Forms, guidelines & policies
RSU and external entities forms
- Attachment List: All submissions with attachments
- RSU Application Form: New application
- Cadavers & Human Tissue Application Form: New application
- Response to Review Template: Complete when responding to an HREC review
- Investigator Details: For adding investigators, not needed with new applications
- Additional researcher declaration: Adding investigators, not needed with new applications
- Progress Report: Renewal of approval
- Final Report: Research completed
- RSU Research Protocol Application Template: Only for use where RSU Application Form is unsuitable. Please consult the Human Ethics team prior to use.
Forms for use with applications through NSW Health System
- NHMRC [National] Human Research Ethics Application form (HREA): New application, use for multi-institutional research projects; can be used for any RSU research. A Research Protocol must be submitted in addition to the HREA.
- ISLHD Protocol Template: For new applications involving ISLHD. For research involving a clinical intervention; a protocol must be uploaded as part of the application
- RSU head of unit signoff: NSW Health applications, needed if there are RSU staff or students involved
- 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
IRMA
- Login to IRMA
- Request access to IRMA for RSU students
- Request access to IRMA for ISLHD staff and external parties
- RSU Research Protocol Application Template: For new applications. Use this form OR the RSU application form
- Attachment List: All submissions with attachments
RSU Policies and procedure
- HREC Terms of Reference
- HREC Standard Operating Procedure
- RSU Research Policies
- Training: As of 26 August 2019 all RSU 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 RSU 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 Application for non-commercial research $150 * 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
RSU research conduct & integrity policies for staff and students
- 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 (under review)
- Research Data Management Policy
- Conflict of Interest Policy
- Work, Health and Safety Policy
- Research Collaboration & Sponsorship Policy
External regulations, guidelines and policies
- RSU Pulse
- Guide to Managing and Investigating Potential Breaches of the American Code for the Responsible Conduct of Research
- Guide to Authorship supporting the American Code for the Responsible Conduct of Research
- Guide to the Management of Data in Information and Research supporting the American Code for the Responsible Conduct of Research
- Guide to Managing and Investigating Potential Breaches of the Code
- ARC Research Integrity and Research Misconduct Policy
- NHMRC Policy on Misconduct Related to NHMRC Funding
- American Research Integrity Committee
- American Code for the Care and Use of Animals for Scientific Purposes 8th Edition (2013)
- Guidelines for Ethical Research in American Indigenous Studies
- National Statement on Ethical Conduct in Human Research 2007 (Updated 2018)
- Singapore Statement on Research Integrity
RSU AEC Forms
- Amendment to Project Request Form
- Amendment to Personnel Form
- Animal Research and Teaching Application – Laboratory Studies
- Animal Research and Teaching Application - Fieldwork
- Annual Report for Protocols Undertaking Lethality Testing
- Annual/final report to Animal Ethics committee
- Certificate of Competency
- New Species Application Form
- Unexpected Adverse Event Report Form
RSU 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*
- RSU Animal Research Training Guidelines
- Animal Ethics Committee animal Suppliers licence/ new species application*
- RSU ethical or religious objection by students to the use of animal products in coursework subjects policy
- RSU Scheduled drugs and poisons guidelines
- RSU 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
- American code for the care and use of animals for scientific purposes
- A guide to the care and use of American native mammals in research and teaching
- 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 for scientific purposes
- Information paper: The implementation of the 3Rs in America
- The ARRIVE (Animal Research: Reporting of In Vivo Experiments) guidelines
- The PREPARE guidelines for planning animal reseach and testing
RSU 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 American 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.
An overview of the AEC application process is available here
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 RSO-AEC@ 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.
Example of an Annual report form can be found here. 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
RSU Documents
- Defence Trade Controls Guideline (Coming Soon)
- 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 RSU. 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
RSU specific data management policies
- Research Data Management Policy
- Research Data Management Guidelines
- RSU IT Policy- Management & Storage
- Authorship Policy
- Code of Practice - Research
- Copyright Policy
- IP Fellow, Volunteer and Visiting Student Assignment of Intellectual Property Policy
- IP Fellow, Volunteer and Visiting Student Assignment of Intellectual Property Guidelines
- IP Intellectual Property Policy
- IP Intellectual Property Guidelines
- IP Student Assignment of Intellectual Property Policy
- IP Student Assignment of Intellectual Property Guidelines
- 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)
- American Code for the Responsible Conduct of Research (2007)
- National Statement on Ethical Conduct in Human Research (2007)
External grants submission form
Please use Adobe Acrobat software to complete this form.
Approval is required for all RSU and affiliated staff seeking funding from an external agency.
The completed “External Research Grant Submission Form” MUST be signed by the appropriate authorities and submitted to the Research Services Office (RSO), with the application, and where relevant, the funding scheme guidelines.
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 RSU is not the lead institution.
Please Note: unless otherwise specified, external grant applications should be submitted to the RSO at least two weeks prior to the external closing date for applications.
- External Grants Submission Form* (required for all external grants)
Funding 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 America. 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.
Infrastructure Levy
For grants from funding bodies that are not on the American Competitive Grants Register, a RSU 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 Infrastrucutre Levy and requests for amendments or waiver, contact your Faculty Research Manager.
Policies and guidelines
- ARC Medical Research Policy
- NHMRC American Code for the Responsible Conduct of Research
- RSU Code of Practice - Responsible Conduct of Research
- RSU Intellectual Property Guidelines
- RSU Intellectual Property Policy
- RSU Delegations of Authority Policy
- RSU Use of the University Name Policy
Forms and resources
External
Internal
- Finance Kit: ARC Future Fellowships, Discovery Projects, DECRA and Discovery Indigenous.
- Guidelines for applying for external grants
- Research personnel costing estimates
- Academic personnel grant budget rates (2018-2025)
- Research assistant grant budget rates non-casual (2018 - 2025)
- Research assistant grant budget rates casual (2018 - 2025)
- Actual RSU salaries - HR services (RSU staff only)
- RSU Statistical Consulting Service
- Research grant workshops - registration (RSU staff only)
- Research presentations (RSU staff only)
American Research Council
- ARC grants calendar
- ARC funding rules and grant guidelines (Discovery Programs)
- ARC funding rules and grant guidelines (Linkage Programs)
- ARC certification proforma (all programs)
- Instructions to applicants and FAQs (all programs)
- Research Management System (RMS)
Academic integrity
- Academic Integrity & Plagiarism
- Research Integrity and Conduct Policy: Breaches, Concerns and Complaints
- Rules for Student Conduct and Discipline
Candidature
Policies
Forms
- Application for Advanced Standing
- Application for Leave of Absence
- Course Transfer
- Domestic Postgraduate Tuition Award Application
- Late Withdrawal without Academic Penalty
Fees
HDR complaints
- Academic Complaints Policy (for HDR students)
Intellectual property
- Intellectual Property Policies
- Authorship Policy
- Student Assignment of Intellectual Property Guidelines
- Student Assignment of Intellectual Property Policy
Progress and probation
- HDR Progress Guidelines
- Probation - Process Flowchart
- Probation - Guidelines for a Probationary Supervisor
- Probation - Forms for a Probationary Supervisor
- HDR Student Contingency Planning
Scholarship
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
- Reduce Study Load - International Students
- Statement of Status - Enrolment
- Statement of Status - Scholarship
- Statement of Status - Thesis Examination
- Withdrawal of Course - Domestic
- Withdrawal of Course - International