Responsible Conduct in Research Policy
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RESPONSIBLE
CONDUCT
IN
RESEARCH
POLICY
Policy Type:
Academic
Initially
Approved:
February 17,
2023
Policy Sponsor:
Provost and VP
Academic
Last
Revised:
Primary Contact:
AVP, Research,
Scholarship and
Community
Engagement
Review
Scheduled:
February 17,
2028
Approver:
General Faculties Council
A. OVERVIEW
Mount Royal University is an institution of higher learning and scholarship. Research activities are
encouraged and supported in an environment of academic freedom. As an institution, we are
dedicated to promoting the highest standards of research and scholarly integrity and fostering
Researchers’ abilities to act honestly, accountably, and fairly in the search for, and dissemination
of, knowledge. All Researchers affiliated with the University are personally and directly responsible
for ensuring their research and scholarly activities comply with University standards and the
standards of their relevant profession or discipline, where applicable.
B. PURPOSE
The purposes of this policy are to:
● articulate the responsibilities of Mount Royal University Researchers pertaining to the
ethical and responsible conduct of all Research;
● ensure compliance with the requirements identified in the Tri-Agency Framework:
Responsible Conduct of Research (2021) concerning applying for and managing Agency
funds, conducting Research, and disseminating results;
● provide a process for addressing allegations of Misconduct fairly and expeditiously;
● create a process for addressing Conflicts of Interest in Research;
● establish a process for collecting, storing and maintaining integrity of data used in
Research.
C. SCOPE
This policy applies to all Researchers conducting Research.
Allegations of Misconduct may intersect with more than one University policy, external regulation
or law. In such instances, those responsible for the respective policies will jointly determine the
application of applicable policies and the appropriate process to be applied.
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D. GUIDING PRINCIPLES
1. Research undertaken at the University should be conducted in a manner that ensures the
integrity of that work, thereby enabling public and professional trust and confidence.
2. The University will ensure that all allegations of Misconduct are addressed in accordance with
the principles of procedural fairness, including that allegations are addressed fairly and in a
timely fashion.
3. The privacy of individuals who participate in the processes articulated in this policy, including
the Complainant, the Respondent and any witnesses, should be maintained to the extent
possible.
4. Researchers should not participate in Research which may result in an actual or perceived
Conflict of Interest unless they have followed the appropriate processes to address the Conflict
of Interest.
E. POLICY STATEMENTS
1. Responsibilities of Researchers
1.1. Researchers are responsible for adhering to the responsibilities and requirements as laid
out in section 2 of the Framework. Researchers are also responsible for:
a)
Culturally appropriate practice: Respectful engagement of local communities,
including First Nations, Inuit and Métis peoples, in a manner that acknowledges
various and distinct worldviews, cultural norms and traditional knowledge.
1.2. Researchers are also required to be knowledgeable of and adhere to the Mount Royal
Policies and Procedures that guide Research affiliated with the University. These include,
but are not limited to:
● Ethics of Research Involving Human Participants Policy
● Animal Care Policy
● Procedures for Conflicts of Interest in Research
● Procedures for Collection, Storage and Authenticity of Research Data
● Intellectual Property Policy
1.3. In their Research activities, Researchers shall follow the requirements of any applicable
professional or disciplinary standards and shall comply with applicable laws and
regulations.
2. Research Misconduct
2.1. Misc
onduct means any failure to comply with the responsibilities set out under Section 1
of this policy.
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2.2. Misconduct also refers to any breach (as the term is defined in the Framework) set out in
the Framework. Examples of breaches are included in Section 3 of the Framework.
3. Investigations into Allegations of Misconduct
3.1. Allegations of Misconduct can be made by individuals inside or outside the University
community. For example, the allegation may come from an Employee, a Student, a
granting source, a research participant, a member of the general public, a media report,
the Human Research Ethics Board, or an anonymous source.
3.2. All allegations of Misconduct will be made to the AVP, RSCE, who will then initiate the
process for assessing and investigating the alleged Misconduct. If the allegation of
Misconduct is regarding the AVP, RSCE, the allegation may be made to the Provost and
Vice-President, Academic.
3.3. The University will investigate allegations of Misconduct made against Researchers in
accordance with the Procedure for Addressing Allegations of Misconduct in
Research established under this Policy.
3.4. Interim measures may be implemented by the AVP, RSCE in accordance with the
Procedure for Addressing Allegations of Misconduct in Research.
3.5. Employees and Students are expected to report to the AVP, RSCE, in good faith, any
information pertaining to possible Misconduct. Employees and Students are also
expected to cooperate fully with the University in any process under this Policy.
3.6. All allegations of Misconduct made in good faith will be taken seriously and addressed in
an objective, appropriate and timely manner. The University will not tolerate any retaliation
against anyone who makes an allegation, gives evidence, or otherwise participates in a
process under this Policy.
3.7. Where an allegation made by an Employee or Student is found to be vexatious or
frivolous, the University may take disciplinary action in accordance with applicable policies
or processes against the Complainant who made the allegation. Frivolous or vexatious
allegations are taken very seriously.
4. Conflicts of Interest in Research
4.1. Researchers will not contribute to or participate in any Research where their contribution
or participation would create an actual or perceived Conflict of Interest unless they have
had the actual or perceived Conflict of Interest assessed and cleared in accordance with
the Procedure for Conflict of Interest in Research.
5. Collection, Storage and Authenticity of Research Data
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5.1. Researchers will ensure that all data generated in the course of Research is managed in
accordance with the Procedure for the Collection, Storage and Authenticity of
Research Data.
F. DEFINITIONS
(1)
AVP, RSCE
the Associate Vice-President, Research, Scholarship and Community
Engagement
(2)
Complainant:
any person who makes an allegation of Misconduct
(3)
Conflict of Interest:
a conflict of interest may arise when activities or situations place the Researcher
in a real, potential or perceived conflict between their responsibilities related to
research, and their personal, institutional or other interests. These interests
include, but are not limited to, business, commercial or financial interests
pertaining to the Researcher, their family members, friends or their former,
current or prospective professional associates. Examples of Conflicts of Interest
can be found in the Procedure for Conflicts of Interest in Research
(4)
Employee:
means individuals who are engaged to work for the University under an
employment contract, including faculty, staff, exempt Employees and
Management Employees
(5)
Framework
refers to Tri-Agency Framework: Responsible Conduct of Research (2021), as
amended
(6)
Misconduct
as defined in section 2 of this Policy
Policy
refers to this Responsible Conduct in Research Policy
(7)
Research:
research is an undertaking intended to extend knowledge through a disciplined
inquiry and/or systematic investigation as defined in the (
Tri-Agency
Framework: Responsible Conduct of Research (2021))
.
Research also includes activities related to one or more of scholarly or artistic
work which occurs through discovery, integration, teaching and learning, or
application of knowledge and is usually disseminated through peer-reviewed
processes.
(8)
Researcher
any Employee, Student or individual affiliated with the University (e.g., research
associates, emeriti, adjuncts, visiting scholars, etc.) participating in Research at
or under the auspices of the University
(9)
Respondent:
an individual alleged to have committed Misconduct
(10)
Student:
means any individual who maintains an
affiliation as a learner in the University’s
educational community
(11)
Tri-Agency:
means the Canadian Institutes of Health Research (CIHR), the Natural Sciences
and Engineering Research Council (NSERC) and the Social Sciences and
Humanities Research Council (SSHRC)
(12)
University:
means Mount Royal University
G. RELATED POLICIES
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● Animal Care Policy
● Code of Conduct - Employees
● Code of Student Academic Integrity Policy
● Code of Student Community Standards Policy
● Ethics of Research Involving Human Subjects Policy
H. RELATED LEGISLATION
● Alberta Freedom of Information and Protection of Privacy Act
● Canada’s Food and Drug Act
● The Canadian Environmental Assessment Act
I.
RELATED DOCUMENTS
● Procedure for Addressing Allegations of Misconduct in Research
● Procedure for Conflict of Interest in Research
● Procedure for the Collection, Storage and Authenticity of Research Data
● Tri- Agency Framework: Responsible Conduct of Research (2021)
● Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans (2018)
● Tri-Agency Research Data Management Policy
J. REVISION HISTORY
Date
(mm/dd/yyyy)
Description of
Change
Sections
Person who
Entered Revision
(Position Title)
Person who
Authorized
Revision
(Position Title)