Policy on Access by External Researchers (Appendix R)

Key Words: External researchers/AUT staff and students as research subjects/AUT staff and student records

1. PURPOSE

1.1. The purpose of this policy is to protect the rights of AUT staff and students and to safeguard the interests of AUT whenever external researchers propose to:

1.1.1. use AUT staff and students as research subjects, or

1.1.2. use AUT staff or student records for research purposes.

2. APPLICATION

2.1. This policy applies to external researchers who propose to use for research purposes either:

2.1.1. AUT staff and/or students as research participants, or

2.1.2. AUT staff or student records.

2.2. Where a team / group of researchers consists of both AUT staff or students and external researchers, the approval procedures applying to staff research will apply.

3. RELATED POLICIES AND PROCEDURES

3.1. AUTEC Applying for Ethics Approval - Guidelines and Procedures

3.2. AUT Intellectual Property Policy (See Appendix U)

3.3. Faculty Research Committee Policies and Guidelines

4. PROCEDURE

4.1. External researchers who propose to use for research purposes either

4.1.1. AUT staff and/or students, or

4.1.2. AUT staff and/or student records

must first apply to and be granted approval for access by the Deputy Vice-Chancellor, Research

4.2. Permission for access to AUT staff and students is to be treated as a separate issue from ethical approval, which must also be obtained before research commences.

4.3. Any necessary ethical approval must be applied for and granted pursuant to procedures set down in the AUTEC guidelines and application forms.

4.4. Application for access approval must be made either before or concurrently with any application for ethical approval.

4.5. An agreement by the relevant Dean, Director, HOD, or Manager for access to their area may accompany the application to the Deputy Vice-Chancellor, Research.

4.6. In considering applications for access, the Deputy Vice-Chancellor (Research) may take into account (but is not limited to) the following matters:

4.6.1. the nature and volume of requests for access relating to particular populations/groups of staff and/ or students

4.6.2. the impact on staff and students of the proposed research and its dissemination

4.6.3. the impact on AUT of the proposed research and its dissemination

4.6.4. the intended purpose, use and dissemination of the proposed research , including public benefit aspects

4.7. In considering applications under this policy, the Deputy Vice-Chancellor (Research) may seek the advice of the following as appropriate:

4.7.1. AUTEC

4.7.2. the President of AUTSA or delegate

4.7.3. the relevant Dean, Director, HOD or Manager
4.7.4. AUT Research Committee

4.8. Applications for access must be made on the prescribed form.

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Action Research Project Procedures (Appendix S)

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Referral of Research Studies to a Health and Disability Ethics Committee (Appendix Q)

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