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Faculty of Graduate Studies (FGS) Faculty of Graduate Studies

Research Ethics

This page contains important information helpful to graduate students embarking on research associated with their graduate studies. 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.

To first decide if your research is subject to review or not, please see the ethics review Tip Sheet and Ethics Roadmap Flowchart (© Cross Campus Capstone Classroom).

WHAT TO REVIEW BEFORE YOU BEGIN

Graduate students, along with their supervisors are required to review:

  1. The Senate Policy on Research Involving Human Participants and its guidelines for Research with Human Participants.
  2. The Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans

Additionally, all students and their supervisors are required to review the guidelines most applicable to their proposed research before submitting their research proposal and ethics protocol to the Faculty of Graduate Studies. The guidelines below are applicable to many graduate student research proposals:

  1. Guidelines - Secondary Use of Data for Research Purposes
  2. Guidelines - Research Using Crowdsourcing Platforms and Other Panels
  3. Guidelines - Use of Incentives, Reimbursements and Compensation
  4. Guidelines - Research Involving Social Media (SM) Platforms 
  5. Guidelines - Preparing Informed Consent Forms
  6. Guidelines - Qualitative Field Research: Observational Data Collection 
  7. Guidelines - Distinguishing Between Quality Assurance-Improvement, Program Evaluation and Research 

How do I know if my work requires ethics review:

Review the ethics Tip Sheet, prior to submission to determine if your research requires ethics approval.

Research Involving Indigenous People

For graduate students whose research involves Indigenous People (First Nations, Inuit, and Métis), Communities, Lands and Nations, this must specifically be reviewed by the Indigenous Research Ethics Board (IREB). This includes research associated with a thesis/dissertation, MRPs/Projects, and course-related projects.  Students and their supervisors must review the  Senate Policy on Indigenous Research Involving Human Participants in advance of collaborating on the development of their ethics protocol. Graduate student researchers are required to submit the IREB protocol form in lieu of the HPRC form to the Indigenous Research Ethics Board for approval.

The following questions may assist in determining whether your research involves Indigenous peoples:

  • Will the research be conducted on Indigenous land (Canada; international) for which permission and/or approval from an authority (such as a band council, First Nations Research Ethics Board etc.) may be required?
  • Will recruitment criteria include Indigenous identity as either a factor for the entire study or for a subgroup of the study?
  • Will the research seek input from participants regarding an Indigenous peoples’ cultural heritage, artefacts, or traditional knowledge?
  • Will research in which Indigenous identity or membership in an Indigenous community be used as a variable for the purpose of analysis of the research data?
  • Will interpretation of research** results refer to Indigenous communities, peoples, language, history or culture? “Research” does not include literary criticism and/or history (excluding oral history) and/or primarily textual activities)

If you have answered ‘Yes’ to any of the above noted questions, then your research involves Indigenous peoples and will need to be reviewed by the Indigenous REB, using the IREB protocol form.

All other types of research 

All other forms of research by York University graduate students must be reviewed by the  Human Participants Review Committee (the HPRC). The Faculty of Graduate Studies provides a delegated review of all submitted ethics proposals before they are sent to the Office of Research Ethics and the HPRC.

How to submit your Research Proposal and Ethics Protocol

For students: To submit your research ethics package, login to our graduate proposal milestone portal. The portal will prompt you to upload all mandatory forms and supporting documents with your submission. We have created a Guide for Students: Proposal Milestone Portal to assist you with its navigation.

For staff/faculty members: To view submissions, login via graduate proposal milestone portal.

Important - Please read before you submit your application to the graduate milestone portal:

Type A - submissions do not require TD forms. After submission, your proposal milestone is sent to your graduate program and supervisory members for review and approval within the system. 

Types B-G - submissions require the attachment of TD and other relevant forms. These forms must first be signed by your supervisor/supervisory committee and Graduate Program Director before they are uploaded in the system. Please gather the necessary signatures and attach the signed forms. Your submission will be sent to your Graduate Program Assistant for review before coming directly to the Faculty of Graduate Studies.

This means that review and sign-off is done by your supervisory members and Graduate Program Director on the forms and not in the system.   

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Staff/Faculty Portal

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York University is committed to the highest standards of integrity in research. All projects involving the use of Human Subjects, Animals and Biohazardous Materials are subject to review by the appropriate University committee. York University has formulated policies for the conduct of research involving all three of these areas. It is the policy of the University that researchers conducting research involving human subjects, animals and/or biohazardous agents must obtain approval of their research from the relevant ethics committee prior to commencing research activities.

Graduate students undertaking research for graduate courses, major research papers, theses, or dissertations involving human participants are required to follow the appropriate procedures and obtain ethics approval before conducting research activities. Students must also maintain active registration status when submitting a research proposal and while conducting the approved research. The information below outlines the ethics protocols and procedures for each category of research.

Please carefully review the procedures that are relevant to your project, and ensure that you complete and submit all of the required documents along with your research proposal to your graduate program. Incomplete or illegible protocols will be returned to the student, which will delay the process. If you have further questions about research ethics review processes, consult Decision Chart- Full Board and Delegated Ethics Review Processes.

Students are encouraged to familiarize themselves with FGS Ethics & Proposal Review Process at the start of their academic journey. It provides an overview of the roles and responsibilities of the student, program and supervisor/supervisory committee. Students should thoroughly review the guide before submitting their research proposal for FGS approval or requesting ethics approval from ORE. It should be used regularly as a roadmap for resources, responsibilities, and timelines.

Graduate Student Risk Assessment

The Graduate Student Risk Assessment Guidelines of the Faculty of Graduate Studies (FGS) serve to assist graduate students in identifying appropriate health and safety considerations and preventative efforts prior to departing for field activities. In concert with the Graduate Student Risk Assessment Form, Undertaking, Release and Checklist, graduate students should review these guidelines with their faculty supervisor. Assessing risk is a critical step in determining necessary hazard controls and other mitigation required for specific research activities.

Please visit Graduate Student Risk Assessment for more information including applicable forms.

Theses, Dissertations and Pilot Projects Involving Human Participants

Graduate students conducting research for the purpose of completing a graduate thesis or dissertation are subject to review by a delegated ethics review committee comprised of the Associate Dean(s), Research, Faculty of Graduate Studies and the Chair/Vice-Chair HPRC. Where delegated reviewers decide that a protocol should not be approved, the protocol will be referred to the HPRC for full board review.

All graduate student researchers must complete the TCPS tutorial to establish that they have completed the necessary education component and attach their certificate of completion to their protocols. Protocols will not be accepted for review unless a valid TCPS tutorial certificate is attached.

When is Ethics Review Required

All research involving human participants is considered research subject to review. The Principal Investigator (researcher) of any research project involving human participants:

  • MUST have a protocol that describes how the researcher(s) will interact with the human participants; and
  • MUST have that protocol reviewed and approved by the appropriate Research Ethics Committee before the  research commences; and
  • MUST obtain informed consent from ALL research participants. For minor-age participants (Those under the age of 16 for minimal-risk research), both parental consent and participant assent are required.

NOTE:  Failure to obtain ethics approval prior to the commencement of Research Activities is considered both a breach of Senate Policy as well as research misconduct.  All such instances of non-compliance will be addressed by the appropriate institutional office.

NOTE: Graduate students must be registered as active in a graduate program while conducting approved research with human participants, animals, and/or biological agents. Graduate students on leave or who have withdrawn from their graduate program with an approved research protocol on record may not conduct/continue to conduct any research with human participants, animals, and/or biological agents, until such time that their student registration status becomes active. 

With an ‘inactive’ registration status, please note that your approved protocol will be marked as suspended by the Office of Research Ethics. When you are ready to return to your studies, students must petition to reinstate, and must contact the Office of Research Ethics at ORE@yorku.ca, citing their protocol number, and inquire as to whether they need to reapply (if leave has been longer than a year) or if the pause can be lifted.

Graduate students are not permitted to conduct any research with human participants, animals and/or biological agents without an approved proposal by their programs and FGS and an approved ethics protocol.

Research Ethics Review and Approval: Forms and Processes

  1. If the research is minimum risk*:
    – Form TD1: Thesis/Dissertation Research Proposal
    – Thesis/Dissertation Proposal
    – Form TD2: Research Ethics Protocol Form for Graduate Student Thesis, Dissertation, or Pilot Project
    – Informed consent and other relevant documents described in TD2 checklist
    – TCPS Tutorial Certificate (*Must complete the CORE 2022 certificate released in 2022)
  2. If the research involves Aboriginal/Indigenous Peoples; clinical trials; or research that is more than minimum risk:
    – Form TD1: Thesis/Dissertation Research Proposal
    – Thesis/Dissertation Proposal
    – Indigenous Research Ethics Board (IREB) protocol form
    – Informed consent and other relevant documents described in HPRC form
    – TCPS Tutorial Certificate (*Must complete the CORE 2022 certificate released in 2022)
  3. If the research is conducted as part of or a subset of a faculty member’s approved research project:
    – Form TD1: Thesis/Dissertation Research Proposal
    – Thesis/Dissertation Proposal
    – Form TD4: Statement of Relationship Between Proposal and an Existing HPRC-Approved Project
    – HPRC Approval Certificate for faculty’s research project
    – TCPS Tutorial Certificate (*Must complete the CORE 2022 certificate released in 2022)
  4. If the research that is based on secondary data analysis:
    – Form TD1: Thesis/Dissertation Research Proposal
    – Thesis/Dissertation Proposal
    – Form TD2: Research Ethics Protocol Form for Graduate Student Thesis, Dissertation, or Pilot Project
    – Informed consent and other relevant documents described in TD2 checklist (if applicable), Debriefing Consent Form for studies involving deception
    – TCPS Tutorial Certificate (*Must complete the CORE 2022 certificate released in 2022)

*For the purposes of Research Ethics Review, “minimal risk” research is defined by the TCPS as research in which the probability and magnitude of possible harms implied by participation in the research is no greater than those encountered by participants in those aspects of their everyday life that relate to the research.

Note: If the proposed research poses an elevated risk to yourself as the researcher requiring further health and safety considerations, you must consult the Graduate Student Risk Assessment Guidelines and complete the Graduate Student Risk Assessment Form.

  1. A pilot project is defined as preliminary research that is necessary in order to be able to write the thesis or dissertation proposal. Pilot projects must still include a description of research procedures and sample research instruments (e.g., survey or interview questions). Please submit TD2 form and informed consent documents.
  2. Secondary Data Analysis is described as the analysis of data involving human participants collected for a purpose other than that for which it was originally collected in order to pursue a research interest which is distinct from that of the original work.
  3. The HPRC uses the definition of minimal risk as outlined in the SSHRC/NSERC/CIHR Tri-Council Policy Statement: “Ethical Conduct for Research involving Humans” (December 2014): “‘minimal risk’ research is defined as research in which the probability and magnitude of possible harms implied by participation in the research is no greater than those encountered by participants in those aspects of their everyday life that relate to the research” (Article 2.8B). An expanded version of this definition is available from the Office of Research Ethics upon request.
  4. Your research involves Aboriginal/Indigenous Peoples if:
    • your research will be conducted on Aboriginal land (Canada; international);
    • recruitment criteria will include Aboriginal identity as either a factor for the entire study or for a subgroup of the study;
    • your research will seek input from participants regarding an Aboriginal community’s cultural heritage, artefacts or traditional knowledge;
    • aboriginal identity or membership in an aboriginal community will be used as a variable for the purpose of analysis of the research data; or
    • interpretation of research results will refer to Aboriginal communities, peoples, language, history or culture. Note: Literary criticism and/or history (excluding oral history) and/or primarily textual activities are not applicable.
  5. To access the HPRC form, please visit HPRC form

All research involving human participants for graduate courses and Graduate Major Research Papers (MRPs) that is non-funded, minimal-risk, does not involve Aboriginal peoples or a clinical trial must be reviewed by the relevant unit level Delegated Ethics Review Committee. Research subject to review includes, but is not limited to: surveys, questionnaires, interviews, participant observation and secondary data analysis.

NOTE: Research conducted for a course or Major Research Paper (MRP) that is more than minimal risk and /or involves Aboriginal/Indigenous peoples and/or involves clinical trials must be reviewed by the Human Participants Review Committee (HPRC) or Indigenous Research Ethics Board (IREB). For these types of research, students are required to complete the HPRC form or the Indigenous Research Ethics Board (IREB) protocol form and submit to the relevant committee for review.  Please contact the Office of Research Ethics for more information (ore@yorku.ca)

For more information on ethics review requirements for graduate and undergraduate course-related research and MRPs, please go to, “Ethics Review Requirements" for Course-Related Research by Students.

When Is Ethics Review Required?

All research involving human participants is considered research subject to review. The Principal Investigator (researcher) of any research project involving human participants:

  • MUST have a protocol that describes how the researcher(s) will interact with the human participants; and
  • MUST have that protocol reviewed and approved by the appropriate Research Ethics Committee before the  research commences; and
  • MUST obtain informed consent from ALL research participants. For minor age participants (those under the age of 16 for minimal risk research), both parental consent and participant assent is required.

NOTE:  Failure to obtain ethics approval prior to the commencement of Research Activities is considered both a breach of Senate Policy as well as research misconduct.  All such instances of non-compliance will be addressed by the appropriate institutional office.

What Forms Do I Use and Where Do I Submit Them?

A. If you are a Graduate or Undergraduate Course Instructor:

If the students in your graduate or undergraduate course are conducting research involving human participants as part of a course assignment, the research is minimal risk and does NOT involve Aboriginal/Indigenous peoples, and all students in the class are conducting the same or similar research, then proceed as follows:

  1. Complete the Generic Protocol: Course Related Research Involving Human Participants 
  2. Review the “Course Director Responsibilities” document
  3. Submit the completed Protocol Package (Protocol form, Consent document(s) and other relevant documents) (such as survey tools, questionnaires, recruitment materials etc) to the relevant Unit level Delegated Ethics Review Committee

B. If you are an Undergraduate Student:

If you are conducting research involving human participants, as part of an undergraduate course assignment, or as an individual project (either for the class or for an undergraduate thesis), then proceed as follows:

  1. Complete the Individualized Protocol: Course Related Research Involving Human Participants;
  2. Review the “Student Researcher Responsibilities” document
  3. Submit the completed Protocol Package (Protocol form, Consent document(s), your completed TCPS tutorial certificate and other relevant documents) (such as survey tools, questionnaires, recruitment materials etc) to the relevant Unit level Delegated Ethics Review Committee  for review and approval.

C. If you are a Graduate Student:

  1. If you are conducting research involving human participants, as part of a graduate course assignment, and the research is minimal risk and does NOT involve Aboriginal/Indigenous peoples, then proceed as follows:

2. If you are conducting research involving human participants, in support of a Major Research Paper and the research is minimal risk and does NOT involve Aboriginal/Indigenous peoples, then proceed as follows

  1. Complete the Generic Protocol: Course-related Research Involving Human Participants;
  2. Review the “Student Researcher Responsibilities” document;
  3. Submit the MRP protocol package (Protocol form, Consent document(s), your completed TCPS tutorial certificate and other relevant documents) (such as survey tools, questionnaires, recruitment materials etc) to your Supervisory/Advisory Committee for approval and signature;
  4. Submit the signed MRP Protocol package to the relevant Unit level Delegated Ethics Review Committee for review and approval.

D. Graduate Program Directors:

Annually, each Graduate Program will compile the following information for the period from June 1st to May 31st and submit it to the Faculty of Graduate Studies:

  • A listing of all courses in which research was conducted involving human participants
  • A listing of the titles of MRPs involving human participants and the names of students who undertook the MRPs
  • Information about the Unit level Delegated Ethics Review Committee, including the Chair, review members and administrative contact

Further information about the Delegated Ethics Review Committees (Composition, responsibilities, reporting requirements and forms)  are available at the Office of Research Ethics website.

Resources

For more information, please consult the following sources:

Contact

Faculty of Graduate Studies: Research Officer: FGSRO@yorku.ca

The Office of Research Ethics (ORE): ORE@yorku.ca

ORE Office Hour

The ORE will host virtual office hours (via Zoom) for students and faculty members who have questions about ethics applications for research involving human participants.

Their virtual office hours will be every Wednesday between 12:00 PM - 1:00 PM. No appointment is necessary.

Zoom: Join the Meeting