Exemptions to activities requiring AUT Ethics Committee approval (6)

The following are usually exempt from research ethics approval:
(Notes provide guidance on exceptions that would require ethics approval.)

1. Evaluations or surveys conducted within AUT for the specific purpose of reviewing and improving education practices and AUT processes.
   
   Note: If outputs include conference papers or publications as academic research, then researchers must apply for ethics approval before starting the evaluation/survey.
2. Research and teaching involving existing published documents or data sets.
   
   Note: If the data is identifiable or re-identifiable and the acquired data did not include participant consent for the planned purpose in the secondary analysis, then ethics approval must be obtained before access. Government data  sets, such as those obtained from the Integrated Data Infrastructure (IDI) at Stats NZ, and patient registries require ethics approval for review of ethical aspects including those associated with bias and stigma. Custodians of a data repository may require ethics approval before granting access; in these cases, the exemption does not apply. Linking of data sets does not fit the scope of exemptions and will require ethics approval.
3. Preliminary cultural guidance, scoping, relationship building, consultation, discussion, initial testing of methods or research tools conducted to inform the design of a future research project. These activities normally occur prior to the formulation of specific research aims. Data from these activities will not be used in any research outputs.
   
   Note: If planning to include any preliminary work in outputs, then ethics approval must be obtained before undertaking the activity.
4. Research in which the sole participant is the investigator themselves, and where there is no risk of harm to the investigator or others.
5. A one-off interview of limited scope and depth with professional persons, authorities, or public figures such as politicians, scholars, artists, or prominent authors in the area of their expertise.  
   
   Note: A series of interviews with a single person, or a one-off interview with two or more people on the same or related topic will require ethics approval. Such an interview must not comprise a major study.
6. Observational studies (that are non-invasive and non-interactive) in public places where the identity of the participants remains anonymous.
   
   Note: If recorded observation could identify individuals (such as use of digital recording) or place them or the researchers at risk of harm, it would require an ethics application. Observations taking place that require permissions to access or where there is an expectation of privacy would require ethics approval.
7. Creative practice-led research does not require ethics approval when creating and/or interpreting works of art. This could include the use of models in live drawing and/or portraiture, etc. Consent must always be obtained from a model. This can be obtained using a model release form template available from the New Zealand Institute of Professional Photography.
   
   Note: If a researcher is recruiting an individual to answer a research question, speak, or narrate their personal history, then an ethics application must be submitted.