Report on Responsible Conduct of Research Files
April 1, 2022 to March 31, 2023

Figure 1: Status of RCR files for FY 2022-23

Figure 1 long description
  • Opened: 29
  • Closed: 37
  • Active: 73

The Secretariat addressed 110 RCR files between April 1, 2022 and March 31, 2023. At the end of the 2022-23 fiscal year, 73 files remained active.

Figure 2: Number of RCR files opened by Agency

Figure 2 long description
  • CIHR: 9
  • NSERC: 12
  • SSHRC: 8

Of the 29 files opened during the reporting period, 9 (31%) related to CIHR-funded research, 12 (41%) related to NSERC-funded research, and 8 (28%) related to SSHRC-funded research.

Figure 3: Outcome of RCR files closed

Figure 3 long description
  • Breach: 21
  • No Breach: 14
  • No Determination: 2

Of the 37 files closed during the reporting period, 21 (57%) involved at least one breach of the RCR Framework. 14 (38%) did not involve a breach and 2 (5%) were closed with no determination.

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

Figure 4 long description
  • CIHR: 11
  • NSERC: 7
  • SSHRC: 3

Of the 21 files involving a breach, 11 (53%) related to CIHR-funded research, 7 (33%) related to NSERC-funded research, and 3 (14%) related to SSHRC-funded research.

Figure 5: RCR files involving a breach by province

Figure 5 long description
  • Ontario: 7 (34%)
  • Quebec: 4 (19%)
  • BC: 3 (14%)
  • Manitoba: 3 (14%)
  • Other* (AB, SK): 4 (19%)

*Provinces with fewer than three 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: 7 (20%)
  • Plagiarism: 6 (17%)
  • Falsification: 5 (14%)
  • Fabrication: 4 (12%)
  • Inadequate acknowledgement: 3 (8%)
  • Lack of rigour: 3 (8%)
  • Invalid authorship: 2 (6%)
  • Mismanagement of COI: 2 (6%)
  • Misrepresentation in Agency application: 1 (3%)
  • Mismanagement of funds: 1 (3%)
  • Destruction of research records: 1 (3%)

Of the 21 closed files in which a breach was confirmed, 35 breaches were identified. Some files involved more than one breach.

Figure 7: Types of recourses imposed by the Agencies

Figure 7 long description
  • Ineligibility to apply for and/or hold Agency funds: 9 (25%)
  • Peer review ineligibility: 9 (25%)
  • Letter of reprimand: 7 (19%)
  • Letter of awareness: 7 (19%)
  • Correction of research record: 2 (6%)
  • Reimbursement of funds: 1 (3%)
  • Training: 1 (3%)

Of the 21 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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