Ethics Proposal
MAJOR ASSIGNMENT #1 – ETHICS *WORTH 20%*
In general, your ethics proposal should be based on the class experiment that everyone completed at the beginning of the semester.
The class experiment involved making a judgment on whether the second bar graph presented was the same as the first (or target bar graph). There were 3 different conditions of difficulty where the cognitive load was increased (2-bars = low cognitive load, 4-bars = moderate cognitive load, 6-bars = high cognitive load). We measured reaction time data and proportion correct (accuracy) for each trial. We also collected demographic information including gender, age, handedness, and employment status). The results of the study are posted in an Excel document online.
Part of the ethics proposal asks for you to come up with your own research question (related to the class experiment that we have already conducted) and discuss the relevant background information on your research topic . To help you come up with your research question you should work backwards from the type of data that we collected (posted online). For example, the data posted has reaction times for 2-bar (low cognitive demand), 4-bar (medium cognitive demand), and 6-bar (high cognitive demand) conditions. An appropriate research question could be: “Is there a difference in reaction times between cognitive demand conditions (low, medium, and high?”.
Once you’ve created a research question based on our experiment, you can move forward with completing the ethics proposal and activities. Imagine that you are a researcher embarking on answering your research question using the methods from the class experiment. Some of the questions on the ethics protocol will involve you being creative with imaging what you would do when conducting the study. In general, you are responsible for demonstrating that you understand the ethical obligations if you were to conduct such a study. For example, data storage should be in a locked cabinet and on password protected computers, etc. These questions demonstrate a general understanding of ethics regardless of your research question.
Finally, for the additional portions (consent form, study advertisement poster, email script, and phone script) you are to create these as if you were going to move forward with running your study. I know, I’ve already gone ahead and ran the study on your behalf and collected the data. So, there is a little bit of make-believe involved here. The advertisement poster should resemble others that you may have seen on campus advertising research studies (they do not have to be graphic heavy), the phone script and email script will be similar to each other and will be a depiction of what you would say to a potential participant if contacting them over email or over the phone to participate.
Office of Research Ethics
Human Participants Review Committee
(HPRC)
Protocol Instructions
Complete the following ethics protocol form for your desired research project.
Please make sure to answer each question fully and follow all instructions
indicated on the form. For sections that do not apply to your research study
please write N/A in the space provided. Make sure to follow word limit guidance.
HPRC Protocol Document Checklist
Please attach the following items to your final package:
1. HPRC Protocol Application
2. Consent Form
3. Recruitment Materials: Posters, Email Recruitment Script, Telephone Script
Research Ethics Guidelines
Consult Discovering the Scientist Within: Research Methods in Psychology text as
well as, the York University Office of Research Ethics website for guidelines that
speak to a number of ethics review related matters.
Any questions regarding this assignment can be directed towards your
appropriate Teaching Helpant or in a virtual drop-in tutorial session immediately
following Quiz #1 on October 6, 2022.
Submission Deadline
Monday October 24, 2022 – 20%
HPRC Protocol Form
Part A – General Information
1. Name of Principal Investigator (+ student number): ______________________________
2. Department and Home Faculty: ______________________________________________
Researcher’s Email: _______________________________________________________
3. Status of Principal Investigator:
a. York Faculty Member ____
b. Graduate Student ____
c. Undergraduate Student ____
d. Other: ____
4. Title of Research Project: ___________________________________________________
5. Is this research defined as:
a. Minimal Risk _____
b. More than Minimal Risk _____
6. Approximate dates for proposed study (mm/yy):
Start: __________ End: __________
7. Is any anticipated funding for this project from internal (i.e., York University) sources?
Yes _____
No _____
If yes, what is the funding source? ____________________________________________
8. Is any anticipated funding for this project from external (i.e., outside York University)
sources?
Yes _____
No _____
If yes, what is the funding source? ____________________________________________
Part B – Research Information
1. Project Description: In layperson’s terms, please provide a general and brief description
of the research (e.g. hypotheses, goals and objectives, relevant background information,
etc.). Minimum 300 words. Be sure to include at least 5 APA formatted references.
2. Participants:
a. State who the participant(s) will be: Describe the participants that will be
recruited and about whom personal information will be collected (i.e., numbers,
age, special characteristics, etc.). Describe the size of the group from which
participants will be recruited and the estimated number needed for the research
(minimum/ maximum). Where active recruitment is required, please describe
inclusion and exclusion criteria. Where the research involves extraction or
collection of personal information, please describe from whom the information
will be obtained and what it will include. Minimum 200 words.
b. Please indicate if this study will be using a participant pool (i.e., URPP):
Yes____ No____
3. Recruitment:
a. How will participants be recruited (e.g., snowball technique, random sampling,
previously known to interviewer, telephone solicitation, etc.)? Please elaborate
on each of the methods of recruitment. Minimum 150 words.
b. Will you be using any advertisements, flyers, posters, email scripts, social media
postings, etc. for recruitment purpose?
i. Please attach a copy of your poster, email script, and telephone script
with your protocol package.
4. Inducements:
a. Will you be offering inducements to participate (e.g., money, gift certificates,
academic credit, etc.)?
Yes _____ No_____
b. If yes, please specify the inducement/ compensation being offered. Please note
that inducements/ compensation cannot be tied to completion. Participants
have the right to withdraw without penalty – including financial.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
5. Methods:
a. Please indicate all the research methods that apply:
___ Action Research ___ Ethnography
___ Observation ___ Survey
___ Documentary/ Filmmaking ___ Focus Group
___ Experimental Lab Study ___ One-on-One Interview
___ Oral/Life History ___ Human Tissue
___ Experimental Behavioural Study ___ Online Research
___ Face-to-Face Research ___ Other: ______________
b. Do any of the methods involve:
Audio Recording? _____ Yes _____ No
Photographic/ Still Recording? _____ Yes _____ No
Video Recording? _____ Yes _____ No
c. What will be required of the participant(s). Clearly specify in a step-by-step
outline exactly what the participant(s) will be asked to do in each methodology.
A separate outline is required for each methodology. Include the settings, types
of information to be involved, and how data will be analyzed. Include details
about identifying participants, recruitment, procedures participants will
undertake, etc. Include copies of study instruments. Please also include
estimated time commitment required of participants for each method. Minimum
200 words.
d. What is the experience of the researcher/ research team with this kind of
research? Please provide a description of the individual team members’
experience with the proposed methods, participant population, etc.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
6. Risk:
Please indicate potential risks that the participants as individuals or as part of an
identifiable group or community might experience by being part of this research project.
Please provide a response for all sub-questions:
a. Physical risks (including any bodily contact; administration of any substance)?
_____ Yes _____ No
b. Psychological/ emotional risks (feeling uncomfortable, embarrassed, anxious,
upset)?
_____ Yes _____ No
c. Social risks (including possible loss of status, privacy and/or reputation)?
_____ Yes _____ No
d. Data security (i.e., risk to participant from data exposure)?
_____ Yes _____ No
e. No known anticipated risk.
_____ Yes _____ No
f. Please describe how each of the potential risks described above will be managed
and/or minimized:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
7. Benefits:
What, if any, are the benefits to the participants? Or, No Benefits _____
a. Discuss any potential direct benefits to the participants from their involvement
in the project; these might include education about research methods, useful
knowledge gained about self, etc.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
b. Comment on the (potential) benefits to the scientific/scholarly community or
society that would justify involvement of participants in this study.
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
8. Secondary analysis of data:
NOTE: 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.
Researchers are advised to review the “Secondary Data Analysis Guidelines” for further
information on requirements related to use of secondary data for research purposes.
a. Are you conducting secondary data analysis?
_____ Yes _____ No
If yes, please answer the following questions:
b. Are you using Anonymous Data? (Data which never included personal identifiers)
_____ Yes _____ No
c. Are you using Anonymized Data? (Data which has been stripped of personal
identifiers; no potential for data linkage)
_____ Yes _____ No
d. Are you using identifiable data?
_____ Yes _____ No
9. Conflict of Interest:
a. Is there a possibility of an apparent, actual, or potential conflict of interest on the
part of researchers, the University or sponsors? (e.g. commercialization of research
findings; self-funded research)
_____ Yes _____ No
b. Do any members of the research team have multiple roles with potential
participants (such as researcher and therapist, researcher and teacher,
student/supervisor, etc.)
_____ Yes _____ No
If yes, describe the nature of the multiple roles between researcher(s) and
participants:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Describe how the potential conflict of interest that will emerge as a result of the
dual roles will be minimized or managed:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
10. Informed Consent:
a. Is there a relationship between participants and either of the following:
Person obtaining consent: _____ Yes _____ No
Investigator(s): _____ Yes _____ No
If yes, what steps will be taken to avoid the perception of undue influence in
obtaining free and informed consent?
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
b. Ongoing consent is required if the research occurs over multiple occasions or over
an extended period of time. Does the research occur over multiple occasions and/or
over an extended period of time?
_____ Yes _____ No
If yes, please describe the process of how you intend to obtain ongoing consent:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
c. Is substitute consent involved (e.g., children, youths under 15, those without the
capacity to consent)?
_____ Yes _____ No
If yes, please elaborate on how consent and assent will be obtained (please append
a parental/guardian consent form and assent form/ script if necessary):
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
d. Is deception involved? Specifically, do you intend to withhold any information from
and/or intentionally mislead the research participants?
_____ Yes _____ No
If yes, please provide a description of the nature of the deception and whether it is
full or partial:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
If yes, please provide a rationale as to why deception (in whole or part) is required:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
e. How will informed consent be obtained? (Please check all that are applicable):
_____ Informed Consent form (please attach to this protocol)
_____ Verbally (please attach draft approximation of what participants will be
verbally told). If informed consent is being obtained verbally, please provide
a rationale regarding why a written informed consent form is not being
used.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
_____ Online (please attach to this protocol). If online consent is being obtained,
please indicate the website where questionnaire/ surveys will be hosted:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
11. Data Security:
Privacy refers to an individual’s right to be free from intrusion or interference by others.
It is a fundamental right in free and democratic society. The ethical duty of
confidentiality refers to the obligation of an individual or organization to safeguard
entrusted information. Security refers to measures used to protect information. It
includes physical, administrative, and technical safeguards.
For a fuller description of researcher obligations surrounding confidentiality, privacy and
data security issues, please consult the Data Security Guidelines for Research Involving
Human Participants.
In light of the above, please address the following questions:
a. Will the data be treated as confidential?
_____ Yes _____ No
If no, please provide a rationale as to why not:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
b. Will the participant(s) be anonymous? (Note: Participants are not anonymous to
researchers during interviews/ focus groups/ experimental research/ face-to-face
research, or where researchers have access to any identifiable information.)
_____ Yes _____ No
If no, please provide a rationale as to why not:
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
c. Describe the procedures to be used to ensure anonymity/ confidentiality of
participants -or- the confidentiality of data during the conduct of research and
dissemination of results (such as through data anonymization).
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
d. Explain how raw research materials such as written records, video/audio recordings,
artefacts, and questionnaires will be secured, how long they will be retained, and
provide details of their storage or disposal. Describe the standard data security
procedures for your discipline and provide a justification if you intend to store your
research materials and/or research data for a longer period of time. If you believe
the raw materials and/or research data may have archival value, discuss this and
whether participants will be informed of this possibility during the consent process.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
e. Please describe how you plan to store electronic data securely (such as video/audio
recordings and document files)
_____ Encrypted and/or password-protected USB keys, laptops, and/or other
portable electronic data devices
_____ Secure Server
_____ Other: __________________________________________________________
f. If you plan to collect data in hard copy, please describe how you plan to store it, i.e.,
consent forms and other written records
_____ Locked filing cabinet
_____ Other: __________________________________________________________
g. Please describe how you plan to sore other formats of data (if applicable):
_____________________________________________________________________
h. If you plan to retain data indefinitely, please provide a justification (e.g., data for
future research, comply with funder mandates, comply with journal data availability
policies, align with open science practices in your discipline, etc.):
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
i. Identify all parties who will have access to the data:
_____ Primary investigator/ supervisor
_____ Supervisor
_____ Other: __________________________________________________________
j. Uses of the data: Please describe all forms of output that are anticipated to result
from this research (e.g., presentations, written papers, placing data in an archive,
creative works, documentary films, etc.). Describe how any potentially identifying
information will be handled in each form of output.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
k. Subsequent use of data: Will the data potentially be used for other purposes in the
future (e.g., teaching, future analysis, publishing of dataset, archiving in an
institutional repository, etc.)?
_____ Yes _____ No
If no, the data will be solely used for the purposes described in this application and
will not be used for other purposes in the future.
If yes, participants must be informed of this possibility during the consent process.
Subsequent use of the data for new purposes may require additional review by the
Research Ethics Board.
12. Is there any additional information that you would like to add that may Help the HPRC
in reviewing your protocol?
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
I hereby certify that all information included on this form and all statements in the attached
documentation are correct and complete. I have examined the guidelines and principles detailed
above, and the Senate Policy for Research Involving Human Participants, and affirm that, to the
best of my knowledge, this research conforms thereto. I affirm that I have informed all members
of my research team of their responsibilities as it speaks to the conduct of research involving
human participants and as outlined in the Senate Policy, “Research Involving Human
Participants”. I have advised all research team members that all human participants in the
research must have signed a written consent form or have provided oral consent for their
participation in the research. I hereby undertake to notify the Human Participants Review
Committee if I make any changes involving the use of human participants on this project. I will
also notify the Human Participants Review Committee if any unforeseen risks not specified in the
research proposal appear. In such a case, the study will be suspended pending clarification.
Signature of Principal Investigator: _________________________________
Date: _________________________________
