How to apply for human ethics approval

Before starting your application in the Ethics RM system, read the Ethical Guidelines to check whether your project needs ethical review and which committee you should apply to. For further details, refer to the Ethics Approval Requirements section.

Check review requirements

Research involving human participants requires ethics approval unless it is exempt. See UAHPEC and AHREC Exemptions to confirm whether your project meets the exemption criteria or still requires review.

Talk with your supervisor or adviser

Before creating your application, confirm:

• Whether your project is ready for submission
• Which ethics committee is most suitable
• What documents you’ll need to prepare (e.g. study protocol, participant information sheet, consent form)

If you are a student, your supervisor is responsible for submitting the application on your behalf in Ethics RM.

Supervisors oversee the application and are accountable for ensuring it meets ethical and procedural requirements.

Faculty and Māori advisers can provide early advice to help identify ethical issues, cultural considerations, or procedural requirements before you start your application.

Find support by going to Contact for support with human ethics.

Get access to Ethics RM

• University staff and PhD and masters students have automatic access.
• Honours students need their supervisor to request access for each course
• Health New Zealand (Te Whatu Ora) employees from the Auckland, Counties Manukau, Waitematā, and Te Tai Tokerau regions can be granted access to create human ethics applications.

For details on how to check or request access, see the Ethics RM User Guides.

Locality approval (Health New Zealand and other sites)

If your research involves recruiting participants or staff through Health New Zealand (Te Whatu Ora) services in the Auckland region, you will need approval from the relevant service or department where the research will take place.

Start discussions early with the departmental head to confirm they are registered in Ethics RM to complete the sign-off.

If they are not yet registered, they can request access by following the steps in Human ethics external onboarding.

Note: Locality approvals are being phased out and replaced by the Single Research Application Form (SRAF) process.

For details on this transition and any related institutional approvals, see the Ethical Guidelines - 3.1 ‘Applying for Ethics Approval.

Prepare your ethics documentation

Before completing your Ethics RM form, ensure your study documents meet the University’s ethical and procedural standards.

This includes your study protocol, participant information sheet, consent form, and recruitment materials.

For detailed requirements, templates, and examples, refer to the Ethical Guidelines - 3.2’ Ethics Documentation.

Go to Ethics RM. Select ‘Create Project’, then choose ‘Human Ethics Application’ from the form list.

Complete your application

Follow the system prompts to fill in each section and upload your prepared ethics documentation.

Supervisor sign-off

If you are a student, your supervisor is responsible for submitting the application in Ethics RM.

The academic head then reviews and approves it before submission is finalised.

If the project involves Health New Zealand (Te Whatu Ora), an additional HNZ sign-off will be required.

For access and roles, see the Ethics RM User Guide.

Submit your application

Once all required documents and approvals are in place, submit your application in Ethics RM before the committee submission deadline date.

Check upcoming UAHPEC and AHREC submission and meeting dates.

Before submitting your application, seek feedback on your draft materials. Feedback from your supervisor, faculty or Māori adviser, or other experienced researchers can help identify ethical risks, consent issues, or cultural considerations. Find an adviser by going to Contacts for support with human ethics.

After you’ve submitted your application in Ethics RM, it moves through several review stages before you receive a decision.

How your application is reviewed

Applications are reviewed according to the level of ethical risk and the protections in place for participants.

For more information on how applications are assessed and classified, see the Ethical Guidelines – 1.6 Risk Framework.

Check the UAHPEC and AHREC meeting dates and schedules.

Decision outcomes

When a decision is made, you’ll receive a notification email and can view your outcome letter in Ethics RM. Applications may be 'Approved', 'Approved with Comment', 'Conditionally Approved', 'Pending Resubmission', 'Empowered', 'Not Required', 'Declined', 'Referred to another Committee' or 'Referred to HDEC'.

See the Ethical Guidelines – 3.1 Applying for Ethics approval.

After approval

Once your ethics application is approved, you are responsible for managing any conditions, amendments, and reporting. For what to do next, see Managing your approved human ethics application.

• Ethical Guidelines
• Ethics RM User Guides
• Managing your approved human ethics application
• Contact for support with human ethics

University of Auckland Human Participant Ethics Committee (UAHPEC)
Email: humanethics@auckland.ac.nz

Auckland Health Research Ethics Committee (AHREC)
Email: ahrec@auckland.ac.nz