11.1. Persons undertaking research or teaching involving human participants are responsible for obtaining approval as required by AUTEC and for complying with the requirements of AUTEC. The attention of persons undertaking health research is drawn to Section 8.3 above.
11.2. The academic responsibilities of supervisors and their student researchers with respect to the requirements for ethical approval are as follows:
11.2.1.1. Ensure students apply for appropriate ethics approval where human participants are involved. Requirements for ethics approval need to be addressed with students within an appropriate time-frame that does not compromise their research (at least two months prior to commencement of participant research);
11.2.1.2. Read, edit and provide feedback on the ethics application. Sign off the ethics application forms for low risk ethics approval and EA1 full ethics approval as appropriate;
11.2.1.3. Ensure Head of School or delegated authority signature has been obtained for all ethics applications;
11.2.1.4. Assist students in corrections and responses to unsuccessful applications or conditional approvals;
11.2.1.5. Supervise the ethical conduct as outlined in the approved ethics application;
11.2.1.6. Ensure any amendments to approved research projects are put forward to AUTEC for approval prior to implementation of the change;
11.2.1.7. Ensure AUTEC is provided with the required progress and completion reports.
11.2.2.1. Fully discuss any research involving human participants with their supervisor;
11.2.2.2. Become cognisant of AUTEC guidelines and application procedures (for example, by attending a postgraduate seminar on the topic);
11.2.2.3. Prepare application in consultation with their supervisor and, where appropriate, an AUTEC faculty representative;
11.2.2.4. Ensure their supervisor reads, edits and comments on the ethics application;
11.2.2.5. Ensure application is signed off by supervisor and Head of School;
11.2.2.6. Respond to AUTEC feedback as appropriate in consultation with their supervisor;
11.2.2.7. To undertake research in an ethical manner and according to the frameworks outlined in the approved ethics application;
11.2.2.8. Work with their supervisors to ensure any amendments to approved research projects are put forward to AUTEC for approval prior to implementation of the change and to prepare the required progress and completion reports.
11.3. Where students are required to undertake research as part of their coursework for a paper, the teacher responsible must obtain the necessary ethical approval, using Form EA6 Application Form for Ethics Approval for Class Research Projects (Appendix L - refer also to section 8.2).
11.4.1. AUT staff undertaking research involving human participants as a student either at AUT or at another institution must obtain the necessary ethical approval before the research begins.
11.4.2. If the research is to be conducted with AUT staff and/or students, ethical approval must be gained through AUTEC whether or not other ethical approval is required (such as by another qualification-conferring institution). Applications may be submitted concurrently on the other institution’s form, along with a completed EA5 form.
11.4.3. If the research involves human participants but does not involve students and/or staff of AUT as participants and is not carried out at AUT, ethical approval should be gained from another appropriate ethics committee. A copy of the letter of approval and application must be forwarded to AUTEC for noting using Form EA5 Notification to AUTEC of External Ethics Committee Approval (Refer Appendix K) within two months of approval or before data gathering begins, whichever is earlier. AUTEC reserves the right to comment on the approved application and to require further information or action if, in AUTEC’s opinion, AUT’s interests are at issue.
11.4.4. If the research involves human participants but does not involve staff and/or students of AUT and there is no other relevant ethics committee, or that other relevant committee does not require approval, ethical approval must be obtained from AUTEC.
11.5. Where a researcher seeks access to records for participant selection for research purposes, AUTEC will generally require the researcher to ensure that the holders of those records (rather than the researcher) identify potential research subjects and approach them directly on behalf of the researcher.
11.6. Staff in charge of teaching or laboratory classes involving participants, including classes where students are used as experimental subjects, are responsible for obtaining AUTEC approval and for ensuring compliance with any Committee requirements.
11.7. All applications for AUTEC approval are required to be signed by a senior person in the appropriate centre or faculty (e.g. head of department, programme leader, supervisor, academic group leader).
11.8.1. Where an AUT staff member or student proposes to undertake collaborative research with organisations or individuals external to AUT, either in New Zealand or overseas, the researcher(s) concerned must ensure that if the research is to be conducted with AUT staff and students, ethical approval is obtained through AUTEC irrespective of any other ethical approval granted, provided that if the research is health-related, approval by the appropriate regional committee only is sufficient. Applications may be submitted concurrently.
11.8.2. If the collaborative research is to be conducted only with participants other than AUT staff and/or students, that any necessary ethical approval is obtained from an appropriate accredited committee(s), either in New Zealand or overseas. In such cases, project details and evidence of ethical approval shall be provided to AUTEC for noting. If no other accredited ethics committee is available to provide ethical review, an application must be made to AUTEC.
11.8.3. Where approval is gained from another ethics committee, a copy of the full application, accompanying documentation and letter of approval must be sent to AUTEC for noting, using Form EA5 (Appendix K).
11.9. Members of AUTEC will respond to requests for advice on ethical matters before, during and after the research process. Researchers should, however, recognise the advantages of planning ahead and approaching faculty representatives well in advance of Committee agenda closing dates.
11.10. Where a member of AUTEC is involved in an application being considered by AUTEC, that member shall withdraw from AUTEC when that application is under consideration.
11.11. Where a researcher or teacher fails to carry out the responsibilities set out in Section 11, AUTEC may require compliance with them and may take other reasonable and appropriate steps to address breaches of the Guidelines.
View the contact details for faculty representatives, research ethics advisor and AUTEC.