Tri-Agency Policy Updates

1. Tri-Agency Policy Updates CAURA West December 3-4, 2009

2. Working Together to Canada’s Advantage

3. Content • Phase III of the MOU • Research Integrity: Policy Review and Related Initiatives • Research Ethics: TCPS 2nd Edition

4. Tri-Agency MOU • What is the MOU? • Memorandum of Understanding on the Roles and Responsibilities in the Management of Federal Grants and Awards • For more information and the full text: • http://www.nserc-crsng.gc.ca/NSERC-CRSNG/Policies-Politiques/MOURoles-ProtocolRoles/index_eng.asp

5. Tri-Agency MOU • What are the Goals of the MOU? • Demonstrate and explain the respective accountabilities of granting agencies and institutions in support of research, in accordance with the highest legal, ethical and financial standards. • Describe the basic requirements for obtaining and maintaining institutional eligibility to administer agency funds. • Harmonize agencies’ policies, whenever possible. • Clarify expectations regarding roles and responsibilities.

6. MOU: A Brief HistoryPhase I • June 2002: MOU first released; included 8 schedules: • Financial Management • Ethics Review in Research Involving Humans • Ethics Review in Research Involving Animals • Integrity in Research and Scholarship • Environmental Assessment • Peer Review • Statement of Principles: Postdoctoral Fellows • Investigation and Resolution of Breaches of Agency Policies

7. MOU: A Brief History (cont’d)Phase II • February 2007: MOU released with 7 additional schedules: • Transfer of Funds from a Primary Institution to a Secondary Institution • Confirmation of Eligibility • Reporting on Performance and Outcomes • Ownership of Equipment and Facilities • Research Involving Biohazards • Conflicts of Interest In Research • Public Communication

8. MOU Phase IIIPlanning Stage • The Tri-Agencies are currently developing a Work Plan for Phase III MOU to finalize the objectives and timeline for the project.

9. MOU Phase III: Proposed Objectives • Review, revise and consolidate (where possible) existing schedules • Develop new schedules or expand existing ones where required • Ensure consistency with current legislation • Harmonize MOU-related policies, guidelines and practices among the three Agencies • Review procedures for monitoring implementation and resolving compliance issues • Improve consistency and standardization across all schedules • Improve communication and education

10. MOU Phase III: Proposed Timeline • MOU Phase III to be in place by 2012 • 2009: finalize Tri-Agency work plan • 2010: working groups (incl. CAURA), revisions • 2011: broad consultation (incl. CAURA), finalize • 2012: send revised MOU to Institutions for signature

11. For More Information • http://www.nserc.ca/institution/mou_e.htm • http://www.nserc.ca/institution/mou_faq_e.htm • Agency contacts for MOU Phase III: • CIHR: Louise Desjardins • (louise.desjardins@cihr-irsc.gc.ca) • NSERC: Barbara Conway (barbara.conway@nserc.ca ) • SSHRC: Carole Crête-Robidoux • (carole.crete-robidoux@sshrc-crsh.gc.ca )

12. Integrity in Research:Research Integrity Policy Review

13. Promoting Research Integrity • Integrity in research and scholarship is best described as developing awareness among all involved of the need for the highest standards of integrity, accountability and responsibility. • The primary responsibility for high standards of conduct in research and scholarship rests with the individuals carrying out these activities. • The Tri-Agencies expect researchers and scholars receiving agency funds to adhere to the principles of integrity in research.

14. Principles of Integrity in Research • Recognize contributions of collaborators and students; • Obtain permission of the author before using new information, any information obtained through access to confidential manuscripts or applications; • Use scientific rigor and integrity in obtaining, recording and analyzing data, and in reporting and publishing results; • Authorship should include those who have contributed to, and share responsibility for, the contents of the publication; and • Reveal to sponsors, universities, journals or funding agencies, any material conflict of interest, financial or other, that might influence their decisions on whether the individual should be asked to review manuscripts or applications, test products or be permitted to undertake work sponsored from outside sources.

15. What is Research Misconduct? • Examples: • Fabrication, Falsification, Plagiarism (FFP) • Failure to reveal conflict of interest • Non-compliance with requirements related to human research ethics and animal care guidelines • Financial misconduct: misuse of research funds • Matters dealing with inaccurate or false information in an application for a grant or award

16. Tri-Agency Research Integrity Policies • As the major federal sources of funds for research and scholarship in academic institutions, CIHR, NSERC, and SSHRC are committed to the highest standards of integrity in research and scholarship • Current Suite of Tri-Agency Integrity Policies includes: • Tri-Council Policy Statement: Integrity in Research and Scholarship (1994) • Framework for Tri-Council Review of University Policies Dealing with Integrity in Research (1996) • Tri-Agency Financial Administration Guide (updated annually). • MOU (2002, 2007) • Other (e.g. instructions to applicants, Award Holder’s Guide)

17. Tri-Agency and AUCC Integrity Policy Review • Reviewed existing policy and practices and identified possible improvements in terms of policy, implementation, and transparency • Report of integrity review presented to the Minister of Industry in October 2008 • Short and long term action plans developed • Plans include consultation with CAURA and the research community

18. Key Findings of Integrity Review • Overall, the framework is sound and flexible. • However, the Agencies agree that policies and procedures should be updated, harmonized and clarified. • Four key areas of recommendations: • Clarify the Agencies’ role regarding integrity • Update and strengthen the current integrity policy • e.g., Definition, timelines, education • Improve the effectiveness and transparency of the policy’s implementation • e.g., Agency statistics, on-line tutorial, CIHR FAQs • Update and strengthen the current financial policy

19. Next Steps • 2009: Inform community and initiate actions • Release of Tri-Agency Report on the Agency web sites • Letter from AUCC to University Presidents and VPRs • 2010: Establish Research Integrity Advisory Group • 2010: Revise policy framework • 2011: Consult, finalize and implement revised policy

20. Other Integrity Initiatives: CRIC • Canadian Research Integrity Committee (CRIC) • The Agencies, AUCC and CAURA are members of the CRIC, which commissioned a report on the broader issue of the state of the research integrity system in Canada. • The CRIC report provides a comprehensive overview of the Canadian integrity system; provides comparisons with models in other countries. • The report was discussed by CRIC members at a workshop held in Ottawa on October 5-6, 2009. • With the release of the report, CRIC member organizations can solicit feedback from their respective constituencies. • The CRIC will reconvene in early 2010, and any further action by CRIC will take into consideration the comments received and the evolving status of activities related to research integrity in Canada.

21. Other Integrity Initiatives: CCA • Council of Canadian Academies (CCA) • Commissioned by Industry Canada to develop a common understanding of “research integrity”. • Question: “What are the key research integrity principles, procedural mechanisms, and practices, appropriate in the Canadian context, that could be applied across research disciplines at institutions receiving funds from the federal granting councils?” • First meeting of CCA panel held in October 2009. • Results of CCA assessment will be incorporated into Agencies’ policy revision.

22. For More Information • Agency contacts for Research Integrity: • CIHR: Karen Wallace • (karen.wallace@cihr-irsc.gc.ca) • NSERC: Marie Émond (marie.emond@nserc-crsng.gc.ca) • SSHRC: Margaret Blakeney • (margaret.blakeney@sshrc-crsh.gc.ca)

23. Research Ethics:TCPS: Ethical Conduct for Research Involving Humans – 2nd Edition • What is the TCPS? • A policy to promote the ethical conduct of research involving humans. • A collaborative policy: SSHRC, NSERC and CIHR • A unified policy: covers all fields of research involving humans • An evolving policy • http://pre.ethics.gc.ca

24. Why a New Edition of the TCPS? • 10 years since the adoption of the TCPS • Time to update the principles and the guidelines • Time to fill in the gaps and address particular issues • Time to update certain subject areas

25. Evolution of the TCPS • 1st Edition / current version • Draft 2nd edition / December 2008 • Consultation / Dec 2008 – Jun 2009 • Early Release of Chapter 9 – November 2009 • Revised draft 2nd edition / December 2009 • Written Comments / Dec 2009 – Feb 2010 • Final draft 2nd edition – April 2010 • Agency approval • 2nd edition

26. Main Changes in TCPS Draft 2nd Edition • Principles • Structure • Terminology • Guidelines Updated • New Chapters • Interpretations and Consultations Integrated • New Provisions

27. TCPS Consultation: Metrics • Consultations • 58 consultations and conferences in 17 cities • where an estimated 1,780 people attended • Written comments • 226 submissions • 128 from 123 individuals • 98 group submissions • 1,289 pages of notes and comments • Mailings • 4,458 Draft 2nd Editions were distributed

28. TCPS Consultation: Participant Disciplines

29. TCPS Consultation: Participant Geography

30. TCPS Consultation: Participant Associations

31. TCPS Draft 2nd Edition: Next Steps • Revision & integration of feedback: June-November 2009 • Public release of revised draft TCPS: mid-December 2009 • 75-day written comments period • Presentation of final draft to Agencies: Spring 2010 • Anticipated Agency approval: Summer 2010

32. For More Information • Interagency Secretariat on Research Ethics: • secretariat@pre.ethics.gc.ca • Agency contacts for Research Ethics: • CIHR: Karen Wallace • (karen.wallace@cihr-irsc.gc.ca) • NSERC: Marie Émond (marie.emond@nserc-crsng.gc.ca) • SSHRC: Margaret Blakeney • (margaret.blakeney@sshrc-crsh.gc.ca)