Research Collaboration Policy

PURPOSE

This policy details the approach of Leaders Institute (LI) to external research collaboration projects.

SCOPE

Academic research projects undertaken by LI staff and Higher Degree Research (HDR) students with an external researcher or entity. This policy does not cover Third Party research arrangements.

PRINCIPLES

LI ensures that:

• academic staff and HDR research students are encouraged to pursue external collaboration opportunities;
• the research project aligns with LI’s vision, mission, and values;
• the research collaboration adheres to LI’s policy framework;
• the collaboration is consistent with the Higher Education Standards Framework (Threshold Standards) 2021 and the Education Services for Overseas Students Act 2000;
• each research project is considered on a case-by-case basis and due diligence is completed prior to signing a Memorandum of Understanding (MOU);
• risks are identified and managed at proposal stage and throughout the collaboration in accordance with LI’s Risk Management Policy;
• any perceived or actual conflicts of interest are declared;
• the MOU includes LI’s quarterly due diligence reviews which are reported to Executive Management Team.

DEFINITIONS

Collaborative research project: an LI academic staff member or HDR students partnering with an external researcher or entity that is not a Third Party and that is not for commercial research.

Conflict of interest: Exists where there is a divergence between the individual interests of a researcher and their professional obligation to LI such that an independent observer might reasonably question whether the professional actions or decisions of that person are influenced by their own interests or are for their own benefit.

Foreign arrangement: signed MOU between an Australian entity and certain foreign entities (primarily foreign governments, agencies, or public universities), whether or not there are any other parties to the arrangement and whether it is legally binding or not.

Foreign influence: Australian individuals or entities undertake certain registrable activities on behalf of a foreign government or entity) for the purpose of political influence.

Foreign interference: as described in the Guidelines to Counter Foreign Interference in the Australian University Sector, activities are carried out by, or on behalf of a foreign actor which are coercive, covert, deceptive or corrupting and are contrary to Australia’s sovereignty, values and national interests.

COLLABORATIVE RESEARCH PROJECT

All formal collaborative research projects (funded or non-funded) require a signed collaborative research agreement with LI where any of the following apply:

• the LI researcher and all collaborating parties agree that it is a collaborative research project;
• there is an explicit definition of the project including timeline, outputs, and any financial or in-kind contributions of the collaborating parties; and/or
• there is any requirement for an internal approval process at LI or any other collaborating institution(s).

DUE DILIGENCE

While LI does not have any Third Party research or research training arrangements, any collaborative research projects involving an LI researcher are subject to LI’s due diligence processes. This includes, but are not limited to:

• strategic and values fit;
• risk management;
• compliance with LI’s policy framework;
• compliance with legal and regulatory requirements;
• conflicts of interest;
• moral and ethical requirements;
• terms and conditions for LI;
• potential direct and indirect consequences of the research.

EXCLUSION OR DISCONTINUATION

LI excludes or discontinues a research collaboration project that:

• is not in LI’s strategic interests;
• creates unreasonable risks;
• does not ensure equity of experience for HDR students in accordance with LI’s academic standards;
• breaches, in any way, LI’s policies and/or legal or regulatory requirements;
• involve entities owned or controlled by any country or entity prohibited by the Australia’s Foreign Relations (State and Territory Arrangements) Act 2020;
• potentially leads to negative outcomes for end-users, such as increased alcohol, tobacco, gambling, illegal substances, or weapons production and/or sale;
• does not otherwise comply with the MOU.

Any decision by LI to decline or discontinue a research collaboration project is communicated in writing to all parties, ensuring appropriate confidentiality obligations if relevant.

PROCEDURES

STEP 1 PROPOSAL

The LI researcher consults with the relevant Program Director as to whether the research requires a formal collaboration agreement. If so, the LI researcher prepares a proposal outlining the objectives, methodology, and expected outcomes of the collaboration. Due diligence and risk assessment is undertaken in line with LI’s Risk Management Policy. In the case of international collaborations, due diligence is informed by the Australia’s Foreign Relations (State and Territory Arrangements) Act 2020 and Guidelines to Counter Foreign Interference in the Australian University Sector.

If deemed appropriate by the Vice President Global and relevant Program Director, the proposal is tabled to Executive Management Team.

STEP 2 EXECUTIVE MANAGEMENT TEAM APPROVAL

If the proposal is approved by Executive Management Team, a formal research collaboration agreement is prepared by the Vice President Global and the researcher.

STEP 3 RESEARCH COLLABORATION AGREEMENT

Research collaboration agreement includes, but are not limited to:

• expectations of each party in terms of roles and responsibilities, including the designation of lead researcher;
• research management if partners leaving or joining the collaboration;
• use, management, sharing, and ownership of research data, primary materials, and intellectual property (including copyright and pre-existing intellectual property belonging to individual parties that is shared in the course of the collaborative research);
• ongoing ownership of research data and primary materials if a researcher or institution leaves the collaboration during the project;
• conflicts of interest;
• human research ethics approval in line with LI’s Research Ethics Policy;
• confidentiality issues;
• authorship and acknowledgment of research outputs, including data outputs;
• funding arrangements (with funding sources declared transparently);
• risk reporting and management;
• any plans to commercialise research outputs and any entitlements to commercial returns;
• dispute resolution procedures to facilitate the just, efficient, timely and cost effective resolution of any issues in dispute.

STEP 4 RESEARCH MANAGEMENT

An LI Research Manager is appointed by LI for all collaborative research projects irrespective of whether LI is the lead institution. The LI Research Manager is responsible for:

• communication with the partner institutions;
• day-to-day management of the research project, ensuring that milestones are met;
• ensuring the research collaboration agreement is adhered to;
• facilitation of meetings with external partners to monitor progress and address any issues that arise;
• documenting all meetings;
• ensuring data is preserved in line with the Record Management Policy;
• submitting an annual progress report to the relevant Program Director;
• monitoring the project’s budget and expenditure in line with any grant funding obligations;
• advising their Program Director if there are any significant delays or issues that may prevent them from meeting their obligations.

Conflict and Dispute Management

In the first instance, it is recommended that complaints, disputes, or interpersonal conflicts relating to the collaboration be dealt with by the research team on an informal basis. The LI Research Manager addresses any conflict or dispute that arises between research team members where they are comfortable to do so.

Where conflict cannot be resolved, the LI Research Manager may seek assistance from their Program Director or the Vice President Global. The resolution of any dispute or conflict should be conducted in accordance with LI’s policy framework, including but not limited to:

• Code of Conduct;
• Complaints, Grievances, and Appeals Policy;
• Staff Grievance Policy;
• Sexual and Gender-Based Misconduct Prevention and Response Policy.

Responsible Research Management

All LI researchers and collaborators must adhere to LI’s Academic Integrity Policy and Responsible Research Conduct Policy.

If a party is not satisfied, they may follow the Complaints, Grievances, and Appeals Policy or Staff Grievance Policy.