Apply to Human Research Ethics Committee

• Introduction
• Application Procedure  
• NEAF - who's who?
• Lodging Your Application
• The Progress of Your Application
• Core Attachments
• Checklist for Application

Introduction

All research involving human participants carried out by staff or students at the University of Western Sydney undergoes ethical review. The University offers full Human Research Ethics Committee (HREC) review of research in the low risk and high risk categories. The University offers expedited review of research in the negligible risk category. Researchers carrying out consultancy or short term contract research should contact the Human Ethics Officer for advice regarding expedited review.

How to avoid common problems and delays with research ethics applications (PDF, 26Kb).

The information provided on this web page is intended to assist in the process of application for ethics approval from the HREC.

Committee members on the UWS HREC Executive are:

HREC Chair: Dr Janette Perz
HREC Deputy Chair: Professor Ian Wilson and Dr Susanne Gannon (Acting)
HREC Executive Officer: Ms Kay Buckley

Applicants must not contact Committee members directly. All communication with HREC will be via the Executive Officer.

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Application Procedure

UWS uses the National Ethics Application Form (NEAF) developed by the ARC, NHMRC and AVCC (now Universities Australia) which is available at the NEAF website.

NEAF is a dynamic, interactive web-based software application tool on a secure server. Once you have established a user account, you will be able to generate multiple proposals, invite other readers or writers to interact with your application, distribute the application to multiple HRECs and save the proposal in a number of formats. There is a business hours helpdesk and email assistance for all NEAF users.

As always, answers to each question are best expressed in plain English.

Signatures

All applicants' signatures are required on the original copy of the NEAF that is sent by mail or delivered by hand to the Human Ethics Officer. UWS only requires signatures of all chief investigators.  The NEAF signature page includes space for a number of school/department signatures which are not required at UWS.  It is suggested that applicants retain a physical copy of the signed NEAF, in case the original goes astray in the mail.

NEAF requires that student and higher degree research candidate applications are submitted by the student or candidate's supervisor. 

The HREC is unable to review incomplete applications.  Please ensure that all questions have been responded to and all support documents are included.

Higher degree candidates must have completed their Confirmation of Candidature before submitting an application.

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Who’s who in the National Ethics Application Form (NEAF)?

*The HDR is PR 1 reflecting that their project will be a discrete component of the grant, forming the HDR thesis and will be owned in copyright and IP terms by the candidate, unless a formal agreement has otherwise been made by the University through Legal Counsel.

Filling in the Form

Prior to filling in the NEAF both the supervisor and the candidate must establish a NEAF user account and complete the ‘My Details’ section.

When you invite other NEAF users to read or edit the proposal – beware – no tracked changes so you can’t see what they’ve done – make a copy first.

Principal Supervisor is required to sign off on the application, endorsing the accuracy and quality of the research proposal described in the proposal and the processes put in place to manage ethical issues.  

Honours/Masters Coursework and HDR Candidates should ensure they tick ‘student’ in the application. This process will bring up the sections to be completed by the principal and other supervisors.

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Lodging your application

There are different pathways for lodgement of your ethics application depending on whether you are a student or academic and whether your research is funded or not. 

Funded staff projects and higher degree research candidate projects are submitted directly to the Human Ethics Officer.

Unfunded staff projects, postgraduate course work and Honours student projects are submitted in the first instance to the relevant Peer Review Committee for review of research merit and integrity. The Peer Review Committee will forward approve applications on your behalf to the Human Ethics Officer for ethical review.

Read through the following to determine where to send your ethics application.

1. Staff

Your research is funded (internal or external).

• Save the NEAF application as a pdf document using the chief investigator's surname to identify the document.
• Send soft copy of NEAF and all core attachments to Human Ethics Email.
• Forward original signed by all chief investigators either by mail or by hand-delivery to the Human Ethics Officer.

Your research is unfunded (including research related to teaching activities that may be published in the future).

• Save the NEAF application as a pdf document using the chief investigator's surname to identify the document.
• Send soft copy of NEAF and all core attachments to the relevant Peer Review Committee. The PRC will forward the NEAF to the Ethics Officer after they have reviewed the application for research merit and integrity.

2. Students

If you are a higher degree research candidate (PhD, Master Honours, Professional Doctorate).

• Save the NEAF application as a pdf document using your Supervisor's surname to identify the document.
• Send soft copy of NEAF and all core attachments to Human Ethics Email, including the confirmation of candidature document.
• Forward original signed by all chief investigators, including candidate, either by mail or by hand-delivery, to the Human Ethics Officer. Supervisor must submit the application.

If you are a postgraduate coursework or 4th year Honours student.

• Save the NEAF application as a pdf document using the Supervisor's surname to identify the document.
• Send soft copy of NEAF and all core attachments to the relevant Peer Review Committee. Your supervisor must submit the application.

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The Progress of Your Application

The Human Ethics Flowchart (PDF, 24Kb) sets out the assessment process for Human Ethics Applications.  There are no closing dates, allowing applicants to submit applications at any time throughout the year. Applications are processed upon receipt by the Office of Research Services. 

The nature of the project and an assessment of the risk of harm to participants will determine if the application undergoes expedited review (weekly) or will be considered by the full Human Research Ethics Committee (monthly).

Negligible Risk (Research in which the only foreseeable risk is one of discomfort) – Where a project involves negligible risk, it will be considered by the Executive Committee of the Human Research Ethics Committee.  The estimated time for the Executive Committee's decision to be communicated to the applicant is within two weeks of the committee meeting, if there are no amendments or issues to be resolved.

Low and High Risk - Where projects involve low or high risk, they will be considered by the full Human Research Ethics Committee.  The full HREC meets on the third Monday of the month from February until November each year.  While there are no closing dates for the submission of applications, there are internal closing dates to finalise agenda papers for committee meetings. This closing date is three weeks before the promulgated meeting date.  The estimated time for the full HREC decision to be communicated to the applicant is of course dependent upon the time of submission.  If an application is received before the HREC closing date and there are no amendments or issues to be resolved, a researcher can expect to hear the outcome of their ethics application within one week of the HREC monthly meeting.

Applications tabled to either the full HREC or the HREC Executive cannot be accepted – they must be submitted through the Human Ethics Officer for registration on the University’s research management database for inclusion on the next HREC or Executive meeting agenda.

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Core Attachments

There may be a number of core attachments in addition to the NEAF application form that will be needed to complete your human ethics application.  These core attachments may include an information statement and consent form, a questionnaire, and/or interview schedule.

The following guidelines will be of assistance in developing these core attachments:

• Compliance with NSW Privacy Legislation (Word, 75Kb)
• Consent Form Proforma (General) (PDF, 561Kb) 
• Consent Form Proforma (Parent or Care-Giver) (PDF, 562) 
• Dialogue Sheet Proforma (PDF, 560Kb).  
• Guidelines for Clinical Trials (Word, 70Kb)   
• Information Sheet Proforma (General) (PDF, 565Kb) 
• Information Sheet Proforma (Medical) (PDF, 565Kb) 
• Information Sheet Proforma (Parent or Care-Giver) (PDF, 566Kb)

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Checklist for Application

Have you included?

• NSW Privacy Legislation compliance - all applicants
• Consent Forms, Dialogue Sheets - if applicable  
• Information Sheet/s - if applicable  
• Questionnaire/Survey Instrument/s, Interview questions - if applicable  
• Cover sheet to submit external institutions’ HREC approval - if applicable  
• Confirmation of candidature documentation  - all HDR  candidates

For applications to be submitted directly to the Ethics Officer, have you?

• Emailed – a copy of the NEAF Form and the required attachments to the Human Ethics Officer via humanethics@uws.edu.au; and
• Mailed the original signed paper copy of the NEAF with all the required attachments to the Human Ethics Officer in the Office of Research Services

For applications to be submitted to the College, have you?

• Emailed – a copy of the NEAF and required attachments to the relevant peer Review Committee; and
• Mailed – the original signed paper copy of the NEAF with all the required to the relevant Peer Review Committee, Executive Officer 

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