Anonymity
Research participants are anonymous when no member of the research team and no other participants know who has taken part. Research can be described as anonymous if the researchers cannot trace a participant’s data to an individual participant.
A questionnaire is not anonymous if it is coded/linked to an individual participant.
Approved
An outcome for an application: A research ethics application that has been reviewed by AUTEC and found to comply with ethical standards. Research can proceed.
Assent
Assent is provided by a child/young person who agrees to participate in a project. AUTEC and New Zealand Law require assent for participants under the age of 16 years alongside consent from their parents/guardians (Section 6. Ethical management of vulnerability: Consent and assent with children and young people National Ethics Advisory Committee).
Audit
Audit involves examining practice and outcomes with a view to informing and improving management rather than adding to general knowledge. Typically, audit results are only shared internally.
AUTEC
Auckland University of Technology Ethics Committee
Child/young person
Someone aged under 16 years (Section 6. Ethical management of vulnerability: Research with children and young people National Ethics Advisory Committee).
Clinical practice
The day-to-day activities or 'regular duties' of health practitioners (like doctors, nurses and physiotherapists) when delivering a health service.
Clinical trial
Any research study that prospectively assigns human participants or groups of humans to one or more health-related interventions (such as a medicine or a different way of doing a surgery) to evaluate effects on health outcomes.
Interventions include but are not restricted to drugs, cells and other biological products, surgical procedures, radiologic procedures, devices, behavioural treatments, process-of-care changes and preventive care. This definition includes phase I–phase IV trials (as defined within the National Ethics Advisory Committee Glossary of Terms).
Compensation
Payment or medical care provided to participants injured in research (per the Declaration of Helsinki 2024, para 15). This does not refer to a token of appreciation given for participation in research.
Confidentiality
In research, 'confidentiality' refers to information that may be collected or kept by researchers to preserve the privacy of individuals. As such, information that is considered 'confidential' would not be included in outputs to respect and protect the participants.
If you are describing research data you intend to use as an output as 'confidential', you are likely to be thinking of identifiability. Please refer to Identifiability of data.
Confidentiality agreement
A confidentiality or non-disclosure agreement is a legally binding agreement put in place when two or more parties are sharing confidential information and want to ensure that information remains confidential and is not disclosed, published or shared with others. Please refer to the AUTEC template for confidentiality agreements.
Conflict of interest
In a research context, a conflict of interest:
Consent form
A consent form is the document signed by the participant agreeing to take part in the research. A copy is kept by the participant. A copy is also stored by the researcher (or their supervisor if a student). AUTEC normally requires that the data be stored securely for a minimum of six years, or ten years for health data per the Health (Retention of Health Information) Regulations 1996. Consent forms must be stored separately from the research data. .
Deferred
An outcome for an application: This decision is given when AUTEC identifies substantial ethical issues or questions during review. The issues or queries must be clarified or remedied. Once revised, the application needs to be resubmitted for approval. The research may not start until full approval is received.
Delegated authority
This refers to AUTEC's delegation of authority to specified persons to act on its behalf. Several people in faculties and across the University have delegated authority to approve research under special conditions. The AUTEC chair, executive secretary and members have delegated authority in particular circumstances. These circumstances are outlined in the Committee Decision Making Processes.
External researcher
An external researcher is a person who is not a student or staff member of AUT. The person may be working for another institution or independently. The name, title and, if relevant, affiliation of an external researcher must be included as a member of the research team in the application and documentation provided to potential participants.
Human tissue
Human tissue is any part of the human body covered by the Tissue Act 2008 , including cells, blood, blood components, urine and faeces, hair or nail clippings, and tears.
Health information
Health information includes information:
The gathering and use of health information requires the researcher to consult either the Health Information Privacy Code 2020 or the Privacy Act 2020.
Identifiability of data
Anonymous data is data that cannot be linked to the person who provided it by any means. It cannot be possible from the dataset for the researcher, anyone on the research team or external parties to identify the source of the data. This could be done via generalisation, data masking and pseudonymisation.
Identifiable data is data where it is possible to identify a specific individual involved in the research. Identifying information includes: addresses, birth dates, phone numbers, email addresses, identifying numbers (for example, NHI, Student ID or Inland Revenue number), employment details and photos.
De-identified data has all identifiable information removed prior to use in outputs. It should be made clear to the committee and participants whether the de-identification process is done in a way that would enable re-identification or not.
Re-identifiable data is data from which researchers have removed identifiable information and assigned a code, but it remains possible to re-identify a specific individual, for example, using a code key or linking different data sets.
Non-identifiable data is data that has never been labelled with individual identifiers or from which all identifiers have been permanently removed, and for which there is no reasonable basis to believe that a specific individual can be identified. A subset of non-identifiable data is the data that can be linked with other data so it can be known that the two sources are about the same data participant, although the person’s identity remains unknown.
Information sheet (also known as participant information sheet)
The information sheet fully informs potential participants about the research they are invited to participate in, using appropriate language. It should be kept by participants. Information sheets variations can be created for different parties involved in the research, such as whānau, organisations and other groups, as well as individuals.
Informed consent
Informed consent takes place when an individual has been invited to take part in a research project, provided with the information sheet and given the opportunity to ask the research team questions or seek clarification prior to providing their consent to take part (Section 7. Informed Consent National Ethics Advisory Committee Standards).
Koha
AUT’s Gifts, Koha and Donations Policy defines koha as a gift, token, or contribution given on appropriate occasions, including:
This term should only be used if relevant to the study participants. Otherwise, it may be appropriate to use different words for tokens of reciprocity/gifts.
Māori Data
Māori data are data that are produced by Māori, and data that are about Māori and the environments we have relationships with. Data are a living tāonga and are of strategic value to Māori. Māori data include but are not limited to:
Māori data sovereignty
Māori data sovereignty recognises that Māori data should be subject to Māori governance. Māori data sovereignty supports tribal sovereignty and the realisation of Māori and Iwi aspirations. Refer to Te Mana Raraunga’sMāori Data Governance model .
Minimal risk
Minimal risk is when the likelihood and extent of harm or discomfort expected in the proposed research are no greater than those typically experienced in daily life or during routine physical or psychological exams or tests.
Organisational information sheet
See information sheet above.
Participant information sheet
See information sheet above.
Pilot study
A pilot study is a preliminary trial of research tools and methods before a main study is undertaken. If the pilot study involves human participants' data that could be used for analysis in the final project, a research ethics application must be submitted.
Provisionally approved
An outcome for an application: This decision is given where AUTEC identifies no substantial issues during review. The application is provisionally approved, subject to conditions. The research has been accepted as meeting ethical guidelines, but more information is needed or some issues need to be clarified before the research begins. The research can only begin once these points have been addressed and approval has been given. If the points have not been addressed within six months, the application will be closed and a new application will be needed.
Public domain
The public domain refers to information that is openly and freely available to members of the public through libraries, publication, the media and/or the internet without needing to ask permission from an administrator or custodian.
Public sphere
The public sphere refers to all types of information available through the internet. Although these data sets can be visible to members of the public, they are not necessarily publicly available as they require access permissions from a custodian or administrator of the site. There could be copyright and intellectual property rights associated with the data.
Research
Research is original investigation undertaken to contribute to knowledge and understanding and, in the case of some disciplines, cultural innovation or aesthetic refinement (page 8, PBRF User Manual, Tertiary Education Commission). The term ‘independent’ does not exclude collaborative work.
Research participant
A research participant is a person who has consented to take part in a research study.
Risk of harm
Risk of harm in a research project could include a physical or emotional event or experience that has an impact on a participant.
A careful assessment is needed to compare the predictable risks and burdens to individuals or groups involved in research with the foreseeable benefits to them and others who may be affected.
Measures to minimise the risks and burdens must be put in place. The risks and burdens must be continuously monitored, assessed, and documented by the researcher. For risk of harm in the context of medical research, refer to the Declaration of Helsinki paragraph 17 .
Secondary data
Data is considered secondary if it was originally collected for a different purpose than the proposed research project.
According to the Privacy Act 2020 , individuals should be informed about the purpose and intended recipients when their information is collected. However, exemptions to the Act apply when:
Examples of secondary data include census data and published research.
Secondary data for research analysis may include human-related data that could potentially identify individuals. Therefore, to meet the requirements set out in the Act, sufficient steps must be taken to remove identifiers before use.
Staff research
Research undertaken by AUT staff as part of their employment.
Student research
Research carried out by students enrolled at AUT. Student research may be part of a taught course, usually covered by AUTEC class research project approval, or a project conducted individually with supervision as may be the case for a master's or PhD.
Therapeutic trials
Therapeutic trials enrol and provide an intervention to the participants to study the possible benefit on the condition they have. These will almost always be health and disability research and include:
Third-party research assistants
Individuals who are not members of the research team. They are hired to undertake specific tasks, such as transcribing or interpreting. Third-party research assistants must sign a confidentiality agreement. They are not listed as research team members.
Voluntary
In research contexts, voluntary describes a participant's decision, free of coercion, duress, or inducement, to take part in a research activity.
Vulnerability
In research contexts, vulnerability refers to a ‘substantial incapacity to protect one’s own interests owing to impediments such as lack of capability to give informed consent, lack of alternative means of obtaining medical care or other expensive necessities or being a junior or subordinate member of a hierarchical group’ (Section 6. Ethical management of vulnerability, National Ethics Advisory Committee Standards).
View the contact details for faculty representatives, research ethics senior consultants and AUTEC.