Report on Responsible Conduct of Research (RCR) Files
April 1, 2018 to March 31, 2019

Figure 1: Status of RCR files for FY 2018-19

Figure 1 long description
  • Opened: 55
  • Closed: 39
  • Active: 67

The Secretariat addressed 106 RCR files between April 1, 2018 and March 31, 2019. At the end of the 2018-19 fiscal year, 67 files remained active.

Figure 2: Number of RCR files opened by Agency

Figure 2 long description
  • CIHR: 23
  • NSERC: 16
  • SSHRC: 16

Of the 55 files opened during the reporting period, 23 (42%) related to CIHR-funded research, 16 (29%) related to NSERC-funded research, and 16 (29%) related to SSHRC-funded research. 

Figure 3: Outcome of RCR files closed

Figure 3 long description
  • Breach: 25
  • No Breach: 14

Of the 39 files closed during the reporting period, 25 (64%) involved at least one breach of the RCR Framework. 14 (36%) did not involve a breach.

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

Figure 4 long description
  • CIHR: 9
  • NSERC: 9
  • SSHRC: 7

Of the 25 files involving a breach, 9 (36%) related to CIHR-funded research, 9 (36%) related to NSERC-funded research, and 7 (28%) related to SSHRC-funded research.

Figure 5: RCR files involving a breach by province

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  • Ontario: 10 (40%)
  • Quebec: 6 (24%)
  • Alberta: 5 (20%)
  • Other* (BC, SK, NB): 4 (16%)

*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: 7 (20%)
  • Lack of rigour: 5 (14%)
  • Inadequate acknowledgement: 4 (12%)
  • Misrepresentation in Agency application: 3 (9%)
  • Mismanagement of COI: 3 (9%)
  • Invalid authorship: 2 (6%)
  • Plagiarism: 2 (6%)
  • Mismanagement of Agency funds: 2 (6%)
  • Fabrication: 2 (6%)
  • Destruction of records: 2 (6%)
  • Falsification: 1 (3%)
  • Self-plagiarism: 1 (3%)

Of the 25 closed files in which a breach was confirmed, 34 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: 12 (25%)
  • Peer review ineligibility: 11 (23%)
  • Letter of awareness: 7 (14%)
  • Letter of reprimand: 7 (14%)
  • Reimbursement: 5 (10%)
  • Grant termination: 5 (10%)
  • Training: 1 (2%)
  • Application removal: 1 (2%)

Of the 25 closed files in which a breach was confirmed, 49 recourses were imposed. There may be more than one recourse per breach.

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