Directives

PURPOSE

To set the principles that define integrity in research and scholarly activities and to establish procedures to investigate allegations of misconduct

SCOPE

All Research Personnel, including students, who participate in applied research activities conducted under the auspices of the Office of Applied Research and Innovation. 

DEFINITIONS

POLICY

1. Algonquin College is committed to promoting the highest standards of conduct in research and scholarly activities and will ensure that researchers are aware of the standards of integrity, accountability, and responsibility in research through ongoing education.

2. Data Gathering and Retention

2.1 The College recognizes the importance of sharing original data with the research community and of retaining original data to respond to inquiries.

2.2   Data will only be used for the purposes for which it was originally collected.

2.3 Principal investigators and all co-researchers will have free access to all original data and products of the research at all times subject to any limitations imposed by the terms of grants, contracts, or other arrangements for the conduct of the research.

2.4 Entitlement to ownership of the original data and the products of research will be clearly identified in a research agreement entered into by all researchers and the College.  The research agreement will be in accord with the College policy RE 05 Intellectual Property. 

2.5 Original data will be preserved in a suitable format for a period of at least five years from the end of the research project, which occurs when the final report is submitted to the Office of Applied Research and Innovation.  Where the data is owned by a third party, the data will be transferred to the third party at the end of the research project.

2.6 Data will be stored in a manner to safeguard confidentiality required by College policies, ethics policies, and relevant privacy legislation.

2.7 When leaving the College, researchers will make arrangements for the transfer and safekeeping of records, data and products of the research in which they took part.

3. Authorship

3.1 The College acknowledges the need to recognize all research participants in published works.

3.2 The authorship of published works will  include all those who have materially contributed to (other than financially), and share responsibility for, the contents of the publication.

4. Research Conduct

4.1 It is the responsibility of all research personnel to adhere to the highest possible ethical standards and conduct their research with scholarly and academic integrity. College research staff are responsible to ensure that students, research assistants and others involved in research adhere to these principles.

4.2 The College will investigate all allegations of academic dishonesty, misuse of research funds, and conflict of interest in research or scholarly activity and will consider such acts as misconduct. These include:

4.2.1 Academic dishonesty in research is defined as, but not limited to:
a.  All cases of fabrication or falsification of research results;
b.  Plagiarism or forgery of documents including academic credentials;
c.  Failure to appropriately recognize the substantive contributions of students, co-researchers, or other collaborators;
d.  Use of the unpublished works of other researchers and scholars without permission;
e.  Use of 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 without permission;
f.  Failure to use scholarly and scientific rigour and integrity in obtaining recording, and analyzing data, and in reporting and publishing results;
g.  Use of archival material in violation of the Copyright Act.

4.2.2  Misuse of research funds is defined as, but not limited to:
a.  Failure ailure to use research funds in strict accordance with the terms and conditions of grants and contracts;
b.  Failure to follow College financial directives and practices;
c.  Failure to disclose a financial or personal interest in any transaction chargeable to a research grant or contract;
d.  Failure to inform the College of a substantial change in research activities or use of research funds;
e.   Use of research resources, facilities or equipment in a manner that is inconsistent with approved research practices.

4.2.3 Conflict of interest in research is defined as, but not limited to:
a.  Failure to disclose existing, potential or apparent personal, financial, or business interests of the researcher, the researcher’s business associates or the researcher’s family in relationship to research grants and contracts;
b.  Failure to comply with the College policy on conflict of interest;
c.  Failure to reveal to sponsors, research institutions, journals, funding agencies or contractors, 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.              

5. Complaint Procedure

5.1 Anyone who believes that there has been a breach of this policy may seek informal assistance and may request a preliminary investigation from the Director of Applied Research and Innovation (the Director) at any time.  Inquiries will be kept confidential by all parties involved.

5.2 The Director will take steps to protect against retribution or coercion of complainants, including students, staff and research assistants under the supervision of professors whose conduct is the subject of misconduct allegations.

5.3 A formal complaint must be made in writing before the Director takes any steps against the researcher whose conduct is the subject matter of the complaint. Such a complaint may be formulated by any person who has reviewed the relevant information.

5.4 The researcher has the right to know the allegations against him/her and has the right to answer the allegations both orally and in writing to the Board.

5.5 Anonymous allegations will not normally be considered, unless compelling evidence is received  by College officials to indicate an investigation should proceed.

5.6 Written complaints shall contain sufficient details to enable the researcher to understand the matter that is to be investigated. No such person shall be identified unless that person has expressly so agreed.

6. Investigation Process

6.1 On receiving a written complaint, the Director , within ten (10) working  days, will  conduct a preliminary investigation into the allegation and discuss with the researcher whose conduct is in question, the nature of the complaint and the circumstances surrounding it in an attempt to achieve a satisfactory resolution of the complaint. 

6.2 The Director will consult with relevant parties to determine if a satisfactory resolution of the complaint is possible.

6.3 If the Director determines the complaint is without foundation, he/she will consult with the Vice President, Business Development and other relevant College officials regarding the basis of the decision. Following this consultation, the Director may dismiss the complaint and immediately advise the complainant  providing written justification for the decision. The complainant may request the complaint be forwarded to a Research Conduct Review Board  for review within ten (10) working  days. 

 6.4 If, in the opinion of the Director, a satisfactory resolution of the complaint is possible, the Director shall attempt such a resolution. 

7.  Research Conduct Review Board

7.1  In the event the Director is unable to achieve a satisfactory resolution, or if the Director determines that an investigation is required, he/she will refer the complaint to a Research Conduct Review Board for investigation. Such action will take place within ten (10) working days of the preliminary investigation. 

7.2  The Director, in consultation with the appropriate Vice President, will establish a Research Conduct Review Board  of three independent persons with relevant experience in the area of research and scholarly activity to conduct the  investigation. No member of the department or school involved shall be among the three persons appointed. Persons external to the College may be appointed if necessary.

7.3  The Board will review all documents and other information pertinent to the investigation.  The Board will also conduct interviews with the complainant, the researcher, and other parties as they deem appropriate to discern the facts.   

7.4  All interviews and meetings of the Board will be conducted in camera and will be recorded. 

7.5  At any meeting with the Board,  the researcher is entitled to be accompanied by an advocate of the researcher’s choosing at his or her expense.

7.6  The Board, in its final report, will address the allegations made and determine if they have merit and in doing so, will act fairly and conduct its proceedings in a manner consistent with the principles of natural justice.

7.7  The Board, within one calendar month from its appointment, will submit its final report to the Vice President , who will provide a copy of the report to the individuals named and to the Director within five(5) working days.

7.8  Either the complainant or the researcher may appeal the decision of the Board to the Vice President within five (5) working days of the receipt of the Board report.

7.9  The Vice President will review the Board report and will seek additional information at her/his discretion. The Vice President’s decision on the allegations will be final.

7.10  In cases where the Board determines that a breach of this policy has occurred,  disciplinary action reflecting the severity of the misconduct  will be imposed for research staff and students.   The sanctions for research staff and studnets are found in Appendix 1 and  Appendix 2 respectively.

7.11  Where a misconduct has occurred, the College will take immediate steps to protect the administration of research funds, if required.

7.12  In the case of unfounded allegations, the College  will make efforts to protect or restore the reputation of those unjustly accused.

8.       Maintenance of Records

8.1  A complete report will be made and retained for each written complaint received by the Director.

8.2  The report of the complaint will include the following:
a.  Original complaint;
b.  Any written response(s), pertinent documents and records;
c.  An outline of the process followed;
d.  Membership of the Board and rationale for member selection;
e.  Evidence used for the conclusions reached;
f.  Sanctions imposed, if applicable;
g.  Proposed plan to restore the reputation of the researcher and protect the complainant that have acted in good faith;
h.  Any other relevant details.

8.3 The Director will keep reports and records for a period of 10 years.  Access to these records will be through the Director. Access to information legislation in such applications apply.

9.  Reporting of Misconduct to Granting Agencies 

9.1. Where a researcher has committed a misconduct , the College will submit a comprehensive report of the determinations and actions taken to any granting agency involved in the research project within thirty (30) working days of such a finding.

9.2 Where a granting agency requests an inquiry or investigation, a comprehensive report, regardless of the findings, will be submitted to the agency within thirty (30) days of completion of the inquiry/investigation.

PROCEDURE

SUPPORTING DOCUMENTATION
Appendix 1       Sanctions for Research Misconduct: Research Staff
Appendix 2       Sanctions for Research Misconduct: Students

RELATED POLICIES
AA 34    Copyright
AD 02    Freedom of Information and Protection of Privacy
IT  01      Acceptable Use of Algonquin College Networks and Accounts
AA 18    Academic Dishonesty & Discipline
HR 12      Conflict of Interest
AA 35    Confidentiality of Student Records
SA 07     Student Conduct
RE 01     Research Administration
RE 03     Research Involving Human Subjects
RE 04     Research Involving Animals, Biohazards or Radioactive Materials
RE 05     Intellectual Property

RELATED MATERIALS

Academic Employee Collective Agreement

Support Staff Employee Collective Agreement

RE 02: Appendix 1

SANCTIONS FOR RESEARCH MISCONDUCT:  RESEARCH STAFF 

Disciplinary action for research staff will reflect the severity of the research misconduct and will vary accordingly.  More than one of the sanctions below may be imposed for any one single case of research misconduct.  

1. Admonition and Warning – a notice to the researcher that the he/she is violating or has violated a College policy or regulation or expected standards of behaviour.
2. Discipline – a written reprimand for violation of specified regulations.  Discipline may include the probability of more severe disciplinary sanctions if the researcher is found in further violation of any College policy or regulation.
3. Loss of Privileges – denial of specified privileges for a period of time.
4. Fines.
5. Restitution – compensation for loss, damage or injury.  This may take the form of appropriate service and/or monetary or material replacements.
6. Progressive discipline up to and including dismissal from the College.

RE 02: Appendix 2

SANCTIONS FOR RESEARCH MISCONDUCT:  STUDENTS 

Disciplinary action for students will reflect the severity of the research misconduct and vary accordingly.  More than one of the sanctions below may be imposed for any one single case of research misconduct.

1. Admonition and Warning – a notice to the student that she/he is violating or has violated a College policy, regulation or expected standards of behaviour.
2. Probation – a written reprimand for violation of specified regulations.  Probation is for a designated period of time and includes the probability of more severe disciplinary sanctions if the student is found to be violating any College policy or regulation.
3. Loss of Privileges – denial of specified privileges for a period of time.
4. Fines.
5. Restitution – compensation for loss, damage or injury.  This may take the form of appropriate service and/or monetary or material replacements.
6. Work assignments, service to the College, or other relevant assignments.
7. College Suspension – separation of the student from the College for a definite period of time, after which the student is eligible to apply to return. Conditions for readmission and registration may be specified
8. College Expulsion – permanent separation of the student from the College.  The student’s official record will read: Involuntary Withdrawal – Student Misconduct.