Manual of Policies and Procedures

D/2.3 Research governance framework

Contact Officer

Deputy Vice-Chancellor (Research and Commercialisation)

Approval Date

13/11/2015

Approval Authority

University Academic Board

Date of Next Review

01/11/2018

2.3.1 Policy principles
2.3.2 Obligations
2.3.3 Application
2.3.4 Roles and responsibilities
2.3.5 Research governance principles
Related Documents
Modification History

2.3.1 Policy principles

To achieve QUT’s research and innovation goals as outlined in the QUT Blueprint and Internationalisation framework and to align with the principles of the Australian Code for the Responsible Conduct of Research (the Code), this framework sets out the arrangements by which QUT research is governed.

The QUT Research governance framework has eight fundamental principles of compliance, research quality and integrity, ethical acceptability, risk management, health, safety and environmental protection, information, monitoring and quality improvement.

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2.3.2 Obligations

Under the Code institutions should provide an appropriate research governance framework.

The QUT research governance framework:

  • adopts the governance practices outlined in the QUT Governance Framework (A/1.1)
  • sets out governance principles and standards that apply to all research disciplines
  • clarifies roles and responsibilities of people and organisational structures involved in research governance at QUT
  • supports and promotes research quality and good research practices; and
  • aims to prevent adverse incidents, breaches of guidelines and codes, and research misconduct.
This framework must be read in conjunction with other QUT research policies (MOPP Chapter D).

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2.3.3 Application

This framework applies to all staff, researchers, students and visitors conducting research within or in association with QUT.

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2.3.4 Roles and responsibilities

University Research and Innovation Committee (D/2.1) is responsible for academic policy relating to research and innovation (including research ethics), commercialisation and research higher degree training (including issues of quality) and reports to University Academic Board on these matters at least annually.

University Academic Board (A/3.6) is responsible for oversight of academic governance at the University, in particular, for ensuring the effective development, implementation and review of academic programs and policies and the maintenance of academic standards and reports to Council on these matters at least annually.

Deputy Vice-Chancellor (Research and Commercialisation) has responsibility for implementation of the Research governance framework and for fostering good research governance practices.

Deputy Vice-Chancellor (Technology, Information and Library Services) is responsible for the provision of information resources and services to the University community.

Dean of Research and Research Training has strategic oversight of Higher Degree Research development.

Executive Deans, Heads of School and Institute Directors are responsible for strategic, academic and administrative leadership and for embedding a culture of responsible research conduct.

Director, Office of Research Ethics and Integrity ensures the administrative processes for ethical approval and governance of all human, animal and biological related research are in place and promotes research integrity.

Director, Office of Research assists researchers with applications for funding, finances, Cooperative Research Centres and Infrastructure Projects, and supports the University's Research Data system.

Director, Office of Commercial Services assists researchers in developing, costing and negotiating consultancies and commercial contract research.

Director, Audit and Risk Management Services assesses the adequacy and effectiveness of the University’s internal controls, including the risk management and compliance frameworks and reports to Council on these matters at least annually.

Director, Health, Safety and Environment is responsible for the implementation of health, safety and environment policies at QUT and through the department’s team of health, safety and environment professionals, provides support to University Officers in meeting their due diligence duty under the legislation.

University Review Body means the University Human Research Ethics Committee (D/6.5) and approved review processes, University Biosafety Committee (D/6.6) and University Animal Ethics Committee (D/6.7).

Staff and students involved in research share responsibility and accountability for the University’s research being conducted according to appropriate regulatory, ethical and scientific standards.

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2.3.5 Research governance principles

Good institutional governance and management practices encourage responsible research practices. These practices promote quality in research, enhance the reputation of the institution and its researchers, and minimise the risk of harm to humans, animals and the environment.

All research shall be undertaken in accordance with the following research governance principles:

(a) Internal and External Compliance

QUT’s research practices must operate within applicable laws, regulations, guidelines and codes of practice (A/1.3), as well as University policy, procedures and guidelines.

Key authoritative documents include:

Common law obligations may arise from the relationships between institutions, researchers and participants, while contractual arrangements may impose further obligations.

(b) Research quality and integrity

QUT is committed to the highest standard of integrity in research practices across all research activity in accordance with QUT’s Code of Conduct for Research (D/2.6) and associated policies and the Good Practice guidelines for Higher Degree Research Studies and Supervision at QUT (QUT staff and student access only).

QUT’s research is conducted in accordance with the Research and innovation (D/1.1), Research structures (D/1.2), Higher degree research candidates (D/5.3) and Management of higher degree research programs (D/5.1) policies.

(c) Ethical acceptability

Research involving human participants, their data or tissue must undergo ethical and scientific review, approval and monitoring by a Human Research Ethics Committee or other ethical review body.

Activities involving the use of animals for scientific purposes (research and teaching) must undergo ethical and scientific review, approval and monitoring by an Animal Ethics Committee.

All activities involving Gene Technology (including Genetically Modified Organisms) and high-risk biological agents and materials must undergo scientific review, approval and monitoring by an Institutional Biosafety Committee.

Subject to review arrangements with other institutions, QUT has established University Review Bodies to review, approve and monitor research according to relevant requirements.

(d) Risk management

Institutional risk management, finance, budgeting, contracts and intellectual property should be embedded and regularly reviewed throughout the lifecycle of a research project/activity.

QUT’s Risk management policy (A/2.5) and Risk Management Framework (QUT staff access only) sets out process for risk management.

QUT has an internal auditing process to examine and evaluate the adequacy, economy, effectiveness and efficiency of risk management, systems of internal control and the quality of management outlined in QUT’s Assurance and Risk Management Services Charter (A/1.5).

All authorisations or expenditures for research must comply with the sponsoring agency or donor regulations as well as QUT’s Financial Management policies (MOPP Chapter G) and the Financial Management Practice and Procedures Manual (FMPPM) – Chapter 5, External Research Program.

QUT’s Policy on management of contracts and MOUs (G/6.1) sets out the process and delegations for entering into contracts and MOUs on behalf of QUT.

QUT’s Intellectual property policy (D/3.1) outlines rights and responsibilities with respect to ownership and commercialisation of intellectual property.

(e) Health, safety and environment protection

Health, safety and environmental considerations must be embedded and regularly reviewed throughout the lifecycle of a research project.

QUT’s Health, safety and environment framework (A/9.1) and associated policies set out health and safety requirements in the following key areas:

(f) Information

QUT maintains details of research funding, contracts, ethics, research outputs and impact through ResearchMaster and Research Achievement Database (RAD).

The University has a policy for reporting and making research and scholarly outputs publicly available as outlined in QUT’s ePrints repository for research outputs (F/1.3).

The University’s Research Data Finder is a platform that promotes the visibility of QUT research datasets and the sharing of data.

(g) Monitoring

Regular monitoring of research with regards to the principles of the Code is an institutional obligation.

QUT’s Monitoring of research approved by a University Review Body (D/2.4) sets out principles for monitoring approved research.

QUT is subject to reviews, audits and investigations instigated by the various external regulatory bodies.

(h) Quality assurance and quality improvement

QUT is committed to the ongoing review and continuous improvement of its research governance processes in line with the QUT Quality and Standards Framework (A/2.4).

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Related Documents

Research principles Related policies
Compliance MOPP A/1.3 Compliance
Research quality and integrity

MOPP B/8.7 Conflict of interest
MOPP D/1.1 Research and innovation
MOPP D/2.6 QUT Code of Conduct for Research
MOPP D/2.7 Procedures for dealing with allegations of research misconduct
MOPP D/2.8 Management of research data
MOPP D/5.1 Management of higher degree research courses
MOPP D/5.3 Higher degree research candidates

Ethical acceptability MOPP D/6.5 University Human Research Ethics Committee
MOPP D/6.6 University Biosafety Committee
MOPP D/6.7 University Animal Ethics Committee
Risk Management

MOPP A/2.5 Risk management
Financial Management Practice and Procedures Manual (FMPPM) – Chapter 5 Section C, External Research Program (QUT staff access only).
MOPP D/3.1 Intellectual property
MOPP G/6.1 Policy on management of contracts and MOUs

Health and safety

MOPP A/9.1 Health, safety and environment framework
MOPP A/9.5 Radiation protection
MOPP A/9.6 Communicable / infectious diseases
MOPP A/9.8 Chemical management
MOPP A/9.10 Electrical safety

Information MOPP F/1.3 QUT ePrints repository for research output
Monitoring

MOPP A/1.5 QUT's Assurance and Risk Management Services Charter
MOPP D/2.4 Monitoring of research approved by a University review body

Quality assurance and quality improvement MOPP A/2.4 QUT Quality and Standards Framework

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Modification History

Date

Sections

Source

Details

09.12.16 D/2.3.4 Enhancing the Student Experience REAL Difference Change Manager Revised policy to include REAL Difference initiative, approved name change for position title, Deputy Vice-Chancellor (Technology, Information and Learning Support) to Deputy Vice-Chancellor (Technology, Information and Library Services) - effective 03.01.17
13.11.15 All University Academic Board New policy

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