| Topic: | Faculty, Staff, Students: Conduct and Responsibilities |
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| Approval Authority: | Senate |
| Approval Date: | 1994/06/23;; Amended and approved: 2013/06/27 and 2025/03/27 |
| Effective Date: | Amendments effective July 1, 2025 |
| Last Revised: | 27 March 2025 |
1. Preamble
1.1 York University is committed to providing an environment that supports and promotes the Responsible Conduct of Research. The University affirms that all members have the obligation to maintain the highest standards of conduct in research.
1.2 To maximize the quality and benefits of research, a positive research environment which fosters researchers’ abilities to act honestly, accountably, openly, and fairly in the search for, and dissemination of, knowledge is critically important. It is the responsibility of members of faculty and staff to follow standards of conduct in research and to encourage it in others, and of students to be mindful of and abide by such standards.
1.3 The University draws on Tri-Council policy and standards to establish standards for responsible conduct of research at York. These are embedded in policy, procedure, and promotion of education about, and awareness of the importance of, the Responsible Conduct of Research. The University incorporates RCR standards based on the regulations on responsible conduct in research established by national and international agencies, which include but are not limited to the Tri-Agencies (SSHRC, NSERC, CIHR) and the Canadian Council on Animal Care, and the policies of Senate, and the University respects its obligations in respect of the collective agreements between the University and its employee groups.
1.4 Through this Policy, the University strives to promote the following objectives:
a. Ensure that information provided to funding agencies is accurate and reliable;
b. Ensure that public funds secured for research are used responsibly and in accordance with funding agreements;
c. Promote and protect the quality, accuracy and reliability of research;
d. Promote integrity and fairness in the conduct of research and in the process for addressing allegations of policy breaches
2. Purpose
The purpose of this policy is to set forth the standards for responsible conduct of research and the procedures to assess allegations of a breach of those standards for all those involved in research conducted at York University. Responsible Conduct of Research is the behavior expected of anyone who conducts or supports research activities throughout the life cycle of a research project (i.e., from the formulation of the research question, through the design, conduct, collection of data, and analysis of the research, to its reporting, publication and dissemination, as well as the management of research funds). It involves the awareness and application of established professional norms, as well as values and ethical principles that are essential in the performance of all activities related to research. These values include honesty, fairness, trust, accountability, and openness.
3. Scope and Application
3.1 This Policy applies to all persons involved in Research – faculty, staff or students under the auspices of York University.
3.2 In the event the implementation of this Policy conflicts with relevant provisions of applicable collective agreements, nothing in this policy and related procedures will limit or amend the provisions of any existing collective agreement at the university. If there is a conflict between this Policy or a collective agreement and the law, the law prevails. The Procedures in this Policy will not be used if an Allegation is being, or has been, addressed using another University procedure.
3.3 Students who have been alleged to have engaged in research misconduct solely in their capacity as students, and with respect only to work related to the completion of their degree requirements, shall be governed by the Senate Academic Conduct Policy and Procedures.
3.4 In cases where there is an apparent conflict as to which policy and related procedures apply with respect to a particular student situation (i.e. the Senate Policy on Responsible Conduct of Research or the Academic Conduct Policy and Procedures.), the Dean of the Faculty in which the student is registered shall determine which policy and related procedures to follow.
4. Definitions
Breaches of Agency Policies: A breach of the RCR Framework is the failure to comply with any Agency policy throughout the life cycle of a research project – from application for funding, to the conduct of the research and the dissemination of research results. The following is a non-exhaustive list of breaches of Agency policies:
4.1 Breaches of Tri-Agency Research Integrity Policy:
i. Fabrication of data, findings, methods and related images: Making up data, source material, methodologies or findings, including graphs and images.
ii. Falsification of data, findings methods, and related images: Manipulating, changing, or omitting data, source material, methodologies or findings, including graphs and images, without acknowledgement and which results in inaccurate findings or conclusions.
iii. Destruction of research records: The destruction of one's own or another's research data or records to specifically avoid the detection of wrongdoing or in contravention of the applicable funding agreement, institutional policy and/or laws, regulations and professional or disciplinary standards.
iv. Plagiarism: Presenting and using another's published or unpublished work, including theories, concepts, data, source material, methodologies or findings, including graphs and images, as one's own, without appropriate referencing and, if required, without permission.
v. Redundant publications: The re-publication of one's own previously published work or part thereof, or data, in the same or another language, without adequate acknowledgment of the source, or justification. This can be referred to as self-plagiarism.
vi. Invalid authorship: Inaccurate attribution of authorship, including attribution of authorship to persons other than those who have contributed sufficiently to take responsibility for the intellectual content, or agreeing to be listed as author to a publication for which one made little or no material contribution.
vii. Inadequate acknowledgement: Failure to appropriately recognize contributions of others in a manner consistent with their respective contributions and authorship policies of relevant publications.
viii. Mismanagement of Conflict of Interest: Failure to appropriately manage any real, potential or perceived conflict of interest, in accordance with the University’s policy on conflict of interest in research. (Refer to the Senate Policy on Research Involving Human Participants - Supporting document: HPRC - SOP Terms of Reference, Section 7 - Conflict of Interest).
ix. Misrepresentation in a funding application or related document:
a. Providing incomplete, inaccurate or false information in a grant or award application or related document, such as a letter of support or a progress report.
b. Applying for and/or holding an award when deemed ineligible by NSERC, SSHRC, CIHR or any other research or research funding organization world-wide for reasons of breach of responsible conduct of research policies such as ethics, integrity or financial management policies
c. Listing of co-applicants, collaborators or partners without their agreement.
x. Mismanagement of Grants or Award Funds: using grant and award funds for purposes inconsistent with the policies of the funding agency or University policies, misappropriating grant and award funds, contravening funding agency financial policies, for example the Tri-Agency Guide on Financial Administration, funding agency grants and awards guidelines, or providing inaccurate or false documentation for expenditures from grant or award accounts.
xi. Breaches of Agency Policies or Requirements for Certain Types of Research: Failing to meet Agency policy requirements or, to comply with relevant policies, laws or regulations, for the conduct of certain types of research activities; failing to obtain appropriate approvals, permits or certifications before conducting these activities.
Researchers must comply with all applicable Agency requirements and legislation for the conduct of research, including, but not limited to:
• Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans – TCPS 2 (2022)
• Canadian Council on Animal Care Policies and Guidelines
• Agency policies related to the Impact Assessment Act
• Licenses for research in the field;
• Laboratory Biosafety Guidelines
• Controlled Goods Program
• Canadian Nuclear Safety Commission (CNSC) Regulations;
• Canada’s Food and Drugs Act
xii. Rectifying a Breach of Agency Policy: Researchers in breach of an Agency policy are expected to be proactive in rectifying a breach, for example, by correcting the research record, providing a letter of apology to those impacted by the breach, or repaying funds.
xiii. Breaches of Agency Review Process:
b. Participating in Tri-Agency review processes while under Investigation for a breach of this Policy. [Refer to Articles 2.6 and 3.1.5 of the Tri-Agency Framework: Responsible Conduct of Research (2021)]
c. Non-compliance with the Policy on Sensitive Technology Research and Affiliations of Concern
4.2 Appropriate supervision and training in the conduct of research: All researchers are responsible for familiarizing themselves with principles of responsible conduct of research and for the application of these principles to foster a positive and constructive research-working environment. Researchers with oversight roles should provide appropriate supervision of, and training to, their trainees and research personnel in responsible conduct of research.
5. Policy
Researcher Conduct & Integrity
5.1 Researchers shall strive to follow the best research practices honestly, accountably, openly and fairly in the search for and in the dissemination of knowledge. In addition, researchers shall follow the requirements of applicable institutional policies and professional or disciplinary standards and shall comply with applicable laws and regulations. At a minimum, researchers are responsible for the following conduct in relation to research:
a. Rigour: Use a high level of rigour in proposing and performing research; in recording, analyzing, and interpreting data; and in reporting and publishing data and findings.
b. Record Keeping: Keep complete and accurate records of data, methods and findings, including graphs and images, in accordance with the applicable funding agreement, institutional policies and/or laws, regulations, and professional or disciplinary standards in a manner that will allow verification or replication of the work by others.
c. Accurate Referencing: Reference and, where applicable, obtain permission for the use of all published and unpublished work, including data, source material, methods, findings, graphs and images.
d. Authorship: Include as authors, with their consent, all those and only those who have materially or conceptually contributed to, and share responsibility for, the contents of the publication or document, in a manner consistent with their respective contributions, and authorship policies of relevant publications.
e. Acknowledgment: Acknowledge, in addition to authors, all contributors and contributions to research, including writers, funders and sponsors.
f. Conflict of Interest Management: Appropriately manage any real, potential or perceived conflict of interest, in accordance with the institution's policy on conflict of interest in research rectifying proactively, any breach of relevant/applicable funding agency policies.
g. Obtain all required University and respective agency approvals for research including, but not limited to research involving human participants or animal subjects, fieldwork, biohazards, radioisotopes, or environmental impact.
h. Ensure that research is conducted in accordance with approved ethics and biosafety protocols and that they adhere to all reporting requirements.
i. Ensure students and research staff are carefully supervised and trained in the conduct of research, including experiments, processing of acquired data, recording of data and other results, interpretation of results, publication, and the storage and protection of Research records and materials.
j. Respect the inherent and collective sovereign rights of Indigenous Peoples, including First Nations, Métis and Inuit people who have ownership and governance of their data.
k. Ensure institutional expert resources and supports are accessed to secure data and to protect the privacy of any individuals whose personal information has been obtained as part of any research activities as required under the University’s Freedom of Information and Protection of Privacy Policy, The Local Authority Freedom of Information and Protection of Privacy Act, The Health Information Protection Act, and the Tri-Council Policy Statement: Ethical Conduct of Research Involving Humans (TCPS 2, 2022).
l. Manage funds acquired for the support of research as required by the Tri-Agency Guide on Financial Administration, research funding agreements and University policies on Research Administration. Grant fund expenditures must contribute to the direct costs of the research/activities for which the funds were awarded, with benefits directly attributable to the grant; not be provided by the administering institution to their research personnel; be effective and economical and not result in personal gain for members of the research team.
m. Disclose to the Vice-President Research and Innovation any breach of this Policy of which they have become aware.
5.2 Breaches of this Policy should not be interpreted as including disciplinary differences of opinion regarding research methods, theoretical frameworks, data sources, data analysis, or publication conventions.
Procedures: Allegation, Investigation & Reporting
5.3 This Policy is supported by Academic Conduct Policy and Procedures at York University, RCR Procedures Governing the Determination of Misconduct in Academic Research and the SOP - Process for addressing an Allegation of a Breach of RCR Policy.
Education
5.4 To promote a greater understanding of responsible conduct of research and research ethics, the University will offer educational resources such as workshops, seminars, web-based materials, courses, and research ethics training for University Members along with orientation for those members who are new to the university.
6. Roles and Responsibilities
6.1 The President is responsible for:
a. Initiating, directing and overseeing an RCR Inquiry, as outlined in the Academic Conduct Policy and Procedures at York University.
b. Determining whether an Investigation will occur based on the outcome of an inquiry and overseeing that Investigation as outlined in the Academic Conduct Policy and Procedures at York University.
c. Participating in Inquiries and Investigations if required or as defined in the Academic Conduct Policy and Procedures at York University.
6.2 The Vice-President, Research & Innovation is responsible for:
a. Implementing this Policy and may establish procedures, and guidelines pursuant hereto from time-to-time regarding any matters set out in this Policy.
b. Recommending to the President whether an Investigation will occur and overseeing that Investigation as outlined in the Procedures Governing the Determination of Misconduct in Academic Research at York University.
c. Participating in Inquiries and Investigations as defined in the Procedures Governing the Determination of Misconduct in Academic Research at York University.
6.3 The Director, Research Ethics and Integrity is responsible for:
a. Providing support for research ethics, integrity, compliance, and training in alignment with best practices and the Division of the Vice President Research & Innovation’s overall strategic imperatives
b. Conducting initial assessment to determine whether a complaint is within scope or not.
c. Providing support for investigations as defined in the Academic Conduct Policy and Procedures issued pursuant to York University.
7. Review
The Vice-President, Research & Innovation is responsible for the review of this policy every five years at a minimum.
| Legislative History: | Approved by Senate Committee on Research; Approved by Senate: 1994/06/23; Date Effective: 1994/06/23; reviewed 2011; amendments approved by Senate: 2013/06/27; amendments approved by Senate: 2025/03/27 |
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| Related Policies, Procedures and Guidelines: |