• Section 1 - Purpose
• Section 2 - Application and Scope
• Section 3 - Principles
• Section 4 - Due Diligence
• Section 5 - Considerations for Exclusion or Discontinuation
• Section 6 - Relationship Management
• Section 7 - Duty of Disclosure
• Section 8 - Foreign Engagements
• Section 9 - Third Party Negotiations
• Section 10 - Roles and Responsibilities
• Section 11 - Definitions

Section 1 - Purpose

(1) The purpose of this Policy is to:

1. state the University’s overall approach to the external sponsorship and collaboration of research;
2. outline the requirements for establishing and managing a research sponsorship or collaboration; and
3. specify the principles that guide the University’s decision to accept, decline and/or discontinue a research sponsorship or collaboration.

Section 2 - Application and Scope

(2) This Policy applies to all researchers engaged in any form of research activity under the auspices of the University that involves sponsored/commercial research or collaborative research.

(3) This Policy does not apply to research activities that do not involve external collaboration or sponsorship.

(4) This Policy should be read in conjunction with a range of other related policy documents, such as but not limited to: 

1. the Enterprise Risk Management Policy;
2. the Code of Practice - Responsible Conduct of Research;
3. the Conflict of Interest Policy; and
4. the Commercial Research Policy.

Section 3 - Principles

(5) The University encourages and supports external sponsorship of grants and commercial and non-commercial research activities in collaboration with third parties.

(6) The University will only enter into (or continue with) collaborative or sponsorship agreements if the activity/arrangement meets the due diligence requirements set out in section 4.

(7) The University reserves the right to decline or discontinue a research sponsorship or collaboration if it reasonably believes that the research sponsorship or collaboration:

1. is not in the University’s strategic interests;
2. creates unreasonable risks;
3. is in breach of any UOW Policy document and/or legal or regulatory requirement; or
4. does not otherwise comply with the criteria set out in sections ‘Due Diligence’ and ‘Considerations for Exclusion or Discontinuation’.

Section 4 - Due Diligence

(8) Due diligence activities must be applied:

1. prior to the establishment or any research sponsorship or collaboration; and
2. on an ongoing basis throughout the sponsorship or collaboration agreement.

(9) Ongoing due diligence activities must occur at least annually (or more frequently as risks evolve).

(10) Due diligence activities must consider:

1. strategic fit;
2. reputational risk;
3. compliance with UOW policy framework;
4. compliance with legal and regulatory framework;
5. conflicts of interest;
6. financial risks;
7. moral concerns;
8. ethics;
9. if the terms and conditions being stipulated are appropriate for the University;
10. if the research activities are covered by the University’s Insurance Policy;
11. the risks that may be associated with the third party and the research; and
12. if the research is in the University’s best interests.

(11) Due diligence activities must include:

1. an examination of the mission, purpose and activities of the organisation sponsoring the research;
2. a risk assessment using the University’s Risk Register and Assessment Template;
3. analysis of the overall aim of the research, to ensure that:
   1. it is consistent with the University’s vision and values and the University’s Risk Appetite Statement; and
   2. the University has the capacity and capability to:
      1. meet the requirements of the third party; and
      2. meet relevant domestic and international commitments and obligations;
4. consideration of the likelihood of the research results being exported or supplied to an external territory or nation as military or dual-use goods and technology; and
5. adequate information and consideration of all likely direct and indirect consequences of the research.

Section 5 - Considerations for Exclusion or Discontinuation

(12) The University will not engage in research sponsorships or collaborations that involve entities that are owned or controlled by any country or entity that is prohibited by the Australia’s Foreign Relations (State and Territory Arrangements) Act 2020.

(13) Partnerships or sponsorships from the following industries must demonstrate that the sponsorship or partnership generates genuine benefit to community and/or in the generation of knowledge to address global challenges (for example, tobacco related research that leads to a reduction in tobacco consumption and harm): 

1. alcohol production and sales;
2. tobacco production and manufacture of nicotine alternatives;
3. gambling operations, licensing of gambling products and provision of gambling related services; and/or
4. weapons manufacture of whole weapon systems or components for the exclusive use of nuclear and controversial weapons, such as cluster munitions, anti-personnel mines, depleted uranium weapons, biological or chemical weapons.

(14) The University applies the above negative screens and can apply further internal analysis to limit exposure to certain sectors and activities.

(15) Any decision by the University to decline or withdraw from a sponsored or collaborative research activity with a third party will be communicated in writing, including (if practicable and subject to any confidentiality obligations binding on the University):

1. the reason for the decision to prevent or discontinue the engagement; and
2. the sources of this information will not be disclosed.

Section 6 - Relationship Management

(16) All agreements must have an assigned Relationship Manager.

(17) The lead researcher may be the relationship manager for small collaborations/sponsorships (peer-to-peer projects).

(18) The lead researcher should not be the Relationship Manager if:

1. the collaboration/sponsorship is otherwise complex or of strategic importance (such as at an Institutional level); or
2. a conflict of interest needs to be managed.

(19) The Deputy Vice-Chancellor (Research and Innovation) (DVC-RI) is responsible for appointing/approving relationship managers at the Institutional level.

(20) See ‘Responsibilities’ section for the relationship manager responsibilities.

Section 7 - Duty of Disclosure

(21) Researchers must identify and manage risks (at proposal stage and throughout the collaboration) in accordance with the Enterprise Risk Management Policy.

(22) Any perceived or actual conflicts of interest must be declared in accordance with the Conflict of Interest Policy.

Section 8 - Foreign Engagements

(23) Researchers must ensure that legislative obligations are complied with in relation to any proposed sponsored or collaborative research activities involving foreign entities and related persons.

(24) The Deputy Vice-Chancellor (Growth and Global) must notify the Minister for Foreign Affairs and Trade of agreements and negotiations (as required by the Australia’s Foreign Relations (State and Territory Arrangements) Act 2020).

(25) Proposed sponsored or collaborative research activities that involve a researcher (or the University) agreeing to act on behalf of a foreign government, political party or related entity/person for the purpose of influencing Australian political or government outcomes, must be registered in accordance with the Foreign Influence Transparency Scheme Act 2018.

(26) Researchers should also give due consideration to the risk of foreign interference, and how any such risks can be managed, in accordance with the University’s Enterprise Risk Management Policy. Further information is available on UOW’s Foreign Engagements website.

Section 9 - Third Party Negotiations

(27) All sponsored research and collaborative research must be conducted under an appropriate contract or other legal agreement and be approved by an authorised University representative (refer to the University Delegations of Authority Policy).

(28) Researchers can commence discussions with third parties in relation to sponsorship and collaboration opportunities. However, the negotiation of any formal terms of agreement with third parties by researchers should be undertaken in collaboration with the appropriate authorised University representative, such as staff in the Research Services, Research Partnerships and Innovation, Legal Services Unit or other representatives as per the University Delegations of Authority Policy.

(29) In all negotiations with third parties, researchers should be aware that:

1. they are not able to bind the University to any agreement unless they hold the applicable delegation;
2. negotiations are subject to obtaining formal approval from the University; and
3. they can negotiate scope, timing and deliverables, however, formal terms of agreement, and any requests to enter into confidentiality or non-disclosure agreements will need to be discussed with the applicable University delegate.

Section 10 - Roles and Responsibilities

(30) The Relationship Manager is responsible for:

1. establishing the agreement/contract in compliance with this Policy;
2. managing the relationship between the sponsor/collaborator; and
3. completing ongoing due diligence activities.

(31) Researchers are responsible for ensuring compliance with this Policy. 

(32) The Research and Innovation Portfolio is responsible for:

1. the provision of training and education strategies for all researchers that may wish to partake in research in collaboration with and/or sponsored by third parties;
2. maintenance of a central register of research sponsorship/collaboration at the Institutional level.

(33) The DVC-RI is responsible for:

1. approval of sponsorship/agreements at the Institutional level;
2. approving/appointing relationship managers at the Institutional level.

Section 11 - Definitions