|
![,](/web/20061109002651im_/http://www.nserc.gc.ca/images/Spacer14px.gif) |
Framework for Tri-Council Review of Institutional Policies Dealing
with Integrity in Research![,](/web/20061109002651im_/http://www.nserc.gc.ca/images/line450x1.gif)
Researchers are responsible for adhering to ethical principles
in their research activities, and their associated institutions
are responsible for monitoring conformity with these principles.
The granting councils have in place a number of policies that define
the standard of accountability in such areas as research integrity,
research involving human and animal subjects, and fiscal responsibility.
Institutions are required to show their commitment to the Tri-Council
policy statement on Integrity in Research and Scholarship by adopting
an institutional policy on integrity in research.
Following an examination of the policies submitted, the three Councils
have developed a framework for their review. This framework, outlined
below, is based on the general principles, expected process, and
other requirements defined in the tri-council document on "Integrity
in Research and Scholarship" (see the Tri
Council Policy Statement: Integrity in Research and Scholarship
on NSERC's Web site).
General Principles
To comply with the general principles in the Tri-Council Policy
on Integrity in Research and Scholarship and to provide guidance
to researchers, the institutions that receive council funding must
adopt:
- A general statement of research integrity principles and description
of what constitutes misconduct;
- A statement confirming expectations for standards of appropriate
behaviour in research for the members of the institutional research
community, covering such points as honesty of researchers, respect
for others, scholarly competence, and stewardship of resources;
- A statement that both the policy and adjunct policies cover
and identify all those involved in the research enterprise in
any capacity whatsoever at the institution;
- A policy (policies) on data recording, ownership and retention;
- A policy on authorship and publication (either university-wide
or by faculty);
- A policy requiring disclosure of potential conflicts of interest;
- A statement that the institution is committed to ongoing education
on research integrity.
Procedures for Processing Allegations
The tri-council integrity policy also stipulates a number of requirements
with regard to the process for dealing with breaches of integrity.
Institutional policies must therefore demonstrate that procedures
have been established, as required by the Councils, to:
1. Receive allegations of misconduct
- identify a central point of contact, at the vice-presidential
level or equivalent (herein referred to Vice-President), to receive
allegations within the institution; this will ensure that the
individual receiving allegations is sufficiently at arm's length
in the administrative structure so as to be viewed as impartial
and free of personal conflicts of interest (especially with respect
to small administrative units) , and indicates that the institution
attaches importance to the issue;
- establish a mechanism whereby administrators who receive allegations
must channel them to the vice-president to ensure consistency
in dealing with cases;
- policy on anonymous allegations.
2. Conduct inquiries/investigations
- specify the time frame for inquiries and/or investigations,
which ensures that such matters receive the highest priority;
- define an appropriate inquiry/investigation process, which would
include:
- the appointment process for the committee responsible for
conducting the inquiry/investigation;
- a procedure to include appropriate expertise on an investigative
committee and to prevent conflicts of interest, real or apparent;
- a procedure to obtain, identify and record documentation
to be provided to and kept by the inquiry/investigation panel,
and to ensure that all information made available to the inquiry/investigation
is included as part of the record(s);
- a procedure to ensure that the inquiry/investigation panel
is able to identify and obtain all relevant records;
- a statement of expectations for the format and a timeframe
for the transmission of the report to the vice-president.
3. Protect privacy/confidentiality
- identify steps to safeguard, as far as possible, the privacy
of the complainant and respondent;
- identify steps to protect the confidentiality of all material/records
pertaining to the investigation.
4. Provide an opportunity for response and for due process
- provide and opportunity for the complainant and respondent to
comment on the allegations as part of the investigation;
- provide an opportunity for the inquiry/investigation panel to
interview the complainant and respondent;
- ensure that records are maintained of interviews with individuals
involved.
5. Make decisions on misconduct
- ensure that the investigative committee reports to the vice-president;
- acknowledge that the investigative committee has the authority
to decide on misconduct, and that decision is binding on the institution;
- provide an opportunity for rebuttal if misconduct is concluded.
6. Determine actions in response to a report
- identify a process for recommendations of sanctions, determine
appropriateness, and whether to impose them;
- identify a follow-up process, to be developed by the vice-president;
- for unfounded allegations, acknowledge that efforts will be
made by the institution to protect or restore the reputation of
those unjustly accused, and to ensure that documentation provided
to the investigative committees will be destroyed;
- define actions to protect 1) person (s) who have made an allegation
in good faith; 2) all persons involved (e.g., witnesses) in an
inquiry/investigation.
7. Report on the results of the investigation
- establish a procedure by which the vice-president would inform
the parties involved in a timely manner of the decision reached
by the investigative committee and of any sanctions which are
to be imposed.
8. Maintain records
- define the time period that reports or records will be kept
and by whom, once an inquiry / investigation has been completed
and define access rights within the university to investigative
reports or records.
Reporting to Councils
The last section of the tri-council policy deals with information
to be provided to the Councils. This must also be addressed in the
institutional policies and should include:
- where misconduct was found to have occurred, a commitment, after
completion of the investigation, to the forwarding of the report
within 30 days of the inquiry/investigation to the Council (s)
involved for all cases where the research is funded by the Councils;
- a policy to take action which protects the administration of
federal funds if appropriate;
- a mechanism for general summary reporting on internal complaints
and for forwarding to the Council (s) a comprehensive report of
those allegations that result in a misconduct finding which involves
their funding;
- in cases where it is the Council which initiates a request for
an inquiry/investigation, a mechanism for providing the Council
(s), whose funds are involved, with a comprehensive report of
the process and findings.
June 24, 1996
|