ANU Human Research Ethics Application Process: A Step-by-Step Guide for Projects Involving Surveys and Interviews

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At the Australian National University (ANU), every research project involving human participants — including methods that use surveys and interviews — must receive approval from the Human Research Ethics Committee (HREC) before any data is collected. Under the Human Research Ethics Policy released by ANU Research Services in 2024, any project that involves ‘interacting with human participants or collecting their personal/sensitive information’ requires an ethics application. In 2023, ANU processed more than 1,200 ethics review applications, of which about 65% involved survey or interview methods [ANU Research Services, 2024, Human Research Ethics Policy]. With the updated National Statement on Ethical Conduct in Human Research taking effect in 2025, researchers now need to pay extra attention to data management plans and participant consent mechanisms when applying. This article is a step-by-step guide, based on the official process, for students and researchers planning survey or interview projects at ANU.

Scope of Ethics Review and Exemption Criteria

Ethics review applies to all research involving human participants, including pilot studies. ANU classifies research into three tiers: exempt review, low-risk review and full review. Projects that use only anonymous surveys or interviews on non-sensitive topics may qualify for exempt review. According to Appendix A of the ANU Human Research Ethics Policy (2024), the exemption criteria are: data is fully anonymised, participants cannot be identified, and the research does not involve vulnerable groups (such as minors under 18, prisoners or people with cognitive impairment). In 2023, about 30% of ANU survey-based projects went through the exempt review pathway [ANU Research Services, 2024, Exemption Guidelines].

Low-Risk and High-Risk Classification

If a survey or interview touches on sensitive topics (such as mental health, political views or sexual behaviour), or involves vulnerable participants, it is classified as low risk or high risk. Low-risk projects (such as anonymous course feedback surveys) can be handled through ANU’s Low Risk Ethics Review (LRER) pathway, with approval usually taking 2–4 weeks. High-risk projects (such as interviews with Indigenous communities) must go to full review, which can take 8–12 weeks.

Special Requirements for International Research

If the research takes place outside Australia (for example, a Chinese student collecting data after returning home), an additional international research ethics statement is required. ANU asks researchers to provide ethics approval from the target country or region, or to explain why local ethics review is not feasible. In 2024, ANU handled about 150 ethics applications involving international research, and roughly 40% of them were delayed because local ethics approval was missing [ANU Research Services, 2024, International Research Data].

Document Checklist for the Application

Before submitting an ethics application, researchers need to prepare these core documents: a project description, a participant information sheet (PIS), a consent form, and a data management plan (DMP). Interview projects also require an interview guide, and survey projects require a full draft questionnaire. ANU requires all documents to use the HREA template (Human Research Ethics Application), which can be downloaded from the ANU Research Services website.

The PIS must include: the purpose of the research, how data will be collected, participant rights (such as the right to withdraw at any time), how long data will be kept (ANU requires at least 5 years), and ANU research ethics contact details. The consent form must be signed by participants; electronic signatures (e.g., via Qualtrics or REDCap) are also accepted. For online surveys, ANU permits a default consent mechanism (clicking ‘start survey’ counts as consent), but this must be clearly stated in the PIS.

Data Management Plan

From 2025, ANU requires every ethics application to include a data management plan covering where data will be stored (such as ANU’s RDS cloud storage), access permissions and a data destruction schedule. Under the ANU Data Management Policy (2024), survey data must be destroyed within 5 years of the project ending, while interview recordings and transcripts must be destroyed within 3 years [ANU Research Services, 2024, Data Management Policy].

Submission and Review Process

Applications are submitted online through the ANU Ethics Portal. The system assigns an ethics application number (e.g., ‘2025/001’), which researchers must quote in all subsequent correspondence. After submission, the application first goes through a formal check by the Research Services team (usually 1–3 business days) to verify that the materials are complete. Incomplete applications are returned and must be resubmitted within 14 days. Once the formal check passes, the application moves to the ethics review stage.

Low-Risk Review Process

Low-risk applications are handled by the Low Risk Review Panel, made up of 3–5 experienced researchers. The review cycle is usually 2–4 weeks, during which researchers may be asked to revise the PIS or consent form. In 2024, the average processing time for low-risk applications at ANU was 18 business days [ANU Research Services, 2024, Annual Review Report].

Full Review Process

High-risk applications must go to the Human Research Ethics Committee (HREC), which meets once a month. Applications must be submitted at least 4 weeks before the meeting. The HREC has 15 members, including academics, lawyers, community representatives and Indigenous representatives. The possible outcomes are: approval, conditional approval (revision and resubmission required), or rejection. In 2023, the ANU HREC approval rate was about 85%, and roughly 50% of approvals came with conditions attached [ANU HREC, 2023, Annual Report].

Amendments and Extensions

If the protocol changes during the research (such as adding interview questions or widening the participant pool), researchers must submit an amendment request. Amendments go through the Ethics Portal, and low-risk amendments are usually processed within 5 business days. If the project runs past the original approval period (usually 1 year), an extension request is required. ANU requires extension requests to be submitted at least 4 weeks before expiry, and each extension can last up to 12 months.

Examples of Major Amendments

Major amendments include: changing the data collection method (e.g., from survey to interview), adding vulnerable participants, or changing where data is stored. These may require resubmission to the HREC for full review. In 2024, ANU processed about 200 amendment requests, and roughly 15% were referred for full review [ANU Research Services, 2024, Amendment Statistics].

Project Completion and Closure

When the project ends, researchers must submit a final report. The report must cover the actual number of participants, the status of data storage and any unexpected events. ANU requires the final report within 6 months of the end of data collection. Failing to submit on time can delay future ethics applications.

Common Violations and Consequences

Starting data collection without ethics approval is a serious breach. Under the ANU Research Integrity Policy (2024), violations can lead to: research data being invalidated, the researcher being suspended from research, and referral to the Australian Research Integrity Committee (ARIC). In 2023, ANU recorded 12 ethics breaches, 6 of which involved conducting interviews without approval [ANU Research Services, 2024, Compliance Report].

Anonymisation and Data Security Breaches

Leaking survey data (such as storing unanonymised questionnaires on an insecure personal computer) is also a breach. ANU requires all research data to be stored in ANU RDS cloud storage or on encrypted hard drives. In 2024, ANU investigated 3 data security breaches, one of which led to a research project being suspended.

Handling Participant Complaints

Participants with complaints about the research process should raise them with the ANU Research Ethics Office, which will launch an investigation within 10 business days. In 2023, ANU received about 8 participant complaints, mostly about unclear consent forms and ambiguous data use. All complaints are recorded and can affect the assessment of the researcher’s future ethics applications.

Timeline and Planning Advice

For master’s and PhD students planning survey or interview research, it is recommended to start the ethics application at least 8 weeks before data collection. Allow 4 weeks for low-risk applications and 12 weeks for high-risk ones. International research needs an extra 4 weeks to obtain local ethics approval. ANU Research Services runs ethics application workshops once a month, which researchers are encouraged to attend.

Common Causes of Delay

Common causes of delay include: the PIS not using the ANU template, a missing data management plan, or a consent form without the ANU ethics contact information. In 2024, about 35% of applications were returned for incomplete documentation [ANU Research Services, 2024, Application Statistics]. Some families use dedicated channels such as Flywire tuition payments for cross-border fee transfers — but researchers should note that cross-border payments of research funds need to have their funding sources clearly stated in the ethics application.

Resources and Support

ANU Research Services offers one-on-one consultations — researchers can book a 30-minute session to discuss application details. The ANU Library also provides data management plan templates and a Qualtrics survey ethics compliance guide. For Indigenous research, ANU’s National Centre for Indigenous Studies offers cultural adviser support.

FAQ

Q1: How long does ANU ethics approval usually take?

Low-risk review takes an average of 18 business days (about 3.5 weeks), while full review of high-risk applications averages 8–12 weeks. In 2024, the average processing time at ANU was 18 business days for low-risk applications and 45 business days for high-risk ones [ANU Research Services, 2024, Annual Review Report].

Q2: If the research involves Chinese participants, is Chinese ethics approval needed?

If the research is conducted in China (such as collecting data from Chinese residents via an online questionnaire), ANU requires researchers to provide ethics approval from a Chinese ethics committee, or to explain why Chinese ethics review is not feasible. In 2024, about 40% of international research applications were delayed due to missing local ethics approval [ANU Research Services, 2024, International Research Data].

For anonymous online surveys, ANU allows the default consent mechanism (clicking ‘start survey’ counts as consent), but this must be clearly explained in the participant information sheet. Interviews involving sensitive topics or identifiable participants must use a written or electronic consent form. In 2023, about 20% of ANU survey projects used the default consent mechanism [ANU Research Services, 2024, Consent Guidelines].

References

  • ANU Research Services. 2024. Human Research Ethics Policy.
  • ANU Research Services. 2024. Exemption Guidelines for Low-Risk Research.
  • ANU Research Services. 2024. Data Management Policy.
  • ANU Human Research Ethics Committee. 2023. Annual Report on Ethical Review Outcomes.
  • Unilink Education. 2024. ANU Research Compliance Database (supplementary reference).