Integrity in Research

I. Integrity in Scholarly Research

Wishing to encourage the highest standards of ethical conduct in research and scholarship, St. Thomas University embraces the following principles with respect to its researchers and scholars:

a) scholarly researchers will recognize help from research assistants, students, collaborators, and colleagues; use unpublished work only with permission, and with due acknowledgement; use archival materials in accordance with the rules of archival sources;

b) scholarly researchers will obtain the permission of the author before using new information, concepts or data 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;

c) scholarly researchers will use scholarly and scientific rigour and integrity in obtaining, recording and analysing data, and in reporting and publishing results;

d) scholarly researchers will ensure that authorship of published work includes all those people, and only those people, who have materially contributed to, and share responsibility for, the contents of the publication, and,

e) scholarly researchers will reveal to sponsors, universities, journals, or funding agencies, any material conflict of interest, financial or other, 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.

II. Scholarly Misconduct

Misconduct in research does not include such things as honest error, conflicting data, difference in interpretation, or judgment of data or of experimental design, but does mean the following:

a) fabrication or falsification of evidence; plagiarism;

b) failure to give due acknowledgement to the significant contributions of others, including students; or, the use of unpublished work of other researchers without permission; or the use of archival material in violation of the rules of the archival source;

c) deliberate misuse of research funds;

d) failure to comply with federal, provincial, or university regulations (i) for the protection of researchers, human participants and the public, or (ii) for the welfare of laboratory animals;

e) failure to reveal any conflict of interest during the review of research grant applications or manuscripts, or in conducting research;

f) failure to reveal to the University any financial interest, direct or indirect, in a company that contracts with the University to undertake research, or to provide research- related materials or services. Financial interest would include ownership, stock holdings, a directorship, honoraria, or consulting fees;

g) any other forms of misconduct such as introducing computer viruses, tampering harmfully with another's research, and so on.

PROCEDURES FOR REPORTING AND INVESTIGATING SCHOLARLY MISCONDUCT

In all matters related to these procedures, the "Principles of Natural Justice" shall apply. Records shall be made for all activities undertaken in relation to these procedures. All such records and reports will be rendered to the Vice-President (Academic) for safekeeping for a period of at least three years.

I. Allegations

Allegations, properly documented and signed, are given to the Vice-President (Academic) who will provide a copy to the individual or individuals concerned. In the event that the allegation concerns the Vice-President (Academic), the matter shall be directed to the President who will appoint an individual to assume the responsibilities of the Vice-President (Academic) identified in the policy.

II. Mediation

Upon receiving an allegation, the Vice-President (Academic) will seek, through mediation, to find a resolution which is acceptable to all concerned individuals.

III. Informal and Confidential Inquiry

1. Upon receiving an allegation which cannot be settled immediately by mediation, the Vice- President (Academic) must initiate an informal investigation of the allegation.

2. The Vice-President (Academic) will appoint two "Advisors" who are members of the Senate Committee on Research to carry out an informal investigation.

3. With confidentiality, promptness, and prudence, the Advisors will:

3.1 discuss the situation with the parties involved, and try to reach a mutually agreeable solution;

3.2 if necessary, carry out an informal investigation of the allegation, and provide an opportunity for the individual or individuals concerned to respond to the allegations and, within one month, provide a report to the Senate Committee on Research.

Upon receiving the report from the Advisors, the Senate Committee on Research will decide which of three courses of action to follow. These are:

1. To determine that there is no substance to the allegation and conclude the procedure;

2. To determine that the substance of the allegation is not serious and to provide a recommended course of action to the Vice-President (Academic) for concluding the procedures; or,

3. To determine that the substance of the allegation may be a serious act of misconduct and, establish a "Board of Inquiry" to conduct a formal investigation.

IV. Formal Investigation

1. The Vice-President (Academic) will appoint three faculty members, none of whom shall be a member of the Senate Committee on Research, to the Board of Inquiry.

2. The individual or individuals who are the focus of the allegation will be provided an opportunity to challenge the appointment of any person to the Board of Inquiry.

3. Upon being made aware of the substance of the allegations, each member of the Board of Inquiry has a duty and a responsibility to declare his/her inability to render a decision because of personal interest or professional competencies.

4. The Board of Inquiry will investigate the allegation. During the conduct of the investigation, the Board of Inquiry has the right to:

4.1 consult documentation relevant to the investigation,
4.2 interview appropriate individuals,

4.3 consult any expert,

4.4 engage a third party to verify particular facts relevant to the investigation.

5. The Board of Inquiry will provide an opportunity for the individual or individuals who are the focus of the investigation to respond to the allegations.

6. The Board of Inquiry will provide the Vice-President (Academic) with a report which:

6.1 will make a determination regarding the allegation; and

6.2 will recommend appropriate penalties and/or remedies consistent with the seriousness of the actions.

V. Appeal

The person(s) found guilty of misconduct may appeal any decision by recourse to the St. Thomas University Collective Agreement, or to the Senate.

[Acknowledgements: this document is indebted to (i) the pamphlet Integrity in Research and Scholarship: A Tri-Council Policy Statement (SSHRC et al., 1994), and (ii) the University of Regina "Policy Statement on Scholarly Misconduct" (approved 16 March, 1993).]

*Policy Origin:

This policy was prepared by: June 1997