2003-003
Course Ethics Application Case Files
Research Ethics, Office of
| Records | Active retention (in office) | Semi-active (records centre) | Total retention | Final disposition |
|---|---|---|---|---|
| Course Ethics Application Case Files (Paper and Electronic) | S/O when course altered | Nil | S/O when course altered | Destruction |
| Reserved secondaries (-00, -01, -02, -03, -04) (Paper) | See ORE File Classification Plan for details | See ORE File Classification Plan for details | See ORE File Classification Plan for details | Selective Retention by Archives |
CY = Current calendar year; CFY = Current fiscal year; CS = Current semester; S/O = Superseded or obsolete; OPR = Office of Primary Responsibility; Non-OPR = All other departments.
Records relating to the ethics review and approval of undergraduate and graduate courses that require or allow students to participate in research projects involving human subjects as part of training or assessment. Research involving human subjects occurs when data are derived from: 1) information that is collected through intervention or interaction with a living individual (e.g. interviews, questionnaires, observations taken that are noticeable by the individual); 2) secondary sources/non-public sources (e.g. interviews about a living individual, company personnel records, student records collected by an educational institution); and 3) identifiable private information about a living individual. Applications for ethics approval of a course must be made by the Chair of a Department or the Director of a School.
The Director of the Office of Research Ethics (DORE) reviews all course ethics applications. If the DORE is satisfied that a course poses only minimal risk to research subjects and student participants, s/he will grant approval for the course to be designated as a "Research Ethics approved course". A summary of such approval will be forwarded to a regular meeting of the Research Ethics Board for ratification. This designation will remain with the course as long as the course description and the general method of teaching the course does not change.
Applicants are required to submit their applications for review through on-line web forms. These forms document a description of the course; the course outline; a general description of the types(s) of research projects that are likely to be part of the course; the means by which the students in the course are made familiar with appropriate ethical standards; the means by which students submit their research plans to the instructor(s); the means by which those plans are assessed and approved by the instructor(s); the means by which the conduct of student research projects are monitored; and other relevant information. Case files may also include additional materials that are required or submitted as part of the application process such as correspondence, memoranda and e-mail, notice of approval with attached summary prepared by the DORE, and copies of printed materials used in the course to make students aware of appropriate ethical standards.
Data submitted through web forms is stored in a FileMaker Database maintained by the ORE. Additional materials that are required or submitted in support of the application review process may be in either paper form or electronic form as word processed documents, pdf documents, scanned text, graphic files, etc. Currently, the ORE creates a parallel hard copy case file by printing out all submitted electronic documents, including the data submitted through web forms, as an assurance against data loss or corruption through technological obsolescence or digital media fragility. As a result of this print-to-paper practice and the occasional receipt of supporting paper documents, the ORE maintains two versions of a course case file, a paper one and an electronic one. The paper case file is treated as the authoritative “original” and will be disposed of by ORE staff in accordance with the retention rules described in this RRSDA. ORE staff are also responsible for deleting/destroying the electronic records that comprise the electronic version of the case file at the end of the total recommended retention period.
The DORE acts as Secretary to the REB, making the Office of Research Ethics the Office of Primary Responsibility (OPR) for this records series.
See also the following RRSDAs:
2003-001, Faculty and Staff Ethics Application Case Files 2003-002, Student Ethics Application Case Files
These records are created, used, retained and managed in accordance with the following authorities:
A case file remains active as long as the course it documents is categorized as a "Research Ethics approved course". The ORE should maintain these files as evidence of the courses it has reviewed and approved and the rationale for their approval. The value of a case file declines after the curriculum of an approved course has been altered, necessitating re-submittal for ethics review. The recommended total retention period (S/O when course altered) is sufficient to meet the university's administrative, fiscal, and legal need for these records. Records will be destroyed upon the expiry of the total retention period.
As explained in the Purpose and Description of Records, the ORE maintains two versions of a case file, an electronic one and a paper one. The paper case file is treated as the authoritative “original” and will be disposed of by ORE staff in accordance with the retention rules described in this RRSDA. ORE staff are also responsible for deleting/destroying the electronic records that comprise the electronic version of the case file at the end of the total recommended retention period.
Course Ethics Application Case Files form part of the record-keeping system of the Office of Research Ethics which acts as secretariat to the Research Ethics Board. All paper case files are coded according to the ORE's file classification plan. Note that the reserved secondaries associated with the Course Ethics Applications primary have a total recommended retention period of CY + 7 years. See file plan for details.
At the end of the active retention period (S/O when course altered) contact Facilities Management to arrange for the confidential destruction of the paper case files. They do not need to be boxed and sent to the University Records Centre (URC).
RRSDA is in force.
Approved by the University Archivist: 29 May 2003