The implementation of basic ethical principles and responsibilities is essential to the effective functioning of a university. The Canadian research granting councils have recently announced that universities which receive research funding must have a policy on integrity in research and scholarship. The following policy was developed by the Laurentian University Senate Committee on Integrity in Research and Scholarship in response to this national call to universities. The document is based on the understanding that scholarly activity includes research, theory development, teaching and learning, and the production, performance, presentation or publication of scholarly papers, works of art, or other forms of expression. It assumes the development and maintenance of a culture of equity in the University, a culture where the standard operating procedures are rooted in principles of fairness and justice. It does not replace other means of determining fairness, such as the office of the Ombudsperson, the Employment Equity Office, or the Harassment Office, nor procedures such as student appeals, employee grievances, or any existing collective agreements. Instead, this Policy complements these and other Laurentian University policies and procedures, including those governing the ethics of research with human subjects, animals, biohazards, radioactive substances, occupational health and safety, and student conduct.

The general public has a legitimate interest in the maintenance of standards of scholarly conduct at the University. Therefore, Laurentian University is responsible for maintaining such standards in a way that is open to scrutiny. This University is responsible for promoting a clear understanding of the issues involved in maintaining the highest standards in research, teaching, learning and other aspects of scholarship. The University is also responsible for providing an environment that encourages recognition of ethical standards. Laurentian University must respond appropriately to allegations of misconduct involving its administrators, personnel or students. Finally, the university is accountable for assessing and reviewing policies and practices to ensure that the highest ethical standards are maintained over time. Therefore, Laurentian University faculty members, administrators, employees and students are directly responsible for ensuring that the standards listed in this document are observed.

This document is composed of Principles, Standards, Rationale for implementing the principles and standards, Dissemination of the policy, Implementation of this policy, Procedures for responding to inquiries related to integrity, Sanctions and accountability, and Review and revision. The Appendices provide Guidelines on ownership and authorship of intellectual property and Guidelines on conflict of interest.

1. Accountability

Individuals involved in research and scholarship at Laurentian University are to familiarize themselves with the principles and responsibilities outlined in this document, and are held accountable for their behaviour in carrying out these activities. The University provides mechanisms to assist and support members of the University Community in their endeavours to exercise a high level of integrity in research and scholarship.

2. Social Responsibility

Individuals involved in research and scholarship at Laurentian University are responsible to the community and the society in which they work and live. They are to consider, as much as possible, the broader effects of their scholarly activities, and take steps to minimize any negative social and environmental outcomes that may arise from their work.

3. Respect for Dignity of Persons

The primary responsibility for high standards of conduct in research, teaching, learning, publishing and other areas of scholarship rests with the individuals carrying out these activities, including administrators, faculty, students, and support staff. Therefore, Laurentian University holds them responsible for upholding the standards listed below.

1. Permission and Acknowledgement when using Information

The work of other researchers and scholars, including their expression of ideas, whether obtained formally or informally shall be used only with due acknowledgement, and only with formal permission unless publicly available. Archival material shall be used only in accordance with the rules of the archival source. Also, information obtained as a result of the peer review process must be treated as confidential by the reviewer.

2. Quality Assurance

Faculty, students and support staff are to exhibit honesty, accuracy and scholarly rigour that meets the standards of the discipline involved in obtaining, recording and analysing data, and in reporting and publishing results. They are to keep original data accessible for a reasonable period (usually five years) after study completion and publication.

3. Intellectual Property and Authorship

Administrators, faculty, students and support staff must understand and respect the guidelines for ownership and authorship of intellectual property. Authorship with regard to the publication of all scholarly work (including articles, oral presentations, and completed Bachelor’s, Master’s, or Doctoral theses), is to be attributed to all those, and only those, who have made a substantial scholarly contribution to, and share responsibility for, the contents of the publication. Authorship is not attributable to individuals who only provide encouragement, physical facilities, financial support, critiques, or editorial contributions. (See Appendix A.)

4. Conflicts of Interest

Researchers and scholars must reveal to potential or committed sponsors, including this or other universities, journals or funding agencies, any financial or other conflict of interest, that might influence the decisions of sponsors about whether the individual should review manuscripts or applications, test products or undertake work available through those sponsors. (See Appendix B.)

5. Financial and Research Accountability

Research funds must be used for the purpose for which they were given, and in accordance with Laurentian University policies and guidelines governing the use of and record-keeping for such funds. The University and other policies on research involving human subjects, animal care, biohazards, and radioactive substances, etc. must be followed.

6. Protection of Third Parties

Researchers must ensure that third parties (those who are affected by research but do not fall within the traditional definition of "research subjects") are protected from undue exposure to physical or psychological risk (including loss of confidentiality or privacy), using the same standards for weighing risks and benefits as are used for human subjects of research. Researchers should identify potential third parties and should describe research procedures which will be implemented to ensure protection of those parties.

7. Power Imbalances

Faculty, students and support staff must recognize and ensure the protection from coercion of individuals with less power (such as research subjects, third parties, students, junior or untenured faculty, staff and technicians) participating in research, teaching, learning, publication or other scholarly activity.

8. Teaching and Learning

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¹ The following definition of Academic Freedom appears in the LUFA Collective Agreement: Academic Freedom is the right to search for truth, knowledge and understanding and to express freely what one believes. The University as an institution and the community of its scholars have a duty to protect and defend the search for knowledge and truth by all who enquire, teach, offer professional library service and learn under its auspices. (LUFA Collective Agreement 1992-1995, p. 3.)

Laurentian University actively encourages the application of these standards to teaching, research and other forms of scholarship, recognising that:

• Individuals must understand clearly what constitutes ethically-based behaviour in a university environment;
• Simply displaying ethical guidelines does not mean that the University Community will take them seriously;
• Individuals are not always aware that their behaviour is an infringement of guidelines, or cognisant of the potential ramifications of their actions;
• Individual interests and perspectives may influence how ethical guidelines are interpreted;
• An institutional culture which emphasizes the value of competition may encourage some members of the University Community to place productivity above issues of integrity. A university culture must be founded on ethical principles and responsibilities.

Given these underlying assumptions, Laurentian University accepts its responsibility to establish mechanisms to:

Information on this Policy and its implementation procedures must be made available to the University Community, and also to those outside the University.

Those who will be most heavily involved in providing information about the Policy, and in implementing it, (Academic Administrators, especially Deans and the staff in their offices) must understand and be committed to its implementation.

Appropriate information about the Policy on Integrity in Research and Scholarship should be incorporated into the Undergraduate Student Handbook, the Graduate Studies Handbook, the Laurentian University Calendar and the School of Graduate Studies Calendar. The Policy will also form part of the Guidelines for the Preparation and Administration of Research Grants and Contracts, published by the School of Graduate Studies and Research.

The Faculties will develop and deliver workshops about issues and problem-solving involving integrity to new and existing members of the following groups, in conjunction with existing orientation sessions and with classes on research methods:

• Academic and other administrators who will be involved in the process of advising and performing the tasks related to implementation of the Policy
• Faculty and support staff
• Undergraduate students
• Graduate students

The Student and Employee Associations and Unions play a vital role in the dissemination of information about the Policy. They will in some cases serve as the first source of advice for those who are considering approaching a Dean or Director. As such, knowledge and commitment to the Policy on the part of associations and their representatives are very important. Information from these sources will complement the printed text available in their handbooks and elsewhere.

Persons outside the University Community also need to have access to information about this Policy. They may have questions about the Policy, disputes with the University or persons from the University Community, or allegations about the conduct of persons from the University Community. For those who are involved as subjects of research, the consent form they sign should inform them about how to contact the Office of Graduate Studies and Research. Personnel at the University Switchboard should also be informed about how to direct callers to sources of information on the Policy.

Written materials, slides or videos should be developed or collected, based on sources from ethics committees of various disciplines such as the Educational Psychological Association, Canadian Research Institute for the Advancement of Women, or the Canadian Nurses’ Association.

Conferences in which papers and case studies about integrity issues are presented, from the perspective of community groups, agencies, business, industry, educational institutions, health institutions and the university should be promoted.

Publication of papers in professional and scholarly journals about integrity issues should also be encouraged.

Introduction

Anyone who wishes to obtain information or advice on the interpretation or application of the Policy should direct their inquiries to the Dean of the relevant faculty or the Director of Graduate Studies and Research.

In the case where a problem involves more than one faculty, the Dean/Director who is approached should consult with the Dean/Director of the other faculty on the resolution of the matter. When the Deans/Directors are in disagreement on the resolution, the Vice-President Academic may be called upon to deal with the matter.

Requests of this sort may arise from individuals within the University Community, individuals outside the University Community, funding agencies, etc. They may also come from the University through its administrators.

It is contemplated that from time to time individuals will require advice for their personal information, will seek dispute settlement between themselves and another member of the University Community, or will have concerns with respect to the conduct of another member of the university Community as it relates to this Policy. It is the responsibility of the Dean/Director at this point to determine the basis of the query and to direct the individual accordingly.

1. When the individual requests information about this Policy or its implementation, the Dean/Director should provide assistance to the individual directly or should refer the individual to another resource within the University.
2. When the individual identifies a conflict or misunderstanding between themselves and another member of the University Community, (e.g., another faculty member, administrator, student, or researcher), and there is no serious infraction of the Policy, the Dean/Director will direct the individual to an appropriate faculty member who is prepared to act as a mediator between the individuals involved.
3. When, in the opinion of the Dean/Director the matter could be resolved by communicating with the person who has allegedly violated the Policy, the Dean/Director shall do so as quickly and as privately as possible. The individual making an inquiry may request anonymity and the Dean/Director shall make every reasonable effort to provide privacy. The Dean/Director will inform the individual making the inquiry that anonymity will be respected as much as possible.

1. Occasionally, an alleged violation of the Policy will be serious or complex enough that a formal review is warranted. For example, some allegations may require a complex review of financial records or a detailed review of research methodology or results. In such cases, the Dean/Director shall notify the individual alleged to have breached the Policy that an allegation exists, and shall designate one or more persons to review the situation.

The reviewer(s) may be internal or external to the University, as appropriate to the case. The reviewer(s) should be an independent fact-finder(s) who may have expert knowledge, and who can approach the question without preconceived notions of the outcome. The reviewer(s) shall not act as an advocate or representative of any party.

The reviewer(s) must meet as necessary with the person alleged to have violated the Policy and identify any matters which require a response. The person alleged to have violated the Policy will have the option to be accompanied by advisors, such as peers, student council or union representatives, or even legal counsel, at this and subsequent meetings. Specific allegations should be formulated by the Dean/director or the Reviewer in writing and the responding individual should then be given reasonable opportunity to properly respond to them. The reviewer(s) may meet with others as required and may review documents or materials as required. The responding individual should be allowed access to all available information bearing on the case. (The format of the information may be altered from the original if necessary to maintain privacy of the provider.)

2. The reviewer(s) shall complete a report of their findings and submit it to the Dean/Director for action, and may make recommendation for or against further action. The review shall normally be completed within six weeks after the reviewer(s) has been appointed.
3. Following receipt of the reviewer’s report, the Dean/Director shall

1. summarize the report to protect privacy of individuals and deliver a copy of the summary to the subject of the review and to the person whose inquiry originated the review; and, if necessary
2. take whatever remedial and/or disciplinary action is appropriate and is authorized under the governing collective agreement. (Such disciplinary action is subject to grievance in the normal course. If the person subject to disciplinary action is a student, the disciplinary action is subject to appeal under the Code of Student Conduct.); or
3. if a suspension or a discharge is contemplated, convene a hearing at which the allegations of violation of the Policy shall be heard. At such a hearing the parties shall be the University and the student/employee who has alleged to have violated the Policy. (See note above regarding the option to have advisors present). The matter will be heard before a single adjudicator, external to the Laurentian University Community, who shall be chosen by the Vice-President, Academic, taking into account the particular requirements of the case, in consultation with the bargaining units, student associations, or employee associations when appropriate.

In all cases, the University shall take reasonable steps to protect persons providing information about violations of the Policy against acts of retribution. This is particularly important if a power differential exists between the person providing information and the person who has been alleged to have violated the Policy. The University shall take responsibility to provide legal defence in the event anyone who has provided this information without malice or bad faith, becomes the object of litigation as a result.

After a final decision about the allegation has been reached, a record of the proceedings and findings, in cases where misconduct has been found, will be maintained in a confidential file kept by the Office of the Vice-President Academic. Only where the Vice-President or designate has concluded that a record of the proceedings should be kept in an employee’s personnel file or a student’s file will there be an additional copy inserted in those files. In these cases, the employee or student will be informed that the material related to misconduct has been placed in those files.

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