These frequently asked questions (FAQs) have been compiled from observations and common queries received in the office. The information will be updated periodically.
If you have any questions that are not addressed on this page, please email firstname.lastname@example.org.
What is a Primary and Secondary contact? Are they authorised to request changes to a certification or licence?The Primary contact is the person an organisation has nominated as the first point of contact for all communications from the OGTR. The Secondary contact is intended to be a back-up for the Primary contact. Both will be included in communications from the OGTR. Under the conditions of Accreditation, the OGTR must be advised of any changes to the contact persons, or their details.
Primary and Secondary contacts cannot request changes to a certification or licence unless they are also an Authorised Person. An Authorised Persons form is completed by the CEO, Primary Contact or Secondary contact to authorise themselves or others to act on behalf of the organisation. Alternatively, the person submitting any application must state that they are duly authorised to do so (if they indeed are). Authorised persons are not included in regular communications from the OGTR.
There are different levels of authorisation that can be requested.
- Authorisation for Secondary Applications for all instruments (Accr/Cert/DIR/DNIR)
- Authorisation for Secondary Applications relating to all Certifications
- Authorisation for Secondary Applications relating to all DNIRs
- Authorisation for Secondary Applications relating to all DIRs
- Authorisation for Secondary Applications relating to an organisation’s Accreditation
The forms to advise the OGTR of any changes to Primary, Secondary Contacts or Authorised persons are available on the Accredited organisation responsibilities page of the OGTR website.
Who notifies the Regulator of any NLRDs assessed by an IBC?Regulation 13C(1) requires a person or accredited organisation to provide the Regulator a record of any proposed dealings assessed by an IBC to be an NLRD. The record/s must be provided to the Regulator in a report for the financial year. For accredited organisations, this is submitted as part of the organisation’s Annual Report. The notification of NLRDs must come from the person or organisation, not from the IBC that assessed it. The role of the IBC is to assess whether or not proposals submitted by a person or organisation are NLRDs, assess the suitability of people and facilities proposed for the dealings, and to give a copy of the record of assessment to the person/organisation who submitted the proposal. Any notification of NLRDs by an IBC on behalf of another organisation will not be accepted.
What if we haven’t reported new NLRDs from previous financial years?The person or organisation must notify the Regulator of the NLRD from a previous financial year as soon as possible. If it is during the annual reporting period (1 July to 30 September) for accredited organisations, then notifications of NLRDs can be submitted with their annual report. Be sure to alert the OGTR to the fact that the NLRD notifications include those from previous years. It is the responsibility of the person or organisation to ensure that all NLRDs are notified at the end of the financial year that the dealing is taking place.
Can we extend, transfer or amend a NLRD in any way?The existing record of assessment (RoA) for an NLRD cannot be changed i.e. varied, extended, transferred or amended. A new assessment must be conducted and a RoA prepared to include elements not in the original assessment. This ensures there is clear understanding between NLRD proponents, IBCs and the Regulator about the scope of each NLRD, which supports organisational oversight of research and OGTR’s monitoring and compliance activities. When preparing a RoA, consideration should be given to what is included in the RoA so as to accommodate changing circumstances. Guidance on making a RoA to achieve this, such as the use of class of person or facilities, is available (see the NLRD and Documents and Forms page).
Specific examples of amendments that would require a new RoA include:
- Changes to person(s) considered appropriate to undertake the dealings, if not defined by a class of person;
- Changes to the class of persons, if defined by class;
- A change to the person(s) or accredited organisation undertaking the dealings;
- Transfer of researcher or person(s) to another organisation;
- Changes to the certified facilities considered appropriate in which to undertake the dealings, if not defined by a class;
- Changes to class of certified facilities, if defined by class; or
- Changes to the dealings (e.g. addition of transport and storage if not previously considered).