Report on Responsible Conduct of Research Files
April 1, 2020 to March 31, 2021

Figure 1: Status of RCR files for FY 2020-21

Figure 1 long description
  • Opened: 40
  • Closed: 46
  • Active: 67

The Secretariat addressed 113 RCR files between April 1, 2020 and March 31, 2021. At the end of the 2020-21 fiscal year, 67 files remained active.

Figure 2: Number of RCR files opened by Agency

Figure 2 long description
  • CIHR: 16
  • NSERC: 16
  • SSHRC: 8

Of the 40 files opened during the reporting period, 16 (40%) related to CIHR-funded research, 16 (40%) related to NSERC-funded research, and 8 (20%) related to SSHRC-funded research.

Figure 3: Outcome of RCR files closed

Figure 3 long description
  • Breach: 26
  • No Breach: 20

Of the 46 files closed during the reporting period, 26 (57%) involved at least one breach of the RCR Framework. 20 (43%) did not involve a breach.

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

Figure 4 long description
  • CIHR: 11
  • NSERC: 10
  • SSHRC: 5

Of the 26 files involving a breach, 11 (42%) related to CIHR-funded research, 10 (39%) related to NSERC-funded research, and 5 (19%) related to SSHRC-funded research.

Figure 5: RCR files involving a breach by province

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  • Ontario: 14 (55%)
  • Quebec: 4 (15%)
  • BC: 4 (15%)
  • Other* (AB, SK, MB, NFLD): 4 (15%)

*Provinces with three 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: 6 (21%)
  • Misrepresentation in Agency application: 5 (17%)
  • Falsification: 5 (17%)
  • Plagiarism: 3 (10%)
  • Invalid authorship: 3 (10%)
  • Mismanagement of Agency funds: 3 (10%)
  • Self-plagiarism: 2 (7%)
  • Mismanagement of COI: 1 (4%)
  • Fabrication: 1 (4%)

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

Figure 7: Types of recourses imposed by the Agencies

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  • Funding ineligibility: 11 (30%)
  • Peer review ineligibility: 9 (25%)
  • Letter of reprimand: 7 (19%)
  • Letter of awareness: 6 (17%)
  • Cancellation of installment: 2 (6%)
  • Training: 1 (3%)

Of the 26 closed files in which a breach was confirmed, 36 recourses were imposed. There may be more than one recourse per breach.

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