Report on Responsible Conduct of Research (RCR) Files
April 1, 2019 to March 31, 2020

Figure 1: Status of RCR files for FY 2019-20

Figure 1 long description
  • Opened: 41
  • Closed: 35
  • Active: 73

The Secretariat addressed 108 RCR files between April 1, 2019 and March 31, 2020. At the end of the 2019-20 fiscal year, 73 files remained active.

Figure 2: Number of RCR files opened by Agency

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  • CIHR: 15 (37%)
  • NSERC: 17 (41%)
  • SSHRC: 9 (22%)

Of the 41 files opened during the reporting period, 15 (37%) related to CIHR-funded research, 17 (41%) related to NSERC-funded research, and 9 (22%) related to SSHRC-funded research.

Figure 3: Outcome of RCR files closed

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  • Breach: 26 (74%)
  • No Breach: 9 (26%)

Of the 35 files closed during the reporting period, 26 (74%) involved at least one breach of the RCR Framework. 9 (26%) did not involve a breach.

Figure 4: Breakdown by Agency of RCR files involving a breach

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  • CIHR: 7 (27%)
  • NSERC: 12 (46%)
  • SSHRC: 7 (27%)

Of the 26 files involving a breach, 7 (27%) related to CIHR-funded research, 12 (46%) related to NSERC-funded research, and 7 (27%) related to SSHRC-funded research.

Figure 5: RCR files involving a breach by province

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  • Other* (BC, AB, SK, MB, NS, NB): 9 (35%)
  • Ontario: 9 (35%)
  • Quebec: 8 (30%)

*Provinces with four or fewer RCR files involving a breach are included in this category to maintain the confidentiality of the parties involved.

Figure 6: Categories of confirmed breaches

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  • Breach of Agency policy: 8 (28%)
  • Lack of rigour: 2 (7%)
  • Misrepresentation in Agency application: 2 (7%)
  • Mismanagement of COI: 2 (7%)
  • Invalid authorship: 2 (7%)
  • Plagiarism: 7 (25%)
  • Mismanagement of Agency funds: 1 (3%)
  • Fabrication: 1 (3%)
  • Breach of peer review process: 1 (3%)
  • Falsification: 2 (7%)
  • Self-plagiarism: 1 (3%)

Of the 26 closed files in which a breach was confirmed, 29 breaches were substantiated. Some files involved more than one breach.

Figure 7: Types of recourses imposed by the Agencies

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  • Funding ineligibility: 11 (26%)
  • Peer review ineligibility: 10 (23%)
  • Letter of awareness: 10 (23%)
  • Letter of reprimand: 6 (14%)
  • Grant termination: 3 (7%)
  • Training: 3 (7%)

Of the 26 closed files in which a breach was confirmed, 43 recourses were imposed. There may be more than one recourse per breach.

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