Draft Research Policy
Please submit your feedback by 29 July 2026
Purpose
UNSW is committed to leading knowledge creation, innovation and translation through responsible and ethical research. This policy sets out the principles and expectations for the conduct, management and governance of research at UNSW. It ensures compliance with relevant legislation, codes and standards, and promotes a culture of transparency, honesty and excellence in all research activities.
Scope
This policy applies to:
- all research activities conducted by or on behalf of UNSW
- UNSW staff, students, researchers, research trainees, employees and affiliates
- UNSW and its controlled entities.
The procedures in this policy may define a more limited scope.
Principles, objectives and procedures
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1.1. UNSW research is driven by excellence, academic freedom, rigor, integrity, collaboration and impact through:
- Fostering open, honest and respectful collaboration across disciplines and sectors.
- Using resources strategically and responsibly.
- Promoting continuous improvement and best research practices, grounded in competence and safety of all participants in research, to produce high-quality outputs and support reproducibility where relevant.
- Striving to create new knowledge and deliver research that creates positive impact.
2.1. Researchers must ensure accuracy, transparency and integrity in all aspects of research. This applies to communication, authorship, and taking reasonable steps to mitigate errors or misattribution.
2.2. Research must be conducted in line with the UNSW Code of Conduct and Values (the ‘Code’), the Australian Code for the Responsible Conduct of Research and the national guides UNSW adopts (see clause 3.3 of the Code).
2.3. Research activities must align with UNSW’s risk appetite, which sets out the types of risk the University is willing to accept to achieve its strategic objectives. Risk is identified, managed and reported in line with the Risk and Compliance Policy.
2.4. Researchers must respect the safety and privacy of research participants, and the impact of research on the wider community and the environment (see clause 3.5 of the Code).
2.5. The Deputy Vice-Chancellor Research and Enterprise is responsible for this Research Policy and overseeing research conduct, performance and strategic direction at UNSW, as set out in schedules 1 – 5 of the Delegations Policy (and other schedules as applicable).
3.1. UNSW research recognises Indigenous heritage, knowledge, cultural property, and engages with communities respectfully and appropriately. UNSW recognises the Elders and Traditional Custodians of all unceded lands where our research takes place (see the Acknowledgement section of the Code).
3.2. Research involving Aboriginal and Torres Strait Islander peoples must uphold Indigenous data sovereignty and governance. It must comply with the Australian Institute of Aboriginal and Torres Strait Islander Studies (AIATSIS) Code of Ethics for Aboriginal and Torres Strait Islander Research and National Indigenous Australian Agency (NIAA) Framework for Governance of Indigenous Data.
3.3. The Pro Vice-Chancellor Indigenous Engagement and Research is responsible for the Indigenous Cultural Intellectual Property Protocol (ICIP Protocol) which guides the respectful, authentic incorporation of Indigenous Knowledges and Perspectives into courses, research, events and activities.
4.1. Ethical principles of merit, integrity, justice and respect must underpin all research activities.
4.2. Research is conducted in line with applicable legislation, regulatory requirements and UNSW policies. This includes obtaining and maintaining all necessary approvals, licenses, permits and agreements. Doing so ensures legal and ethical conduct, research integrity and protection of the University’s reputation.
4.3. Research involving human participants applies the principles outlined in the National Statement on Ethical Conduct in Human Research, including research merit and integrity, justice, beneficence, and respect.
4.4. Using animals for research and teaching is a privilege that brings with it special considerations. This includes if their use is justified and ethical and whether animal welfare and wellbeing are balanced against the potential benefits to humans, other animals or the environment.
4.5. All decisions and actions involving the care and use of animals for scientific purposes must be underpinned by the core principle of respect for animals and must apply the principles of the Australian code for the care and use of animals for scientific purposes in all aspects of their care and use. In particular, the principles of Replacement, Reduction and Refinement (‘3Rs’) must be considered during ethical review for all stages of proposed research and teaching.
4.6. Researchers must demonstrate compliance in operational areas subject to specific regulatory obligations such as:
- procedures governing research export controls
- the handling and use of regulated materials
- the operation of remotely piloted aircraft systems
4.7. UNSW and its delegated bodies review and monitor research involving human participants or animals through mechanisms such as annual progress and final reports and internal and external compliance audits.
4.8. UNSW recognises the risks posed by using ionising and harmful non-ionising radiation in research. The use of radiation is guided by:
- justification (potential exposure to radiation must only be undertaken if the net benefit can be justified)
- optimisation (all radiation is to be kept as low as reasonably achievable)
- limitation (dose limits must not exceed those set out in the legislation, see the Research Ethics and Compliance Procedure).
4.9. UNSW recognises the risks and opportunities associated with the use of regulated biological materials (RBMs) in research and is committed to protecting the health and safety of people and the environment while enabling scientific advancement.
4.10. Risk management for RBM research is ongoing. It is guided by potential harm, evolving legislation and standards, and informed by uncertainties arising from rapidly developing technology.
4.11. Researchers must use A.I. tools in an ethical and responsible manner and take care to ensure that research integrity is maintained. Researchers must be transparent about the use of A.I. tools in research methods and reporting and must disclose and appropriately cite the use of A.I. tools where it would be reasonably expected. A.I. tools cannot meet the requirements for authorship or inventorship, and researchers remain responsible for outputs generated or supported by these tools. Researchers and staff should consult UNSW’s guidance and resources on the use of A.I. in research.
4.12. The Pro Vice-Chancellor Research oversees ethics, ensuring that all research conducted on behalf of UNSW meets the highest standards of ethics, safety and compliance. They hold authority for the Research Ethics and Compliance Procedure, which sets out the mandatory ethics and compliance obligations for all research conducted on behalf of UNSW.
5.1. All research agreements must reflect UNSW values of integrity, transparency and accountability.
5.2. Research agreements must clearly define roles, responsibilities, deliverables, timelines, intellectual property (IP) and funding arrangements. Such agreements include:
- research collaboration and affiliation agreements
- research consulting agreements
- non-disclosure research agreements
- clinical trial research agreements (as a sponsor)
- commercialisation of UNSW IP
- philanthropic research agreements.
5.3. Commercial agreements have more requirements and must:
- comply with the Intellectual Property and Commercialisation Policy.
- undergo risk assessment in accordance with the Risk and Compliance Policy.
5.4. The Pro-Vice Chancellor Research is responsible for all research-related consulting, agreements, grants and contracts. This authority is also delegated to the Pro-Vice Chancellor Research Infrastructure and Pro-Vice Chancellor Industry and Innovation. They are responsible for the Research Agreements Procedure, which states the requirements for any research-related consulting, agreements, grants or contracts undertaken for or on behalf of UNSW.
6.1. The use, retention and disposal of research materials must reflect UNSW’s commitment to responsible research conduct. Staff/researchers must ensure materials are managed ethically, transparently and in accordance with relevant approvals, codes, agreements and legislation.
6.2. Every research data element must be managed throughout its life cycle, where appropriate, in accordance with ethics approvals, codes, guidelines, third-party agreements and applicable legislation, and with reference to recognised frameworks such as the National Institute of Standards and Technology (NIST) Research Data Lifecycle and the Australian Research Data Commons (ARDC) Research Data Management Framework.
6.3. UNSW accurately records and reports research data and findings. All research activity must comply with the Information Governance Policy.
6.4. The Pro Vice-Chancellor Research Infrastructure provides facilities for the storage and management of research data, records and primary materials. They ensure all research conducted on behalf of UNSW complies with the Research Materials, Equipment and Data Procedure.
7.1. The publication and dissemination of research outputs, findings and other related documents involving one or more UNSW researchers must:
- present information truthfully and accurately
- give proper credit for the work of others, including authorship to contributors in collaborative research
- strictly prohibit plagiarism and fabrication of research.
7.2. Complaints regarding a potential breach of the Code or the Australian Code for the Responsible Conduct of Research are handled according to the Complaints Management and Investigations Policy.
7.3. The Pro Vice-Chancellor Research ensures that all research conducted on behalf of UNSW upholds the highest standards of integrity and complies with the Research Authorship, Publication and Dissemination Procedure.
8.1. All Higher Degree Research (HDR) at UNSW is guided by principles of academic rigour, integrity, and quality supervision. HDR candidates are recognised as integral contributors to UNSW’s culture of research excellence.
8.2. The Pro Vice-Chancellor Research Training oversees UNSW’s HDR programs, as set out in Schedule 2: Higher degree research delegations in the Delegations Policy. The Pro Vice-Chancellor Research Training ensures all Higher Degree Research undertaken at UNSW complies with the Higher Degree Research Policy.
9.1. UNSW establishes Centres and Institutes, including Research Centres and Institutes and Community Centres and Institutes, with a clear purpose, objectives, governance structures and expected outcomes, in alignment with UNSW’s strategic goals.
9.2. UNSW Centres and Institutes must operate with integrity, transparency and accountability. They must meet all procedural requirements, including management, governance and review.
9.3. The Pro Vice-Chancellor Research is responsible for the establishment, governance, review and closure of UNSW Centres and Institutes. They ensure that these activities follow the Centres and Institutes Procedure.
10.1. The Deputy Vice-Chancellor Research and Enterprise is responsible for the Research Policy and may change this policy from time to time.
10.2. The University Research Committee (URC) examines matters set out in Section 2.2 and 2.3 of the Terms of Reference (see Schedule 5 of the University of New South Wales Rules). The URC reports to the Academic Board and makes recommendations on relevant research-related matters.
10.3. The Deans of faculties are responsible for:
- overseeing research governance within their respective portfolios
- ensuring compliance with ethical, legal and strategic research requirements.
11.1. UNSW staff, students, researchers, research trainees, employees and affiliates must comply with this policy and all applicable laws, codes and University policies.
11.2. Where a person suspects that serious wrongdoing has occurred, they must report this in accordance with the Public Interest Disclosure (Whistleblowing) Policy and Procedure.
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This procedure applies to all staff, students, affiliates and contractors involved in the administration and management of research agreements undertaken for or on behalf of UNSW. It outlines the requirements for the establishment, negotiation, approval and management of externally-funded and other research-related agreements, and associated pricing and cost recovery processes.
1.1. A research agreement (also known as a third-party arrangement) is an agreement which sets out the terms and conditions under which UNSW provides research services to, or undertakes collaborative research with, a person, company or organisation external to UNSW.
1.2. Any research or consultancy work involving an external party or organisation must have an agreement in place prior to the commencement of any work.
Research agreements include:
1.3. Externally funded research agreements. These may include, but are not limited to:
- Grant Funding Agreements
- Research services agreements, including for research consulting services
- Government tenders
- Subcontract agreements
- Higher Degree Research (HDR) project and placement agreements.
1.4. Other types of research-related agreements, including:
- Collaborative research agreements
- Clinical trials research agreements
- Commercialisation of UNSW intellectual property
- Confidentiality agreements (also known as non-disclosure agreements)
- Memoranda of understanding (MoUs) (see section 4)
- Data access and use agreements
- Material transfer agreements
- Variation agreements
1.5. A formal research agreement (or other appropriate agreement type) is required where an external party requests signature, proposes terms and conditions, or where the arrangement involves any of the following:
- funding or other consideration
- deliverables, timelines or service levels
- use, access or sharing of confidential information, data or materials
- intellectual property creation, licensing or assignment
- ethics or clinical research requirements
- publication restrictions
- warranties, indemnities or liability provisions
- subcontracting.
In these circumstances, the matter must be referred to the relevant support area for assessment and management through the UNSW research administration process.
2.1. Informal research agreements are low-risk arrangements to collaborate, publish or provide advice where no funding changes hands and there is no obligation to an external party. They must not be used as a substitute for a formal research agreement where UNSW is undertaking externally funded, commercial, or otherwise binding work.
2.2. Informal research agreements may include:
- non-binding statements of intent to collaborate
- informal authorship or publication understandings
- provision of general advice on a pro bono basis.
2.3. Informal arrangements do not include (and must not be used for):
- work involving payment
- milestone-based delivery obligations
- transfer of materials or confidential information or data
- confidentiality obligations
- access to facilities
- supervision/placement arrangements
- any commitment that could reasonably be understood as binding UNSW.
2.4. The lead researcher must ensure that any informal research agreement has an appropriate written record of the understanding (for example, email confirmation).
2.5. Researchers must not sign, accept, or “click-to-accept” any external party terms (including informal collaboration statements) on behalf of UNSW unless authorised under the UNSW Delegations Policy.
2.6. Any uncertainty about whether an arrangement is informal or binding must be escalated to the relevant support area (and, where appropriate, UNSW Legal) prior to communicating acceptance to the external party.
3.1. An agreement for externally funded research must clearly set out:
- The funding to be provided
- The terms and conditions of the funding, and
- The rights and responsibilities of the parties, including ownership and use rights of intellectual property where relevant
4.1. Research MoUs outline the intention of partnering institutions to establish or strengthen research collaboration.
4.2. A Joint PhD Program is a collaborative research training arrangement between UNSW and an approved partner institution under an MoU. In such programs, candidates are jointly supervised, and the PhD is awarded by both institutions. A Joint PhD Program agreement may be included as an appendix to a Research MoU.
4.3. The Research Services SharePoint site outlines the criteria and approval process for expressions of interest to establish Research MoUs.
5.1. Researchers must disclose and manage actual, perceived or potential conflicts of interest, as well as relevant international affiliations, collaborations or activities in accordance with the Disclosure Policy, the UNSW Code of Conduct and Values, the Australian Code for the Responsible Conduct of Research, and any applicable ethics, funding, regulatory or other requirements.
5.2. Information disclosed to UNSW may be collected, used or disclosed by UNSW where reasonably necessary for research governance, funding, contractual, due diligence, reporting, audit, compliance, integrity, security or risk-management purposes.
5.3. Any such use or disclosure by UNSW is managed in accordance with the Disclosure Policy and any applicable privacy, confidentiality, legal and contractual obligations.
Competitive neutrality ensures that UNSW’s business and commercial activities do not gain a net competitive advantage because of public ownership. Accordingly, UNSW must recover the full costs of shared infrastructure, services and other institutional support from externally funded and commercial activities to support fair and effective competition.
This section sets out the mandatory requirements for applying competitive neutrality and cost recovery in the administration and pricing of externally funded research, consulting, contract research and other research-related commercial activities at UNSW. The Competitive Neutrality and Pricing Instruction sets out the activities under which competitive neutrality must be applied.
6.1. The Pro Vice-Chancellor Research approves instructions related to the operation of this section, which may include scope, exceptions and waiver rules.
6.2. Goods and services provided to external parties must be priced on a fair and competitive basis that reflect the principles of competitive neutrality. Prices must not be reduced to reflect any cost advantages arising from UNSW’s publicly funded status, or structured to avoid or reduce cost recovery, unless an approved exemption or waiver applies.
6.3. Externally funded and commercial activities must recover, at a minimum, the direct costs and minimum economic costs associated with the activity, as calculated using the UNSW Pricing Tool. Where activities are undertaken for or on behalf of UNSW, prices must recover the full cost of delivery, including all relevant direct and indirect costs, such as the use of buildings, infrastructure, IT systems and other central or faculty services (for example, insurance, legal, or financial management).
6.4. Where full cost recovery is prohibited by the conditions of a competitive funding scheme (e.g. ARC or NHMRC), applicants must request cost recovery up to the maximum level permitted. The full list of activities and funding types which are exempt from indirect cost recovery can be found in the Competitive Neutrality and Pricing Instruction.
6.5. Post-award funding contributions must be treated in accordance with the Competitive Neutrality and Pricing Instruction.
6.6. Non-research-intensive knowledge exchange activities, including consulting, use of UNSW facilities or equipment, professional development, outreach and other externally funded knowledge exchange activities, must be assessed and managed in accordance with this procedure. Operational requirements for these activities, including the applicable workflow for pricing, contracting, project setup, reporting, variations and close-out, are set out in the Competitive Neutrality and Pricing Instruction.
7.1. The Pro Vice-Chancellor Research approves instructions outlining research funding application processes, which can be accessed via the Research Services SharePoint.
7.2. All research funding applications must identify a lead applicant.
7.3. The lead applicant must comply with the applicable research funding application processes, including any requirements relating to approvals, compliance, pricing, cost recovery, budgeting and contract review before submitting an application, quote or proposal to an external party.
7.4. If the funding opportunity includes contractual terms or requires the execution of an agreement (including where UNSW is required to accept terms and conditions on submission), the lead applicant must ensure those terms are reviewed through the relevant UNSW research administration process prior to submission.
7.5. Internal pricing calculations, indirect cost recovery rates and Pricing Tool outputs are confidential to UNSW and must not be disclosed to external parties unless authorised.
8.1. The Pro Vice-Chancellor approves instructions relating to research administration processes.
8.2. Researchers and relevant support areas must use the designated UNSW enterprise system(s) for lodging, tracking and managing research funding applications, research agreements and associated approvals. Records must be complete and accurate.
8.3. Before award or project funding is released or a project account is established (where applicable), the lead researcher must ensure that all requirements under this procedure and the Research Administration Instructions have been met. The relevant support area must verify completion of those requirements before any award or project funding is released, or a project account is established.
8.4. During the term of a research agreement, the lead researcher must work with the relevant support area to manage the agreement in accordance with the agreement terms, applicable funding conditions, and requirements as set out in this procedure and the Research Administration Instructions.
8.5. Any proposed changes to scope, budget, timetable, key personnel or other material term must be promptly escalated and managed as a variation in accordance with section 9 of this procedure and the project agreement.
8.6. Records of key decisions, approvals and communications must be retained to support compliance, reporting and audit requirements.
9.1. For the purposes of this section, material changes are set out in the Research Administration Instructions.
9.2. Any material change to a research agreement must be:
- documented in writing (for example, by a formal variation or amendment)
- reviewed through the relevant UNSW research administration process
- assessed for its impact on pricing, cost recovery, indirect cost recovery, commercialisation value and competitive neutrality, and
- approved by an authorised UNSW delegate before the change takes effect.
9.3. Variations must be managed in accordance with the Research Administration Instructions.
9.4. On expiry or termination, the lead researcher must work with the relevant support area to ensure that all financial, contractual and compliance obligations are appropriately managed, as set out in the Research Administration Instructions.
9.5. Where a research agreement is terminated or is due to expire, the lead researcher must ensure that all contractual obligations are managed in accordance with the agreement terms and the Research Administration Instructions.
10.1. Lead researchers must notify the relevant support area and take reasonable steps to resolve any disputes regarding research agreements in good faith, including by escalating the matter in accordance with the dispute resolution provisions of the agreement.
10.2. Unless the agreement provides otherwise, parties should continue to perform their respective obligations (so far as is reasonably practicable) while the dispute is being resolved. The lead researcher must ensure that key communications, decisions and agreed actions are documented and retained in the relevant UNSW system(s).
10.3. Any proposal to commence or respond to formal dispute action (including mediation, expert determination, arbitration or litigation), to make admissions, to settle, or to vary or terminate the agreement as part of a dispute, must be managed through the relevant UNSW research administration process and approved by an authorised UNSW delegate. Where required, advice must be obtained from UNSW Legal, UNSW Conduct and Integrity Office and/or other relevant governance and risk functions.
10.4. Where internal agreement on the appropriate course of action to resolve a dispute with an external party cannot be reached, the relevant authorised delegate may determine the course of action to be followed.
11.1. The UNSW Delegations Policy identifies those authorised to sign research-related agreements.
11.2. The Research Strategy Office (RSO) is responsible for developing, reviewing and submitting research funding applications, except for tenders and major initiatives such as ARC Centres of Excellence which sit with Research Grants and Contracts (RGC), and related pre-award activities.
11.3. RGC is responsible for all post-award stages of research funding and agreement management, including agreement negotiation,
11.4. Research Ethics and Compliance Support (RECS) is responsible for Clinical Trials Research Agreements where UNSW is the Sponsor.
11.5. Faculties, schools, and research centres are responsible for working collaboratively with RGC and RSO to ensure that research proposals are compliant and feasible, and that contracts and post-award activities are managed in accordance with UNSW policies and frameworks.
11.6. Researchers are responsible for ensuring that all research proposals, contracts, variations and deliverables comply with UNSW and sponsor requirements (as specified in UNSW policies and procedures, relevant agreements, funding rules and other associated documentation) and relevant legislation.
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This procedure sets out the expectations, responsibilities and requirements relating to research authorship, publication and dissemination of research outputs.
UNSW researchers must communicate openly and transparently and act in good faith. They must work collaboratively towards the responsible and timely dissemination of research and must not misuse their position, seniority or influence to disadvantage or pressure others. Conduct that unreasonably obstructs, delays, or interferes with the progression of a research output, or failure to engage constructively in authorship or publication discussions, may constitute a breach of this procedure.
Authorship
1.1. An author must make a significant intellectual or scholarly contribution to the research and its output and agree to be listed as an author, as set out in the Australian Code for the Responsible Conduct of Research and its supporting Guides, which UNSW adopts (see clause 3.3. of the UNSW Code of Conduct and Values).
1.2. Individuals who meet these criteria cannot be excluded as an author without their written consent. All authors must engage in authorship and publication discussions in good faith and must not unreasonably withhold consent or otherwise obstruct, delay, or interfere with the responsible and timely dissemination of research outputs.
1.3. Authorship must not be attributed solely on the basis of funding, technical support, position or status. Gift, guest and ‘ghost’ authorship are not acceptable. Further guidance is provided in the NHMRC Authorship Guide.
2.1. Corresponding authors must:
- Ensure that all authors and contributors to the research output are appropriately recognised, including contributions from students and/or research trainees
- Manage communication with the publisher and between the co-authors
- Maintain records of authorship agreements (see section 3).
2.2. Where an author is deceased prior to submission of the research output to the publisher, reasonable efforts should be made to seek consent from the author’s estate.
2.3. Researchers must consult Aboriginal and Torres Strait Islander co-authors about their right to assert and retain ownership of cultural and intellectual property used in the research, as per the Australian Code for the Responsible Conduct of Research, the AIATSIS Engagement Policy and the UNSW Indigenous Cultural and Intellectual Property (ICIP) Protocol (under development).
3.1. Order of authorship must follow disciplinary norms.
3.2. Agreements must be made between researchers of all multi-author research outputs.
3.3. Authorship agreements include:
- names
- contributions
- order
- corresponding author
- acknowledgments
- version for submission
- data storage details
3.4. The authorship agreement may be in the form of an exchange of emails, online discussions or other similar evidence of agreement.
4.1. Authors must acknowledge contributions that do not meet the criteria for authorship (such as contributions from individuals or organisations providing support, research funding, resources or infrastructure). Contributors must consent to this acknowledgement.
4.2. Research intending to publish Indigenous knowledge must adhere to the requirements set out in the UNSW ICIP Protocol, and credit the contributions of Indigenous people and knowledge.
5.1. Each author is responsible for their respective contribution to the output.
5.2. All listed authors are collectively accountable for the whole research output.
5.3. All authors must respond to any concerns about the accuracy or integrity of any part of the research output, including providing all necessary evidence.
Publication and dissemination of research
9.1. Researchers must:
- report the research methodology, data and findings completely and accurately.
- include relevant negative results and/or findings that may be contrary to any stated hypothesis
- correct any errors or misleading information.
- ensure that use of AI tool in the authorship process (including the reporting of their use) aligns with disciplinary norms, and
- take responsibility for associated output that is used in published work.
10.1. Researchers must disclose conflicts of interest and all sources of support for the research, including sponsorship or funding arrangements, consistent with the UNSW Disclosure Policy.
11.1. Researchers must cite and acknowledge their own work and the work of others (whether published or unpublished sources) accurately, according to the Australian Code for the Responsible Conduct of Research and UNSW Plagiarism Policy, and the accepted conventions within the relevant discipline/s.
11.2. Researchers must disclose multiple publications of the same research.
12.1. Researchers must obtain the necessary written permission to substantially reproduce any copyright material owned by a third party.
12.2. Reproduction of short extracts of text and some types of material may be permitted as fair dealing and will not require written permission. This applies only if the researcher reproduces the materials:
- for scholarly criticism or review (not merely illustration)
- accurately, either with quotation marks or as displayed text
- with full attribution.
13.1. Research plans, systematic reviews and protocols must be approved and registered with the relevant body or institution, or publicly accessible register for clinical trials, prior to the commencement of research.
13.2. Duplicate publication is not acceptable without full cross-referencing within the papers. Researchers must disclose substantially similar work submitted to more than one publisher at the time of submission.
13.3. Researchers must disclose publication status (such as unpublished research that is subject to peer-review), and funding details.
13.4. Publication of the same material translated into different languages is acceptable provided that the original source is fully acknowledged.
13.5. Re-publication of control data (rather than performing new control experiments) is not acceptable unless a full justification is provided and is approved by the journal editor.
14.1. Research outputs must be made available on an appropriate institutional or discipline repository as per the UNSW Open Access Policy.
14.2. Researchers must follow data storage, retention and disposal requirements outlined in this UNSW Research Policy (under development) and UNSW Information Governance Policy.
15.1. Researchers must protect confidential and sensitive information. Researchers should seek advice from UNSW Legal & Compliance before disseminating research or technical data which may be considered confidential or sensitive.
15.2. Researchers must ensure that all relevant ethics and compliance requirements have been met during the conduct of research.
16.1. Researchers must communicate their findings broadly:
- using accessible forms of publication and dissemination
- engaging with relevant communities, and
- publish and share research ethically.
16.2. Research that affects or is of particular interest to Aboriginal and Torres Strait Islander Peoples and communities must use culturally appropriate formats and there must be open and transparent communication throughout the research publication process.
18.1. Researchers must seek to resolve authorship and publication disputes respectfully, promptly and in good faith.
18.2. Where a dispute relates to a research output that has already been published, concerns should be raised and managed under the Complaints Management and Investigations Policy & Procedure, as potential breaches of the UNSW Code of Conduct and Values, and where applicable, relevant provisions of the Australian Code for the Responsible Conduct of Research.
18.3. Where a research output has not yet been published or submitted for peer review, any complaint or dispute concerning authorship must be managed in accordance with the UNSW Research Authorship and Publication Dispute Management Instruction.
18.4. Researchers who are uncertain about which process applies must seek advice from their Faculty Research Integrity Advisor.
18.5. All researchers must work collaboratively towards the timely dissemination of research outputs. A researcher who does not wish to be listed as an author must not unreasonably prevent or delay publication of the research where the requirements of this procedure have been met.
18.6. Researchers, including senior researchers and supervisors, must not misuse their position, authority or influence to unreasonably delay, obstruct or impede the progression of a publication without reasonable academic or ethical grounds. Such conduct may result in a breach of this procedure.
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Please note that this document contains placeholders for links which are yet to be finalised.
This procedure applies to all research conducted by and on behalf of UNSW and sets out the requirements for conducting research in a responsible, ethical, safe and compliant manner.
Supporting instructions and operating guidelines are maintained by the Director, Research Ethics Compliance and Support (RECS), approved by the Pro Vice-Chancellor Research, and displayed in their most current form on the RECS SharePoint: [SharePoint]
RECS provides support for the review, monitoring, training where relevant, and policy development related to the activities outlined in this procedure. Additionally, RECS offers administrative support for the various UNSW ethics and research compliance Committees.
This procedure sets out the requirements for:
4. Regulated Materials (biological, radiation & quarantine materials)
5. Remotely Piloted Aircraft Systems
7. Restricted and Controlled Substances Compliance (S4D, S8, S9)
1.1. Human research, including research with or about people or their data or tissue and biospecimens, must follow the requirements set out in the:
- National Statement on the Ethical Conduct of Human Research (National Statement)
- Human Tissue Act 1983 (NSW)
- Privacy and Personal Information Protection Act 1998 (NSW)
- Health Records and Information Privacy Act 2002 (NSW)
- Therapeutic Goods Act 1989
- other applicable codes and legislation.
1.2. The University Human Research Ethics Committees (HRECs) and Human Research Advisory Panels (HREAPs) govern and manage all activities relating to research involving humans, their tissue, biospecimens or data. They ensure that:
- research is ethically sound and beneficial to the community
- researchers and research students respect the rights and welfare of human participants in research
- any risk of additional burden or harm from research procedures is minimised.
1.3. The Pro Vice-Chancellor Research approves the Terms of Reference and membership of the UNSW HRECs and HREAPs.
1.4. UNSW has established NHMRC-registered HRECs to ethically review greater than low risk research involving humans their tissue, biospecimens or data. The HRECs fulfil their obligations in line with their [Terms of Reference].
1.5. UNSW has established HREAPs to ethically review lower risk research involving humans their tissue, biospecimens or data. The HREAPs’ fulfil their obligations in line with their [Terms of Reference].
1.6. HRECs or HREAPs must approve all human research conducted by researchers at UNSW and its affiliate centres and institutes, unless the research is approved by another NHMRC-registered HREC or their delegated review body. For advice on research conducted overseas, see clause 1.10 below.
1.7. Chief Investigators must report incidents that present an undue risk to the health, safety or wellbeing of human participants or those that have the potential to affect the ethical acceptability of approved human research as soon as possible. Requirements are outlined on the RECS SharePoint.
1.8. Investigators must submit a notification to RECS for research involving non-identifiable publicly available datasets (see RECS SharePoint for registration process).
1.9. Ethics review by NHMRC-registered HRECs (and their delegates) is recognised by UNSW. Supplying evidence of external approval is set out on the RECS SharePoint. For research conducted within Australia, UNSW HREC or HREAP approval is required where the external HREC or its delegated review body is not registered with the NHMRC, or where the external HREC is unable to approve UNSW as a research site for specific study activities.
1.10. International research has specific requirements which must be met, as set out in the [RECS SharePoint].
2.1. Clinical trials must follow the requirements set out in the:
- National Statement
- ICH Guidelines for Good Clinical Practice
- Therapeutic Goods Act 1989 (Cth)
- other applicable codes and legislation.
2.2. Chief investigators must ensure that all investigators and trial staff undertaking trial-related activities are qualified by training and experience and maintain current Good Clinical Practice (GCP) certification and protocol-specific training.
2.3. Researchers must register the clinical trial on a publicly accessible register complying with international standards prior to the recruitment of participants.
2.4. UNSW may sponsor clinical trials initiated by UNSW researchers and affiliated organisations. Requests for sponsorship must be submitted to RECS in line with the requirements set out by [RECS SharePoint].
2.5. Where UNSW sponsors a clinical trial, researchers must follow the research governance requirements set out by [RECS SharePoint].
2.6. Before UNSW researchers participate in an externally sponsored clinical trial or where UNSW will act as a clinical trial site, evidence of the ethical review and approval must be provided to UNSW in line with the requirements set out by the [RECS SharePoint].
2.7. Clinical trials involving use of an unapproved investigational therapeutic medical product or device requires submission of a Clinical Trial Notification (CTN) to the Therapeutic Goods Administration (TGA). For UNSW sponsored trials, the CTN process must be submitted and coordinated with RECS.
2.8. For UNSW sponsored clinical trials, researchers must immediately report any event that may impact participant safety, rights or trial reliability to the sponsor via RECS [see RECS SharePoint].
2.9. For externally sponsored trials, researchers must follow the sponsors clinical trial governance processes, including for reporting of noncompliance and safety events.
3.1. The care and use of animals for scientific purposes at UNSW, and affiliated institutes, must follow the requirements set out in the:
- Australian Code for the Care and Use of Animals for Scientific Purposes (Australian Code)
- Animal Research Act 1985 (NSW)
- Animal Research Regulation 2021 (NSW)
- other applicable codes and legislation.
3.2. UNSW has Animal Care & Ethics Committees (ACECs) that ethically review applications for projects proposing to use live animals for scientific purposes and activities associated with the care and management of animals. The ACECs fulfil their obligations in line with their [Terms of Reference].
3.3. The Pro Vice-Chancellor Research approves the Terms of Reference and membership for the UNSW ACECs.
3.4. UNSW and its affiliated centres and institutes must conduct all animal research under an active Animal Research Authority issued by an ACEC.
3.5. The use of restricted and controlled substances (Schedule 4D, 8 and 9) in connection with research and teaching involving animals must comply with terms set out under section 7 Restricted and controlled substances compliance.
3.6. UNSW researchers or staff from affiliated centres intending to conduct external, multi-centre or international animal research must comply with the requirements set out by [RECS SharePoint].
3.7. The UNSW Director of Animal Care and Welfare and Animal Care and Welfare Officers support the ethical and humane use of animals in research and teaching in accordance with the Australian Code by providing strategic oversight of animal care programs, governance of animal welfare, training and competency frameworks, and serving as principal authority on animal welfare matters across UNSW and its affiliated institutions.
3.8. Project investigators involved in the care and use of animals for scientific purposes are responsible for the wellbeing of animals that they use, including their housing, monitoring, husbandry and care.
3.9. Report all unexpected adverse events promptly, including to RECS Animal Care within 24 hours.
3.10. All staff and students using animals for scientific purposes must complete the RECS Animal Care and Ethics training, as well as any additional training mandated by the committees.
Regulated radiation materials
4.1. The relevant University Radiation Safety Committee (RSC) evaluates the risks involving the use of ionising and non-ionising radiation in accordance with relevant legislation.
- For UNSW Sydney, the RSC reviews activities in accordance with the Australian Radiation Protection and Nuclear Safety Regulations 2018, and NSW legislation including Protection from Harmful Radiation Act 1990 (NSW) and the Protection from Harmful Radiation Regulation 2025 (NSW).
- For UNSW Canberra, the RSC reviews activities in accordance with Australian Radiation Protection and Nuclear Safety Regulations 2018 (Cth) and ACT legislation, including the Radiation Protection Act 2006 (ACT) and Radiation Protection Regulation 2007 (ACT).
4.2. The RSCs oversee the use of regulated materials, governance and management of the University’s ionising and non-ionising radiation safety procedures and fulfills their obligations in line with their [Terms of Reference].
4.3. The Pro Vice-Chancellor Research approves the membership and Terms of Reference for the RSCs.
4.4. Project supervisors or custodians must ensure the use of all regulated materials (as defined by the Protection from Harmful Radiation Regulation 2025 (NSW) are approved by the responsible RSC and registered under the applicable University Licence (see Compliance Management Procedure, section 3) registered with the NSW Environmental Protection Authority (EPA), ACT Radiation Council and the Health Protection Service (ACT).
4.5. Any proposed changes to registrations, such as decommissioning or transfer of regulated materials to another licence holder, must be approved by the responsible RSC and a notification made to the relevant Regulator. For UNSW Sydney, variations to licences must be facilitated through RECS, in line with the Compliance Management Procedure, section 3.
4.6. Radiation users must hold a valid EPA user licence, unless otherwise exempted or supervised by a valid licence holder in line with legislative licencing requirements. Further information can be found on [RECS SharePoint].
4.7. UNSW reports to the Australian Safeguards and Non-Proliferation Office (ASNO) on the inventory of nuclear material held for research and storage purposes across its campuses in accordance with its permits. Researchers must notify RECS prior to commencing any activity involving nuclear material to enable UNSW to obtain any required approvals from ASNO. This includes:
- research activities involving nuclear material or the nuclear fuel cycle, and
- any potential international or domestic transfers of nuclear material, which may require approval from ASNO and ARPANSA in accordance with applicable reporting timeframes.
4.8. All lasers which fit the description of a controlled apparatus (class 3B and 4) under the Australian Radiation Protection and Nuclear Safety Regulations 2018 (Cth) must be approved by the RSC prior to commencement of research. Accordingly, all laser laboratories where these lasers are located must be approved by the relevant RSC.
4.9. UNSW researchers or staff from affiliated centres intending to conduct external or multi-centre research involving radiation must follow the requirements set out by [RECS SharePoint].
4.10. UNSW researchers intending to take UNSW-registered regulated radiation materials outside of UNSW-registered facilities must inform the RSC prior to the activity.
4.11. Project supervisors or custodians of regulated radiation materials and lasers must provide appropriate personal protective equipment to all persons working with and potentially exposed to penetrating radiation, and monitor personal exposure, area contamination and radiation emission.
4.12. All staff and students conducting research involving ionising and non-ionising radiation must complete the relevant RECS training as set out in the [RECS SharePoint].
4.13. Report incidents promptly (or within 24 hours) to the Radiation Safety Officer or Laser Safety Officer and RECS following the emergency instructions on the [RECS SharePoint].
Regulated biological & quarantine materials
4.14. The use of Regulated Biological Materials (RBMs) in research must adhere to the requirements set out by the Gene Technology Act 2000 (Cth), Gene Technology Regulations 2001, the AS/NZS 2243.3 Safety in Laboratories Part 3 Microbiological Safety and Containment Standard (the Standard) and other relevant codes and legislation.
4.15. Activities involving imported quarantine biological goods must adhere to the requirements set out by the Biosecurity Act 2015 (NSW). RECS will facilitate:
- applications for new approved arrangement sites
- regulator inspections of certified facilities.
4.16. Individual schools or research groups must obtain an import permit from the Department of Agriculture, Fisheries and Forestry for the importation of quarantine material.
4.17. The University Gene Technology Research Committee (GTRC) oversee the governance and use of RBMs in research and oversee the certification of facilities for holding Genetically Modified Organisms (GMOs) above the level of Exempt Dealings and for PC3 Facilities. The GTRC fulfils their obligations in line with their [Terms of Reference]
4.18. The Pro Vice-Chancellor Research approves the membership and Terms of Reference for the GTRC.
4.19. All research involving the use of RBMs must be approved by the UNSW GTRC, and where required, by the relevant regulator, prior to the commencement of the research.
4.20. Research involving higher-order invertebrate or vertebrate animals requires additional review and approval by the UNSW ACECs as set out in section 3 of this procedure. Additional permit requirements apply to the import or export of RBMs or animals.
4.21. Facilities for proposed Notifiable Low Risk Dealing (NLRD), Dealings Not involving an Intentional Release (DNIR) and Dealings involving an Intentional Release (DIR) gene technology must receive prior approval by the Regulator. The GTRC is responsible for inspecting and recommending facilities to the Regulator for certification.
4.22. Researchers must ensure that dealings with GMOs are conducted in a facility certified to at least the minimum containment level appropriate for the type of dealing, as specified in the Regulations and OGTR Guidelines.
4.23. The facility and researchers must maintain a register of all RBMs, including Risk Group 3 microorganisms, and all relevant import and export permits.
4.24. UNSW researchers or staff from affiliated centres intending to conduct external or multi-centre research involving RBMs must comply with the requirements set out by [RECS SharePoint].
4.25. Researchers must report any unexpected adverse events, including unintentional release of RBMs, incidents involving quarantine materials, to RECS as soon as possible (within 24 hours of becoming aware of the incident/event) and in accordance with the emergency details set out on the RECS SharePoint: [Adverse Events/ Incident Reporting].
4.26. The GTRC conducts annual inspections of PC2 and PC3 certified facilities. The head of the facility and the notified OGTR must address any compliance issues with certification conditions.
5.1. UNSW complies with the requirements of the Civil Aviation Safety Authority (CASA), which regulates Australian airspace and governs operation of Remotely Piloted Aircraft Systems (RPAS), commonly referred to as drones. All drone operations must adhere to Part 101 (Unmanned Aircraft and Rockets) of the Civil Aviation Safety Regulations.
5.2. UNSW holds a Remotely Piloted Aircraft Operator’s Certificate (ReOC) for commercial drone activities. A CASA-approved Chief Remote Pilot and Maintenance Controller have been appointed to oversee all drone operations and fulfil their obligations with their respective [Terms of Reference].
5.3. UNSW’s Remote Pilots include holders of a CASA Remote Pilot Licence (RePL) and CASA-accredited drone operators. The Remote Pilot in Command is responsible for ensuring that all drone operations comply with relevant legislation, conditions on their RePL or accreditation under the Excluded Category, and the procedures outlined on the SharePoint [RECS SharePoint].
5.4. All drone operators must have a valid Aviation Reference Number and possess either a RePL or CASA Drone Operator Accreditation, depending on the nature of the drone activity. Operators must also register their drones with CASA via RECS, as outlined in the RECS SharePoint [RECS SharePoint].
5.5. All payload operators, observers and other persons involved in drone operation under UNSW’s ReOC must comply with the procedures set out in the UNSW ReOC Manual and any lawful direction issued by the Remote Pilot in Command.
5.6. Drone operations not conducted under UNSW’s ReOC, such as those operating under CASA’s Excluded Category or for recreational purposes related to UNSW activities, must comply with CASA’s rules and the procedures outlined on the SharePoint [RECS SharePoint].
5.7. Drone owners and pilots are responsible for ensuring their drones are airworthy and maintained in accordance with the manufacturer’s manual and recommendations. Any defects or maintenance issues must be reported to the UNSW Drone Maintenance Controller.
6.1. UNSW complies with all relevant export control legislation, including the Customs Act 1901 (Cth), the Customs (Prohibited Exports) Regulations 1958, the Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (Cth), the Defence Trade Controls Act 2012 (Cth), the Defence Strategic Goods List (the DSGL), and other applicable codes and legislation.
6.2. If required, a permit from the Department of Defence must be obtained prior to exporting, supplying, brokering, or publishing controlled goods, software or technology, or for the provision of DSGL services.
6.3. UNSW holds a Defence Client Registration Number (DCRN) issued by the Department of Defence for the purposes of applying for permits and is recognised as an authorised user within the AUKUS licence-free environment.
6.4. The UNSW Export Controls Compliance Officer within RECS is the designated contact for all export control matters. This includes providing guidance to researchers on compliance requirements, permit obligations and maintaining UNSW’s DRCN registration.
6.5. Researchers hold primary responsibility for ensuring their activities comply with export control laws. This includes confirming that regulated activities are conducted under valid permits, adhering to all permit conditions, verifying that any exemptions or exceptions remain applicable, and maintaining all required records as required by legislation (see Compliance Management Procedure, section 3).
6.6. Researchers must consult the DSGL to determine whether their goods, software or technology meet the controlled thresholds. This responsibility stems from both legal obligations and the expectation that researchers have the expertise to assess whether their goods, technology, software, or services are listed in the DSGL. If controls apply, researchers must contact RECS to determine whether a permit from the Department of Defence is required before exporting, supplying, brokering transferring, or providing services. Detailed guidance is available on the UNSW Research Export Control SharePoint: [SharePoint]
6.7. Prior to submitting DSGL assessments or permit applications to the Department of Defence, researchers must provide a copy to the UNSW Export Controls Compliance Officer for review.
6.8. Permit and approval holders must conduct and monitor research in accordance with permit conditions.
6.9. Instances of unauthorised supply, or non-compliance with permit conditions, must be reported to the Export Controls Officer as soon as possible and in accordance with the instructions on the SharePoint: [SharePoint]
6.10. Researchers must also ensure compliance with the import/export laws of any other countries involved in their research activities.
7.1. The use of Schedule 4D, Schedule 8 (Drugs of Addictions, S8) and 9 (Prohibited Substances, S9) substances for research at UNSW including their storage and security arrangements, must comply with the requirements of the Medicines, Poisons and Therapeutic Goods Act 2022 (NSW), Poisons and Therapeutic Goods Regulation 2008 (NSW) and the Poisons Standard (SUSMP).
7.2. Researchers intending to use S8 or S9 substances for research purposes must obtain an authority from the NSW Ministry of Health for possession of these substances. The process for obtaining an authority must be coordinated with RECS and follow the instructions set out on the [RECS SharePoint].
7.3. Authorised persons, as issued by NSW Health, are responsible for the management and security of the substances and must comply with the requirements for ordering, storage, recordkeeping, inventory, destruction and disposal as set out in the [RECS SharePoint].
7.4. All authorised personnel involved with any of these substances must complete the mandatory training course prior to access and use of these substances, please refer to the instructions on the [RECS SharePoint].
7.5. These substances may only be destroyed and/or disposed of by or under the direct personal supervision of a police officer, organised by RECS.
7.6. Authorised persons must immediately notify RECS upon becoming aware of any spills or loss of S8 or S9 substances.
8.1. UNSW approved research and activities is monitored by its delegated review bodies or RECS through various mechanisms, including annual progress and final reports for each approved project, internal and external audits of compliance with the approved protocols, site visits and interviews with investigators or research participants.
8.2. UNSW may suspend, terminate or restrict approval for a project where it is reasonable to believe that continuation of the research project or activity may compromise the safety and welfare of participants, animals or the environment, or contravene the principles of the National Statement, the Code or compliance with pertinent legislation.
9.1. UNSW has established a framework to ensure transparency and oversight of research aligned with RECS portfolios. This framework is available to staff, students and external stakeholders. Information on how to lodge complaints, report allegations of non-compliance or raise grievances regarding the responsible, ethical, and safe conduct of research at UNSW can be found on the RECS SharePoint site.
9.2. Issues identified during the conduct of an approved UNSW project which may possibly involve breaches of the UNSW Code of Conduct and Values are handled in accordance with the Complaints Management and Investigations Policy & Procedure.
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Purpose
This procedure sets out the requirements for managing research materials, equipment and data at UNSW. It supports research integrity, compliance, safety and effective use of UNSW resources.
Scope
This procedure applies to all research conducted on behalf of UNSW. It covers:
Physical research material
This section governs the retention, review, transfer and disposal of physical research material to support research integrity, compliance and sustainability.
1.1. Physical research material includes:
- human, animal, microbiological samples
- environmental, chemical and engineering specimens
- reference standards and prototypes.
1.2. Physical research materials not included within this section include:
- research data and administrative records
- chemical inventories managed through Jaggaer
- radioactive samples under waste plans
- teaching or other non-research collections
- materials managed by Biobanks.
2.1. Physical research materials must:
- only be retained where they can be lawfully and ethically used and are identifiable and fit-for-purpose.
- be reviewed according to their review date and default retention window (DRW), as varied by any applicable regulatory or sponsor requirements (DRW Instruction).
- be consolidated where possible to optimise use of available resources.
- not be retained indefinitely.
2.2. Review requirements should reflect to the collection’s risk, value, need, and size.
2.3. When researchers leave UNSW there must be a plan to transfer materials and associated data to another UNSW custodian and/or be disposed of appropriately. Material handover/disposal must be overseen by the custodian.
3.1. Material custodians must:
- maintain an inventory of retained materials in an appropriate system (e.g., UNSW mySample, UNSW eNotebook and/or facility LIMS), and include review dates, disposal actions, transfers or archival status.
- maintain accurate records, ensure appropriate storage conditions are upheld and support audits and reviews.
- keep records current, correctly label materials, comply with review and clean-up cycles and complete consolidation tasks where required.
3.2. Minimum metadata fields must be captured at the time of creation or import, in accordance with applicable ethics, regulatory and local requirements.
This section applies to all University-owned or managed cold-storage equipment and facilities, including cryogenic vessels, cold-storage cabinets, walk-in cold and freezer rooms, centralised cold-storage facilities, and associated monitoring and inventory systems.
Cold Storage Services provides centralised services for long-term and archival storage of samples, as well as managed backup freezer resources.
Cold Storage Equipment
4.1. Cold-storage equipment used to house research materials must:
- be scientific-grade and meet UNSW standards for performance, safety, monitoring capability, and serviceability, as outlined in the Cold Storage Instruction.
- comply with UNSW purchasing requirements, including use of approved suppliers.
- be connected to approved monitoring systems. Custodians must ensure appropriate alarm-response procedures are in place and that monitoring contact details remain current.
- undergo regular maintenance and servicing. Custodians must maintain records of cold-storage assets and their maintenance history.
- be integrated into University-supported monitoring and inventory systems, as specified in the Cold Storage Instruction (for newly purchased cold-storage equipment)
4.2. Custodians must be aware of local and centralised processes and services for backup cold storage equipment in the event of failure.
Cold Storage Materials
4.3. All cold-storage research materials must:
- be identifiable and traceable
- linked to responsible custodians
- have relevant ethics approvals, expiry requirements and applicable safety information, in accordance with the Cold Storage Instruction.
4.4. Inventory data must:
- be stored in a system (such as mySample, UNSW's preferred sample inventory solution) that meets UNSW requirements for security, compliance and governance, as set out in the Research Data section of this procedure.
- be identified in the associated Research Data Management Plan(s) (e.g. software solution, file location, custodian).
Research equipment
Research equipment must be managed across its lifecycle to ensure safe, compliant, sustainable and effective use.
All research equipment must have an assigned custodian in accordance with UNSW asset management requirements.
6.1. Custodians must plan equipment lifecycle management from the outset, including:
- acquisition, installation and operations
- maintenance and upgrades
- decommissioning and replacement.
6.2. Equipment must:
- be housed in suitable spaces that meet installation and operational requirements
- be supported by risk assessments for environmental and physical hazards (e.g. flooding, power outages) and mitigation strategies (e.g. Universal Power Supply systems or environmental monitoring).
- be recorded in ACLS or a comparable system to support discoverability, booking, usage tracking and reporting.
6.3. Critical research equipment (e.g. fridges, freezers, incubators) must be connected to approved monitoring systems. Custodians must maintain alarm-response procedures and ensure monitoring contact details remain current.
Research data
Research data are the original and valuable information collected, generated or used to validate or reproduce findings in a research project. They may be digital or non-digital. The response to a particular research question is based on the analysis of research data. Research data may include datasets, laboratory records, field notes, interview transcripts, survey responses, images, audio recordings, software code and consent documentation.
Research data must be managed throughout its lifecycle in accordance with the Information Governance Policy, the Records and Information Management Procedure, applicable ethics approvals, regulatory requirements, funding rules, agreements, licences and relevant UNSW procedures.
The Information Governance Policy sets out UNSW’s data governance roles, including Data Executives, Data Custodians and Data Stewards. For the purposes of research data, any research activity that collects data or datasets must assign a Data Custodian and a Data Steward.
Research involving Aboriginal and Torres Strait Islander Peoples or Indigenous data must comply with Indigenous data governance requirements as set out in the Research Policy and any applicable Indigenous Cultural Intellectual Property (ICIP) Protocol requirements.
UNSW enterprise data management lifecycle (sections 10-17)
10.1. Researchers must develop and maintain appropriate research data management arrangements, including a Research Data Management Plan (RDMP) where required, in consultation with the Data Custodian.
10.2. Metadata must be described and managed throughout the data management lifecycle and organised in accordance with the Records and Information Management Procedure.
11.1. Research data must be:
- accurate, valid and complete at the time of creation or collection
- collected using UNSW-approved tools as set out in the Information Governance Instruction Manual.
11.2. Data Custodians must:
- ensure compliance with ethics, privacy (UNSW’s Privacy Management Plan and UNSW Privacy Statements), codes and agreements
- classify each data element for which they are responsible for in accordance with the Data Governance and Management Procedure.
- assign classified data elements a confidentiality risk rating in accordance with the Data Governance and Management Procedure.
- determine the respective label in accordance with Appendix 2: Information Governance Manual.
11.3. Researchers and other data users must create or collect data in accordance with advice from Data Custodians and Data Stewards.
12.1. Research data should be stored in an appropriate UNSW-supported or approved system as determined by the Data Custodian, in accordance with the Records and Information Management Procedure and Cyber Security Standard – Data Security
12.2. Where a non-UNSW-supported system is used, the Data Custodian must ensure:
- the system meets UNSW cyber security requirements
- appropriate agreements with third-parties are in place
- a risk assessment is completed, and
- the storage location is recorded in the RDMP.
12.3. Researchers and other Data Users must follow the Data Custodian’s requirements for storage, access, labelling, security and documentation.
14.1. Researchers and other data users may only share or reuse research data where permitted by the data’s classification, confidentiality risk rating, ethics approvals, consent, privacy requirements, agreements, licences, intellectual property rights, copyright restrictions, funding agreements and UNSW information governance requirements.
14.2. Researchers and other data users must assess the data classification and associated risks before sharing or reusing data. This assessment must determine the appropriate sharing arrangements, including whether:
- the data may be shared internally within UNSW
- the data may be shared externally
- a formal data sharing agreement is required
- an informal agreement or documented understanding is sufficient for lower-risk data
- additional controls are required because of the data’s confidentiality risk-rating, sensitivity, label, ethics approval, consent, licence or contractual conditions or restrictions.
14.3. Researchers and other data users must ensure that:
- approval is obtained from the relevant Data Custodian or other authorised person before sharing research data within UNSW
- appropriate arrangements are established before sharing research data externally, including a formal agreement where required by the Data Custodian or applicable governance requirements.
- unpublished research data is only shared in accordance with applicable ethics approvals, consent, confidentiality obligations and any conditions imposed by the Data Custodian.
- research data owned or controlled by a third-party is only shared or reused in accordance with the parties’ relevant agreement or licence
- permission is obtained for re-use of existing research data, and that they adhere to retention and disposal requirements
- research data transmission complies with the Data Governance and Management Procedure (s 5) and applicable cyber security requirements.
14.4. Researchers should make research data openly available where appropriate and permitted, in line with the UNSW Open Access Policy, funding requirements, ethics approvals, agreements, licences and any applicable legal or governance restrictions.
15.1. Research data must be retained in accordance with the Records and Information Management Procedure and any applicable discipline requirements as determined by the Data Custodian.
15.2. Data Custodians and researchers must provide sufficient detail about research data to inform appropriate retention and identify data of regulatory or community significance.
15.3. Metadata for publicly available research should be deposited in UNSWorks, or a suitable third-party repository.
16.1. Research data that has not been in active use for the minimum retention period will be assessed for disposal in accordance with the Records and Information Management Procedure and applicable ethics approvals and other research compliance requirements.
16.2. Researchers must suspend disposal of research data records that are subject to litigation, investigations or allegations of research misconduct.
17.1. All research data must be managed with reference to the NHMRC Management of Data and Information in Research.
17.2. Human or animal research data must also comply with applicable requirements in the Research Ethics and Compliance Procedure and any relevant approvals, permits, licences or agreements.
18.1. The Pro Vice-Chancellor Research (PVCR) and Pro-Vice Chancellor Infrastructure (PVCRI) are responsible for:
- Overseeing this procedure and ensuring that all research conducted on behalf of UNSW complies with its requirements.
- Ensuring the provision of facilities for the storage and management of research materials, equipment, data, and records.
- The PVCR and PVCRI can approve instructions relating to this procedure as required.
18.2. Data Custodians are responsible for the oversight, management and protection of research data in accordance with this procedure and the Information Governance Policy.
18.3. Data Stewards are responsible for the quality, integrity, ethics and compliance in accordance with this procedure and the Information Governance Policy.
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The following UNSW officers are authorised to maintain and change the procedure sections of this policy in accordance with the Policy Framework Policy:
1. The Deputy Vice-Chancellor Research and Enterprise (DVCRE) has authority to approve a standard or procedure section to this policy.
2. The Pro Vice-Chancellor Research has authority to change the:
- Research Agreements Procedure
- Research Authorship, Publication and Dissemination Procedure
- Research Ethics and Compliance Procedure
- Research Materials, Equipment and Data Procedure
3. The Pro Vice-Chancellor Research Infrastructure has authority to change the:
This policy is intended to ensure that UNSW complies with the:
- Animal Research Act 1985 (NSW)
- Animal Research Regulation 2021 (NSW)
- Australian Radiation Protection and Nuclear Safety Regulations 2018 (Cth)
- Biosecurity Act 2015 (NSW).
- Civil Aviation Safety Regulations
- Customs Act 1901 (Cth)
- Customs (Prohibited Exports) Regulations 1958
- Defence Trade Controls Act 2012 (Cth)
- Gene Technology Act 2000 (Cth)
- Gene Technology Regulations 2001
- Health Records and Information Privacy Act 2002 (NSW)
- Human Tissue Act 1983 (NSW)
- Poisons and Therapeutic Goods Regulation 2008 (NSW)
- Privacy and Personal Information Protection Act 1998 (NSW)
- Protection from Harmful Radiation Act 1990 (NSW)
- Protection from Harmful Radiation Regulation 2025 (NSW)
- Radiation Protection Act 2006 (ACT)
- Radiation Protection Regulation 2007 (ACT).
- Therapeutic Goods Act 1989 (Cth)
- Weapons of Mass Destruction (Prevention of Proliferation) Act 1995 (Cth)
- UNSW Code of Conduct and Values
- AIATSIS Engagement Policy
- AS/NZS 2243.3 Safety in Laboratories Part 3 Microbiological Safety and Containment Standard
- Australian Code for the Responsible Conduct of Research
- Australian code for the care and use of animals for scientific purposes
- Code of Ethics for Aboriginal and Torres Strait Islander Research
- Cold Storage Instruction
- Competitive Neutrality and Pricing Instruction
- Complaints Management and Investigations Policy
- Cyber Security Standard – Data Security
- Defence Strategic Goods List (the DSGL)
- Disclosure Policy
- Delegations Policy
- DRW Instruction
- Framework for Governance of Indigenous Data
- National Statement on Ethical Conduct in Human Research
- UNSW Open Access Policy
- UNSW ICIP Protocol
- Intellectual Property and Commercialisation Policy
- NHMRC Authorship Guide
- NHMRC Management of Data and Information in Research
- UNSW Plagiarism Policy
- Public Interest Disclosure (Whistleblowing) Policy and Procedure
- Research Administration Instructions
- Research Authorship and Publication Dispute Management Instruction
- Risk and Compliance Policy
Supporting instructions
Additional Instruction-level documents that support the policy are still being developed. They will be made available when the policy is published later in the year.