Training session on R esponsible conduct of research Fall 2019

1. Training session on Responsible conductof researchFall 2019

2. Goal: Foster a culture of responsible conduct of research • Promote research excellence • Support public confidence in researchactivity • Protect the credibility of the researchactivity and the reliability of the results All research stakeholders have a responsibility to support this trust and credibility Reference: Presentation given by Ms. M. Deschênes: Regards sur la première année de mise en application de la Politique. 2nd Day for supervisors of the responsible conduct of research. Fonds de recherche du Québec June, 2017

3. Responsible research conduct refers to the expected behavior of people who contribute to research activities (directly or indirectly) These behaviors are based on common human values such as: • Honesty • Reliability and rigor • Objectivity • Impartiality • Independance • Trust • Responsibility • Goodwill • Open-mindedness • Transparency • Justice (particularlythe recognition of other’s contribution)

4. Responsibleconductiseveryone’sbusiness! • Researchers • Clinicans • Researchfellows • Students • Researchstaff • Support staff • Management staff • Fundmanagers • Researchinstitutions • Fundingagencies All must commit to subscribe and defend these values that they contribute directly or indirectly to research activities.

5. Responsible research conduct policy Applies to all research activities taking place at CRCHUM Similar policies are also put in place in all Québec and Canadian research institutions

6. Essential elements(Section 5- Policy 10 130) • I conductmyresearch in an honestsearch for knowledge and myapproachisbased on open-mindedness and trust. • I know myskilllevel and limits, and I actaccordingly. • I review the work of otherswithintegrity. • I makeresponsible use of researchfunds and resources, and I reportall revenues and expenses. • I process the data with the utmostrigor(collection, recording, analysis, interpretation, publication, preservation, etc.) • I acknowledge all contributions to myresearch and results(co-workers, fundagencies, co-authors, collaborators, etc.) • I treat all participants in myresearchwith justice, fairness, goodwill and respect, and I respect animals and the environment.

7. Our responsibilities(Section 6.1- Policy 10 130) • I stay informed and participate in the evolution of best practices in responsible conduct in research and in my research activities. • I amconstantlythinking about myresearchactivities in order to adoptresponsiblebehavior. • I ensure a responsible and ethical use of public funds. • I am proactive in addressing the consequences of a breach of responsibleconduct. • I complywithother CHUM policies and regulations. • I respect the CHUM'scontractualcommitmentsregardingresearchactivities.

8. CRCHUM’sresponsibilities(management)(Sections 6.2 and 9 – Policy 10 130, section 4.5 – Tri-agencyframework – Responsibleconduct of research, and U.S. Federal regulation 42 CFR, Part 93 ) • Fosteran environmentthatfavours the adoption of responsibleconductin researchand promoteitthroughawareness and continuingeducationactivitiesamong the institution’sresearchcommunity, particularlyitsemployees • Manage allegations of breach of responsibleconductof researchconcerningitsresearchers, students, research staff or managers, in accordance withitsinstitutionalpolicy and according to generallyacceptedprinciples of proceduralfairness and natural justice (including management of the appropriate documentation) • Follow up to reduce the adverse consequences of an allegation or breach of responsibleconduct; whiledoingso, payspecial attention to protecting whistleblowers or vulnerable people. • Informthe FRQ of anyallegation and submit a report to the CHUM’sBoard of Directors.Informthe Tri-Agency’sSecretariat on ResponsibleConduct of Research (SRCR) and the Office of ResearchIntegrity of the U.S. Department of Health and HumanServices.

9. Examples of inappropriateconduct(Sections 7.1 and 7.2 - Policy 10 130) • Destruction of research files • Fabrication • Falsification • False statement in a grant application or any related document • Invalid authorship • Mismanagement of a conflict of interest • Mismanagement of grant or award funds • Inadequate acknowledgement • Plagiarism • Redundant publication • Making false or misleading allegations • Violating policies and requirements that apply to certain types of research • Undermine the integrity of a scientific peer review and grant review processes • Publishing in fake scientific journals Unintentional mistakes are not considered breaches

10. RCR files disclosed on the Secretariat on ResponsibleConduct of Researchwebsite • Confirmed cases of breaches of policies of the Agencies between December 5, 2011 and March 31, 2016. • Summary of the findings of institutions’ investigations and a description of the actions taken by the institution and the Agency Breaches • Inaccurate attribution of authorship • Fabrication • Falsification • False statement in a funding application • Manipulation of research data • Lack of rigor • Mismanagement of a conflict of interest • Mismanagement of grant or awardfunds • Inadequateacknowledgement • Plagiarism, self-plagiarism • Redundant publication Sanctions http://www.rcr.ethics.gc.ca/eng/documents/summaries.pdf • Revocation or reimbursement of funding or award • Resignation or dismissal • Ineligible for fundingfrom one of the Agencies • Ineligible to be a member of a reviewcommittee • Letter of reprimand • Withdrawal/corrections of articles or theses

11. What to do if you suspect inappropriate conduct? Section 6.2.5 Follow up as needed to reduce the negative impact of an alleged or actualbreach of responsibleconduct of research; whiledoingso, payparticular attention to protecting whistleblowers and vulnerable people. Section 8.1.3 Protection of confidentiality The CHUM and thosewhotake part in managing an allegation are responsible for protecting the confidentiality of sensitive information concerningall actorsinvolvedin the process of managing an allegation. Contact the CRCHUM person in charge of evaluating responsible conduct • Dr. Pierrette Gaudreau • pierrette.gaudreau@umontreal.ca • par téléphone : 514-890-8000 poste 23613 • téléphone cellulaire : 514-209-0718 Allegations and complaints are treated confidentially and securely. • Anonymous • Whistleblowers are protected • Particular attention is given to those reporting the conduct and to vulnerable people.

12. Evaluation process of a breach The person in charge of responsibleconduct(Mrs Carol Jabet) • Evaluates the admissibility of the complaint • Notifies the FRQ WITHOUT identifying the person, againstwhom the complaint is made • Notifies NSERC, CIHR or SSHRC, if applicable (if they are concerned). • Informs the personagainstwhom the complaint is made If the complaint is admissible → Complaint reviewcommitteeisformed → Recommendation • if no breach→ FRQ isnotifiedwithoutmentionning the personnameagainstwhom the complaint wasmade • if breach → CRCHUM decides on the sanction → FRQ receives a report – maydecideadditional sanctions • CHUM • 8.2.4 Interventions – sanctions • The choice of a fair sanction takesseveralfactorsintoconsideration, including the intentionality of the breach of responsibleconduct of research, itsseverity and impact, the context in which the breachoccurred and itsrepetitive nature. The CHUM mayalso impose measuresaiming to, for example, provideadditional training for researchworkers, repair the harmdone or set the scientific record straight, as the case maybe. • FRQ 9.2.4 • requireskillsupgrading in the area of the responsibleconduct of research. • stop or suspend funding or requestthatitbereimbursed, or render the personineligible to receive a grantfrom the Fund for a specificperiod of time; • render the personineligible to apply for fundingfrom the FRQ or to sit on an FRQ reviewcommittee for a givenperiod of time; • withdraw FRQ recognition from an institution or infrastructure • file a complaint pursuant to legal provisions provided for in this regard.

13. Goal: Foster a culture of responsible conduct in research • Promote research excellence • Support public confidence in researchactivities • Protect the credibilityof researchactivitiesand the reliability of the results All research stakeholders have a responsibility to support this trust and credibility Reference: Presentation given by Ms. M. Deschênes: Regards sur la première année de mise en application de la Politique. 2nd Day for supervisors of the responsible conduct of research. Fonds de recherche du Québec June, 2017