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Faculty of Graduate Studies (FGS) Faculty of Graduate Studies

Research Ethics

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.

The Faculty of Graduate Studies is governed by the Senate Policy on Research Involving Human Participants. The Senate Policy 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 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 also must maintain active registration status 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

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.

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Theses, Dissertations and Pilot Projects Involving Human Participants

Graduate students conducting research for the purposes 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.

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
    – Human Participant Research Committee (HPRC) 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)
    – 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.

*If your research involves an in-person method, please review required documents and steps.

Notes

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). For these types of research, students are required to complete the HPRC form and submit it to the HPRC 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.

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.

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:
  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.

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 MRP Protocol: 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 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

Please contact the Research Officer by visiting our FGS Staff Directory.