ÌìÃÀ´«Ã½

The broad principles that characterise an honest, ethical and responsible research culture are outlined in the . These principles are reflected in .  These documents are designed to assist researchers and institutions in understanding and meeting their obligations for responsible research. 

Researchers new to research must familiarise themselves with the .

It is also highly recommended that researchers new to UOW review  and familiarise themselves with the .

Other resources and opportunities researchers should consider include:

• The for both staff and student researchers
• HDR Students can attend the HDR Induction and Training. Further information available from the Graduate Research School
• Staff researchers can learn more at Academic Induction. Further information available in the 
• UOW’s governance framework for Research Integrity is outlined in the 
• The Managing Research Data webpages provide information and support for meeting integrity requirements for data management
• Our micro-training opportunities in our

Refer to our Training and Development section for other opportunities.

Reach out to our Research Integrity Officer to learn more about Research Integrity and our approach at UOW. You can email or call the Research Integrity Office to arrange specific training to meet your individual needs or the needs of your School / group which can be as formal or informal as you require.

Alternatively, UOW has an established network of academic staff called Research Integrity Advisors who can assist you with discipline and research specific questions and concerns about integrity.

International approaches to research integrity have been shaped by a series of global initiatives and statements developed through the . These forums have developed shared principles and commitments which provide guidance worldwide. Key outputs include:

• - sets out four fundamental principles and 14 responsibilities for researchers worldwide.
• - focuses on responsibilities in cross-border collaborations.
• - promotes transparency and accountability and encourages evidence-based integrity policies.
• - provides five principles for assessing researchers beyond publication metrics.
• - advocates fairness and equity as essential components of research integrity.

Explore some* of the widely adopted frameworks that guide integrity in research worldwide:

* Please note this is a representative list and not an exhaustive one.

UOW’s echoes the principle of recognition as found in the Australian Code for the Responsible Conduct of Research. It outlines the requirement for all researchers to respect Aboriginal and Torres Strait Islander peoples continual connection to Country, and value diverse forms of culture, cultural expression and knowledges.

The supports the and role of research data in advancing Indigenous innovation and self-determination.

Researchers are encouraged to engage in the available in Unified. 
The Research Integrity Development and Ethics team, in collaboration with Indigenous Strategy and Engagement has compiled guidance on Aboriginal and Torres Strait Islander Research.

Refer to the Help – Advice and Support Services section for information on people available to provide further assistance.

Under the Principle 7, Accountability, and Responsibility 17 of the Code researchers have a responsibility to comply with relevant laws, regulations, disciplinary standards, ethics guidelines and institutional policies related to responsible research conduct and ensure that appropriate approvals are obtained prior to the commencement of research, and that conditional of any approvals are adhered to during the course of research.

There are a number of regulatory requirements designed to ensure that Australia’s national interest is protected. The investigators, partners and research area of all projects should be assessed to ensure the project complies with all assessment, permit and notification requirements for Defence Export Controls, Sanctions, Foreign Interference, the Foreign Influence Transparency Scheme and the Foreign Arrangements Scheme.

Information, including information on available training, can be found on the following webpages:

• Defence Export Controls
• Sanctions
• Foreign Interference, the Foreign Influence Transparency Scheme and the Foreign Arrangements Scheme.

The contains a summary of these legislative elements and the  is designed to help staff navigate the legislative requirements and understand if a permit, notification or additional assessment is required.

Research is a valuable asset with international collaborations, one of many exposure points for research data and intellectual property. Researchers must take measures to protect their research and are asked to complete the UOW Foreign Engagements Declaration, and are also encouraged to familiarise themselves with the advice available on the Cyber safety at UOW webpage.

Researchers travelling overseas and needing to take their devices with them must take precautions to protect research assets. IMTS have provided a to answer some of the more common queries for overseas travel.

• (internal)
• (internal)
•  

Research data is a valuable asset. It is a requirement that researchers engage good research data management practices to protect and maintain it.

In 2019, the National Health and Medical Research Council (NHMRC), the Australian Research Council (ARC) and Universities Australia released the in Research. This guide, which supports the , outlines that responsible data management is a shared responsibility with institutions and researchers both having accountability for the integrity of research data and adherence to the principles of the Code along with institutional policies, relevant laws, regulations, guidelines and discipline specific practices and standards.

Responsibility 22 of the Code establishes that researchers must retain clear, accurate, secure and complete records of all research including research data and primary materials and, where possible and appropriate, allow access and reference to these by interested parties. To enable researchers to meet responsibility 22, UOW provides a research data management policy suite along with research data guidance and training across all stages of the research data lifecycle. Detailed information is outlined on the UOW Managing Research Data webpage. 

Mismanagement of data and information in research is a concern which can result in a breach of the Australian Code for the Responsible Conduct of Research. The UOW is designed to help researchers navigate their responsibilities, providing valuable insights for data management and enhancing the quality and integrity of research data, enabling the requirements of the Code to be met.

The and associated guidelines outline a comprehensive set of expected practices for managing data across the research lifecycle.

The UOW Research Services Office is the central point of contact for researchers with questions about research data management and can provide information and support for the administration and management of research data including research data management plans, data storage options, research data archiving and disposal and policy advice. Further information is available on the UOW Managing Research Data webpage.

The UOW Library guide to provides information on preparation, managing and publishing data, including information on licensing datasets.

The UOW Research Integrity Office provides guidance on matters relating to responsible research data practices. Advice can also be provided by contacting a Research Integrity Advisor.

The UOW Human Ethics team can provide guidance on data management as it related to the .

Online training and recordings of previous webinars are available in Moodle – refer to the UOW Managing Research Data website for further information on available training. HDR Candidates may also like to check the or the Researcher Development Hub for additional information on the available training.

UOW researchers are responsible for ensuring their research meets the expectations of the and the . UOW is committed to a culture of responsible research reflective of the 8 principles of research integrity – honesty, rigour, transparency, fairness, respect, recognition, accountability and promotion.

The potential of generative AI to support research is significant, however it is important to recognise that it also entails risks in terms of research integrity, data validity and data security. Before embarking on use of generative AI in conducting research activities, researchers should reflect on the principles of responsible research and ensure they:

• Consider the limitations and risks of generative AI tools.
• Exercise care and consideration, safeguarding against any breach of their legal or ethical obligations, particularly in relation to privacy and confidentiality.
• Consider the ownership of their research outputs.

Data Privacy and Security    

The following types of data must not be provided to third party generative AI tools (e.g. ChatGPT):

• data subject to privacy legislation (e.g. identifiable human data, private/personal information)
• human research data (e.g. participant data collected in research). Please contact the Ethics Office for further advice.
• controlled data (such as information on technology that appears on the Defence and Strategic Goods List. Providing detail to an AI tool hosted outside Australia would be considered exported and subject to legislative permit requirements)
• commercial-in-confidence data or data protected by copyright or intellectual property
• data that has been provided in confidence (such as religious or cultural knowledge or information related to the location of a vulnerable species)

Further information on the expectations and responsibilities for the management of research data can be found in the Research Data Management Policy.

Intellectual Property (IP), Copyright and Licensing Agreements

There are potential legal implications in relation to intellectual property, copyright and licensing agreements that need to be considered.

Data for training AI models may be sourced from user interactions. Once information is submitted to a third party AI tool which is hosted externally, it can be considered as part of the public domain. When researchers share data or information with an AI tool, they could effectively allow their ideas and research to be used by others without due recognition.

Submitting information to an AI tool which is subject to copyright (such as a journal article to be summarised) may be a violation of copyright regulations. Similarly, the content created by an AI tool could be subject to copyright; be the intellectual property of another; or the AI tool may not provide a citation to the original source or may fabricate sources and their citations.

• UOW copyright guidance

Limitations of data produced by generative AI tools

The main source of data used by AI tools is material harvested from the internet. AI tools do not necessarily have access to the full archive of publications (behind paywalls) with their “knowledge” limited to publicly available information. The outputs of AI tools may amplify certain views, repeat controversial information, be biased, be outdated and produce statements that are not grounded in the training data (often called “hallucination”). If used in research, these outputs can lead to misleading or inaccurate findings.

In contemplating using an AI tool to generate data for research, consider the following:

• Assess the data set used by the tool and well as the output generated, reviewing for inaccuracies, gaps, bias
• Review the currency of the dataset – when was it last updated?
• Review the training of the tool - how well has the tool has been trained?
• Read any reviews of the tool – what are others reporting of their experience?
• What level of reliability do you need to meet your requirements and maintain integrity?

Ethical Considerations

Researchers must meet the requirements of the national ethics guidelines and respect any project-specific conditions of consent, confidentiality obligations or other sensitivities. For example, data that is subject to privacy legislation (e.g. identifiable human data) or data that has been provided in confidence (such as religious or cultural knowledge or information related to the location of a vulnerable species).

Be accountable – generative AI cannot be an author

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 agree to be listed as an author. Authors are also accountable for the research output and are required to disclose and manage any conflicts of interest. As Gen-AI tools cannot be held accountable for the output or disclose bias, they cannot be listed as an author.

Be transparent - acknowledge use in research outputs

If an AI tool is used in the production of a research output for publication, be transparent and include a clear acknowledgement to indicate which AI tool was used, how the tool was used and any limitations. Metadata including the version of the tool and the date used should also be retained.

Check with individual publishers on any recent changes to their policy regarding the use and acknowledgement of AI tools in the production of journal articles.

Be fair - generative AI cannot be used in peer review

Researchers have a responsibility to participate in peer review in a way that is fair, rigorous and timely and maintains the confidentiality of the content. A peer review must be completed objectively, impartially, in accordance with review criteria and give proper consideration to current thinking.

In accordance with NHMRC and ARC policies, peer reviewers must not input any part of a grant application, or information from a grant application, into a generative AI tool. Entering information from a manuscript or grant application or thesis submitted for examination to an AI tool in order to generate a peer review would be considered a breach of confidentiality.

Be careful – using generative AI for editing

An AI tool presents an opportunity to improve the quality of writing, refinement of text and to assist with summarising. When AI tools are used for editing purposes, they may exclude or add content to the provided text or even, on occasion, produce 'hallucinations'. Further, they may not correct or may introduce grammatical errors or may generate statements with poor expressions. Researchers must take on the responsibility of carefully verifying the output. Use of editorial tools and/or editing services must be consistent with responsible research practices and acknowledged in research outputs.

In pursuit of better writing outcomes, it is crucial to consider the type of information and data that is being provided and whether this information is confidential, sensitive or subject to intellectual property regulations.

Yes, potentially. Researchers are responsible for adhering to the applicable legislation, policies, guidelines and national statements that guide research. They must proceed with care and consideration of the principles and their responsibilities under the Code. Consider the following:

• Use AI tools with a clear understanding that the tools have biases, limitations, risks and other associated problems.
• Remain vigilant in the information released to third party platforms and consider the outcomes.
• Researchers remain accountable for their research outputs.
• Guidance on what constitutes responsible use in research is limited. What is considered an acceptable, or unacceptable, use of generative AI today may be perceived differently in the future.
• Public trust is crucial for the future of research. Maintain integrity, transparency and honesty.

UOW has policies and procedures for the management of potential breaches in research:

About research integrity breaches at UOW

Australian Research Council (ARC)

• , released on 7 July, 2023 providing guidance for applicants and assessors of its grants program.

National Health and Medical Research Council (NHMRC)

• , published on 29 June 2023.

Tertiary Education Quality and Standards Agency (TESQA)

• Using Generative AI in research – 10 tips released August 2023
• Webinar: Generative AI: what do researchers need to know now? – in association with Deakin University in July 2023

Further information can be found on 

Department of Industry, Science and Resources

• released in 2019 to guide the responsible design, development and implementation of AI.

Committee on Publication Ethics (COPE)

• outlining the responsible use of artificial intelligence in research outputs.

Policy statements on the use of AI tools in producing research publications have been issued by some publishers. Authors of research outputs are encouraged to check with the individual publisher in regard to their specific policy.

The Learning and Teaching hub has collated a collection of resources and information related to the impact of artificial intelligence on learning and teaching.

Research Integrity Advisors (RIA) are the first point of contact if you have questions about responsible research practices. Staff and student researchers with questions, concerns or in need of guidance or advice are welcome to approach any RIA from any discipline. The Research Integrity and Ethics Unit also has staff available to assist with queries, concerns and advice.

As always, Information Management & Technology Services (IMTS) can be contacted on ex3000 (if calling from a UOW owned device), or 02 4221 3000 for assistance with software downloading and use.

This guidance will be updated as technology evolves. Any feedback on the advice offered here can be sent to the Research Integrity and Ethics Unit.

The  provides the governance framework for Research Integrity at UOW. UOW’s  mandates the broad principles and behaviours that characterise the responsible conduct of research. Researchers new to research and/or new to UOW are highly encouraged to familiarise themselves with both of these documents.

In addition, new researchers should consider the following:

• Review the information in the
• HDR Students can learn more by attending HDR Orientation and HDR Training – information available from the Graduate Research School
• Staff researchers can learn more at Academic Induction – check the for further information
• Review the to understand more about UOW’s governance framework for Research Integrity

Further information to assist researchers to research with integrity:

• Undertake training - online training and recordings of past seminars are available. Refer to the Training and Development section for further information.

• The managing research data pages provide further information and support for meeting integrity requirements for data management

• Information on compliance with Foreign Relations legislation for international collaborations can be found on the Sanctions, Defence Export Controls and Foreign Engagements webpages

Want to know more or have a specific question?

Reach out to our Research Integrity Officer to learn more about Research Integrity and our approach at UOW. The Research Integrity Officer can also arrange specific training to meet your needs which can be as formal or informal as you require.

Alternatively, UOW has an established network of academic staff called Research Integrity Advisors who can assist you with discipline and research specific questions and concerns about integrity.

Refer to the About breaches, concerns and complaints section for further information and the Help – Advice and Support Services section for information on people available to help you.

• Research Integrity Advisors on good or questionable research practices and the policy and processes for investigating a concern, complaint or potential breach

• You can also contact the Research Integrity and Ethics Unit for assistance with any research integrity or ethics matter, including policy advice, general guidance or to discuss whether a matter is an integrity issue:
  • Research Integrity: uow-researchintegrity@uow.edu.au
  • Human Ethics: uow-humanethics@uow.edu.au
  • Animal Ethics: uow-animalethics@uow.edu.au
  • Biosafety and Gene Technology: uow-biosafety@uow.edu.au
  • Defence Export Controls and Sanctions: uow-researchintegrity@uow.edu.au

• Faculty Research Operations Unit support the Associate Deans (Research) and provide Faculty support for research ethics and integrity. The team can also assist with directing researchers to their Faculty / School Associate Dean (Research), Associate Dean (Higher Degree Research), Head of Postgraduate Studies or Head of School.
  
  
• Drop-in sessions:
  • A staff member from the Research Integrity Office can be found at the (staff only)
  • Human Ethics team offer on-campus consultation sessions for UOW researchers. While registration is not mandatory it is appreciated, please register your attendance with the Human Ethics team.

• For HDR students, the Graduate Research School lists a range of HDR Support Contacts on their website or HDR students may contact their school Head of Postgraduate Studies (HPS) or faculty Associate Dean – Higher Degree Research (AD-HDR).

• The Graduate Research School lists a range of HDR Support Contacts on their website

If you have a concern related to your own research or in the research of others and wish to formally report, then you should submit via the Complaints Management Centre.

You can email or call the Research Integrity Office or our Research Integrity Advisor Network is available to all staff and students.

Additional help and support services are provided.

Lodging a complaint, responding to a complaint or being involved in a research integrity investigation can be challenging. UOW provides the following services to assist with a range of work and personal issues that may impact on you:

• The Employee Assistance Program (EAP) provides staff with confidential counselling services designed to enhance the emotional, mental and general psychological well-being of employees
• Student Support Coordinators can help with issues affecting student health and welfare and can help research students navigate the range of services and assistance available.
• UOW Counselling Services is staffed by professional counsellors who offer free short-term confidential psychological intervention for students.
• The Graduate Research School lists a range of HDR Support Contacts on their website