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Model Clause: Application of Tri-Council Policy Statement on Ethical Conduct for Research Involving Humans
1
General
1.1
The Tri-Council Policy Statement entitled Ethical Conduct for Research Involving Humans (1998), hereafter referred to as the Tri-Council Policy Statement, applies to research on humans conducted by members of the bargaining unit. In any dispute about the meaning or application of the Tri-Council Policy Statement, the full text including the commentary shall be the basis for any judgment.
1.2
The adoption and implementation of the Tri-Council Policy Statement shall not be used to circumscribe the academic freedom of researchers as specified in Article Y of this Collective Agreement.1
1.3
Research Ethics Boards (REBs) shall not have, nor shall they assume, the power to recommend discipline, to impose sanctions or discipline or to cause discipline to be imposed on members of the bargaining unit, nor shall they have any power to cause to be placed in the member's personnel file any information related to the research proposal.
1.4
It is the obligation of student or employee researchers to bring any proposed project that falls within the ambit of the Tri-Council Policy Statement to the attention of the relevant Research Ethics Board.
2
Research Ethics Boards
2.1
REBs and any Appeal Board established under the provisions of the Tri-Council Policy Statement shall meet the following requirements in addition to those specified in the Tri-Council Policy Statement:
(a) The REB shall consist of at least five members, including both men and women, who have broad expertise in the methods or in the areas of research that are covered by the REB with at least one member knowledgeable in ethics, and where biomedical research is involved, one member knowledgeable in the relevant law. One member of the REB must have no affiliation with the University and must be recruited from the community. The Chair of the REB shall be appointed by Senate.
(b) Individuals shall be nominated for, and appointed to, REBs in accordance with Senate policy. However, a majority of REB members shall be chosen from those whose main responsibilities are teaching and research. Neither the University's legal counsel nor any lawyer employed or contracted to represent the university shall be appointed to, or serve as a member of, a REB.
(c) REBS shall only have the power to review the ethics of research proposals involving humans in accordance with the Tri-Council Policy Statement. REBs shall not have, nor shall they assume, the ability to reject any proposal on the grounds of either its scholarly merit or pedagogical appropriateness. If the REB deems that the potential risk to the subjects may outweigh the academic merit of the project, then it shall seek peer review in accordance with the academic procedures of the institution before reaching a final decision.
(d) Subject to Senate approval, REBs shall be given adequate budget and staff to carry out their work.
(e) REBs shall meet regularly at announced times and shall consider all major matters in face-to-face meetings as required by the Tri-Council Policy Statement. Meetings and quorums shall follow the accepted rules of procedure which have been established for Senate committees.
(f) Ethics review of research carried out by undergraduate students as part of their work in courses or laboratories shall be delegated to the departmental level. Departments shall submit an annual report to the REB with respect to departmental policy and the undergraduate reviews. The departmental reviews shall be consistent with procedures in this article.
(g) Independent graduate or undergraduate research projects or honour's or master's theses and doctoral dissertations must be forwarded to REBs for review.
(h) In reviewing proposals, the REB shall follow the procedures and policies stated in Ethical Conduct for Research Involving Humans (1998). REBs may propose additional procedures provided they are consistent with both the Tri-Council Policy Statement and the Collective Agreement, and are approved by the senior academic body of the institution.
(i) In accordance with the Tri-Council Policy Statement, the REB shall ensure that its procedures are consistent with standards of natural justice and that its decisions are fair, impartial and equitable.
(j) REBs shall keep and maintain minutes of all meetings and records of all decisions.
(k) The REB shall make an annual report to Senate on its work, operation and decisions consistent with Article Z, Openness and Transparency.
3
Appeal Procedure
3.1
In accordance with the Tri-Council Policy Statement, researchers may appeal decisions of the REBs to an Appeal Board.
3.2
In accordance with the Tri-Council Policy Statement, the composition of the Appeal Board shall parallel that of the REB.
3.3
The Appeal Board and its Chair shall be appointed by Senate.
3.4
The Appeal Board shall be bound by the procedures, specified in this Article, which apply to REBs. The Appeal Board shall also be bound by the Tri-Council Policy Statement. Appeals may be based on procedural or substantive grounds, or both.
3.5
The Appeal Board shall have the power to review, amend, or reverse decisions of the REB regarding the ethics of research proposals. The Appeal Board shall not have, nor shall it assume, the power to recommend discipline, to impose sanctions or discipline or to cause discipline to be imposed on members of the bargaining unit, nor shall it have any power to cause to be placed in the member's personnel file any information related to the research proposal. The decision of the Appeal Board shall be communicated to both Parties.
Approved by the CAUT Council, November 2001.
1. Ensure that your academic freedom clause recognizes the traditional responsibilities attached to the exercise of academic freedom.
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