Research Data Governance & Materials Handling Policy

Version Approved by Approval date Effective date Next review

1.0 President and Vice-Chancellor 18 April 2019 18 April 2019 April 2022

Policy Statement
The UNSW Research Data Governance & Materials Handling Policy (‘the
Policy’) covers principles related to maintaining the integrity, security, quality,
and proper usage of research data and materials (‘research data’) at UNSW.
The purpose of the Policy is to:
• Outline the requirements and roles and responsibilities associated with
Purpose access, retrieval, storage, disposal, and backup of UNSW research data
and materials
• Provide best practice measures to enable compliance with the
requirements
• Ensure that UNSW complies with applicable laws, regulations, and
operational standards.
The Policy applies to:
• All UNSW Researchers and Research Trainees, staff, contractors,
consultants, and external parties engaged in research activities associated
or affiliated with UNSW
Scope
• All research data and materials used or generated at UNSW or during
UNSW affiliated research
• Research data and materials in any form, including but not limited to, print,
electronic, audio visual, backup and archived data.
Policy Provisions

1. Introduction
Research data are a strategic asset of UNSW, making the appropriate governance regarding
management and use of research data critical to our operations. Lack of governance could expose the
University to unwanted risks and may lead to improper management of UNSW assets.
Research data and material allow research findings to be validated and have long-term value as a
potential resource for future research and teaching. Good practice in research data governance and
materials handling benefits the wider research community by enabling future researchers to publish,
share, cite and reuse the research data and material by reducing the risk of loss and corruption.
‘Good data management is good research’ is the principle upon which our approach to managing
research data and material at UNSW is founded. This Policy has been developed in response to the
specific needs of the research community. Additionally, an overarching UNSW Research Data
Governance Framework (RDGF) has been developed.

2. Research data at UNSW

Research data and materials are the original sources that have been created, generated or collated in
the conduct of research. They can be digital or non-digital.
Research data and materials are data generated in the conduct of research that include, but are not
limited to:
• Any data that are generated in the conduct of research
• Any recorded data that are of significance to research undertaken by the university's researchers
• Any source or primary materials, in particular where these may be necessary to validate research
results
• Annotated bibliographies and readings

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 • Clinical records of treatments and test results
• Collection of digital objects acquired and generated during the process of research
• Contents of an application (e.g. input, output, logfiles for analysis software, simulation software,
schemas)
• Curated data from other research projects
• Database contents (video, audio, text, images)
• Design portfolios, mock-ups
• Documentation of a research journey
• Documents (text, Word), spreadsheets
• Drafts of music scores
• Experimental results and the contents of laboratory notebooks, field notebooks, diaries
• Human / animal / geological materials (e.g. slides, artefacts, specimens, samples)
• Images or visualisations
• Metadata
• Methodologies and workflows
• Models, algorithms, scripts
• Notes, audiotapes, videotapes, (including those collected during interviews or by other means)
• Numerical or graphic results obtained as the output of simulations, modelling or any other software
or as the result of analysis of experimental results
• Personnel and medical information and similar information the disclosure of which would constitute a
clearly unwarranted invasion of personal privacy, such as information that could be used to identify a
particular person in a research study
• Photographs, films
• Plant materials, cell/bacterial/viral samples or specimens
• Protein or genetic sequences
• Questionnaires, transcripts, codebooks
• Records of interviews in the form of notes, audio or video recordings
• References stored in management software (e.g. Zotero, Mendeley, Endnote)
• Responses to surveys or questionnaires
• Spectra
• Standard operating procedures and protocols
• Survey responses
• Test responses
• Trade secrets, commercial information, materials necessary to be held confidential by a researcher
until they are published, or similar information that is protected under law.

The following data and materials are not considered to be research data and materials, unless the
use of such data and materials is for research purposes, and they are outside the scope of the Policy:
• Administrative data such as payroll, student enrolments, research administration
• Learning and teaching data (consisting of data relating to students who are studying at UNSW and
their progress in their courses)
• Library management systems such as UNSW Research Outputs System (ROS) and UNSWorks
• Research management systems such as Info Ed, MyEthics, GRIS, BORIS
• Research publications.

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3. The Policy framework and principles
The following framework outlines the principles and minimum standards that are applicable to all
individuals fitting the scope of the Policy:

3.1. Roles and responsibilities

The Policy applies to everyone involved in research at UNSW, e.g. researchers, research trainees, staff
and consultants. This Policy provides guidance on the different types of roles involved in a research
project. A brief description of these roles follows below:
• Data Custodian: UNSW, rather than any individual or Organisational Unit, is the Custodian of
the data and materials and any information derived from the data. Original research data and
primary materials generated in the conduct of research at the University will be owned and
retained by the University subject to any contractual, statutory, ethical, and/or funding body
requirements.
• Chief Data & Insights Officer: is responsible for the overall management of the University’s
Data and Information Governance.
• Data Governance Steering Committee: is responsible for defining the overall vision and Data
and Information Governance principles, and oversees initiatives designed to result in more
effective and efficient use of data across UNSW.
• Research Data Management Committee: is the committee delegated by the Data Governance
Steering Committee for the governance of research data at UNSW.
• UNSW IT: is responsible for establishing and maintaining secure locations to store research
data.
• Research Data Owners: are typically Heads of Schools, Heads of Research Institutes, Chief
Investigators or Principal Investigators and are accountable for ensuring effective local protocols
are in place to guide the appropriate use of their data and materials. They (or delegated
Research Data Stewards) are responsible for ensuring that all legal, regulatory, and policy
requirements are met in relation to the specific data and that the data and materials conform to
legal, regulatory, exchange, and operational standards.

Higher Degree Research (HDR) students are the data owner for their research data in respect of
their HDR enrolment.
The Research Data Owner must ensure that the process for the administration of data and
material is in accordance with the Research Data Management Lifecycle (refer Appendix 1).
Heads of Schools (or Chief Investigators or Principal Investigators) are responsible for ensuring
that the requirements outlined in the Policy can be implemented prior to approving a research
project, including that there is sufficient space and resource to accommodate the research data
and material.
Heads of Schools (or Chief Investigators or Principal Investigators) are responsible for
maintaining a register of the establishment and ownership of databases containing confidential
information within their school. Access to these databases must be restricted to researchers with
approved involvement in specific research projects.
Heads of Schools (or Chief Investigators or Principal Investigators) are responsible for liaising
with the Pro-Vice-Chancellor (Research Infrastructure) to ensure staff are trained on security of
data and documentation.
• Research Data Stewards: are responsible for the quality, integrity, implementation and
enforcement of data management within their research project. Every research dataset may
have one or more Data Steward (refer Appendix 2).
The Research Data Steward will classify and approve user access to the data and materials,
under delegation from a Research Data Owner, based upon the appropriateness of the User’s
role and the intended use. Where necessary, approval from the Research Data Owner may be
required prior to authorisation of access to other users.
• Research Data Creators: are people who create original research data and materials during a
research project at UNSW. This includes academics, professional and technical staff, students,
collaborators at other institutions, contractors, and consultants who participate in a research
project.
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 • Data Specialists: are subject matter experts in relation to the data and materials. They are
specialists who are responsible for providing ongoing support in respect of research data and
related systems.
• UNSW Researchers and Research Trainees: Researchers have a responsibility to keep full,
accurate and legible records of research methods, research data and primary materials
(including laboratory notebooks and electronic data) in a durable, organised and accessible
manner.

3.2. Quality and integrity

Everyone responsible for research projects at UNSW must ensure appropriate research data standards
are followed to uphold the quality and integrity of the data they create, access, manage and destroy. This
responsibility includes:
• Keeping research data and material records up-to-date throughout every stage of the research
project and in an auditable and traceable manner.
• Maintaining a catalogue of all research data and materials in an accessible form that can be
traced back to their source.
• Recording data that supports research conducted at UNSW (including electronic data) in a
durable and appropriately referenced form.
• Making research data and material related to research outputs available for discussion with
other researchers (unless confidentiality provisions apply).
• Ensuring research data and materials remain the property of UNSW, unless subject to a third-
party agreement.
• Restricting the collection of research data and materials to legitimate uses, to optimise research
outcomes and to add value to the University.
• Producing a written agreement between all relevant parties when research is carried out at
multiple organisations, which clearly specifies the principles of storage, destruction and retention
of research data and materials within each organisation.
• Ensuring any confidential data and material, including data and materials held in computing
systems, are kept appropriately secure according to any applicable privacy laws as well as the
UNSW Privacy Management Plan, which has been created to comply with the Privacy and
Personal Information Protection Act 1998 (NSW).

3.3. Storage, retention and disposal of research data

Everyone responsible for research at UNSW must ensure that research data and materials, as well as
registers of these data and materials, are kept in a format, and for a period, that conforms to the
requirements of the State Records Act 1998 (NSW), funding agencies’ or publisher guidelines, or in
accordance with discipline norms, whichever is the longer period. A table outlining minimum retention
periods for the various classes of research data is at:
https://www.recordkeeping.unsw.edu.au/documents/Retention_Periods_for_Records_relating_to_Resea
rch_November_2017.pdf.
They should also ensure that:
• Wherever possible, original research data and materials (and, where relevant, materials or
samples) are retained in the school or research unit in which they are generated. If required,
individual researchers can hold copies of the data for their own use are retained in the school or
research unit in which they are generated. If required, individual researchers can hold copies of
the data for their own use.
• Where research material is not kept within the school, a written record of the location of data is
retained by the researcher and school.
• At the end of any research project hosted by UNSW, research data and materials remain the
property of UNSW, unless subject to a third-party agreement.
• When the specified period of retention has finished, researchers fulfil their responsibility to
dispose of research data and materials in a secure and safe manner (for more details, click here)
and in accordance with the UNSW Recordkeeping Policy.

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 • Where a researcher moves from UNSW, original data and materials remain at UNSW unless a
written agreement has been reached with the researcher’s new organisation covering ownership,
use, storage and disposal of research data and materials.
• Research materials are stored and used in an appropriate Biosecurity Containment (BC) or
Physical Containment (PC) facility as required by the relevant Commonwealth and NSW
Biosecurity Acts, as well as UNSW HSE policies and procedures.
• Wherever relevant, research data and materials storage and handling adhere to the conditions of
human research ethics approvals.

3.4. Classification and security:

People working on UNSW Research Projects must refer to the Data Classification Standard and the
Data Handling Guidelines for information on classification and security requirements. To comply with
these requirements, they must:
Always use appropriate research data security measures (see the UNSW Data Classification Standard
and UNSW Data Handling Guidelines) to ensure the safety, quality and integrity of UNSW’s research
data and materials.
• Store research data in an electronic format that is protected by appropriate electronic safeguards
and/or physical access controls that restrict access only to authorised user(s), including research
data in any UNSW or external data repository (databases etc.).
• Ensure research data and materials are always accessible and available during the life of a
research project unless subject to confidentiality/security provisions. This Policy applies to data
in all formats (see Section 2 for examples).
• If research is undertaken in collaboration with other institutions, government agencies, or any
third party, ensure that a written agreement is in place to cover research data and materials
ownership, sharing, storage, accessibility, retention, and disposal.

4. Import and export of research material

People working on UNSW research projects must obtain relevant permits before shipping any research
materials that have import/export restrictions in Australia. An importation permit, together with the
appropriate packaging and labelling, will expedite the clearance of such packages through the Australian
Quarantine Inspection Service (AQIS) and release by Australian Customs. Researchers must ensure
that they meet the relevant Customs and AQIS or other requirements for the import or export of research
material (for more details, click here).

5. Data accessibility
Researchers must make available any research data and materials related to publications for discussion
with other researchers. Where confidentiality provisions apply (for example, where the researchers or the
institution have given undertakings to third parties, such as the subjects of the research), it is desirable
for researchers to keep data in a way that allows necessary third parties to reference the information
without breaching such confidentiality.

6. Failure to comply with the Policy

The Policy forms part of the UNSW Research Code of Conduct (‘the Research Code’). Non-compliance
with any of the requirements of the Policy may be considered as a breach of the Research Code or
Research Misconduct in accordance with the Research Misconduct Procedure.

7. Further assistance
Any staff member who requires assistance in understanding the Policy should first consult their nominated
supervisor who is responsible for the implementation and operation of these arrangements in their work
area. Should further assistance be needed, the staff member should contact the Contact Officer for
clarification.

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 Accountabilities
Responsible Officer Deputy Vice-Chancellor Research

Contact Officer Chief Data & Insights Officer, UNSW Planning & Performance
Pro-Vice-Chancellor (Research Infrastructure)
Supporting information
Legislative Compliance This Policy supports the University’s compliance with the following legislation:
State Records Act 1998 (NSW)

Supporting Documents Data Governance Policy

Data Classification Standard
Data Handling Guidelines
UNSW Privacy Management Plan
Research Code of Conduct

Related Documents Research Authorship and Publication Dispute Management Procedure

Cold Storage Procedure
Collibra Data Governance Centre: https://unsw.collibra.com
Conflict of Interest Disclosure and Management Policy
Information Security Management System
Insider Trading Policy
Intellectual Property Policy
IT Security Policy – Information Security Management System (ISMS)
IT Security Standards
Paid Outside Work by Academic Staff Policy
Radiation Research Safety Procedure
Recordkeeping Policy
Research Export Controls Procedure
Research Misconduct Procedure
Statement of Authorship and Location of Data Form
UNSW Register of Delegations
UNSW Risk Management Framework
Nil
Superseded Documents

File Number 2019/15967

Definitions and acronyms

Please refer to the Collibra Data Governance Centre (zID and zPass required) and search for up-to-date
definitions (https://unsw.collibra.com).
To establish operational definitions and facilitate ease of reference, the following terms are defined:

Access The right to read, copy, or query data.

Data set A term use to denote a set of research data.

Chief Data & Insights Officer

Senior officer of UNSW responsible for Data and Information Governance.
CDO

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 The representation of facts, concepts or instructions in a formalised (consistent and
agreed) manner suitable for communication, interpretation or processing by human or
automatic means. Typically comprised of numbers, words or images. The format and
presentation of data may vary with the context in which they are used.
Institutional data
Data are not Information until used in a particular context for a particular purpose.
(Office of the Australian Information Commissioner (OAIC), 2013)
Data are typically considered to be conceptually at the lowest level of abstraction.
In the context of this Policy this term includes all institutional data including research,
administrative, and learning and teaching artefacts.

Research data and materials are the original sources or material that have been
created, generated or collated in the conduct of research. They can be digital or non-
Research data and materials
digital. The response to a particular research question is based on the analysis of the
research data and material.

Research data and material may include but are not limited to:
• any data that are generated in the conduct of research
• clinical records of treatments and test results
• annotated bibliographies and readings
• records of interviews in the form of notes, audio or video recordings
• audiotapes, videotapes
• collection of digital objects acquired and generated during the process of research
• contents of an application (e.g. input, output, logfiles for analysis software,
simulation software, schemas)
• curated data from other research projects
• database contents (video, audio, text, images)
• design portfolios, mock-ups
• documentation of the research journey
• documents (text, Word), spreadsheets
• drafts of music scores
• experimental results and the contents of laboratory notebooks, field notebooks,
Examples of research data diaries
• human/animal materials (e.g. slides, artefacts, specimens, samples)
• images or visualisations
• metadata
• methodologies and workflows
• models, algorithms, scripts
• photographs, films
• protein or genetic sequences
• questionnaires, transcripts, codebooks
• references stored in management software (e.g. Zotero, Mendeley, Endnote)
• responses to surveys or questionnaires
• numerical or graphic results obtained as the output of simulations, modelling or any
other software or as the result of analysis of experimental results
• plant materials, cell/bacterial/viral samples or specimens
• spectra
• standard operating procedures and protocols
• survey and test responses

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 • any other source or primary materials, in particular where these may be necessary
to validate research results
• trade secrets, commercial information, materials necessary to be held confidential
by a researcher until they are published, or similar information that is protected
under law
• personnel and medical information and similar information the disclosure of which
would constitute a clearly unwarranted invasion of personal privacy, such as
information that could be used to identify a particular person in a research study
• any other recorded data that are of significance to research undertaken by the
University's researchers.

Research Data Creators are persons responsible for the creation of research data and
Research Data Creator
primary materials.

Data Governance Steering A University-wide committee with members consisting of Data Executives, Data
Committee Owners, Data Stewards and designated Data Users, senior academic and professional
DGSC staff members.

Data Specialist Data Specialists are subject matter experts in relation to the data or information asset.

The ISMS provides information security governance and sets out people, process and
Information Security technology related controls to assure the confidentiality, integrity and availability of all
Management System UNSW data. The ISMS is a response to UNSW data classification and data handling
ISMS requirements. Moreover, the deployment and measurement of ISMS controls provides
input into the risk management process enabling informed business decisions.

Integrity or data integrity Refers to the accuracy and consistency of data over their entire lifecycle.

Management Board (MB) The senior executive team of the University.

Record Any recorded information made or received by a staff member of the university in the
course of undertaking their duties. Records are evidence or information about
University activities. They exist in any format.

Is responsible for providing consultation and input in relation to research data

Research Data Management
governance, data quality, and research data and materials management activities
Committee
across UNSW.

Research Data Management Refers to the process for planning, creating, managing, storing, implementing,
Lifecycle protecting, improving and disposing of all research data across the University.

Accountable for research data and materials including, but not limited to: the collection,
development, maintenance, distribution and security of research data and materials.
Research Data Owner
Research Data Owners are expected to have high-level knowledge and expertise in the
content of data and materials within their responsible area.

Every research data set may have one or more Research Data Steward, who are
Research Data Steward accountable for the quality and integrity, implementation and enforcement of data
management within their research project.

Any staff member, contractor, consultant, third party or authorised agent who accesses,
inputs, amends, deletes, extracts or analyses research data. Data Users are not
Research Data User
generally involved in the governance process but are responsible for the quality
assurance of data.

Refers to the safety of University data in relation to the following criteria:

Security Access control; Authentication; Effective incident detection, reporting and solution;
Physical and virtual security; and change management and version control.

Revision History
Version Approved by Approval date Effective date Sections modified

1.0 President and Vice- 18 April 2019 18 April 2019 This is a new Policy
Chancellor
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APPENDIX 1 – RESEARCH DATA MANAGEMENT LIFECYCLE

The Research Data Management Lifecycle refers to the process for planning, creating, managing,
storing, implementing, protecting, improving and disposing of all institutional research data of UNSW.

Figure 1.0 – Research Data Management Lifecycle

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APPENDIX 2 – RESEARCH DATA GOVERNANCE ROLES AND RESPONSIBILITIES

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