Checklist – Inquiry and/or Investigation Reports

Eligible institutions must prepare reports on all inquiries and investigations of allegations submitted in accordance with the Tri-Agency Framework: Responsible Conduct of Research (“RCR Framework”). The public interpretation on Inquiry vs. Investigation explains the distinction between: an inquiry; an investigation; and a more detailed description of reporting requirements.

Institutions must send their reports to the Secretariat on Responsible Conduct of Research (secretariat@srcr-scrr.gc.ca) when Agency funds are involved or when the other circumstances described in section 5 of the interpretation are applicable.

The checklist below is intended to assist institutions (and the people delegated by institutions to conduct inquiries or investigations) in preparing their reports. The use of this checklist is optional.

When submitting their inquiry and investigation reports to the Secretariat, institutions must append a cover letter signed by the institution’s senior official responsible for the responsible conduct of research. See Checklist – Institutional Cover Letter for elements to include in such a cover letter.

Reports should include the following elements:

1.

Date received

  • Indicate the date that the allegation was first received by the institution and, if different, the date that the allegation was brought to the attention of the institution’s designated RCR contact.
2.

Allegation

  • Describe the allegation or allegations.
  • Indicate which articles of the institution’s policy on responsible conduct of research and RCR Framework have allegedly been breached. (See public interpretation on Definition of Breach).
3.

Parties involved

  • List the names, positions and affiliations of the Complainant(s) and the Respondent(s).
  • Where applicable, list the names, positions and affiliations of any other relevant parties to the allegation, e.g., students, supervisors, co-investigators, lab staff, etc.
4.

Source of funding

  • Indicate whether the allegation involves Agency funds.
  • If Agency funds or applications are involved, list the following information:
    • titles of grants;
    • competition years;
    • amount of funding received, in total and per year;
    • the names of the principal investigators and, if possible;
    • the grant or award ID numbers.
5.

Inquirer(s)

  • If the process is an inquiry, list the names, positions, affiliations and expertise of the person or people tasked with conducting the inquiry.
  • Include a statement confirming that the person or people conducting the inquiry are free of conflict of interest in relation to the allegation.

Investigation Committee

  • If the process is an investigation, list the names, positions, affiliations and expertise of the members of the investigation committee.
  • Indicate which member is external to the institution. (See public interpretation on External Member)
  • Include a statement confirming that the committee members are free of conflict of interest in relation to the allegation.

See public interpretation on Inquiry vs Investigation for the distinction between an inquiry and an investigation.
6.

Process

  • Describe the process used to conduct the inquiry or investigation.
  • Include timelines, lists of individuals interviewed (if applicable), and documents reviewed (e.g., published or unpublished works).
  • Indicate whether all relevant parties have had an opportunity to be heard. (See public interpretation on Opportunity to be Heard)
7.

Analysis

  • Summarize the information gathered, and the facts identified, during the inquiry or investigation.
  • Ensure that the summary includes information on the Respondent’s response to the allegation(s), and the measures that the Respondent may have taken to remedy the breach, if applicable.
8.

Findings - Inquiry

  • If the process is an inquiry, indicate whether or not the allegation is responsible and whether an investigation is warranted. (See public interpretations on Responsible Allegation and Inquiry vs. Investigation).
  • Provide the evidentiary basis or rationale for this determination.
  • If a breach is confirmed (see public interpretation on Definition of Breach), indicate what article of the RCR Framework was breached, who was responsible and provide the evidentiary basis or rationale for this determination.

Findings – Investigation

  • If the process is an investigation, indicate whether a breach occurred (see public interpretation on Definition of Breach), and who was responsible.
  • Provide the evidentiary basis or rationale for this determination.
9.

Recommendations

  • List any recommendations, for the Institution, for the Respondent, or for any other parties that arise from the process.
10.

Additional elements

Where appropriate, reports should also include:

  • An assessment of the severity, intentionality and impact of the breach (if confirmed).
  • A description of any systemic issues, whether individual or institutional, that may have contributed to the breach.
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