Archived in January 2013 Schedule 4: Integrity in Research and Scholarship

This information has been archived. Visit the  Agreement on the Administration of Agency Grants and Awards by Research Institutions page for current information.

1. Policy

The Tri-Council Policy Statement: Integrity in Research and Scholarship is divided into two sections that deal with (1) principles of scientific integrity and the responsibilities of researchers, Institutions and the Agencies in upholding these principles; and (2) procedures to promote integrity and prevent misconduct, and to address misconduct in research funded by the Agency or the other Agencies. As a condition of eligibility to receive research funds, Institutions must have in place an integrity policy that is consistent with the Tri-Council Policy Statement.

The Framework for Tri-Council Review of University Policies Dealing with Integrity in Research (June 24, 1996) provides a checklist of items that should be included in institutional integrity policies. Institutions can obtain “Framework” on the Web (Framework for Tri-Council Review of Institutional Policies Dealing with Integrity in Research) or by sending an e-mail to sectr@nserc-crsng.gc.ca.

2. Responsibilities

2.1 Responsibilities of the Institution

The Institution agrees to:

1. promote integrity in all research and scholarship;
2. investigate all possible instances of misconduct in research or scholarship, including:
   1. determining whether a breach of integrity has taken place; and
   2. imposing appropriate sanctions in accordance with its own policies.
3. report its findings to the Agency when:
   1. an allegation of misconduct has been forwarded to the Institution by the Agency regardless of the outcomes of the enquiry(ies); and
   2. an allegation of misconduct ,made directly to the Institution and involving, directly or indirectly, funds from an Agency grant or award, has been upheld by the Institution.

The report should include information on the process that was followed, the conclusions that were reached and the actions that were taken when a breach was determined to have occurred.

If the report is unclear or the process followed by the Institution in conducting its investigation appears to be in any way inadequate or inconsistent with the Institution's policy, the Agency may request that the Institution provide clarification or additional information.

2.2 Responsibilities of the Agencies

The Agencies have a responsibility to:

1. review and update the Tri-Council Policy Statement, as required, in consultation with research administrators, researchers and others, as needed;
2. implement the Tri-Council Policy Statement in a consistent fashion;
3. review policies from Institutions that wish to be declared eligible to receive research funding and ensure that these policies meet the requirements of the Tri-Council Policy Statement;
4. promote integrity in research and scholarship by providing resource information to Institutions; for example, by compiling and distributing examples of and criteria for "good practices," and by providing links to relevant material available on the Web;
5. transmit to the Institution concerned written allegations of misconduct, together with supporting documentation (according to the provisions of the Privacy Act the Agency may transmit allegations of misconduct only with the permission of the person or persons making the allegations);
6. review reports submitted by the Institution to ensure that due process was followed;
7. consider imposing sanctions in cases where misconduct has been found to have occurred;
8. maintain confidentiality of the information about allegations; and
9. inform Institutions within a reasonable time frame from the date of the receipt of a report what sanctions, if any, the Agency may be implementing.

3. Resolution of Issues of Non-Compliance

The criteria for compliance are determined by the responsibilities described in the Tri-Council Policy Statement: Integrity in Research and Scholarship.

In the event that circumstances arise in which an Institution appears to be, or is found to be, in non-compliance with Agency policy under this Schedule, the Agency will follow the procedures described in Schedule 8, starting at level 3.

The Agency may also share information with the other two Agencies about issues relating to a specific institutional policy, so long as the Agencies respect the confidentiality of the integrity cases involved.