Archived - This content has been developed for the transition binder for the NRC President, December 2020
Slide 1
National Research Council
Values and Ethics Overview
December 2020
Corporate Secretariat
Secretary General Division
Slide 2
Purpose
To present:
- An overview of the NRC values and ethics policy framework
- A summary of recent Public Service Employee Survey results and investigations related to values and ethics
- An overview of support services provided by the Corporate Secretariat
Slide 3
NRC values and ethics policy framework
Slide 4
Values and ethics policy instrument suite
Slide 1 - Text version
Long Description:
The illustration on slide 4 is entitled Values and Ethics Policy Instrument Suite. It is a hierarchical chart depicting the Values and Ethics policies of the National Research Council (NRC). Moving from top to bottom, the National Research Council Vision and Values is the first tier, forming the basis for the NRC Code of Conduct on the second tier, supported by the following policies on the third tier, from left to right:
- NRC Policy on Harassment Prevention and Conflict Resolution
- NRC Research and Scientific Integrity Policy
- NRC Policy for Research Involving Human Participants
- Research Involving Animals: Canada Council for Animal Care (CCAC) Standards
- NRC Policy on Conflict of Interest and Post‑Employment
Each of these policies is supported by directives and guidelines listed on the fourth and fifth tiers of the graphic from left to right, as follows:
- Directive on the Harassment Complaint Process
- Research and Scientific Integrity Guidelines
- Research Ethics Board Standard Operating Procedure
- Research Ethics Board Guidance Documents
- Animal Care Committee Procedures
- Directive on Managing Conflict of Duties
- Guidance Documents (in support of the Policy on Conflict of Interest and Post‑Employment)
At the top right of the page, separate from the other hierarchy, at the same level as the NRC Vision and Values, the chart depicts the Public Servants Disclosure Protection Act (PSDPA). Under that on the second tier is a depiction of the NRC Procedures for Disclosures Pursuant to the PSDPA.
Slide 5
Our Values
Integrity: Behaving at all times ethically, honestly and objectively; being impartial and transparent with our colleagues, collaborators, stakeholders, clients, and the people of Canada; and exercising sound stewardship of our resources.
Excellence: Pursuing excellence in all that we do – in our research and innovation, in our collaborations, in execution of our programs, in our support to firms, and in our delivery of our common corporate services.
Respect: Valuing and respecting the knowledge, expertise, and diversity of our colleagues, our workplace, our collaborators, our stakeholders and our clients to have an impact on Canada and the world.
Creativity: Harnessing our imagination, passion for excellence, scientific exploration, technology and innovation to generate new knowledge, new technologies, new business processes, and new collaborations for a better NRC and a better world.
Slide 6
Code of Conduct: Integrates NRC and public sector values
Slide 6 - Text version
Long Description:
The illustration on slide 6 is entitled Code of Conduct: Integrates NRC and public sector values. It depicts the NRC values and the public sector values, which come together to form the basis of the NRC Code of Conduct. Arrows point from both the NRC values and the public sector values to the NRC Code of Conduct depicted in the middle of the page.
From left to right, the graphic depicts the list of NRC values (Chapter 1 of the NRC Code of Conduct) from top to bottom, as follows:
- Integrity
- Excellence
- Respect
- Creativity
In the middle of the page is a depiction of the NRC Code of Conduct.
On the right of the page, the graphic depicts the list of Public Sector Values (Chapter 2 of the NRC Code of Conduct), from top to bottom, as follows:
- Respect for Democracy
- Respect for People
- Stewardship
- Integrity
- Excellence
Slide 7
Research and scientific integrity
The NRC Research and Scientific Integrity Policy promotes the responsible conduct of research and the ability of researchers and scientists to speak freely about their research / science.
The Research and Scientific Integrity Policy aims to:
- Encourage NRC employees to speak freely about their research and science.
- Enhance reliability of government research and science.
- Ensure public trust in government research and science.
- Protect government research and science from political and commercial interference.
- Make research and scientific information produced by NRC employees available to the public.
- Ensure the responsible conduct of research and investigate allegations of research misconduct.
Slide 8
Research ethics – human participants
Research involving human participants is conducted at a high ethical standard following the principles of the Tri‑Council Policy Statement: Ethical Conduct for Research Involving Humans (TCPS 2) and requires approval from the NRC Research Ethics Board (R E B) prior to commencing.
Research involving human participants is defined as
- Actions or opinions or responses of human beings are studied in natural or staged environments.
- Human biological materials (e.g., organs, tissues, cells, body fluids or excreta) obtained from living humans, cadavers, embryos or fetal tissues are studied.
- Personal identifiable or private documents, data or other materials including images of the body and personal health data, that have not been placed in the public domain with the consent of the person directly affected, are studied.
- Research involving a secondary use of human biological materials or data from human participants as described above, when individual or combined information is identifiable.
Slide 9
Research ethics – animal use
- Research studies that involve animal use must be submitted for ethics approval to one of the NRC's two Animal Care Committees (ACC s). Before animal use is considered, an analysis of alternatives is required.
- The NRC follows the high ethical standards promoted by the Canadian Council on Animal Care (CCAC) to ensure the wellbeing of animals involved in research.
- Animal research plays a prominent and currently irreplaceable role in NRC laboratory research, particularly in the life sciences. NRC Industrial Research Assistance Program (IRAP) also funds a small number of projects that require animals.
- The NRC's animal research contributes to projects investigating Alzheimer's disease, Parkinson's disease, stroke, infectious disease, cancer, and vaccine development. The majority of the NRC IRAP projects involve the commercial agriculture or aquaculture sectors.
- Most of the animal research at the NRC involves small animals such as mice, rats, hamsters, guinea pigs and fish. This is similar to other animal‑based research programs across Canada.
Slide 10
Conflict of interest
A conflict of interest at the NRC is a situation in which the NRC employee has private interests that could improperly influence the performance of his or her official duties and responsibilities or in which the employee uses his or her role for personal gain.
- A real conflict of interest exists at the present time
- An apparent conflict of interest could be perceived by a reasonable observer to exist, whether or not it is the case; and
- A potential conflict of interest could reasonably be foreseen to exist in the future.
The NRC completed an Audit of Conflict of Interest Management in 2019. The management response action plan is currently in progress, including a revised Policy on Conflict of Interest, new mandatory training and declaration requirements, and identification of additional positions at higher risk of conflict of interest.
Slide 11
Harassment and Violence Prevention and Resolution
The new NRC Workplace Harassment and Violence Prevention and Resolution Policy was approved by the Senior Executive Committee on December 15, 2020, to take effect on January 1, 2021. The new Policy meets the new regulations under Bill C‑65, which amends the Canada Labour Code as follows:
- New definition of harassment and violence (one continuum): any action, conduct, or comment, including of a sexual nature, that can reasonably be expected to cause offence, humiliation or other physical or psychological injury or illness to an employee, including any prescribed action, conduct or comment.
- Focus on systemic workplace risk factors.
- Requires employers to follow a resolution process within specific timelines.
- Requires employers to ensure that all employees receive harassment and violence prevention training.
Slide 12
Public Servants Disclosure Protection Act (PSDPA) – "Whistleblower"
For employees who believe they have witnessed wrongdoing and want to "blow the whistle" to preserve the integrity and trust in the federal public sector.
The Public Servants Disclosure Protection Act (PSDPA) was put in place to enhance the ability of federal government organizations to identify wrongdoings, to resolve the situations, and to protect employees from reprisals when allegations of wrongdoing are made in good faith and pertain to serious matters.
NRC employees can make disclosures to the NRC Senior Ethics Officer or the Public Sector Integrity Commissioner. Employees who make a disclosure or participate as a witness are protected from reprisal under the law.
Reprisal could be any disciplinary measure (e.g. demotion, termination of employment, any measure that adversely affects the employment or working conditions of a person, or a threat to any of those things or to direct a person to do them).
Slide 13
Public Service Employee Survey results summary
and overview of values and ethics investigations
Slide 14
Public Service Employee Survey (PSES) results rend for National Research Council (NRC): Ethical workplace
Slide 14 - Text version
Long Description:
The illustration on Slide 14 is entitled "PSES Results Trend for NRC: Ethical workplace".
It is a bar graph that depicts two axis: the vertical axis is described as "percent" with a range of values in ascending order arranged from zero to one hundred in multiples of twenty (0, 20, 40, 60, 80 and 100).
The horizontal axis shows four references Q20, Q41, Q42 and Q43. For each reference there are colored vertical bars with a number on top that indicates a percentage consistent to the range on the vertical axis.
The colours on the bars are referenced in a legend as:
- Teal: 2011 NRC
- Maroon: 2018 NRC
- Green: 2019 Public Service (PS)
- Blue 2017 NRC
- Red: 2019 NRC
The first mark on the horizontal axis is Q20 and directly on top of the mark there is a N/A highlighted in aqua‑blue, followed immediately by a set of 4 bars grouped together starting by a teal bar with a number 60 on top, then a slightly shorter maroon bar with a number 56 on top, then the tallest bar on the mark which is red with a number 65 on top and lastly a green bar with the number 64 on top.
The second mark on the horizontal axis is Q41 and directly on top of this mark there is a set of 5 bars grouped together starting by a teal bar with a number 63 on top, then a slightly taller blue bar with a 66 on top, a shorter maroon bar with a number 63 on top, then a taller red bar with a 68 on top and lastly the tallest bar on the bunch, a green bar with the number 71 on top.
The third mark on the horizontal axis is Q42 and directly on top of the mark there is a N/A highlighted in light aqua‑blue, then another N/A highlighted in a darker shade of aqua‑blue, followed immediately by a set of 3 bars grouped together starting by a maroon bar with a number 61 on top, the next bar is red and slightly taller with a 69 on top and lastly, with similar height, a green bar with the number 69 on top.
The fourth and last mark on the horizontal axis is Q43 and directly on top of this mark there is a set of 5 bars grouped together in ascending heights starting by a short teal bar with a number 36 on top, then a blue bar with a 39 on top, a maroon bar with a number 42 on top, then red bar with a 48 on top and lastly the tallest bar on the bunch, a green bar with the number 50 on top.
- Q20 I am satisfied with how interpersonal issues are resolved in my work unit.
- Q41 If I am faced with an ethical dilemma or a conflict between values in the workplace, I know where I can go for help in resolving the situation.
- Q42 My department or agency does a good job of promoting values and ethics in the workplace.
- Q43 I feel I can initiate a formal recourse process (e.g., grievance, complaint, appeal) without fear of reprisal.
Slide 15
Public Service Employee Survey (PSES) results trend for National Research Council (NRC): Harassment
Slide 15 - Text version
Long Description:
The illustration on Slide 15 is entitled "PSES Results Trend for NRC: Harassment".
It is a bar graph that depicts two axis: the vertical axis is described as "Percent" with a range of values in ascending order arranged from zero to one hundred in multiples of twenty (0, 20, 40, 60, 80 and 100).
The horizontal axis shows four references Q58, Q63, Q64 and Q65, each one there are colored vertical bars with a number on top that indicates a percentage consistent to the range on the vertical axis.
The colours on the bars are referenced in a legend as:
- Teal: 2011 N R C
- Maroon: 2018 N R C
- Green: 2019 P S
- Blue 2017 N R C
- Red: 2019 N R C
The first mark on the horizontal axis is Q58 and directly on top of the mark there is a N/A highlighted in light aqua‑blue, then another N/A highlighted in a darker shade of aqua‑blue, followed immediately by a set of 3 bars grouped together starting by a maroon bar with a number 9 on top, then a slightly shorter red bar with a number 8 on top, then a taller green bar with the number 14 on top.
The second mark on the horizontal axis is Q63 and directly on top of this mark there is a sequence of three N/As highlighted in different shades of aqua‑blue, from the lightest shade to the darkest, followed by a set of 2 bars grouped together starting by a red bar with a number 11 on top and a taller green bar with the number 18 on top.
The third mark on the horizontal axis is Q64 and directly on top of the mark there is a N/A highlighted in light aqua‑blue, followed immediately by a set of 4 bars, grouped together starting by a teal bar with a number 51 on top, then a slightly shorter maroon bar with a number 49 on top, the next bar is red, taller than the first two ones, and has a number 53 on top. The last bar of the bunch is green, slightly shorter than the previous one, with a number 51 on top.
The fourth and last mark on the horizontal axis is Q65 and directly on top of this mark there is a set of 5 bars grouped together starting by a teal bar with a number 68 on top, then a slightly shorter blue bar with a 66 on top, a maroon bar, shorter than the previous one, with a number 61 on top, then a taller red bar with a number 71 on top and lastly a green bar, slightly shorter than the previous one, with a number 69 on top.
Q58 Having carefully read the definition of harassment, have you been the victim of harassment on the job in the past 12 months?
Q63 Having carefully read the definition of harassment, have you directly witnessed harassment on the job in the past 12 months?
Q64 I am satisfied with how matters related to harassment are resolved in my department or agency.
Q65 My department or agency works hard to create a workplace that prevents harassment.
Percentage refers to the proportion of employees who answered "Yes".
Previous year harassment results for Q58 are not shown as the time period for experiencing harassment changed from 2 years to 12 months beginning in 2018 so previous results are not comparable.
Slide 16
Values and Ethics Formal Investigations 2015‑2019
Managed by Corporate Secretariat
Slide 16 - Text version
Long Description:
The illustration on Slide 16 is a bar graph that depicts two axis:
- The vertical axis is described with a sequence in ascending order arranged from zero to 9.
- The horizontal axis shows five marks referencing calendar years in ascending order arranged from 2015 to 2019.
The bars on the horizontal axis are located on top of each calendar year mark in different colours. The colours on the bars are referenced under the graph in a legend that reads:
- Teal: Harassment
- Blue: Conflict of Interest
- Maroon: Research Misconduct
- Red: Violence
- Green: Disclosure of Wrongdoing
On the horizontal axis, the first mark is year 2015 and located slightly to the left of the mark there is one teal bar with the number 1 on top.
The second mark on the horizontal axis is 2016 and there is no bar on top of this mark.
The third mark on the horizontal axis is year 2017 and located slightly to the left of the mark there is one teal bar with the number 1 on top.
The fourth mark on the horizontal axis is 2018 and located slightly to the left of the mark there is one teal bar with the number 2 on top followed by an empty space and one maroon bar located exactly on top of the 2018 mark with the number 2 on top.
The fifth and last mark on the horizontal axis is year 2019 and directly on top of this mark there is a set of 5 bars in descending heights starting by a tall teal bar with a number 8 on top, then a blue bar with a 3 on top, a maroon bar with a number 2 on top, then red bar with the same size as the previous one also with a number 2 on top and lastly, the shortest bar is green with the number 1 on top.
Note: Formal investigations only. Does not include cases that did not proceed past preliminary assessment, or matters/cases that were resolved through mediations or other informal mechanisms or transferred to other areas for resolution.
Slide 17
[REDACTED]
Slide 18
Services to support National Research Council (NRC) employees
Slide 19
Ombudsperson's role
Karine Gauvreau, Ombudsperson
The Ombudsperson offers a safe place for all employees to raise any work‑related issues, such as concerns related to workplace practices or procedures, unethical behaviours, and systemic issues (policies, guidelines and inefficiencies).
The Ombudsperson is a change agent, an upward feedback channel to senior management, as well as an advocate for: fair and equitable process, respect for policy procedures and codes, and a healthy, respectful and efficient work environment.
At the NRC, the Ombudsperson also plays the role of Manager, Values and Ethics.
Slide 20
Informal conflict resolution services
Teach:
- Training and awareness sessions
- Develop communication and conflict management skills in order to successfully prevent, manage and address workplace issues as they arise
Support:
- Consultations
- Safe place for NRC employees to discuss a workplace situation and gain a different perspective, explore options, find tools and learn about other internal services
Guide:
- Coaching
- One‑on‑one support to help a person deal effectively with a difficult situation
Intervene:
- Mediation / facilitated discussions and group processes
- Impartial/neutral third party assists individuals in conflict to create a mutually acceptable solution to their problem
Slide 21
Thank You
Serge Bijimine
Secretary General, Office of the Secretary General
Serge.Bijimine@nrc-cnrc.gc.ca
Erin Skrapek
Executive Director, Corporate Secretariat and Senior Ethics Officer
erin.skrapek@nrc-cnrc.gc.ca
Karine Gauvreau
Ombudsperson, Ethics, Integrity and Respectful Workplace
karine.gauvreau@nrc-cnrc.gc.ca