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Graduate Studies

Research ethics

FGS Research Ethics Forms and Procedures

Tri-Council Tutorial

View online or print individually: Thesis and Dissertation Proposal Form (TD1) (PDF) FGS Human Participants Research Protocol Form (TD2) (PDF) Appendices (all plus guide) (PDF) Procedures (PDF) (or see below)

Sample informed consent form


Procedures

1. JURISDICTION AND SCOPE
The Faculty of Graduate Studies is governed by the Senate Policy for the Ethics Review Process for Research Involving Human Participants. The Senate Policy for the Ethics Review Process for Research Involving Human Participants states that all University-based research involving human participants, whether funded or non-funded, faculty or student, scholarly, commercial or consultative, is subject to the ethics review process.

Graduate students undertaking graduate courses, major research papers, theses, or dissertations and graduate program faculty members teaching graduate courses or supervising major research papers, theses, or dissertations in which research involving human participants occurs will familiarize themselves with:
a) the Senate Policy for the Ethics Review Process for Research Involving Human Participants, and
b) the SSHRC/NSERC/CIHR Tri-Council Policy Statement Ethical Conduct for Research Involving Humans (December, 2010; www.pre.ethics.gc.ca/eng/policy-politique/initiatives/tcps2-eptc2/Default/)
c) plus, complete the TCPS tutorial (http://www.pre.ethics.gc.ca) and have the completion certificate placed in their graduate program file
Information relating to these documents can be found at the Office of Research Ethics, 5th floor, York Research Tower.

2. PUBLICATION MECHANISMS
Graduate Programs will distribute a copy of these guidelines to all students and faculty. They may also include the guidelines in Graduate Program Handbooks. The Faculty of Graduate Studies will add the guidelines to the Faculty of Graduate Studies website, and to the Faculty of Graduate Studies calendar.

Students undertaking research with human participants may not begin that research until their proposal has received approval from the appropriate body, as outlined below. Graduate faculty and students are advised to consult the Senate Policy for the Ethics Review Process for Research Involving Human Participants for definitions of "minimal risk," "human participant," "research," and "Principal Investigator."

3.1 Procedures for graduate courses and Major Research Papers involving unfunded minimal risk research
Please note: Effective January 2006, course directors of graduate courses have the option of submitting a general course work protocol or requiring each student to complete a TD2. The course work-related protocol (Form: CW1) is designed for instances when all students in a course are conducting research using the same methodology and instrument. At the graduate level, these instances will be less frequent than at the undergraduate level and will most likely be associated with research method courses. In other course work, graduate students will most likely still need to complete a TD2 form, as they develop their own Informed Consent Forms, interview questions, surveys, etc. There is a reporting requirement for this general blanket protocol (Form: CW2)

Prior to conducting their research, students are required to complete the TCPS tutorial http://www.pre.ethics.gc.ca.

Coursework Ethics Links

 
Coursework Ethics .pdfs
Coursework ethics detailed instructions
Coursework ethics 1
Coursework ethics 2
 

3.1.1 Each student will submit the following to the Graduate Program Office:
a) one original and one copy of a completed York University Graduate Student Human Participants Research Protocol Form (TD2), and
b) one original and one copy of the Written Informed Consent Document or the Script for the Verbal Informed Consent Statement. Sample informed consent form.
3.1.2 The York University Graduate Student Human Participants Research Protocol Form (TD2), and the Written Informed Consent Document or the Script for the Verbal Informed Consent Statement will be reviewed by the Graduate Program/Department Ethics Review Committee under an expedited review process (maximum of a 2 week turnaround).
3.1.3 Ethics Review Committees for research conducted in courses and for MRPs must be composed of a minimum of two faculty members who are in an arm's length position in relation to the research. The Committees may take the form of a standing Program or Department Research Ethics Committee OR, where such committees do not exist, may be composed of the Graduate Program Director (or designate) and one faculty member from the program who is at arm's length from the research.
3.1.4 For both course work and MRP research, each Graduate Program will retain, for a period of two years following the conduct of the research, a record of the York University Graduate Student Human Participants Research Protocol Form (TD2), and the Written Informed Consent Document or the Script for the Verbal Informed Consent Statement.

3.2 Procedures for graduate courses and Major Research Papers involving research that is not minimum risk or that is funded

3.2.1 Coursework or MRP research involving human participants that does not meet the definition of minimum risk as outlined in the Senate and Tri-council policies must be reviewed by the Human Participants Review Sub-committee (HPRC) of the University.
3.2.2 Coursework or MRP research involving human participants that is funded must be reviewed by the Human Participants Review Sub-committee (HPRC) of the University. The definition of "funded" does not include funding in the form of student OGS scholarships, SSHRC fellowships, NSERC scholarships, or CIHR studentships. These awards are intended to support students through their studies and do not require reports from students on the specific research activities conducted. The definition of "funded" does apply to grants awarded for specific research projects, whether those projects be the student's own research project or research being conducted as part of a faculty member's funded research project. Typically, for funded research, granting agencies require reports of the research conducted.
3.2.3 Students whose course work or MRP research is not minimum risk or whose research is funded must submit to their Graduate Program Office: a) one copy of the research proposal, b) one TD4 form when the research being conducted is part of a faculty member’s funded project OR one copy of a completed appropriate form as instructed by the Office of Research Services. In order to obtain research clearance from the HPRC of the University, students must contact the Office of Research Services and follow the procedures outlined by that office.

3.3 Procedures for thesis and dissertation research involving human participants that is unfunded and minimum risk
Please note: Prior to conducting their research, students are required to complete the TCPS tutorial (http://www.pre.ethics.gc.ca).

3.3.1 Each student will submit the following to the Faculty of Graduate Studies:
a) one thesis or dissertation proposal, with the FGS Thesis/Dissertation Proposal Submission Form (TD1)
b) one original and one copy of a completed York University Graduate Student Human Participants Research Protocol Form (TD2),
c) one original and one copy of the Written Informed Consent Document or the Script for the Verbal Informed Consent Statement, and
d) one copy of the completed Informed Consent Document Checklist for Researchers (TD3)
3.3.2. An alternate human participants research protocol form may be used in place of the York University Graduate Student Human Participants Research Protocol Form (TD2), as long as the alternate form includes all of the issues addressed in the York University Graduate Student Human Participants Research Protocol Form (TD2).
3.3.3. Proposals and forms will be reviewed by one of the Faculty of Graduate Studies Associate Deans (Academic or Student Affairs) and the Chair (or Vice-Chair) of the University's Human Participants Review Committee (HPRC).

3.4 Procedures for thesis and dissertation research that is not minimum risk or that is funded

3.4.1 Thesis and dissertation research that does not meet the definition of minimum risk as outlined in the Senate and Tri-council policies must be reviewed by the Human Participants Review Sub-committee (HPRC) of the University.
3.4.2 Thesis and dissertation research that is funded must be reviewed by the Human Participants Review Sub-committee (HPRC) of the University. The definition of "funded" does not include funding in the form of student OGS scholarships, SSHRC fellowships, NSERC scholarships, or CIHR studentships. These awards are intended to support students through their studies and do not require reports from students on the specific research activities conducted. The definition of "funded" does apply to grants awarded for specific research projects, whether those projects be the student's own research project or research being conducted as part of a faculty member's funded research project. Typically, for funded research, granting agencies require reports of the research conducted.
3.4.3 Students whose thesis or dissertation research is not minimum risk or whose research is funded must submit to the Faculty of Graduate Studies one copy of the research proposal, along with the FGS Thesis/Dissertation Proposal Submission Form (TD1) and one Statement of Relationship between Proposal and Existing Approved Research/Facilities (TD4) when the research being conducted is part of a faculty member’s funded project.
3.4.4 Students whose thesis or dissertation research is not minimum risk or whose research is funded must submit to the Faculty of Graduate Studies Office the appropriate package and documentation as requested by HPRC along with six additional copies in order to obtain research clearance from the HPRC of the University. Students must contact the Office of Research Services of the University to follow the procedures outlined by that office.

4. RECORD KEEPING

4.1 Annually, each Graduate Program will compile the following:
a) a listing of all courses in which research was conducted involving human participants
b) a listing of the titles of MRPs involving human participants and the names of students who undertook the MRPs
These listings will cover the period from June 1st to May 31st and will be forwarded to the Faculty of Graduate Studies who will report to HPRC by July 1st. Sample reporting forms are included in Appendices C and D.

4.2 The Faculty of Graduate Studies will forward a list of all Major Research Paper proposals and graduate courses involving research with human participants to the University's Human Participants Review Committee (HPRC) by July 1st.

This site and included documentation were last revised and/or corrected on April 18, 2011.

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