Consent to Disclosure of Personal Information - Frequently Asked Questions

1. What is the Consent to Disclosure of Personal Information?
2. What is the definition of a serious breach of agency policy?
3. What kind of personal information may be publicly disclosed if a respondent is found to have committed a serious breach?
4. How will you publicly disclose the names of those individuals found to be in serious breach of agency policy?
5. Does this policy apply to all the federal granting agencies?
6. Will this apply to all agency programs (award programs, scholarships, chair programs, Networks of Centre of Excellence, etc.)?
7. Is this an element of the Tri-Agency Framework: Responsible Conduct of Research (the RCR Framework)?
8. When did this take effect?
9. What about researchers who obtained funding or who applied for funding prior to November 17, 2011? Did they have to agree to this consent?
10. Will applicants have to agree to this consent every time they apply for funding?
11. What happens if an applicant refuses to agree with the Consent to Disclosure of Personal Information? What if one member of a group refuses?
12. If the researcher has changed jobs since the breach, will the new employers' name be publicly disclosed?
13. Does this new measure apply to students looking to obtain financial support through the Agencies’ programs?
14. Will students hired by professors who receive grants have to sign this waiver?
15. Do we get many cases of serious breach of agency policies? What are some examples?
16. What is happening in other countries? How do we compare internationally?

1) What is the Consent to Disclosure of Personal Information?

Applicants applying for funding from any of the three federal research agencies are required to consent to the public disclosure of personal information in the event that they are found to have engaged in a serious breach of Agency policy.

2) What is the definition of a serious breach of agency policy?

In determining whether a breach is serious, the agency will consider the extent to which the breach jeopardizes the safety of the public or brings the conduct of research into disrepute. This determination will be based on an assessment of the nature of the breach, the level of experience of the researcher, whether there is a pattern of breaches by the researcher, and other factors as appropriate. Examples of serious breaches may include:

• Recruiting human participants into a study with significant risks or harms without Research Ethics Board approval, or not following approved protocols.
• Using animals in a study with significant risks or harms without Animal Care Committee approval, or not following approved protocols.
• Deliberate misuse of research grant funds for personal benefit not related to research.
• Knowingly publishing research results based on fabricated data.
• Obtaining grant/award funds from the Agencies by misrepresenting one’s credentials, qualifications and/or research contributions in an application.

3) What kind of personal information may be publicly disclosed if a respondent is found to have committed a serious breach?

Based on the consent provided, the Agency may publicly disclose any information relevant to the breach that is in the public interest, including:

• the name of the individual who committed the breach;
• the nature of the breach;
• the institution where the individual was employed at the time of the breach;
• the institution where the individual is currently employed; and
• the recourse imposed by the Agency against the respondent.

4) How will you publicly disclose the names of those individuals found to be in serious breach of agency policy?

The relevant agency will publish this information on its website and through additional communications as determined by the relevant Agency President.

5) Does this policy apply to all the federal granting agencies?

The Consent to Disclosure of Personal Information applies to Canada’s three granting agencies, the Canadian Institutes of Health Research (CIHR), the Natural Sciences and Engineering Research Council of Canada (NSERC) and the Social Sciences and Humanities Research Council of Canada (SSHRC).

6) Will this apply to all agency programs (award programs, scholarships, chair programs, Networks of Centre of Excellence, etc.)?

The Consent to Disclosure of Personal Information process applies to all programs of the agencies where researchers receive funds and have to agree to comply with agency policy.

7) Is this an element of the  Tri-Agency Framework: Responsible Conduct of Research (the RCR Framework)?

The disclosure of personal information is included in the RCR Framework, which was released on December 5, 2011.

8) When did this take effect?

The Consent to Disclosure of Personal Information became an integral part of the regular application process for agency programs on November 17, 2011. The process applies to all applications received on or after that date. Consent is now required for an application to be submitted.

9) What about researchers who obtained funding or who applied for funding prior to November 17, 2011? Did they have to agree to this consent?

No. This requirement only applies to applications received on or after November 17, 2011, and to the awards made for those applications.

10) Will applicants have to agree to this consent every time they apply for funding?

Applicants will have to agree to the Consent to Disclosure of Personal Information for all applications submitted to the Agencies.

11) What happens if an applicant refuses to agree with the Consent to Disclosure of Personal Information? What if one member of a group refuses?

If an applicant refuses to agree with the Consent to Disclosure of Personal Information, the application will not be accepted by the agency. Should an individual participating in a group application refuse to agree to the consent, the application would have to be submitted without the name and participation of said individual.

12) If the researcher has changed jobs since the breach, will the new employers' name be publicly disclosed?

Yes, if the employer is an eligible institution that has signed the  Agreement on the Administration of Agency Grants and Awards by Research Institutions.

13) Does this new measure apply to students looking to obtain financial support through the Agencies’ programs?

Students applying for financial support from any of the Agencies’ programs will have to agree to the Consent to Disclosure of Personal Information.

14) Will students hired by professors who receive grants have to sign this waiver?

No, because the agencies do not have a direct relationship with these students. However, these students are subject to institutional integrity and other responsible conduct of research policies.

15) Do we get many cases of serious breach of agency policies? What are some examples?

Cases of serious breach are extremely rare in Canada. The vast majority of researchers conduct their research with rigour and integrity. General statistics on the number of allegations of breaches of Agency policies are available on the Panel on Responsible Conduct of Research website.

16) What is happening in other countries? How do we compare internationally?

Integrity policies and processes differ greatly from one country to the next. A number of countries are releasing the names of researchers found to be in serious breach of policy through various central bodies, institutions, etc.