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Summarystatementbasedonpresentationto SymposiumIIIStandards SusanVZimmerman xecutiveirectorSecretariatonResponsibleonductofResearch

  1. Summaryđstatementđbasedđonđpresentationđtođ SymposiumđIIIđ–đStandardsđ SusanđVőđZimmermanđ Şxecutiveđ�irectorňđSecretariatđonđResponsibleđonductđofđResearchđ ľanadianđInstitutesđofđHealthđResearchŰđNaturalđSciencesđandđŞngineeringđ ouncilđofđanadaŰđSocialđSciencesđandđHumanitiesđResearchđouncilđofđ anadaŃ Đ TheĐchallengeĐofĐtheĐsessionĐonĐStandardsĐwasŇĐinĐmyĐviewŇĐtoĐdetermineĐtheĐresponseĐ toĐthreeĐquestionsŮ whatĐisĐtheĐdesiredĐgoalĐofĐtheĐexerciseź ­ whoĐhasĐprimaryĐresponsibilityĐforĐachievingĐandĐmaintainingĐthatĐgoalź ­ whatĐisĐtheĐpreferredĐmechanismĐforĐachievingĐthatĐgoalźĐ ­ TheĐfirstĐisĐaĐquestionĐofĐsubstanceůĐtheĐsecondŇĐofĐgovernanceůĐandĐtheĐthirdŇĐofĐprocessŐĐ TheĐanadianĐexperienceĐsinceĐŕťťŤĐandĐparticularlyĐsinceĐŘŔŕŔĐoffersĐaĐconcreteĐ exampleĐofĐdevelopingĐcommonĐguidanceĐonĐprinciplesĐofĐresearchĐethicsŇĐimplementingĐ thoseĐprinciplesĐandĐensuringĐtheirĐevolutionŐĐ ŞirstŇĐtheĐquestionĐofĐsubstanceŐĐItĐisĐimportantĐtoĐclarifyĐtheĐaimĐofĐtheĐexerciseŇĐasĐ thereĐisĐmuchĐconfusionĐwithĐrespectĐtoĐtheĐuseĐofĐterminologyŐĐIsĐtheĐgoalĐtoĐestablishĐ guidingĐprinciplesĐforĐtheĐethicsĐofĐresearchŇĐinĐparticularĐresearchĐinvolvingĐhumansźĐIfĐ soŇĐtheĐfocusĐisĐonĐtheĐrelationshipĐbetweenĐtheĐresearcherĐandĐtheĐparticipantĐĽorĐ subjectľŐĐIsĐitĐtoĐestablishĐprinciplesĐofĐresearchĐintegrityŇĐusuallyĐunderstoodĐasĐ professionalĐrelationsĐamongĐresearchersŇĐandĐtheirĐinteractionĐwithĐtheĐresearchĐ communityĐĽiŐeŐĐtheirĐpeersľźĐOrĐisĐitĐtoĐestablishĐoverarchingĐprinciplesĐgoverningĐbothĐ ofĐtheseĐtopicsĐandŇĐmoreĐgenerallyŇĐgoodĐresearchĐpracticeŇĐsometimesĐreferredĐtoĐasĐ responsibleĐconductĐofĐresearchź 1

  2. TheĐanadianĐresearchĐagenciesĐ ŕĐ haveĐoptedĐforĐaĐunifiedĐapproachĐtoĐpoliciesĐandĐ proceduresĐinĐeachĐofĐtheseĐthreeĐareasŐĐTheĐguidingĐprinciplesĐforĐtheĐethicsĐofĐhumanĐ researchĐareĐcontainedĐinĐthe ĐTriňouncilĐPolicyĐStatementŮĐ�thicalĐonductĐforĐResearchĐ InvolvingФumansŇ ĐŘĐ ndĐ editionĐ ŘĐ ĽknownĐasĐTPSĐŘľŐĐOriginallyĐdevelopedĐinĐŕťťŤĐandĐ substantiallyĐrevisedĐandĐexpandedĐinĐŘŔŕŔŇĐthisĐpolicyĐstatementĐaimsĐtoĐprovideĐgeneralĐ ethicsĐguidanceĐforĐresearchĐinvolvingĐhumansŇĐwhetherĐitĐisĐconductedĐinĐtheĐsocialĐ sciencesŇĐhealthĐsciencesŇĐnaturalĐsciencesĐorĐengineeringŐĐTheĐdecisionĐtoĐestablishĐaĐ unifiedĐpolicyĐwasĐbasedĐonĐtheĐbeliefĐthatĐthereĐareĐcertainĐfundamentalĐethicalĐ principlesĐthatĐapplyĐacrossĐdisciplinesŇĐandĐthatĐitĐstrengthensĐtheseĐprinciplesĐtoĐhaveĐ themĐpresentedĐasĐapplyingĐtoĐallĐresearchersĐwhoĐdoĐresearchĐinvolvingĐhumanĐ participantsŐĐ TPSĐŘĐreflectsĐanĐevolutionĐfromĐearlierĐguidelinesĐandĐcodesĐestablishedĐseparatelyĐbyĐ theĐmedicalĐandĐtheĐsocialĐsciencesĐagenciesŐĐItĐisĐbasedĐonĐrespectĐforĐhumanĐdignityŇĐasĐ expressedĐthroughĐthreeĐcoreĐprinciplesŮĐrespectĐforĐpersonsŇĐconcernĐforĐwelfareŇĐandĐ justiceŐФowĐtheseĐprinciplesĐapplyĐtoĐdifferentĐtypesĐofĐresearchĐwillĐdependĐonĐtheĐ methodologiesŇĐapproachesĐandĐcustomsĐofĐspecificĐdisciplinesĐorĐmultiňdisciplinaryĐ collaborationsŐĐTheĐpolicyĐthereforeĐallowsĐforĐaĐdiversityĐofĐresearchĐapproachesĐwhenĐ assessingĐtheĐethicsĐofĐaĐproposedĐstudyŐĐInĐparticularŇĐtheĐsecondĐeditionĐofĐtheĐTPSĐ hasĐtakenĐgreatĐcareĐtoĐincorporateĐchangesĐbasedĐonĐcritiquesĐfromĐtheĐsocialĐscienceĐ researchĐcommunityŐĐżsĐaĐresultŇĐTPSĐŘĐisĐseenĐasĐbetterĐreflectingĐtheĐrealityĐofĐsocialĐ scienceĐresearchŇĐandĐprovidingĐmoreĐrelevantĐandĐusefulĐguidanceĐasĐaĐresultŐĐ NextŇĐtheĐquestionĐofĐgovernanceŐĐInĐanadaŇĐtheĐresponsibilityĐforĐestablishingĐandĐ maintainingĐethicsĐprinciplesĐforĐhumanĐresearchĐasĐwellĐasĐpoliciesĐonĐresearchĐintegrityĐ andĐresponsibleĐconductĐofĐresearchĐhasĐbeenĐshoulderedĐbyĐtheĐresearchĐagenciesŐĐ WhileĐindividualĐinstitutionsĐandĐorganizationsĐrepresentingĐdistinctĐdisciplinesĐcraftĐtheirĐ ownĐpoliciesĐinĐtheseĐareasŇĐtheĐresearchĐagenciesĐseeĐtheirĐresponsibilityŇĐasĐguardiansĐ ofĐpublicĐfundsŇĐtoĐsetĐtheĐstandardsĐofĐaccountabilityĐforĐtheĐuseĐofĐthoseĐfundsŐĐTheyĐ ŕĐ TheĐanadianĐInstitutesĐofФealthĐResearchŇĐtheĐNaturalĐSciencesĐandĐ�ngineeringĐouncilĐofĐanadaĐandĐ theĐSocialĐSciencesĐandФumanitiesĐResearchĐouncilĐofĐanadaĐĽĐ“theĐresearchĐagencies”ľŐĐ ŘĐ żvailableĐatĐhttpŮőőwwwŐpreŐethicsŐgcŐcaőengőpolicyňpolitiqueőinitiativesőtcpsŘňeptcŘőefaultőľĐŐ 2

  3. haveĐevolvedŇĐoverĐtheĐlastĐŕśĐyearsĐorĐsoŇĐtoĐviewingĐthisĐresponsibilityĐasĐoneĐthatĐisĐ betterĐcarriedĐoutĐinĐaĐunifiedĐmannerŇĐratherĐthanĐcontinuingĐtoĐhaveĐeachĐżgencyĐ developĐandĐimplementĐseparateĐpoliciesŐĐThisĐchoiceĐrecognizesĐandĐreflectsĐtheĐ significantĐcommonalityĐofĐethicsĐandĐintegrityĐprinciplesĐacrossĐdisciplinesŇĐandĐtheĐneedĐ forĐcommonĐguidanceĐwithĐrespectĐtoĐresponsibleĐconductĐofĐresearchŐĐTheĐagenciesĐ alsoĐwishedĐtoĐensureĐharmonizationĐinĐtheirĐinterpretationĐandĐenforcementĐofĐtheseĐ policiesŇĐsoĐasĐtoĐprovideĐclearerŇĐmoreĐreliableĐguidanceĐtoĐtheĐresearchĐcommunityŇĐ whichĐisĐincreasinglyĐmultiňdisciplinaryŐĐ ŞinallyŇĐtheĐquestionĐofĐprocessŐĐTheĐanadianĐresearchĐagenciesŇĐhavingĐnoĐregulatoryĐ authorityŇĐhaveĐchosenĐtoĐuseĐaĐpolicyĐstatementĐtoĐachieveĐtheirĐaimĐofĐestablishingĐ standardsĐ–ĐbothĐforĐhumanĐresearchĐethicsŇĐthroughĐTPSĐŘŇĐandĐforĐtheĐoverallĐgoalĐofĐ responsibleĐconductĐofĐresearchŇĐthroughĐthe ĐTriňżgencyĐŞrameworkŮĐResponsibleĐonductĐ ofĐResearch Đ řĐ ŐĐTheseĐpoliciesĐhaveĐforceĐbecauseĐtheĐżgenciesĐrequireĐcomplianceĐwithĐ themĐasĐaĐconditionĐofĐeligibilityĐforĐresearchĐfundingŐĐThisĐappliesĐtoĐindividualĐ researchersĐasĐwellĐasĐtoĐinstitutionsĐĽuniversitiesŇĐcollegesŇĐhospitalsľŐĐşivenĐtheĐ importanceĐofĐeligibilityĐtoĐbothĐresearchersĐandĐinstitutionsŇĐthisĐhasĐprovenĐtoĐbeĐaĐ veryĐeffectiveĐmechanismĐforĐimplementingĐtheseĐpoliciesĐacrossĐtheĐcountryŐĐWithĐ ŚĐ żgencyĐsupportĐforĐeducationĐandĐtrainingĐthroughĐaĐcentralizedĐtriňżgencyĐSecretariatĐ ŇĐ theseĐpoliciesĐhaveĐbecomeĐaĐvehicleĐforĐenhancingĐunderstandingĐandĐimplementationĐofĐ theĐimportantĐprinciplesĐtheyĐembodyŐĐ ThereĐwasĐnoĐconsensusĐatĐtheĐsymposiumĐinĐMayĐonĐtheĐquestionsĐoutlinedĐaboveŇĐ althoughĐtheĐdiscussionĐofferedĐmanyĐperspectivesĐonĐpotentialĐdirectionsĐtoĐpursueŐĐInĐ assessingĐtheĐoptionsĐavailableŇĐitĐisĐworthĐconsideringĐtheĐanadianĐmodelŐĐżfterĐmoreĐ thanĐaĐdecadeĐofĐexperienceĐandĐevolutionĐandĐdespiteĐsomeĐsignificantĐinitialĐresistanceŇĐ inĐparticularĐfromĐsocialĐscientistsŇĐtheĐadoptionĐofĐcommonĐguidanceĐforĐhumanĐ řĐ żvailableĐatĐhttpŮőőwwwŐrcrŐethicsŐgcŐcaőengőpolicyňpolitiqueőframeworkňcadreőĐľŐĐ ŚĐ TheĐSecretariatĐonĐResponsibleĐonductĐofĐResearchŇĐtogetherĐwithĐtwoĐadvisoryĐPanelsŇĐisĐresponsibleĐ forĐoverseeingĐtheĐimplementationĐandĐevolutionĐofĐbothĐTPSĐŘĐandĐtheĐŞrameworkĐonĐResponsibleĐ onductĐofĐResearchĐĽforĐinformationĐonĐtheĐSecretariatĐandĐPanelsŇĐseeĐ httpŮőőwwwŐrcrŐethicsŐgcŐcaődefaultŐaspxĐľŐ 3

  4. researchĐethicsĐhasĐprovenĐtoĐbeĐaĐresilientĐandĐeffectiveĐapproachŇĐunderscoringĐtheĐ importanceĐofĐcoreĐprinciplesĐwhileĐequallyĐreflectingĐtheĐimportanceĐofĐrespectĐforĐtheĐ diversityĐofĐdisciplinaryĐpracticesŐ 4

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