--- title: "Ethics standards and independent ethics committees" canonical: "https://research.refined.site/space/Research/48332977/Ethics%20standards%20and%20independent%20ethics%20committees" format: markdown --- The Principal Investigator is best placed to understand how the national ethical standards apply to the research they plan to undertake. Please see the information below. If you still have queries, please send an outline of your project to [waitemataresearch@tewhatuora.govt.nz](mailto:waitemataresearch@tewhatuora.govt.nz) and one of our research design team will be pleased to advise you. ### Frequently asked questions [Visit our Ethics FAQ](https://clinicaldecisions.atlassian.net/wiki/spaces/Research/pages/48332977/Ethics+standards+and+independent+ethics+committees#Ethics-FAQs) ### National Ethics Advisory Committees (NEAC) The statutory functions of NEAC are to provide advice to the Minister of Health on ethical issues of national significance regarding health and disability research and services, and to determine nationally consistent ethical standards and provide scrutiny for such research and services. [Visit the NEAC website to read the national ethical standards](https://neac.health.govt.nz/national-ethical-standards/) for Health & Disability Research & Quality Improvement (2019). ### Health & Disability Ethics Committees (HDEC) The Health & Disability Ethics Committees (HDECs) check that proposed research meets or exceeds established ethical standards determined by the National Ethics Advisory Committee (NEAC). Applications to HDECs are submitted via the HDEC Online portal. > [HDEC website](https://ethics.health.govt.nz/hdec-reviews-and-approvals/find-out-if-your-study-requires-hdec-review/) - find out if your study requires HDEC review > [HDEC Meeting Dates](https://ethics.health.govt.nz/about-the-committees/meeting-dates-venues-and-minutes/) > ℹ️ NOTE: If your study does not meet the criteria for HDEC review, it may still require independent ethical approval. You can request a review from the Auckland Health Research Ethics Committee (AHREC)—see details below, or please contact the [Research & Knowledge Centre team](mailto:waitemataresearch@tewhatuora.govt.nz) to discuss. ### Auckland Health Research Ethics Committee (AHREC) AHREC is a collaboration between the University of Auckland, and Health New Zealand - Te Toka Tumai Auckland, Counties Manukau, Te Tai Tokerau and Waitematā districts and is available to the staff of these organisations. AHREC is managed by the University of Auckland (UoA). The following Ethics Improvements are now in effect: - New [Ethical Guidelines](https://uoa.sharepoint.com/sites/ethical_guidelines?xsdata=MDV8MDJ8S2F0aHJ5bi5UZW5uYW50QHRld2hhdHVvcmEuZ292dC5uenw3MWRiZDA5OGUzMjY0ZjZhYzBmMDA4ZGU5ZjQ2NjMwMXxiZWQ0ZGE1MTNjZGI0ZDBkYmFmOGZiODBkNTMyNjhlM3wwfDB8NjM5MTIzMzIxODU5NTA0MDA0fFVua25vd258VFdGcGJHWnNiM2Q4ZXlKRmJYQjBlVTFoY0draU9uUnlkV1VzSWxZaU9pSXdMakF1TURBd01DSXNJbEFpT2lKWGFXNHpNaUlzSWtGT0lqb2lUV0ZwYkNJc0lsZFVJam95ZlE9PXwwfHx8&sdata=OVRtWTV4QXZCOUcyU1JPTGEzdFkySnhrd2I1Q3VTcnhrUmRxc09UV0hJaz0%3d) for researchers. - New Human Ethics Application Form in [Ethics RM](https://aus01.safelinks.protection.outlook.com/?url=https%3A%2F%2Fapply.ethics.research.auckland.ac.nz%2F&data=05%7C02%7CKathryn.Tennant%40tewhatuora.govt.nz%7C71dbd098e3264f6ac0f008de9f466301%7Cbed4da513cdb4d0dbaf8fb80d53268e3%7C0%7C0%7C639123321859525666%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=SclVoH5%2F7lcIsr85MZCuEAEwk21Iy4V%2BlKVCP6acZ4E%3D&reserved=0) replacing the AHREC and UAHPEC forms. - Ethics [Essential Learning](https://aus01.safelinks.protection.outlook.com/?url=https%3A%2F%2Fcanvas.auckland.ac.nz%2Fcourses%2F140087&data=05%7C02%7CKathryn.Tennant%40tewhatuora.govt.nz%7C71dbd098e3264f6ac0f008de9f466301%7Cbed4da513cdb4d0dbaf8fb80d53268e3%7C0%7C0%7C639123321859540939%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=wmAx6jlupmZ585qZjvyo69HMWkGhow0sfiLaxiwaaY0%3D&reserved=0) for researchers. - Updated human ethics content on the [ResearchHub](https://aus01.safelinks.protection.outlook.com/?url=https%3A%2F%2Fresearch-hub.auckland.ac.nz%2Fsubhub%2Fresearch-involving-human-participants&data=05%7C02%7CKathryn.Tennant%40tewhatuora.govt.nz%7C71dbd098e3264f6ac0f008de9f466301%7Cbed4da513cdb4d0dbaf8fb80d53268e3%7C0%7C0%7C639123321859557829%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=T42KTJRPdKBoIY9XBQhAECkQBaR9pAtZXsIF6T01n7c%3D&reserved=0). > ℹ️ External users (including Health New Zealand | Te Whatu Ora employees from Te Toka Tumai Auckland, Counties Manukau, Waitematā and Te Tai Tokerau) can access the University of Auckland Ethics RM system, Human Ethics Guidelines and Human Ethics learning. These systems support the preparation, submission and review of Human Ethics applications. Each system requires a one-time registration. Please follow the Human ethics external onboarding process [here](https://www.auckland.ac.nz/en/research/research-resources/research-ethics/human-ethics/human-ethics-external-onboarding.html). **Transition arrangements** - **From 13 April 2026:** All new human ethics applications to AHREC and UAHPEC must use the new Human Ethics Application Form within Ethics RM. - **13 April – 30 June 2026**: Draft applications initiated on the old AHREC or UAHPEC forms before 13 April can still be submitted. After 30 June, these forms will be archived. 2026 AHREC meeting dates ### Ethics FAQs> Macro (anchor)
Does my research need an independent ethics committee review? All research, audit and related activity must complete the Te Whatu Ora -Waitematā locality [approval process](https://research.refined.site/space/Research/144244737/Approval+process) and some activity will also require an ethics committee approval. Levels of ethical risk are used to determine the level of ethical oversight in health research. [Table 8.3 of the NEAC Standards for Health & Disability Research and Quality Improvement (2019) ](https://neac.health.govt.nz/national-ethical-standards/part-two/8-research-benefits-and-harms/)describes ethical risk categories and will help decide whether your research reaches the level of risk requiring an independent ethics committee review. Ethics Committees available to Te Whatu Ora -Waitematā staff 1. Health & Disability Ethics Committee (HDEC) You will need to set up your login to HDEC ETHICS RM to access application platform ([Login - NZ Ethics RM Forms](https://nz.forms.ethicalreviewmanager.com/Account/Login)). Where research is Out of Scope for HDEC review but still requires or would benefit from an independent ethical review then you can apply for review through AHREC. 2. Auckland Health Research Ethics Committee (AHREC) You will need to [set up a UoA login](https://cdn.auckland.ac.nz/assets/HumanEthics/onboarding_for_external_users_vs_2.pdf) to access the AHREC Ethics RM application platform. 3. Other University Ethics Committee Waitematā staff who are also students of, or hold joint appointments with other universities may seek ethical review from that institutions ethics committee. If you are not sure whether or not your study requires an independent ethics review, forward your proposal to [waitemataresearch@tewhatuora.govt.nz](mailto:waitemataresearch@tewhatuora.govt.nz).
Does Quality Improvement (QI) activity require ethics committee review? Refer to the [National Ethical Standards for Health & Disability Research and Quality Improvement](https://neac.health.govt.nz/national-ethical-standards/part-two/18-quality-improvement/) (Dec 2019). Section 18 discusses Quality Improvement. Also refer to [Section 1 Scope (pages 29-33)](https://neac.health.govt.nz/national-ethical-standards/part-two/1-scope-of-the-standards/). See also: Frizelle, F. (2024 Sep 6). When do you need to get ethical approval for your research? *NZMJ, 137*(1602), 13. [https://nzmj.org.nz/media/pages/journal/vol-137-no-1602/when-do-you-need-to-get-ethical-approval-for-your-research/c3a90d9399-1725483927/1602-second-editorial.pdf](https://nzmj.org.nz/media/pages/journal/vol-137-no-1602/when-do-you-need-to-get-ethical-approval-for-your-research/c3a90d9399-1725483927/1602-second-editorial.pdf)
Do I need ethics approval to present a case study? No formal ethics approval is required for case reports, especially where the material is de-identified. It is considered best practice when writing up a case report and the patient and/or family are available to contact, to inform them that you are wanting to write a case report, explain why and how they will not be identified; You should record details of the conversation in the patient's clinical notes. Patients/families are usually very pleased that you have taken the time to inform them and often feel good to be assisting medical knowledge. Patients/relatives may of course decline consent. You should ensure your clinical director and unit manager are aware of your intention to publish if Te Whatu Ora -Waitematā will be identifiable. Case Study Information Sheet (template) - go to [download ](https://research.refined.site/space/Research/48332977/Ethics+standards+and+independent+ethics+committees#Files-to-download)section below. Case Study Consent Form (template) - go to [download ](https://research.refined.site/space/Research/48332977/Ethics+standards+and+independent+ethics+committees#Files-to-download)section below.
What are the features of a fit for purpose peer review? A peer review process should be commensurate with the type of proposal, the potential risk to participants and the location of the research. The type of peer review process used must be fit-for-purpose and justifiable and the peer reviewer must be independent of the study. Refer to - [Scientific peer review submissions ](https://ethics.health.govt.nz/guides-templates-and-forms/scientific-peer-review-submissions-guidance/)- guidance on HDEC website - [National Ethical Standards for Health & Disability Research and Quality Improvement](https://neac.health.govt.nz/national-ethical-standards/part-two/9-research-development-and-design/) (Dec 2019). Peer Review Section 9.25 - 9.31 (pages 113-114)
When is non-consented use of health information ethically justifiable? Health & Disability Ethics Committees (HDEC) can only approve use of health information without consent if the researcher clearly details how it is ethically justified. HDEC will expect to see the following justifications in an ethics application: 1. The process for obtaining consent is likely to cause undue anxiety for those whose consent is sought; **OR** the requirement for consent would prejudice the scientific value of the study; **OR **it is impossible in practice to obtain consent due to the quantity or age of the records; **AND** 2. There would be no disadvantage to the participants or their relatives or to anyone involved in collecting the data; **AND** 3. The public interest in the study outweighs the public interest in privacy. > ℹ️ NOTE: The use of identifiable data without consent may be permissible in clinical audit for quality improvement, but using it for research requires consent or a waiver of consent [approved by an independent ethics review committee], even if the data is available to clinicians as part of their usual role.
### Privacy Please see [Privacy NZ legislation](https://research.refined.site/space/Research/124551195/Privacy+NZ+legislation). --- ### Files to download > Macro (attachments) --- ###### Last reviewed June 2026 Author: Kathryn Tennant