Ethics forms

This information is in three parts:

  • Advice about how to submit the forms for review;
  • A note about the ethics forms which you are strongly advised to read before using the forms;
  • A list of the ethics forms with a short explanation of their recommended use.

Submitting ethics applications and amendments

Applications and amendments may be submitted by email. A single .pdf file containing the form and all related documents is to be emailed to The scanned single .pdf file must have the EA form at the beginning and the other documents in the order stated in the form. The application or amendment must have all the required signatures. As many applications are reviewed under delegated authority, you are advised to submit your application to the Secretariat by email or at a Drop in or in WU as soon as it is ready. Waiting for the agenda closing day may delay its review.

A note about the forms

AUTEC's forms are revised on a regular basis and this page contains the current version.  It is strongly recommended that you download the current form each time you wish to use it rather than using one saved on your computer from an earlier occasion.  If you have forms that you access by a bookmark in your web browser, please ensure that your bookmark is to this page as the filename of the form will also alter from version to version.

For your ease of use, the forms are not protected documents.  It is therefore important when using the forms to take care that you keep the formatting unaltered.  This applies especially to the numbering of the sections.  All the forms have inbuilt Heading styles which govern the numbering and the easiest way to correct the numbering if you do alter it is to revert the appropriate heading to the style that it had in the original version.  Applications that have non standard numbering or formatting will not be accepted for consideration, nor will incompletely filled forms.

The forms and their use

EA1 Application Form

Appendix C. This application form is the one most AUT researchers will use when submitting an application for consideration by AUTEC.

Download EA1 Application Form

EA2 Progress Report or Application for an Amendment

Appendix G. This form has a dual purpose and is for the yearly progress report on research that has been approved by AUTEC or for use when you wish to make an amendment to your research.

Download EA2 Form

EA3 Completion Report

Appendix H. This form is used for the report required on the completion of research that has been approved by AUTEC.

Download EA3 Form

EA5 Application Form to accompany applications that have been approved by an external ethics committee and Locality Authorisation for applications to Health and Disability Ethics Committees

Appendix K. This form is used by AUT researchers submitting an applications to AUTEC for institutional approval when ethics approval has been granted by an external ethics committee. It is also the form to be used in order to receive locality authorisation for applications submitted for review by the Health and Disability Ethics Committees which are being conducted on AUT premises.

Download EA5 Form

EA6 Application Form for Class Research Projects

Appendix L. This form is used by AUT staff applying to AUTEC for delegated authority to approve their students' undergraduate research projects.

Download EA6 Form

EA7 Annual Report on Class Research Projects

Appendix M. This form is used for the required annual report on delegated approvals for Class Research Projects.

Download EA7 Form

EA9 Application for Access to AUT Staff or Students by External Researchers

Appendix X. This form is for use by external researchers who are seeking permission to invite AUT staff and/or students to participate in their research.  This form needs to be used in conjunction with the policy on access by external researchers which is contained in Appendix R.

Download EA9 Form

Information sheet exemplar

Appendix D1.  This is a fairly comprehensive exemplar for Information Sheets.  Please read the Guide in Appendix D as well.

Download Information Sheet Exemplar

Information sheet exemplar for use with child participants

This exemplar has been designed by AUT's early childhood educators for use with children.

Download Information Sheet Exemplar for use with children participants

Consent form exemplars

Appendix E. There a few exemplars in this document for your assistance.  Please note the difference between assent and consent and ensure that you get both when appropriate.

Download Consent Form Exemplar

Confidentiality agreement exemplars

Appendix F. There are a few exemplars in this document for your assistance.  They are required whenever someone other than the researcher has access to the data.

Download Confidentiality Agreement Exemplar

Peer Review Confirmation exemplar

This exemplar is provided for use by independent peer reviewers who are wanting to provide AUTEC with confirmation of their review. It is optional and alternative exemplars may be downloaded from the Ministry of Health's HDEC website.

Download Peer Review Confirmation Exemplar

Guide for drafting a Sensitive Data Safety Management Protocol

Researchers needing to draft a Sensitive Data Safety Management Protocol when sensitive data is being collected as part of their research are advised to use the Guide for drafting a Data Management Plan.

Download the Guide for drafting a Data Management Plan

Guide for drafting a Researcher Safety Protocol

This guide is provided to assist researchers with drafting a Researcher Safety Protocol when research is being undertaken in private homes or unfamiliar social or cultural contexts.

Download the Guide for drafting a Researcher Safety Protocol

Guide for drafting a Data Management Plan

This guide is provided to assist researchers with drafting a Data Management Plan. Having a data management plan is best research practice. It is essential when the research data is sensitive in nature, is likely to be shared or stored in a data repository or will be stored indefinitely or used for future research. There is also a tool for drafting a data management plan on the website for Te Mātāpuna | The Library.

Download the Guide for drafting a Data Management Plan

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