.1 Publication of multiple papers based on the same set(s) or subset(s) of data is not acceptable, except where 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). An author who submits substantially similar work to more than one publisher must disclose this to the publishers at the time of submission.
4.2 The University believes that peer assessment of research outcomes is important in the validation of research. Wherever possible the University expects researchers to submit their research for peer review.
4.3 The University recognises the importance of research being communicated to the public media. Ideally this should occur after peer appraisal. Where research is reported in the public media prior to peer review the reporting should be based on the research data and findings.
4.4 Publications must include information on the sources of financial support for the research. Financial sponsorship that carries an embargo on such naming of a sponsor should be avoided.
4.5 Publications involving either a student enrolled with the University, or a University staff member must acknowledge the work was carried out at the University by using the University by-line.
4.6 Deliberate inclusion of inaccurate or misleading information relating to research activity in curriculum vitae, grant applications, job applications or public statements, or the failure to provide relevant information, is a form of research misconduct. Accuracy is essential in 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 researcher.
4.7 All reasonable steps must be taken to ensure that published reports, statistics and public statements about research activities and performance are complete, accurate and unambiguous.
5. Supervision of students/research trainees
Reference should be made to UWA Code of Good Practice for Postgraduate Student Research and Supervision.
5.1 The Head of Department or academic unit should ensure that supervision of each research student/trainee (including Honours, Masters and Doctoral students, and junior postdoctoral staff) is assigned to specific, responsible and appropriately qualified senior research worker(s), and that the ratio of research students/trainees to supervisors is low enough to assure effective intellectual interaction and effective oversight of the research at all times.
5.2 Supervisors or Heads of Departments or academic units should provide each research student/trainee with written material on applicable government and institutional guidelines for the conduct of research, including those covering ethical requirements for studies on human and animal studies, requirements for confidentiality, and occupational health and safety matters.
5.3 Supervisors should be obliged to provide guidance in all matters of good research practice. This includes discussing with the student, at the outset, relevant issues of research conduct and ethics, and intellectual property, and referring any problems/queries to the Head of Department for consideration.
5.4 Supervisors must ensure, as far as possible, the validity of research data obtained by a student under his/her supervision.
6. Disclosure of potential conflicts of interest
6.1 Disclosure of any potential conflict of interest is essential for the responsible conduct of research. Researchers have an obligation to disclose any affiliation with, or financial involvement in, any organisation or entity with a direct interest in the subject matter or materials of researchers. A conflict of interest may also arise if any organisation or entity with a direct interest in the subject matter provides direct benefits to the researchers such as sponsorship of the investigation, or indirect benefits such as the provision of materials or facilities or the support of individuals such as provision of travel or accommodation expenses to attend conferences.
6.2 Other examples of conflict of interest include where a researcher (or their spouse or dependent) has a financial interest (equity, directorship, consultant) in the funding agency or in an agency being paid from the grant funds, or where the terms of a new grant from a funding agency require disclosure of project data from a related project and the terms of the related project grant prevent that disclosure (see clause 2.5).
6.3 When a conflict of interest arises at the time of reporting or proposing research, and this conflict of interest has the potential to influence research and investigations, publication and media reports, grant applications, and applications for appointment and promotion, the researcher must disclose the details "in confidence" to the Deputy Vice-Chancellor (Research). The Pro Vice-Chancellor will then decide whether a conflict of interest exists and if so, what further action should be taken. That action will include consultation with the researcher and may also involve consultation with the funding agency or other parties to ensure that the conflict of interest does not compromise the research, or the University's interests. In some circumstances, it may be necessary to reject or terminate a research project, or to disclose the conflict of interest to the editors of journals or the readers of published work arising from the research.
University information
CRICOS Code: 00126G
