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RCR File Summaries

The following file summaries provide a brief description of every confirmed breach of the Tri-Agency Framework: Responsible Conduct of Research (RCR Framework) that involved applications to, or funding by, the Agencies or any tri-Agency programs. These summaries cover the period from the launch of the Framework on December 5, 2011 to March 31, 2016.

RCR File Summaries

Each summary contains a distillation of the facts as established through the institutional inquiry or investigation, as well as a description of the recourse exercised by the institution and the relevant Agency. Such recourse is not within the authority of or required by the Agencies, but was implemented by the institutions within their absolute discretion to impose employment-related recourse measures such as suspensions or termination of employment. It is noted that these measures could be due to a number of issues and not solely the Respondent’s breach of the RCR Framework.

As the fact-finding body, it is the institution that determines the validity of an allegation. In rare cases where the Respondent (R) is receiving Agency funds but is not associated with an eligible institution, the Agency is responsible for making that determination.

When making its decision on recourse, the Agency will take into consideration factors such as the institution's findings, the nature and impact of the breach, and any actions taken by the institution and researcher involved to remedy the breach.

It is the policy of the Agencies that ineligibility for funding at one Agency automatically results in ineligibility at the other two Agencies, and all tri-Agency programs. The same is true of decisions regarding ineligibility to serve on review committees. An Agency declaration that a researcher is ineligible to hold or seek funding applies regardless of the researcher’s role: applicant or co-applicant, collaborator, partner or any other capacity.

Final decisions on recourse are taken by the President of the Agency involved, on the advice of the Secretariat and the Panel on Responsible Conduct of Research. If more than one Agency is involved, the decision will be taken jointly by the Presidents of those Agencies.

The summaries are anonymized, in keeping with provincial and federal privacy legislation. Files which result in serious breaches may be disclosed to the public under the terms of the Consent to Disclosure of Personal Information, which has been a condition of applying for Agency funding since November 2011. Files that are disclosed in an identifiable format pursuant to that policy are published in the Disclosures section of the website.

Our intention is to post future RCR file summaries in three-year instalments.