Research Policies

The following Conflict of Interest Guidelines are intended to govern the conduct of members of scientific review panels regarding the disclosure and avoidance of conflicts of interest.

Scientific review panels have the primary responsibility for the assessment of research proposals. Arthritis Society Canada must be satisfied that any real or perceived conflict of interest has not had an adverse impact on the proposal assessment and the granting process.

Conflicts of interest occur when the panel member’s individual research program, individual research interests and goals and/or individual institutional or job-related interests are sufficient that they may have an influence on the granting process. Conflicts may also exist when the panel member has the opportunity to influence the assessment and recommendation of research in ways that could lead to professional, personal or economic gain, or otherwise give improper advantage to the panel member, the panel member’s family, or institutions in which the panel member or the panel member’s family hold official positions or significant economic interests. Conflict exists where there is a perception of conflicting interests, regardless of the intention of the individual and whether or not the individual is actually influenced. The principles in this definition apply equally to panel chairs and their family members. 

Procedure for disclosure

Each member of a scientific review panel shall agree to maintain the confidentiality of Arthritis Society Canada’s information and to adhere to Arthritis Society Canada’s Code of Conduct for Scientific Review Panel Members. Management shall carry out such assessments as is necessary in the allocation of research proposals in order to avoid conflicts of interest.

Conflicts of interest for panel chairs

The research application of the chair of a panel shall be assigned to another panel. If this is not possible, the chair shall step down from the panel in the competition that his or her application is reviewed. 

Panel members who are Principal Investigators

The applications of other members of a panel, including Scientific Officers, who would be considered Principal Investigators shall be assigned to another panel, to the extent feasible. If it is not feasible, the member shall step down from the panel in the competition that the application is reviewed.

Panel members who are co-applicants

To the extent feasible, the applications of other members of a panel who would be co-applicants shall be assigned to another panel, provided the expertise is available and no unfairness to the applicant will ensue. If it is not possible, the member shall:

• Step down from the panel in the competition that the application is reviewed; or,
• Be absent from the panel during the discussion, review and determination of the rating of the application. The other members shall not indicate the rating of the application to the applicant. 

Procedure

The staff will review annually all cases that involve real or apparent conflicts of interest to determine whether further guidelines are required.

Bias of panel members

Maintaining the independence, objectivity, rigour and integrity of the assessment process is vital. Panel members should strive to avoid situations in which prior relationships or experience may consciously or unconsciously bias their judgment and make it difficult to assess a research proposal objectively. Examples of such bias may occur where the panel member and applicant:

• are members of the same academic department
• have collaborated on research in the past three years or propose to collaborate in the immediate future
• have a professional association as a student, postdoctoral fellow or supervisor in the past three years
• have a close personal or business relationship
• are known to be direct competitors, or known to have strongly conflicting professional or scientific views

This list is not exhaustive.

When any such circumstances occur, they shall be disclosed to the staff and to the panel chair, who shall decide as to whether:

• the panel member should be excluded at the outset from all further aspects of the evaluation of the proposal in question; or,
• the panel member should remain on the panel and the nature of the possible bias should be disclosed to the panel at the time of its meeting in order for the panel to determine an appropriate action at that time

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It is the policy of Arthritis Society Canada that its funds must not be used for the indirect costs associated with the conduct of research. Indirect costs refer to the operational costs that underpin an institution’s research activities (include, but are not limited to, heating, lighting, computer networking/IT services, ethics review, facilities for animals used in research, management of intellectual property, environmental assessment and safety compliance). These costs are considered fundamental support services for the operation of the institution and its research facilities, and are not specific to individual research projects/programs.

It is fully recognized that indirect costs are a legitimate part of the total cost of conducting research. However, Arthritis Society Canada, believes, in full accord with the other members of the Health Charities Coalition of Canada that such costs are the responsibility of the institutions where research is performed, or the governments that support those institutions, and that such costs should not be borne by the charitable donations of the public to Arthritis Society Canada.

Policy statement

If the application involves the use of human samples, such as tissue, blood or saliva, please note that Arthritis Society Canada is committed to ensuring that high quality ethically sourced bio-specimens are used in research it funds, as these yield high, reproducible quality data. If human samples are included in projects submitted to Arthritis Society Canada, applicants are required to provide one of the following:

1. Document that all bio-specimens will or have been collected in accordance with recognized standards, such as the Canadian Tissue Repository Network or equivalent (e.g. CLIA). Adherence to these standards and/or certification will be included as part of the peer review. Participation in external quality assurance programs will be considered eligible grant expenses.
2. Provide a brief description of the source, quality and handling procedure of the samples.

Certification (1) or description of samples (2) would be required at the time of application deadline for evaluation by reviewers.

This policy governs the conduct of Arthritis Society Canada when reviewing and supporting research in which the research itself, the investigator or the context in which the work is carried out has, or may develop, a commercial interest. Such instances are likely to increase in frequency with the growth of industrial support for biomedical and other research and the burgeoning programs for joint action between government agencies, research entities and commercial ventures. Arthritis Society Canada believes that such activities are to be encouraged: the successful application of basic discoveries (to yield benefits for all) will in many cases require the participation of the corporate sector.

This mix between industry and academia, however desirable, also has the potential to generate conflicts of interests that may undermine the manner in which research is conducted, communicated or viewed by members of the public. These situations require special attention for funding agencies such as Arthritis Society Canada whose mission is centered on the support of high-quality arthritis research. Unlike those of Federal Government agencies, for example, the mission and mandate of Arthritis Society Canada do not include providing seed money for commercial ventures, creating employment opportunities in the private sector, or facilitating technology transfer to the private sector. Furthermore, since Arthritis Society Canada’s revenues derive completely from charitable donations, there is accountability to the Canadian public.

The industry-related research policy is as follows:

• As is the case with all Arthritis Society Canada supported research, a Host Institution must take full responsibility for the conduct of the research being funded, according to all existing Arthritis Society Canada policies. These include, but are not limited to, maintaining integrity in research and scholarship, full ethical review and surveillance, compliance with accepted biohazard and animal care regulations and full financial accounting and control.
• For-profit organizations are not eligible to be Host Institutions for grant applications to Arthritis Society Canada.
• The Principal Investigator on any Research Grant or Program Project Grant administered by Arthritis Society Canada must be based in, or be formally affiliated with (but not necessarily receive salary support from), a Canadian Host Institution which will take responsibility described above, for the duration of the funding period.
• Research may be performed at the collected premises of the Host Institution, but also at any other locations as needed or as appropriate for the efficient conduct of the research. This includes the facilities of a for-profit organization, subject to the provisions above.
• Arthritis Society Canada affirms that it does not wish to own or have a vested interest in Intellectual Property (IP) which may emanate from any of the research projects it is supporting. Neither does Arthritis Society Canada wish to dictate terms to Host Institutions as to how they handle such IP. Arthritis Society Canada does, however, continue to insist that the Host Institution have a clear policy regarding IP, such policy to be in force at the time any award is made. Note, however, that it is the intent of Arthritis Society Canada that the primary objective of funded research must not be the promotion of commercial interests.
• Full disclosure of any existing or intended funding of the applicant’s research and any agreements that pertain to that research, by any other source, whether not-for-profit or for-profit, must be made by the applicants to Arthritis Society Canada to support any application for research. The details and mechanism of such disclosure must be sufficient to allow Arthritis Society Canada to make a determination of the amount of overlap, if any, with projects being submitted for support. Moreover, during the period of an Arthritis Society Canada grant, any changes in funding status that pertain to overlap are to be disclosed to Arthritis Society Canada. Arthritis Society Canada is prepared to have such disclosure made to a limited group of its senior officials, under an agreement of confidentiality, if necessary, to protect the rights of third parties.
• It is the policy of Arthritis Society Canada that investigators should be free to disseminate advances arising from its funded research to other researchers, practitioners, policy makers, and the public without undue delay.

Arthritis Society Canada is committed to the highest standards of integrity in research and scholarships that encourages the highest standards of research and scholarship. The major concerns regarding scientific misconduct are considered fabrication or falsification of data and plagiarism, but Arthritis Society Canada regards any action that is inconsistent with integrity as misconduct.

Integrity includes the principles listed below, which should be interpreted with the understanding that research can involve honest error, conflicting data or valid differences in experimental design or in interpretation or judgment of information:

• Recognizing the substantive contributions of collaborators and students; using unpublished work of other researchers and scholars only with permission and with due acknowledgement; and using archival material in accordance with the rules of the archival source
• Not using new information, concepts or data that were originally obtained through access to confidential manuscripts or applications for funds for research or training that may have been seen as a result of processes such as peer review, unless the author has given permission
• Using scholarly and scientific rigor and integrity in obtaining, recording and analyzing data and in reporting and publishing results
• Ensuring that authorship of published work includes all who have materially contributed to and share responsibility for the contents of the publication, and only those people
• Revealing to sponsors, universities, journals or funding agencies any material, financial or other conflict of interest 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

These components of scientific integrity overlap with other areas such as financial integrity in the use of research funds and the ethical issues involving the use of human or animal subjects in research. This document is concerned only with scientific integrity and does not replace any other statements from Arthritis Society Canada on other areas with which this issue may overlap.

Arthritis Society Canada requires the institutions that administer funds to accept responsibility for:

• monitoring and investigating possible instances of misconduct in research or scholarship
• imposing appropriate sanctions in accordance with their own policies
• informing Arthritis Society Canada of conclusions reached and actions taken

The specific expectations for procedures and responsibilities of researcher, research institutions and Arthritis Society Canada regarding integrity in research and scholarship are outlined below.

Procedures for promoting integrity and for preventing and addressing misconduct in research 

1. The responsibilities of researchers and scholars

The primary responsibility for high standards of conduct in research and scholarship rests with the individuals carrying out these activities. 

2. The responsibilities of research institutions

Arthritis Society Canada holds the institutions that administer its funds responsible for investigating allegations of misconduct involving researchers, trainees or research staff receiving funds. Promotion by the institutions of understanding of the issues involved in integrity in research and scholarship offers a valuable means of preventing cases of misconduct.

(a) Promotion of integrity in research and scholarship

Integrity in research and scholarship is best encouraged by developing awareness among all involved of the need for the highest standards of integrity, accountability and responsibility. Research institutions should provide an environment conducive to this goal and actively promote programs for education of researchers, scholars, trainees and staff.

Arthritis Society Canada encourages institutions that administer its funds to establish a mechanism to educate all who are involved in the collection, recording, citing, reporting and retention of scientific or scholarly material about their expectations for the highest standard of integrity.

Mechanisms for meeting this objective might include encouraging awareness of the issues involved and establishing policies on specific areas. Awareness might be encouraged by establishing information sessions on the principles and practices of scientific integrity for scientists, scholars, graduate students and other trainees and research staff when they arrive in the institution and at regular intervals thereafter. Institutions are encouraged to develop policies on such areas as requirements for authorship for publications or applications, on copyrights and patents and on the responsibilities for retention of data appropriate to the range of disciplines that they cover.

(b) Investigating allegations of misconduct in research and scholarship

Allegations may arise from anonymous or identified sources within or outside the research institution; the allegations may be well-founded, honestly erroneous or mischievous. Whatever their source, motivation or accuracy, such allegations have potential to cause great harm to the persons accused, to the accuser, to the institution and to research and scholarship in general.

Arthritis Society Canada requires the research institutions that administer its funds to establish appropriate impartial and accountable procedures to:

• receive written allegations of misconduct in research and scholarship
• conduct and document appropriate investigations within an established and reasonable time period
• protect the privacy of the person(s) accused and of the person(s) making the allegations throughout the investigation through mechanisms consistent with due process and natural justice
• decide whether there has been misconduct
• determine the actions to be taken as a result of conclusions reached, including:
  • the sanctions to be imposed
  • any actions to be taken to protect or restore the reputation(s) or credibility of person(s) wrongly accused of or implicated in misconduct in research, including the procedures to ensure that, if the charges have been dismissed, copies of documents and related files provided to third parties have been destroyed
  • any actions to be taken to protect the person(s) deemed to have made a responsible accusation
• inform the accused person(s) of the results of the investigation and of the actions that have been decided upon
• prepare a report on the above 

3. Responsibilities of Arthritis Society Canada

Arthritis Society Canada is responsible for ensuring that research funds are used with a high degree of integrity, accountability and responsibility.

Each institution receiving research funds must have established procedures for dealing with allegations of misconduct that are consistent with the above expectations. Arthritis Society Canada has the right, but not the obligation, to review the policies and procedures of the institution with regard to integrity in research and scholarship.

Allegations of misconduct made to Arthritis Society Canada or to research institutions might involve past or present grantees/awardees, trainees or staff supported by or working in laboratories receiving Arthritis Society Canada funds. Such allegations might also arise from the peer review processes of Arthritis Society Canada. Under provision of the Privacy Act, Arthritis Society Canada may only transmit allegations of misconduct in research with the permission of their author. Arthritis Society Canada will not transmit oral allegations to the institution or otherwise act upon them, since these cannot be assessed or transferred accurately. In the event that Arthritis Society Canada, or one of its peer review committees, identifies evidence of misconduct as part of the peer review processes, Arthritis Society Canada will initiate an inquiry to gather and expeditiously review factual information to determine if an investigation of the allegation is warranted. An inquiry is not a formal hearing; it is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations. Based upon recommendations from an Arthritis Society Canada inquiry, Arthritis Society Canada may request that the institutions(s) involved carry out an investigation and inform Arthritis Society Canada of the outcome.

Arthritis Society Canada requires that institutions that have carried out investigations of alleged misconduct in research or scholarship involving projects funded by Arthritis Society Canada inform Arthritis Society Canada of the allegations made and the progress of investigations and provide Arthritis Society Canada with the report prepared.

Arthritis Society Canada will consider the report and may request clarification or additional information. In cases in which misconduct is concluded to have occurred, Arthritis Society Canada will also consider imposing its own sanction(s) in relation to grants made to the individual(s) or the institutions(s) implicated, in accordance with its policies. If actions are being considered, Arthritis Society Canada will provide an opportunity for the persons or institutions involved to present their position. These actions may include, but are not limited to:

• refusal to consider future applications for a defined time period
• withdrawal of remaining installments of the grant(s) or award(s)
• seeking a refund of all or part of the funds already paid as a grant(s) or award(s) for the research or scholarship involved

Arthritis Society Canada will inform the person(s) and the institution(s) involved of any impending action.

Arthritis Society Canada must retain the right at any time to bring a case to the attention of the appropriate legal authorities.

It is the policy of Arthritis Society Canada that applications for top-up funding may be submitted, however, applications to support the value of decrements made by other agencies will not be considered. Applications must be for new and/or additional work for an existing or pending project. In either case, the application to Arthritis Society Canada must contain the full proposal which will be judged by the review panel. Project details must be described with the scientific proposal within the Arthritis Society Canada application page limits. Applications must clearly delineate the proposed work that would be supported by Arthritis Society Canada versus other co-funders. If the necessary details are missing or appended (and not contained within the scientific proposal), the application will be deemed ineligible. The budget justification must detail the source and term of funding in place or pending, and distinguish funds that are being requested from Arthritis Society Canada. If an application is pending, applicants must include a statement indicating when the funding decision is expected.

If successful, the release of Arthritis Society Canada funds will be contingent on other funds being secured. A letter confirming the approval of the other funds must be provided to Arthritis Society Canada within six-months from the start date of the Arthritis Society Canada grant, unless agreed otherwise. The funding of co-funded projects may depend upon funds available to Arthritis Society Canada (and/or its partners), an appropriate window for the release of other funds, and other factors that influence the feasibility of the projects.

Top ups to salary awards may be considered, on a case-by-case basis.

All researchers supported in whole or in part through Arthritis Society Canada are required to make the published results of their work publicly available as soon as possible, but must do so no later than 12-months after the final publication date.

Archives such as PubMed Central*, researchers’ Host Institution websites and/or open access journals are all acceptable ways to make research findings publicly available.  For example:

• Publish your article in an open access journal that will make articles immediately and freely available on the publisher’s website.
• Publish in any journal that allows for a copy of the final, peer-reviewed manuscript to be deposited into a freely accessibly, digital archive.
• Publish in any journal that allows for the article to be made available on the researcher’s personal and/or institutional website.

This policy is not designed to compromise the ability of any researcher to publishing research results in the most widely read and respected scientific journals. Nor is the open access policy designed to operate in a manner that in any way violates copyright law. Increasingly, however, many publishers are supportive of open access and have policies in place to allow open access without infringing their copyright.

Arthritis Society Canada believes strongly, however, that unrestricted public access to research findings is a crucial part of upholding the values and responsibilities of Arthritis Society Canada. Major funding bodies around the world have progressively adopted open access as a means of increasing the public availability and transparency of the research they fund. Open access allows for broader dissemination of knowledge and ultimately promotes research advancement, crucial to Arthritis Society Canada’s mission.

As part of this policy, Arthritis Society Canada will provide support for charges levied by publishers that are required to comply with this open access process. They may be included as legitimate research expenses (fully justified as with all other expenses) in the budget of a research grant submission.

*PubMed Central is a free digital archive of full-text biomedical and life science journal articles, developed and maintained by the U.S. National Institutes of Health (NIH) in the National Library of Medicine (NLM). PubMed central seeks to preserve and maintain unrestricted access to electronic literature. More information about PubMed Central can be found at: https://pmc.ncbi.nlm.nih.gov/

The Public Library of Science (PLoS) is an example of an open access journal that allows for all publications to be immediately and freely available online.

For a list of journals that automatically deposit articles in PubMed Central visit https://grants.nih.gov/policy-and-compliance/policy-topics/public-access/submitting-pubmed-central.

For more information please contact us at [email protected].