Requirements for Certain Types of Research

Research Involving Humans

NSERC and the two other federal granting agencies, the Canadian Institutes of Health Research (CIHR) and the Social Sciences and Humanities Research Council of Canada (SSHRC), have adopted a revised policy statement governing research involving humans. (See  Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans)

NSERC requires a review of the ethical acceptability of research involving humans. To be eligible for NSERC funding, researchers and their institutions must apply the ethical principles and the articles of the Tri-Council Policy Statement, and be guided by the application to the articles.

Applicants must obtain appropriate ethics certification indicating that research involving humans has been reviewed and has received the required approval.

The signature of the institutional authorities on the grant application signifies that the institution fully complies with the Tri-Council Policy Statement and agrees to release funds to researchers only after an institutional Research Ethics Board (REB) has approved the research. If the activities involving humans will take place only in a future fiscal year and the methodology still needs to be determined, funds may be released, on a pro-rated basis, for activities up to the start of the work involving humans, at which time the review of the protocol must be completed before further funds can be released. Following initial REB review and approval, ethics review must continue throughout the life of the project in accordance with the Tri-Council Policy Statement.  

If, during the course of a grant, the research changes enough to require ethics certification, NSERC must be informed promptly and the appropriate certification must be obtained within the institution.

NSERC monitors adherence to these procedures as part of its regular monitoring visits.

Research Involving Human Pluripotent Stem Cells

All applications submitted to NSERC involving human pluripotent stem cells, identified by the applicant or during the review process, are required to adhere to the  Updated Guidelines for Human Pluripotent Stem Cell Research. A list of  Frequently Asked Questions is posted on the CIHR Web site.

To ensure compliance with CIHR guidelines, applications involving the use of human pluripotent stem cells that are approved for funding will be forwarded, with the applicant's consent, to the  Stem Cell Oversight Committee (SCOC) . This will supplement the normal review by local Research Ethics Boards (REBs).

The three federal granting agencies have adopted Interim Tri-Agency Measures for Human Pluripotent Stem Cell Research. For more information on the interim measures, you can refer to the Memorandum to Vice-Presidents of Research and Research Grants Officers.

Research Requiring the Use of Animals

Researchers who use animals in their research – any vertebrates and certain invertebrates, in particular, cephalopods (octopi and squid) – must adhere to the policies and guidelines of the Canadian Council on Animal Care (CCAC) as published in the two-volume Guide to the Care and Use of Experimental Animals, which can be found on the  CCAC Web site.

Paper copies of the two-volume guide can also be ordered through the Publications section of the  CCAC Web site.

Institutions must hold a Good Animal Practice (GAP) certificate. This will certify compliance with the CCAC guidelines for the provision of adequate facilities to house and care for animals and to maintain local animal care committees for assessment and control of animal experimentation. Failure to comply with the guidelines could ultimately lead to the freezing of NSERC funds at the institution.

Applicants must obtain certification from the Animal Care Committee at the institution that the proposed experimental procedures have been approved and that the care and treatment of animals is in accordance with the principles outlined in the CCAC guide.

The signature of the institutional authorities on the grant application signifies that the institution agrees to release funds to researchers only after an institutional Animal Care Committee (ACC) has approved the research. If the activities involving animals will only take place in a future fiscal year and the methodology still needs to be determined, funds may be released, on a pro-rated basis, for activities up to the start of the work involving animals, at which time the review of the protocol must be completed before further funds can be released. The research must maintain ACC approval for the duration of the project.

If, during the course of a grant, the research changes enough to require certification, NSERC must be promptly informed and the appropriate certification must be obtained within the institution.

NSERC monitors adherence to these procedures as part of its regular monitoring visits.

Alternatives to the Use of Animals

Research activities aimed at developing alternatives to the use of animals are eligible for NSERC support. Researchers who use animals for experiments are encouraged to use alternative methods when available.

Research Involving Controlled Information

Background

Some research in the natural sciences and engineering may be subject to export controls administered by the Department of Foreign Affairs and International Trade (DFAIT). For example, under the Export and Import Permits Act (EIPA), transmitting the results of, or information about, certain research may require first obtaining an export permit or other authorization, if the export item is included in the  Export Control List (ECL) or if the recipient is in a country included in the  Area Control List (ACL). Information may be obtained from the  DFAIT Web site.

Certain research may also be subject to regulation by the Controlled Goods Directorate (CGD) of Public Works and Government Services Canada (PWGSC), in accordance with the Defence Production Act (DPA) and the Controlled Goods Regulations (CGR). Information may be obtained from the  CGD Web site.

Because NSERC must comply with the above Acts and regulations, research proposals that trigger either export controls or CGR raise areas of concern because:

• NSERC fulfils its mission by awarding scholarships and research grants through peer-reviewed competitions; the proposal itself, or subsequent documentation (such as progress and final reports) would contain information that would limit NSERC’s ability to proceed with peer review; and
• the Controlled Goods Program requires restricted access to the technology or information, limiting the ability of researchers to disseminate in the open literature as well as the personnel and training that can be involved in a project.

Policy Statement

In order for NSERC to meet its legal obligations with respect to Controlled Information, to achieve program objectives, including research training and research dissemination, and to ensure funding decisions are based on a thorough peer review, all applications and any associated information (e.g., progress and final reports) required by or provided to NSERC, must not:

• contain any information which would require an export permit or other authorization under the Export and Import Permits Act or its regulations; or
• contain any information subject to the Defence Production Act or the Controlled Goods Regulations, as administered by the  Canadian Controlled Goods Program.

For the purpose of this policy, the above two categories of information are referred to as “Controlled Information.”

Use of Grant Funds

Some funds from an NSERC grant may be used to support research that is subject to export controls or CGR, provided that both the level of training and the ability to disseminate the research results, for the entire grant, in the open literature are not unduly restricted. For example, NSERC funds can be used to purchase or develop technology, items or information subject to export controls or CGR.

Conditions of Award

Progress on NSERC funded research is monitored closely to ensure that the grant objectives and program objectives are met, including adequate dissemination of research results and training of highly qualified personnel. If progress on the objectives is significantly restricted, as a result of Controlled Information regulations, the grant may be terminated.

Responsibilities

Applicants and their institutions bear direct responsibility for ensuring compliance with all laws and regulations regarding Controlled Information, including but not limited to the Defence Production Act, Export Control Regulations, the Controlled Goods Regulations before, during or after the tenure of a grant, scholarship, fellowship or award from NSERC. NSERC bears no responsibility for applicants’ and institutions’ compliance. NSERC is only responsible for ensuring its own compliance with Controlled Information acts and regulations.

Policy Implementation

The signatures of the applicant and institutional authorities on the NSERC application signify that the applicant and the institution fully complies with the NSERC Policy Statement and confirm that the application itself does not contain any Controlled Information.

Research Involving Biohazards

Researchers who are conducting, or propose to conduct, research involving biohazards must adhere to the standards outlined in the Laboratory Biosafety Guidelines, 3^rd Edition, which can be found on the  Public Health Agency of Canada Web site.

Applicants must obtain certification from the biosafety committee, or the biosafety officer at the institution, to ensure that the laboratory procedures being used comply with the safety precautions necessary for the level of containment required by the research.

The signature of the institutional authorities on the grant application signifies that the institution agrees to release funds only to researchers who have the necessary certification.

If, during the course of a grant, the research changes enough to require certification, NSERC must be promptly informed and the appropriate certification must be obtained within the institution.

NSERC monitors adherence to these procedures as part of its regular monitoring visits.

Researchers are responsible for ensuring that research assistants and laboratory personnel are aware of any hazards (e.g., handling of chemicals, diving, etc.) that may be encountered in the course of the research. Personnel must be adequately trained, and appropriate protective procedures must be enforced.

Research Involving Radioactive Materials

Applicants carrying out research using radioactive materials must comply with all Canadian Nuclear Safety Commission (CNSC) regulations, recommended procedures, and safety precautions governing the use of such materials in Canada. This information is available on the  CNSC Web site, or by calling 1-800-668-5284.

Research Activities Having Potential Effects on the Environment (Note: this section does not apply to students and fellows.)

NSERC is subject to the Canadian Environmental Assessment Act (CEAA). This law requires that federal departments and agencies carry out environmental assessments, if needed, to ensure that the projects they fund are not likely to cause significant adverse environmental effects.

If any activities take place outside of an office or a laboratory, or involve the construction, operation, modification, decommissioning, abandonment, or other activity in relation to a built structure that has a fixed location and is not intended to be moved frequently, the applicant must complete Appendix A of Form 101, Environmental Impact, and Appendix B of Form 101, Canadian Environmental Assessment Act Pre-Screening Checklist.

In Appendix A (Form 101), the applicant outlines activities in the proposal that might have an effect on the environment. The researcher provides a brief description of the activities, the environmental elements that may be affected by these activities, the nature of the effects, and the mitigation measures, if required. In Appendix B (Form 101), the applicant checks off all boxes on the first page that apply to the proposal and, on page two, lists all provincial or federal authorizations, permits, or licences required to undertake any activity for any phase of the proposal.

Once the proposal is submitted to NSERC, staff will review Form 101 and Appendices A and B to ensure compliance with the CEAA and NSERC's Policy on Environmental Assessment.

If NSERC determines that a screening under the Act is required, NSERC will contact the applicant. For further information, please read the detailed instructions on completing Appendix A and Appendix B of Form 101.

Grant holders must promptly advise NSERC and provide a completed Appendix A and Appendix B if, during the course of a grant, the nature of the research activities change substantially and may result in adverse effects on the environment.

Access to Special Services or Facilities (e.g., Ship Time)

Applicants whose research requires the services or facilities of a government agency (e.g., ship time, beam time, transportation, use of towers, platforms, etc.) must outline in their application the steps taken to ensure the availability of services. Indicate whether approval has been granted and whether funds are being requested from NSERC for this purpose. If so, costs should be clearly documented.

Researchers requiring ship time should contact NSERC directly for information on application procedures.

Researchers Working with University-Based Collections

Research collections are a significant part of the scientific and cultural resources of Canada and contain irreplaceable scientific, humanistic, social, and cultural data. In response to concerns about the lack of NSERC guidelines on the proper care, maintenance, ownership, and eventual transfer (for long-term storage) of collections, an Advisory Group on Collections was formed.

This group, composed of researchers, representatives of professional associations, museum officials, and the Canadian Association of University Research Administrators (CAURA), worked with representatives from the three federal granting agencies to produce a document – a framework – that clarifies expectations on the care and maintenance of collections that are established as part of agency-funded research programs. (See Framework for Researchers Working with University-Based Collections.)

Licences for Research in the Yukon, the Northwest Territories, and Nunavut

All researchers doing research in the Yukon, the Northwest Territories, and Nunavut must be licensed. The licence requirements apply to all government, university, or private-sector research. Northern-based researchers and members of northern communities must comply with licensing requirements. Those working on projects led by government researchers must ensure that all procedures have been followed to obtain licences. Failure to comply with the regulations may result in refusal of permission to publish data under the terms of intellectual property rights and land claims legislation.

Sometimes, land-use permits or other types of licences issued to researchers may require an environmental assessment. If this is the case, please inform NSERC's Environmental Assessment Unit immediately at enviro.assess@nserc-crsng.gc.ca. (Note: This does not apply to students and fellows.)

Information about licence requirements for research in the Northwest Territories may be obtained from:

Manager, Scientific Services
Aurora Research Institute
191 Mackenzie Road
P.O. Box 1450
Inuvik, Northwest Territories
X0E 0T0

Tel.: 867-777-3298, ext. 32
Fax: 867-777-4264
E-mail: licence@nwtresearch.com
Web site:  http://www.nwtresearch.com

Information about licence requirements for research in Nunavut may be obtained from:

Manager, Research Liaison
Nunavut Research Institute
P.O. Box 1720
Iqaluit, Nunavut
X0A 0H0

Tel.: 867-979-7279
Fax: 867-979-7109
E-mail: mosha.cole@arcticcollege.ca
Web site:  http://www.nri.nu.ca/

Information about licence requirements for research in the Yukon may be obtained from:

Manager, Heritage Resources Unit
Cultural Services Branch
Department of Tourism and Culture
Government of Yukon
Box 2703
Whitehorse, Yukon
Y1A 2C6

Tel.: 867-667-5363
Toll free: 1-800-661-0408
Fax: 867-393-6456
E-mail: jeff.hunston@gov.yk.ca
Web site:  http://www.tc.gov.yk.ca/scientists_explorers.html

Research in the North should be governed by a set of ethical principles (see  Ethical Principles for the Conduct of Research in the North, Association of Canadian Universities for Northern Studies). Communities in the North are fully advised of their rights with respect to research on their land, e.g.,  Negotiating Research Relationships: A Guide for Communities (prepared by the Nunavut Research Institute and Inuit Tapirisat of Canada 1998). Researchers should consult these documents and contact the above addresses to get more information on licensing procedures. Do not direct enquiries to NSERC.