- Human research ethics
- Research integrity
- Animal research ethics
- Gene tech and biosafety
- Defence export controls
- Research computing and data
- Research grants
- HDR forms and policies
UOW and External Entities Forms
- Attachment List: All submissions with attachments
- UOW Application Form Part 1
- UOW Application Form Part 2 (RDMP)
- NHMRC HREA: Please do not use this form if submitting via REGIS. Please check with the Ethics Office at uow-humanethics@uow.edu.au before using this form.
- Cadavers & Human Tissue Application Form: New application
- Response to Review Template: Complete when responding to an HREC review
- Additional researcher declaration: Adding investigators, not needed with new applications
- Progress Report: Renewal of approval
- Final Report: Research completed
- UOW Research Protocol Application Template: Only for use where UOW Application Form is unsuitable. Please consult the Human Ethics team prior to use.
- Privacy Waiver Request: Complete when applying to access identifiable data without consent. Must be completed in addition to the application form. Requests for waivers must be reviewed by the full HREC
- Participant Information Sheet and Consent Form Checklist
Examples of appropriate Participant Information Sheet (PIS) and Consent Form documents are available here on our UOW Guidelines on Ethical Research page. Checklist guides for what to include in your PIS and Consent Form are also available at the link above, however no ‘template’ exists – they are different for every study.
Forms for Use with Applications through NSW Health System
- ISLHD Protocol Template: For new applications involving ISLHD. For research involving a clinical intervention a protocol must be uploaded as part of the application. The application form itself is created in the online portal, REGIS.
- UOW head of unit signoff: NSW Health applications, needed if there are UOW staff or students involved
IRMA
- Login to IRMA
- Request access to IRMA for UOW students
- Request access to IRMA for ISLHD staff and external parties
- Request access to IRMA for UOW Staff
- Attachment List: All submissions with attachments
UOW Policies and Procedure
- HREC Terms of Reference
- HREC Standard Operating Procedure
- UOW Research Policies
- Training: As of 26 August 2019 all UOW staff and students who are investigators on research projects involving human participants are required to have completed training in human research ethics. Evidence of completion of training must be included with applications submitted to the HREC.
- Complaints
- Fees: No fees are charged for the review of standard applications involving UOW or ISLHD. The HREC charges fees for the review of research by external parties and clinical trials in accordance with NSW Ministry of Health Policy. The details of who to invoice for the review should be included in the application.
The fees contribute to the cost of the administration of the HREC, defrayment of costs incurred by non-institutional Committee members in participating in the HREC, and towards the cost of training the members of the HREC.
Application type | Fee |
---|---|
Application for clinical trial with full industry sponsorship | $3300 |
Application for clinical trial with sponsorship from collaborative groups | $150 |
Amendments to trials with full industry sponsorship* | $550 |
Addition of sub-studies to trials with full industry sponsorship^ | $1665 |
Application for research for private or commercial purposes | $950 |
* Amendments include any changes to the protocol excluding minor administrative changes.
^ Sub-studies will be reviewed and the fee determined on a case-by-case basis. The HREC may request that the sub-study be submitted as a new application and charge the full fee.
NSW Health policies and procedures
- NSW Ministry of Health: For applications involving NSW Health researchers, data or sites.
- Aboriginal Health & Medical Research Council of NSW: Research involving Aboriginal and Torres Strait Islanders
- Health: Justice Health and Forensic Mental Health Network: Human research projects undertaken with people in the correctional environment in NSW
- ISLHD Information for Researchers: For information about ISLHD governance processes
UOW Research Integrity related policies, procedures and guidelines for staff and students
(A full list of research related policies, procedures and guidelines can be found in the policy directory.)
- Code of Practice – Responsible Conduct of Research
- Research Integrity and Conduct Policy: Breaches, Concerns and Complaints
- Authorship Policy
- Authorship Acknowledgement Form
- Higher Degree Research (HDR) Supervision and Resources Policy
- Intellectual Property Policy
- Research Data Management Policy
- Conflict of Interest Policy
- Open Access Policy
- Work, Health and Safety Policy
- Research Collaboration & Sponsorship Policy
- Predatory Publishing and Conferences Guideline
UOW Research Integrity related forms
- Authorship Acknowledgement Form
- Research Integrity Advisor Role Statement and Expression of Interest Form
External regulations, guidelines and policies
- Australian Code for the Responsible Conduct of Research (2018)
- Guide to Managing and Investigating Potential Breaches of the Australian Code for the Responsible Conduct of Research
- Guide to Authorship supporting the Australian Code for the Responsible Conduct of Research
- Guide to the Management of Data in Information and Research supporting the Australian Code for the Responsible Conduct of Research
- Peer review
- Disclosure of interests and management of conflicts of interest
- Supervision
- Collaborative research
- Publication and dissemination of research
- Research Integrity Advisors Guide
- ARC Research Integrity and Research Misconduct Policy
- NHMRC Policy on Misconduct Related to NHMRC Funding
- Australian Research Integrity Committee
- Australian Code for the Care and Use of Animals for Scientific Purposes 8th Edition (2013)
- AIATSIS Code of Ethics for Aboriginal and Torres Strait Islander Research (the AIATSIS Code)
- National Statement on Ethical Conduct in Human Research 2007 (Updated 2018)
- Singapore Statement (2010) on Research Integrity
- Hong Kong Principles (2019) for Research Integrity
Other UOW Research Integrity Resources and Links
UOW AEC Animal Research and Teaching applications
- Animal ethics application user manual
- Experimental detail supplementary document
- Personnel expertise
- Volunteers list
- Animal Research Useful links and resources
- Ethics access request form - student
- Ethics access request form - external
- Ethics access request form - staff
- Animal ethics online application form
UOW AEC forms
- Amendment to Project Request Form
- Amendment to Personnel Form
- Annual Report for Protocols Undertaking Lethality Testing
- Annual/final report to Animal Ethics committee
- Researcher training competency record
- Standard Operating Procedure template (DOCX)
- Volunteer training competency record
- New Species Application Form
- Unexpected Adverse Event Report Form
UOW AEC Policy and guidelines
- Animal Ethics Committee: operating procedures
- Animal Ethics Committee: terms of reference
- Animal Ethics Committee position statement on the use of Intraperitoneal injections
- Collaboration with other institutes (animal procedures)
- Interstate and International research*
- UOW Animal Research Training Guidelines
- Animal Ethics Committee animal Suppliers licence/ new species application*
- UOW ethical or religious objection by students to the use of animal products in coursework subjects policy
- UOW Scheduled drugs and poisons guidelines
- UOW Carcinogenic chemicals guidelines
- Use of Freund’s Adjuvant – General Principles*
- Animal handling policy*
- Fieldwork monitoring policy*
- Rehoming of animals usd in research guidelines*
*Documents to be uploaded soon. If you need access to these asap please email
External Regulations, guidelines and policy
- Australian code for the care and use of animals for scientific purposes
- A guide to the care and use of Australian native mammals in research and teaching
- Best practice methodology in the use of animals for scientific purposes
- NSW Animal Research Act
- Animal Research Regulation 2010
- NSW Animal Research Review Panel Policies and Guidelines
- Guidelines to promote the wellbeing of animals used for scientific purposes
- Genetically modified and cloned animals
- Information paper: The implementation of the 3Rs in Australia
- The ARRIVE (Animal Research: Reporting of In Vivo Experiments) guidelines
- The PREPARE guidelines for planning animal research and testing
UOW resources and links
Animal Research Authority (ARA)
All research involving animals requires an Animal Research Authority to be issued by the Animal Ethics Committee. Conducting any activities for the purpose of research, training or teaching without first applying for and receiving an ARA is a breach of the Australian Code for the Care and Use of Animal for Scientific purposes as well as the NSW Animal Research Act.
How to apply for an animal research authority (ARA)
The process of preparing a submission to the AEC to gain approval for research or teaching activities that involve animals can be quite a daunting and time consuming task. Completing your UoW new researcher , refresher, or supervisor training prior to completing the application will ensure that you have the skills available to complete the application as per the UoW AEC requirements. Please visit the training page for information on how to access this training.
Overview of the AEC application process
Making changes to your project after approval – The amendment process
From time to time it may be necessary for you to make changes to your project after it has been approved. This could range from simple things like adding or removing investigators to more complex things like adding procedures, changing location, requesting additional animals, changing dose rates or methods of administration of substances.
It is important to understand that ALL changes to a project MUST be approved by the AEC prior the the changes being implemented. Failure to do so puts you in breach of your animal ethics approval and could result in withdrawal of your project approval or in some cases criminal charges.
An overview of the Amendment process is available here
Unexpected and adverse events
Occasionally things don’t go as planned when you are undertaking your research project. This could be due to factors outside your control such as storms, fires etc or failure of power supply to vital equipment that has an impact on the welfare of your research animals. It could also involve injury or death of animals. In all cases where something unexpected happens that has an adverse impact on the welfare of research animals formal notification is required. In the first instance the animal welfare officer must be notified immediately, followed by an email to the animal ethics officer uow-animalethics@uow.edu.au within 48 hours and a written report within 10 days of the incident. These written reports are circulated to the AEC members. Depending on the cause and severity of the incident projects may continue, be temporarily suspended whilst an investigation is undertaken, modified to prevent further incident or cancelled.
Annual reporting requirements
All approved animal research projects are required to submit an annual progress report to the UoW Animal ethics committee. The annual progress report provides the AEC with information about the progress of the project throughout the calendar year, summarises any unexpected or adverse events, and reports on any amendments or refinements made to the project. In addition the annual and cumulative animal numbers are reported in the annual report. These numbers , along with other information are submitted to the DPI in the University report to the Department of Primary Industries in March each year. Annual reports are due in mid January each year and report on the previous calendar year. When Annual reports are submitted they are reviewed by the research service office to ensure accuracy and completion prior to be placed on the AEC agenda. Once approved by the AEC a new Animal Research Authority (ARA) is issued. If the AEC is unhappy with the progress of the project or contents of the report the ARA may be delayed and research may not be conducted until any issues are resolved and a new ARA issued.
These change from year to year and are generally updated in Sept/October each year.
External resources & links
Exempt Dealing
NLRD (Notifiable Low Risk Dealing)
- Notification of NLRD Form (Word file)
Information on what constitutes a NLRD
Licenced Dealing
- Application for DNIR Licence (Dealing not involving an intentional release of a GMO into the environment)
- Information on What Constitutes a Licenced Dealing
Making changes to a Protocol
Application for Storage
Biosafety
Annual and Final Report
UOW Documents
- Defence Trade Controls Guideline
- DTCA Permit Researcher Self-Assessment Flowchart
- DTCA Permit Information Form
- DTCA Permit Variation Form
- Autonomous Sanctions Procedure
- Code of Practice – Responsible Conduct of Research
Government Legislation
- Defence Trade Controls Act 2012
- Defence and Strategic Goods List
- Customs Act 1901
- Customs (Prohibited Exports) Regulations 1958 - Regulation 13E
- Weapons of Mass Destruction (Prevention of Proliferation) Act 1995
- Military End-Use Provisions (Section 112BA)
- Charter of the United Nations Act 1945
- Autonomous Sanctions Act 2011
- Trade with the USA
* Note this is not a definitive list, other legislative considerations can be found on the Defence Export Controls website.
Timelines
Permit applications usually take 15 working days for the Defence Export Controls Office (DECO) to process once they receive the documentation from UOW. In the event that information is missing, a specialist assessment or additional information is required by the DECO, this could extend the time up to 35 working days. In these cases we will be in contact with you.
Plan your project and don’t leave your permit until the last minute. The Research Integrity Officer is here to assist you and will be the single point of contact with the DEC throughout this process unless otherwise advised.
For more information visit: www.defence.gov.au/exportcontrols
UOW specific data management policies
- Research Data Management Plan Template
- Research Data Management Policy
- Research Data Management Guidelines
- UOW IT Policy- Management & Storage
- Authorship Policy
- Code of Practice - Research
- Copyright Policy
- IP Intellectual Property Policy
- Open Access Policy
- Cyber Security Policy
- Privacy Policy
- Records Management Policy
National & State guidelines
- National Principles of Intellectual Property Management for Publicly Funded Research
- State Records Act, 1998 (NSW)
- General Retention and Disposal Authority - University Records (2005)
- Copyright Act, 1968 (Commonwealth)
- Privacy Act, 1998 (Commonwealth)
- Australian Code for the Responsible Conduct of Research (2007)
- National Statement on Ethical Conduct in Human Research (2007)
External Research Grants Submission Form
Approval is required for all UOW and affiliated staff seeking funding from an external agency.
The completed “External Research Grant Submission Form” MUST be signed by all investigators and submitted with a copy of the grant guidelines and draft application to the appropriate Head of School for approval. Once the Head of School has approved, that approval email, grant guidelines and draft application is to be submitted for Associate Dean (Research) approval via research-operations@uow.edu.au. Once all approvals from appropriate delegates have been obtained this form and relevant documentation will be submitted to the Research Grants Team via research-grants@uow.edu.au
Completion of this process will ensure that applicants undertaking such research are covered by the appropriate insurances and indemnities.
This form must be completed for all research proposals for external funding, including applications being submitted through other institutions, that is, where UOW is not the lead institution.
Please Note: unless otherwise specified, external grant applications should be submitted for approval at least four weeks prior to the external closing date for applications. All approvals are to be obtained two weeks prior to the external closing date for applications.
- External Research Grants Submission Form (.doc)
- IHMRI Facilities Form (required for all IHMRI associated CI’s) (.doc)
Questions on external research grants can be directed to research-grants@uow.edu.au
Questions on Faculty approvals can be directed to research-operations@uow.edu.au
Funding codes
Please note that the codes (FoR, SEO and ToA) have been revised, for further information see transitioning to the new codes.
When completing your funding application you may be requested to nominate Field of Research (FoR) codes and Socio-economic Objective Classification (SEO) codes to categorise your research. These codes are used in official statistics to analyse the nature of R&D undertaken in Australia. The classifications are used in conjunction with industrial and institutional sector classifications to produce a set of official statistics which support a variety of user interests.
Field of Research (FoR)
This classification allows both R&D activity and other activity within the higher education sector to be categorised. It allows R&D activity to be categorised according to the field of research undertaken. In this respect, it is the nature of the R&D which is being examined.
Socio-economic Objective Classification (SEO)
This classification allows R&D to be categorised according to the purpose of the R&D as perceived by the data provider (researcher). It consists of discrete economic, social, technological or scientific domains for identifying the principal purpose of the R&D. The attributes applied to the design of the SEO Classification comprise a combination of processes, products, health, education and other social and environmental aspects of particular interest.
New FOR and SEO codes can be found here
UOW Research Co-Investment Guidelines
Research Co-Investment is the practice of providing guaranteed cash contributions from the annual UOW Research Block Grant (RBG) to support proposals to competitive external research grant funding schemes. Cash Co-Investments can support a range of research activities, most commonly project costs, research personnel salaries, fellowship salary shortfalls, HDR scholarships, and equipment costs.
UOW has recently introduced a set of Research Co-Investment Guidelines which provide a consistent, equitable, transparent and efficient approach for decision making and communication regarding Co-Investment. The Guidelines support decision makers to balance strategic grant support with other demands on the RBG income stream to determine the best investment of UOW’s RBG income.
The following types of external grant and fellowship applications are covered under the Guidelines:
- Major research investments
- Fellowship schemes incurring salary shortfalls
- Equipment and infrastructure grant schemes
- Significant project grant schemes and project costs support for fellowship schemes
- Other strategically important funding bids
UOW’s capacity to approve Co-Investment requests, and the amount of support available, will vary year by year based on annual RBG income earned, as well as existing commitments and other strategic demands on RBG funding
Full details of Co-Investment limits and calculations for each eligible category of external grant or fellowship are provided in the Appendices to the Guidelines, and will be reviewed annually and adjusted where required.
Scheme timeline | Request due to Co-Investment Delegate | Outcome expected |
All recurring schemes (e.g. ARC and NHMRC annual rounds) | By the advertised NOTICE OF INTENT DUE DATE (generally no less than THREE MONTHS prior to the external funding agency deadline), to allow a timely and well-considered response. | No less than ONE MONTH prior to the scheme deadline, to allow timely development of the grant proposal and budget. |
One-off schemes and/or schemes with short external funding agency timelines | No less than FOUR WEEKS prior to the scheme deadline (or as soon as possible for schemes with short timelines).Except where scheme timelines are too short, requests for Centrally-funded Co-Investment received less than four weeks from the external deadline are very unlikely to be considered. | No less than TWO WEEKS prior to the scheme deadline. |
Infrastructure Levy
For grants from funding bodies that are not on the Australian Competitive Grants Register, a UOW Infrastructure Levy will apply to the application, as these grants do not attract any government funding for infrastructure.
Levies collected on grants assist faculties to cover infrastructure costs for staff who undertake these projects and contribute to the cost of strategic research development undertaken at an institutional level.
For more information regarding the Infrastructure Levy and requests for amendments or waiver, contact your Faculty Research Manager.
Policies and guidelines
- ARC Medical Research Policy
- NHMRC Australian Code for the Responsible Conduct of Research
- UOW Code of Practice - Responsible Conduct of Research
- UOW Intellectual Property Policy
- UOW Delegations of Authority Policy
- UOW Use of the University Name Policy
Forms and resources
External
Internal
- Researcher Toolkit (UOW staff only)
- Research personnel costing estimates
- Personnel calculation spreadsheet
- Academic personnel grant budget rates (2021-2028)
- Research assistant grant budget rates non-casual (2021 - 2028)
- Research assistant grant budget rates casual (2021 - 2028)
- Actual UOW salaries - HR services (UOW staff only)
- UOW Statistical Consulting Service
- Research grant workshops - registration (UOW staff only)
- Research presentations (UOW staff only)
Australian Research Council
- ARC grants calendar
- ARC funding rules and grant guidelines (Discovery Programs)
- ARC funding rules and grant guidelines (Linkage Programs)
- Application information and documentation (all programs)
- Research Management System (RMS)
Rules
Candidature
Policies
Forms
- Application for Credit for Prior Learning
- Application for Leave of Absence
- Course Transfer
- Application for Project Support
- Application for Late Withdrawal without Academic Penalty
Academic integrity
- Academic Integrity & Plagiarism
- Research Integrity and Conduct Policy: Breaches, Concerns and Complaints
- Rules for Student Conduct and Discipline
Fees
HDR complaints
- Academic Complaints Policy (for HDR students)
Progress and probation
- HDR Progress Guidelines
- Probation - Process Flowchart
- Probation - Guidelines for a Probationary Supervisor
- Probation - Forms for a Probationary Supervisor
- HDR Candidate Contingency Planning
Scholarship
Policies
Forms
- Domestic Postgraduate Tuition Award Application
- International Postgraduate Tuition Award Application
- HDR Scholarship Form for Faculty Scholarships
Supervision
Policies and information
- Head of Postgraduate Studies - Outline of Duties
- Higher Degree Research Supervision and Resources Policy
- Higher Degree Research (HDR) Study by Distance Learning Guidelines
- Joint Doctoral Policy
- Visiting & Honorary Fellows Policy
Forms
- First Interview Checklist
- Change of Supervisor Form
- Commencement of Candidature
- HDR Scholarship Approval Forms
- Probation Reports
- Research Proposal Review (RPR) Form- PhD
- Research Proposal Review (RPR) Form- MPhil
Thesis
Policies and guidelines
Forms
- Agreement for the Deposit of HDR Thesis in Digital Repository
- Head of Postgraduate Studies - Thesis Reporting Form (PhD & MPhil)
- Head of Postgraduate Studies - Thesis Reporting Form (MRes)
- Nomination of Examiner Form
- Online HDR Thesis Submission
- Research Career Launch Scholarship Form
Student statements and letters
To request the letters listed below you will need to login to SOLS.
- Change Enrolment Status -Domestic
- Completion Letter
- Graduation Invitation for Overseas Guests
- Statement of Status - Enrolment
- Statement of Status - Scholarship
- Statement of Status - Thesis Examination
- Withdrawal of Course - Domestic
- Withdrawal of Course - International