Research integrity

Honesty

When developing, undertaking and reporting on research, information must be presented truthfully and accurately in proposing, conducting and reporting research, ensuring that any claims or conclusions are justified.

Rigour

When developing, undertaking and reporting on research, it must be underpinned with attention to detail and the application of a robust methodology with strategies in place to avoid or acknowledge any bias.

Transparency

When declaring interests and reporting research methodology, data and findings on research, any conflicts of interest and reputational risks must be disclosed and managed. Research methodology, findings and knowledge must be shared openly, responsibly and accurately. 

Fairness

Fellow researchers and others involved in the research must be treated fairly and with respect. Appropriate references and citations with referring to the work of others and appropriate credit for authorship must be applied. 

Respect 

All human research participants, communities and animals must be treated with care and respects with appropriate consideration given to the needs of minority groups and vulnerable people. Decisions and actions related to the care and use of animals must be made with respect and adverse effects on the environment as a result of research must be minimised. 

Recognition

Aboriginal and Torres Strait Islander peoples continual connection to country and diverse forms of culture, cultural expression and knowledges must be respected and valued. Research projects must be collaborative, culturally meaningful and reciprocal with Aboriginal and Torres Strait Islander peoples enabled to freely make decisions about the purpose, design, protocols, roles and responsibilities with outcomes report to Aboriginal and Torres Strait Islander peoples and communities.  

Accountability

When developing, undertaking and reporting on research it must compliy with all relevant legislation, internal and external policies and guidelines. There must be good stewardship of public resources with reputational risks, consequences and outcomes of research considered prior to communication. 

Promotion

Responsible research practices and a culture that supports the responsible conduct of research will be fostered and promoted with research students and early career researchers mentored and supervised accordingly.

I have a concern or complaint, what should I do?

1. You can familiarise yourself with the research policies and procedures that guide responsible research at UOW. You may also wish to familiarise yourself with the Managing and Investigating Potential Breaches of the Code Policy and related Procedure.
2. You can seek advice from a Research Integrity Advisor and/or a  Research Integrity Officer.
3. If you are an HDR student you can seek support, as described on the Graduate Research School HDR support contacts or from your School Head of Postgraduate Studies or Faculty Associate Dean – Higher Degree Research

How do I lodge a concern or complaint formally?

If you decide to lodge a concern or make a complaint in writing, you can send it through the University’s online Complaints Management System.

Can I make a complaint anonymously?

Yes, the University accepts anonymous complaints and aims to investigate where possible. However, if there is insufficient or unclear detail provided, it may limit the University’s ability to assess or investigate the matter.

You are encouraged to review further information in the Managing and Investigating Potential Breaches of the Code Policy and related Procedure for information on with holding your identity. 

What happens after I submit a concern or complaint in writing?

1. You should expect to receive an acknowledgement that your concern or complaint has been received.
2. Next your concern or complaint with be triaged by Complaints Management Centre
3. . This means:
   • A staff member will be appointed to manage the initial review.
   • It will be determined if the concern or complaint relates to a potential breach of the Code, or a potential breach of a different University Code or policy and the best approach for managing the concern or complaint.
   • Any urgent actions that need to be taken will be identified i.e.: to protect humans, animals or the environment affected by the research activity.
4. You will be advised of the outcome of the triage process and the next steps to be taken unless you have reported the concern or complaint anonymously.

See Help – Advice and Support Services section for information on people available to help you.

As outlined in the ARC Research Integrity Policy, any process related concerns following the finalisation of any preliminary assessment or investigation can be referred to Australian Research Integrity Committee (ARIC).

The key principles that apply to authorship are Principle 5, Fairness, and Principle 7 Accountability.

The Fairness principle describes how researchers must treat fellow researchers and others involved in the research fairly and with respect, appropriately referencing and citing the work of others and giving credit, including authorship where appropriate, to those who have contributed to the research.

The Accountability principle describes how researchers are accountable for good stewardship of public resources and the requirement to stop and consider the consequences and outcomes of research prior to its communication.

The two principles are reinforced in Responsibility 19, 23, 24, 25, 26 and 27 which, in summary, outline:

• Listed authors are all those, and only those, who have made a significant intellectual or scholarly contribution
• All authors have agreed to be listed as an author
• That those who have contributed, but not entitled to authorship, are acknowledged
• Other relevant work has been cited appropriately and accurately
• Research findings are disseminated responsibly, accurately and broadly with action taken to correct the record in a timely manner, where necessary

Further information can be found in in the Australian Code for the Responsible Conduct of Research, 2018 (“the Code”), the Authorship guideline and Publication and dissemination of research guideline.

The UOW Authorship Policy, Authorship Acknowledgement Procedure and Authorship Dispute Resolution Procedure reflect the principles and responsibilities set out in the Code and its supporting guidelines. There are two forms that can be used to keep track of authorship agreements made between researchers collaborating on a publication.

The Authorship and Acknowledgement Agreement – Individual Research Output (DOCX) is designed to formalise discussions and agreements for a single research output such as a publication.

The  Authorship and Acknowledgement Agreement – Project Plan (DOCX) is designed to capture agreements made at the commencement of a research project which may result in multiple research outputs. It can be used in conjunction with the Authorship and Acknowledgement Agreement – Individual Research Output (DOCX) form.

Open Access is the publication of scholarly work that can be freely accessed by anyone in the world via the internet with research freely and immediately accessible to readers rather than kept behind a pay wall or only accessible via a subscription or library service.

UOW is committed to the dissemination and promotion of its research findings as widely as possible with its Open Access Principles which provide guidance reflective of the principles outlined in the Code.

Researchers must check and comply with any requirements related to funding or commercial agreements when making their publishing decisions.

• ARC Open Access Policy
• NHMRC Open Access Policy

Further considerations to assist making an informed decision about responsible publishing and open access can be found in these resources:

• UOW Library services for researchers guide – Open research 
• Overview of Open Access Journal Publishing (PDF: 1,699 KB)
• Information on Creative Commons Licenses

I’d like to understand more about Predatory Publishing – where can I find information?

UOW provides the Predatory Publishing and Conferences Guideline to assist researchers in submitting research manuscripts to reputable publishers. The guideline provides information on indicators to assess publication outlet quality to enable researchers to make responsible decisions in dissemination of their research findings.

The UOW Library provides the Library services for researchers guide, which contains tools on how to identify quality journals and conferences.

A webinar session focusing on Predatory Publishing and Conferences was held on 13 September 2021. A recording and copy of the slides can be found in the Mythbuster sessions folder on the self-enrol Research Integrity Moodle site.

Researchers are encouraged to contact the Research & Engagement Librarian team for advice on publishing and use of the journal quality tools. The Research Integrity Office is also available to provide further information on responsible publishing practices.

I believe I have been a victim of a predatory publisher – where can I find help?

If you would like some additional advice when checking whether a journal or conference is predatory or legitimate, there are a number of avenues to assist:

• Researchers are encouraged to contact the Research & Engagement Librarian team for advice on publishing and use of the journal quality tools or for assistance with legitimacy of publisher emails.
• Research Integrity Advisors are experienced researchers that can provide guidance or advice pertaining to Research Integrity and may be able to assist with journal knowledge specific to your discipline.
• HDR Students may wish to ask their supervisors for advice.

UOW maintains a record of incidents of predatory publishing. If you have witnessed your research or name on a predatory publisher website or conference page you are advised to report to uow-researchintegrity@uow.edu.au. Researchers will be asked to capture an image of the website and provide a website link and any background information and will be provided advice on the next steps.

Where can I find guidance on reputable publishers?

The UOW Library provides the Library services for researchers guide, which contains tools on how to identify quality journals and conferences.

You may also wish to review TEQSA’s Predatory publishing: A to Z elements Guide (PDF: 125 KB) on qualities and features of reputable publishers and journals

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.

UOW researchers are responsible for ensuring their research meets the expectations of the Australian Code for the Responsible Conduct of Research and the UOW Code of Practice – Responsible Conduct of Research. 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.

• UOW Research Data Management Policy
• UOW Research Data Management Guidelines

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 Intellectual Property Policy
• 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).

• National statement on ethical conduct in human research
• Ethical guidelines for research with Aboriginal and Torres Strait Islander peoples
• Australia's Artificial Intelligence Ethics Framework

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.

UOW authorship policy

Committee on publication ethics (COPE) position statement

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.

ARC policy on use of generative artificial intelligence in the ARC’s grants programs

NHMRC policy on use of generative artificial intelligence in grant applications and peer review

Peer review guideline

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.

Australian standards for editing practice

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)

• Policy on Use of Generative Artificial Intelligence in the ARC’s grants programs, released on 7 July, 2023 providing guidance for applicants and assessors of its grants program.

National Health and Medical Research Council (NHMRC)

• Policy on Use of Generative Artificial Intelligence in Grant Applications and Peer Review, 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 TEQSA’s good practice in AI webpage

Department of Industry, Science and Resources

• Australia’s Artificial Intelligence Ethics Framework released in 2019 to guide the responsible design, development and implementation of AI.

Committee on Publication Ethics (COPE)

• Position statement and resources on the COPE website 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.

Artificial intelligence in education

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.

Epigeum Research Integrity training is the online training option available in the Research Integrity self-enrol Moodle site.

Recordings of historic online webinars are also available in the Mythbusters section of the Research Integrity self-enrol Moodle site

Further information, including training opportunities, related to foreign relations and international collaborations can be found across the related webpages.

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.

Further information on training opportunities

• 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 Weekly Research Support Drop-in sessions (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