Summarystatementbasedonpresentationto SymposiumIIIStandards - - PDF document

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Summaryđstatementđbasedđonđpresentationđtođ SymposiumđIIIđ–đStandardsđ

SusanđVőđZimmermanđ ŞxecutiveđirectorňđSecretariatđonđResponsibleđonductđofđResearchđ ľanadianđInstitutesđofđHealthđResearchŰđNaturalđSciencesđandđŞngineeringđ ouncilđofđanadaŰđSocialđSciencesđandđHumanitiesđResearchđouncilđofđ anadaŃĐ TheĐchallengeĐofĐtheĐsessionĐonĐStandardsĐwasŇĐinĐmyĐviewŇĐtoĐdetermineĐtheĐresponseĐ toĐthreeĐquestionsŮ ­ whatĐisĐtheĐdesiredĐgoalĐofĐtheĐexerciseź ­ whoĐhasĐprimaryĐresponsibilityĐforĐachievingĐandĐmaintainingĐthatĐgoalź ­ whatĐisĐtheĐpreferredĐmechanismĐforĐachievingĐthatĐgoalźĐ TheĐfirstĐisĐaĐquestionĐofĐsubstanceůĐtheĐsecondŇĐofĐgovernanceůĐandĐtheĐthirdŇĐofĐprocessŐĐ TheĐanadianĐexperienceĐsinceĐŕťťŤĐandĐparticularlyĐsinceĐŘŔŕŔĐoffersĐaĐconcreteĐ exampleĐofĐdevelopingĐcommonĐguidanceĐonĐprinciplesĐofĐresearchĐethicsŇĐimplementingĐ thoseĐprinciplesĐandĐensuringĐtheirĐevolutionŐĐ ŞirstŇĐtheĐquestionĐofĐsubstanceŐĐItĐisĐimportantĐtoĐclarifyĐtheĐaimĐofĐtheĐexerciseŇĐasĐ thereĐisĐmuchĐconfusionĐwithĐrespectĐtoĐtheĐuseĐofĐterminologyŐĐIsĐtheĐgoalĐtoĐestablishĐ guidingĐprinciplesĐforĐtheĐethicsĐofĐresearchŇĐinĐparticularĐresearchĐinvolvingĐhumansźĐIfĐ soŇĐtheĐfocusĐisĐonĐtheĐrelationshipĐbetweenĐtheĐresearcherĐandĐtheĐparticipantĐĽorĐ subjectľŐĐIsĐitĐtoĐestablishĐprinciplesĐofĐresearchĐintegrityŇĐusuallyĐunderstoodĐasĐ professionalĐrelationsĐamongĐresearchersŇĐandĐtheirĐinteractionĐwithĐtheĐresearchĐ communityĐĽiŐeŐĐtheirĐpeersľźĐOrĐisĐitĐtoĐestablishĐoverarchingĐprinciplesĐgoverningĐbothĐ

• fĐtheseĐtopicsĐandŇĐmoreĐgenerallyŇĐgoodĐresearchĐpracticeŇĐsometimesĐreferredĐtoĐasĐ

responsibleĐconductĐofĐresearchź

2 TheĐanadianĐresearchĐagenciesĐ

ŕĐhaveĐoptedĐforĐaĐunifiedĐapproachĐtoĐpoliciesĐandĐ

proceduresĐinĐeachĐofĐtheseĐthreeĐareasŐĐTheĐguidingĐprinciplesĐforĐtheĐethicsĐofĐhumanĐ researchĐareĐcontainedĐinĐtheĐTriňouncilĐPolicyĐStatementŮĐthicalĐonductĐforĐResearchĐ InvolvingФumansŇĐŘĐ

ndĐeditionĐ ŘĐĽknownĐasĐT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

• wnĐpoliciesĐinĐtheseĐareasŇĐtheĐresearchĐagenciesĐseeĐtheirĐresponsibilityŇĐasĐguardiansĐ
• fĐpublicĐfundsŇĐtoĐsetĐtheĐstandardsĐofĐaccountabilityĐforĐtheĐuseĐofĐthoseĐfundsŐĐTheyĐ

ŕĐTheĐanadianĐInstitutesĐofФealthĐResearchŇĐtheĐNaturalĐSciencesĐandĐngineeringĐouncilĐofĐanadaĐandĐ

theĐSocialĐSciencesĐandФumanitiesĐResearchĐouncilĐofĐanadaĐĽĐ“theĐresearchĐagencies”ľŐĐ

ŘĐżvailableĐatĐhttpŮőőwwwŐpreŐethicsŐgcŐcaőengőpolicyňpolitiqueőinitiativesőtcpsŘňeptcŘőefaultőľĐŐ

3 haveĐevolvedŇĐoverĐtheĐlastĐŕśĐyearsĐorĐsoŇĐtoĐviewingĐthisĐresponsibilityĐasĐoneĐthatĐisĐ betterĐcarriedĐoutĐinĐaĐunifiedĐmannerŇĐratherĐthanĐcontinuingĐtoĐhaveĐeachĐżgencyĐ developĐandĐimplementĐseparateĐpoliciesŐĐThisĐchoiceĐrecognizesĐandĐreflectsĐtheĐ significantĐcommonalityĐofĐethicsĐandĐintegrityĐprinciplesĐacrossĐdisciplinesŇĐandĐtheĐneedĐ forĐcommonĐguidanceĐwithĐrespectĐtoĐresponsibleĐconductĐofĐresearchŐĐTheĐagenciesĐ alsoĐwishedĐtoĐensureĐharmonizationĐinĐtheirĐinterpretationĐandĐenforcementĐofĐtheseĐ policiesŇĐsoĐasĐtoĐprovideĐclearerŇĐmoreĐreliableĐguidanceĐtoĐtheĐresearchĐcommunityŇĐ whichĐisĐincreasinglyĐmultiňdisciplinaryŐĐ ŞinallyŇĐtheĐquestionĐofĐprocessŐĐTheĐanadianĐresearchĐagenciesŇĐhavingĐnoĐregulatoryĐ authorityŇĐhaveĐchosenĐtoĐuseĐaĐpolicyĐstatementĐtoĐachieveĐtheirĐaimĐofĐestablishingĐ standardsĐ–ĐbothĐforĐhumanĐresearchĐethicsŇĐthroughĐTPSĐŘŇĐandĐforĐtheĐoverallĐgoalĐofĐ responsibleĐconductĐofĐresearchŇĐthroughĐtheĐTriňżgencyĐŞrameworkŮĐResponsibleĐonductĐ

• fĐResearchĐ

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ŐĐTheseĐpoliciesĐhaveĐforceĐbecauseĐtheĐżgenciesĐrequireĐcomplianceĐwithĐ themĐasĐaĐconditionĐofĐeligibilityĐforĐresearchĐfundingŐĐThisĐappliesĐtoĐindividualĐ researchersĐasĐwellĐasĐtoĐinstitutionsĐĽuniversitiesŇĐcollegesŇĐhospitalsľŐĐşivenĐtheĐ importanceĐofĐeligibilityĐtoĐbothĐresearchersĐandĐinstitutionsŇĐthisĐhasĐprovenĐtoĐbeĐaĐ veryĐeffectiveĐmechanismĐforĐimplementingĐtheseĐpoliciesĐacrossĐtheĐcountryŐĐWithĐ żgencyĐsupportĐforĐeducationĐandĐtrainingĐthroughĐaĐcentralizedĐtriňżgencyĐSecretariatĐ

ŚĐ

ŇĐ theseĐpoliciesĐhaveĐbecomeĐaĐvehicleĐforĐenhancingĐunderstandingĐandĐimplementationĐofĐ theĐimportantĐprinciplesĐtheyĐembodyŐĐ ThereĐwasĐnoĐconsensusĐatĐtheĐsymposiumĐinĐMayĐonĐtheĐquestionsĐoutlinedĐaboveŇĐ althoughĐtheĐdiscussionĐofferedĐmanyĐperspectivesĐonĐpotentialĐdirectionsĐtoĐpursueŐĐInĐ assessingĐtheĐoptionsĐavailableŇĐitĐisĐworthĐconsideringĐtheĐanadianĐmodelŐĐżfterĐmoreĐ thanĐaĐdecadeĐofĐexperienceĐandĐevolutionĐandĐdespiteĐsomeĐsignificantĐinitialĐresistanceŇĐ inĐparticularĐfromĐsocialĐscientistsŇĐtheĐadoptionĐofĐcommonĐguidanceĐforĐhumanĐ

řĐżvailableĐatĐhttpŮőőwwwŐrcrŐethicsŐgcŐcaőengőpolicyňpolitiqueőframeworkňcadreőĐľŐĐ ŚĐTheĐSecretariatĐonĐResponsibleĐonductĐofĐResearchŇĐtogetherĐwithĐtwoĐadvisoryĐPanelsŇĐisĐresponsibleĐ

forĐoverseeingĐtheĐimplementationĐandĐevolutionĐofĐbothĐTPSĐŘĐandĐtheĐŞrameworkĐonĐResponsibleĐ onductĐofĐResearchĐĽforĐinformationĐonĐtheĐSecretariatĐandĐPanelsŇĐseeĐ httpŮőőwwwŐrcrŐethicsŐgcŐcaődefaultŐaspxĐľŐ

4 researchĐethicsĐhasĐprovenĐtoĐbeĐaĐresilientĐandĐeffectiveĐapproachŇĐunderscoringĐtheĐ importanceĐofĐcoreĐprinciplesĐwhileĐequallyĐreflectingĐtheĐimportanceĐofĐrespectĐforĐtheĐ diversityĐofĐdisciplinaryĐpracticesŐ