Report on Responsible Conduct of Research Files
April 1, 2021 to March 31, 2022

Figure 1: Status of RCR files for FY 2021-22

Figure 1 long description
  • Opened: 42
  • Closed: 38
  • Active: 81

The Secretariat addressed 119 RCR files between April 1, 2021 and March 31, 2022. At the end of the 2021-22 fiscal year, 81 files remained active.

Figure 2: Number of RCR files opened by Agency

Figure 2 long description
  • CIHR: 17
  • NSERC: 15
  • SSHRC: 10

Of the 42 files opened during the reporting period, 17 (40%) related to CIHR-funded research, 15 (36%) related to NSERC-funded research, and 10 (24%) related to SSHRC-funded research.

Figure 3: Outcome of RCR files closed

Figure 3 long description
  • Breach: 22
  • No Breach: 16

Of the 38 files closed during the reporting period, 22 (58%) involved at least one breach of the RCR Framework. 16 (42%) did not involve a breach.

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

Figure 4 long description
  • CIHR: 6
  • NSERC: 11
  • SSHRC: 5

Of the 22 files involving a breach, 6 (27%) related to CIHR-funded research, 11 (50%) related to NSERC-funded research, and 5 (23%) related to SSHRC-funded research.

Figure 5: RCR files involving a breach by province

Figure 5 long description
  • Alberta: 5 (23%)
  • Quebec: 4 (18%)
  • BC: 3 (14%)
  • Manitoba: 3 (14%)
  • Other* (ON, SK, NS, NB, NFLD): 7 (31%)

*Provinces with fewer than 3 RCR files involving a breach are included in this category to maintain the confidentiality of the parties involved.

Figure 6: Categories of confirmed breaches

Figure 6 long description
  • Breach of Agency policy: 8 (33%)
  • Misrepresentation in Agency application: 3 (13%)
  • Plagiarism: 3 (13%)
  • Mismanagement of Agency funds: 3 (13%)
  • Invalid authorship: 2 (8%)
  • Falsification: 2 (8%)
  • Self-plagiarism: 1 (4%)
  • Fabrication: 1 (4%)
  • Mismanagement of COI: 1 (4%)

Of the 22 closed files in which a breach was confirmed, 24 breaches were substantiated. Some files involved more than one breach.

Figure 7: Types of recourses imposed by the Agencies

Figure 7 long description
  • Funding ineligibility: 5 (19%)
  • Peer review ineligibility: 4 (16%)
  • Letter of reprimand: 11 (42%)
  • Letter of awareness: 5 (19%)
  • Reimbursement of funds: 1(4%)

Of the 22 closed files in which a breach was confirmed, 26 recourses were imposed. There may be more than one recourse per breach.

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