Principle

Memorial University of Newfoundland is committed to excellence in Research, including scholarly and creative activities, and ensuring that the highest standards of ethical conduct and Research integrity are understood and practiced.

Purpose

To ensure that the University community understands and practices the highest standards of integrity in pursuing Research and meets Tri-Agency requirements for addressing allegations of misconduct in responsible conduct of Research.

Scope

All persons who pursue Research under the auspices of Memorial University and all Research conducted by those persons regardless of the geographic location of the Research.

Where required, the minimum requirements set out in the Tri-Agency Framework: Responsible Conduct of Research (the Framework), as is amended from time to time, must be met in the conduct of Research at Memorial University. The Framework describes Tri-Agency policies and requirements related to applying for and managing Tri-Agency funds, performing Research, and disseminating results, and the processes that signatory Institutions follow in the event of an allegation of a breach of policy. The Tri-Agency requires that all researchers applying for, or in receipt of, Tri-Agency funds comply with the Framework.

In the case of students, the application of this policy is subject to the appropriate procedures governing Academic Misconduct for Undergraduate Students and Academic Misconduct for Graduate Students and, where required, the minimum requirements set out in the Framework.

Where United States Public Health Service (USPHS) funds are involved, allegations of Research misconduct involving any person, including students, shall be dealt with in accordance with the minimum requirements of the U.S. Office of Research Integrity or other appropriate offices of the U.S. Department of Health and Human Services, including U.S. Federal regulation U.S. Department of Health and Human Services (HHS) regulation, 42 CFR Part 50 and 93 — Public Health Service Policies on Research Misconduct, as amended or replaced from time to time, and the “Statement on Dealing with Allegations of Research Misconduct Under USPHS Research-related Activities for Foreign Institutions”.

This policy should be read in conjunction with the Framework and the policy statements of the U.S. National Institutes of Health on integrity in research, the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans (2022), and the Tri-Agency Policy on Sensitive Technology Research and Affiliations of Concern and Memorial University policies on Ethics of Research Involving Human Participants and Institutional Animal Care, or the guidelines regarding biosafety and radiation safety.

Definitions

Memorial Researcher — Any individual who is involved in the intellectual direction, control and/or conduct of Research under the auspices of Memorial University. When a Memorial Researcher is among a larger group based at another institution or other institutions, and are not the principal investigator of a project, the Memorial Researcher is responsible for their part of the work following this policy including any papers or datasets in which their name or work will appear.

Research — An undertaking intended to extend knowledge through:

a) the conduct of research, scholarship, and critical, creative, professional or developmental work; and

b) the dissemination of such work through publication, demonstration, presentation, exhibition or performance, or by other means appropriate to the discipline

SRCR — The Secretariat on Responsible Conduct of Research, Government of Canada.

The Framework — The Tri-Agency Framework for responsible Conduct of Research (2021)

Tri-Agency — The general term representing the three major federal granting councils the Canadian Institutes of Health Research (CIHR), the Natural Sciences and Engineering Research Council of Canada (NSERC) and the Social Sciences and Humanities Research Council of Canada (SSHRC). Memorial University is a signatory to, and bound by, the Tri-Agency Agreement on the Administration of Agency Grants and Awards by Research Institutions.

University — Memorial University of Newfoundland.

Policy

1.0 Integrity in Scholarly Research

1.1 The nature of Research Scholarly activity varies among the disciplines. Integrity is expected throughout the life cycle of a Research project – from the development of Research proposals, to the conduct of Research and the dissemination of Research, including engineering design and artistic creation or performance.

1.2 As a scholarly community, the University and all its individual members have a responsibility to maintain the highest standards of Research, specifically:

• citing the contributions of others;
• obtaining permission to use the unpublished work of others and duly acknowledging the work;
• respecting the privileged access to information or ideas obtained from confidential manuscripts or applications;
• ensuring that data resulting from scholarly activity are accessible for a reasonable period of time, except where such access could violate the anonymity of subjects or the confidentiality of data;
• using all University and Research resources responsibly, including support staff, as well as funds, equipment, materials, and Research subjects.
• being rigorous in scholarly activity including experimental design and interpretation of Research results;
• managing conflict of interests in accordance with University policy and Tri-Agency requirements.

1.3 Memorial Researchers are responsible for the safe storage of primary data resulting from Research activity. This includes ensuring that such material will be accessible (except where such access could violate the anonymity of participants or the confidentiality of data) for a period of five years unless a funding council or agency specifies a longer time.

Researchers are responsible for reporting loss of Research data to their immediate supervisor and/or other relevant authorities depending on your research activity.

1.4 Prior to leaving the University, a Memorial Researcher must arrange access and safe storage of records with their immediate supervisor.

1.5 Researchers are responsible for adhering to other research related policies such as Research Involving Indigenous Groups, which nurtures academic responsibility and integrity, as well as encourages new and better ways of conducting research on Indigenous Lands, with Indigenous peoples, and in Indigenous communities.

1.6 Researchers are responsible for ensuring their research is not a risk to national security. See the Tri-agency guidance on research security.

1.7 No member of the University community will exploit students. Specific examples of exploitation of students included but are not limited to:

a. engaging students to perform services not related to their program of study, or using students as human participants in Research without explicit clearance from a research ethics board;

b. failing to give proper recognition to the ideas, work or assistance of individuals or to obtain, where appropriate, prior permission for the use of work done;

c. encouraging graduate students to prolong Research beyond the point where an acceptable thesis could be submitted.

2.0 Gross Misconduct in Research

2.1 All accusations of misconduct in academic research are taken seriously and dealt with under the Procedure for Investigating Reports of Misconduct in Research.

2.2 Gross misconduct in academic Research means:

a. fabrication, falsification, or plagiarism (including self-plagiarism) but not factors intrinsic to the process of academic Research, such as honest error, conflicting data or differences in interpretation or assessment of data or of experimental design; or

b. willful or deliberate destruction or destruction resulting from the failure to take reasonable measures to ensure the safety of one's own Research data within a period of five (5) years after publication of the Research results, or the deliberate tampering with or destruction of the Research of another; or

c. once the results of the Research have been published, refusal without good and sufficient reason, to provide access to the data that resulted in the published document, for the purpose of verification by bona fide academic Researchers for a period of five (5) years from the date of publication; or

d. failure to respect agreements concerning privileged access to information or ideas obtained from confidential manuscripts or applications; or

e. the use of unpublished scholarly work of others without their permission; or

f. significant failure to comply with relevant federal or provincial statutes or regulations or national or international standards, or other relevant University policies for the protection of Researchers, human participants, or the health and safety of the public, or for the welfare of laboratory animals, or significant failure to meet other legal requirements that relate to the conduct of Research; or

g. failure to disclose and manage any conflict of interest; or

h. inaccurate attribution of authorship, including to individuals other than those who have made a substantial contribution to, and who accept responsibility for, the contents of a Research publication or document; or the undisclosed use of content generation tools, such as generative AI; or

i. failure to reveal to the University any material financial interest, either by the University member or a close relative, in a company that contracts with the University to undertake Research, or to supply goods or services directly pertaining to the University member's Research. Material financial interest includes ownership, substantial stock holding, a directorship, substantial honoraria or consulting fees but does not include routine stock holding in a large publicly traded company.

3.0 Responsibilities of Personnel who Supervise Research

3.1 The University will promote widespread awareness of responsible Research guidelines, including this policy and The Framework.

3.2 Research supervisors will inform Research staff, students and postdoctoral fellows of their responsibilities to maintain the highest levels of integrity. Research supervisors will ensure that research staff and students have appropriate guidance and instruction about experimental design, data recording and retention, and its interpretation.

4.0 Allegations of Misconduct

4.1 Allegations of breaches of this policy will be dealt with promptly, fairly and confidentially following the Procedure for Investigating Reports of Misconduct in Research or more detailed procedures that may be found in collective agreements covering some individuals.

4.2 Any allegations involving University administrators will be dealt with following the appropriate procedures, with the exception that if an allegation involves the President, the allegation will be directed to the Chair of the Board of Regents who will then follow the procedures.

4.3 The University will consider anonymous allegations if accompanied by sufficient information to enable the assessment of the allegation’s credibility and evidence.

4.4 The University may independently, or at the request of the Tri-Agency in exceptional circumstances, take immediate action to protect the administration of Tri-Agency funds. Immediate actions could include freezing grant accounts, requiring a second authorized signature from a University representative on all expenses charged to the Memorial Researcher’s account, or other measures, as appropriate.

4.5 Where an allegation is related to conduct that occurred at another university or institution, the University will contact the other institution and determine collaboratively which institution is the best place to conduct an inquiry and investigation, if warranted.

5.0 Allegations of Misconduct

5.1 The University respects the sensitive nature of information provided in the course of making an allegation of misconduct. The University will protect, to the extent possible, the individual making an allegation in good faith or providing information related to an allegation from reprisals. However, if an allegation is substantiated then the University reserves the right to use or disclose information in accordance with the Access to Information and Protection of Privacy Act, 2015, SNL 2015, C A-1.2 (ATIPPA).

5.2 The University shall use reasonable efforts:

a. to minimize disruption to the scholarly activities of a complainant and of any third party whose Research may be affected by the securing of evidence relevant to the allegation during the formal investigation; and

b. to ensure that any such disruption not negatively affect future decisions concerning the careers of those referenced in (a) above.

6.0 Reporting Requirements

6.1 Subject to applicable laws, the University shall advise the relevant Tri-Agency or the SRCR immediately of any allegations related to activities funded by the Tri-Agency that may involve significant financial, health and safety or other risks.

6.2 The University shall write a letter to the SRCR confirming whether there will be a formal investigation where the SRCR was copied on the allegation or advised as above in 6.1.

6.3 In cases where a funding agency requires notification that an allegation has been made, the University shall promptly inform the funding body of the allegation and whether there will be an investigation.

6.4 The University will promptly disclose all confirmed misconduct to relevant funding agencies, journal editors, etc.

6.5 The University will provide annual reports to the SRCR on the total number of allegations received involving Agency funds, the number of confirmed breaches and the nature of those breaches, subject to applicable laws, including privacy laws, such as ATTIPA

7.0 Confidentiality

7.1 All persons involved in any process related to this Policy are required to maintain confidentiality. Confidential matters are handled in accordance with the ATIPPA, other privacy legislation to which the University is subject, and University policies.

7.2 Only persons with a bona fide need to know the details of a situation will have access and such access will be limited to the scope of their responsibilities. Third parties attempting to gain or gaining access to personal information with respect to the Protected Disclosure Policy, where such information is not needed to perform the scope of their responsibilities, will be in violation of this Policy and may be in violation of the ATIPPA.

7.3 A breach of confidentiality by persons involved in any process related to this Policy may be subject to discipline or other appropriate action consistent with the appropriate collective agreements.

Related Documents

Tri-Agency Framework: Responsible Conduct of Research
Tri-Council Policy Statement:  Ethical Conduct for Research Involving Humans (2022)
Ethics of Research Involving Human Participants Policy
Institutional Animal Care Policy
U.S. National Institutes of Health on integrity in research
Academic Misconduct for Undergraduate Students
Undergraduate Students and Academic Behaviour for Graduate Students 

Procedures involving biohazards and radiation hazards 

Procedures:

There are no procedures associated with this policy.