| Topic: | Faculty, Staff, Students: Conduct and Responsibilities |
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| Approval Date: | March 27, 2025 |
| Effective Date: | July 1, 2025 |
Procedures Governing the Determination of Misconduct in Academic Research: Inquiry and Investigation
1. Inquiry: Applicability
1.1. These procedures govern the determination of misconduct in academic research by all University employees, and persons employed under research grants by the University or by its faculty members, including persons who are also students at the University.
1.2. These Procedures shall be consistent with applicable clauses in any existing collective agreement at the university.
2. Receiving Allegations
2.1. An allegation of misconduct in academic research shall be made in writing using the RCR Allegation Submission Form, signed by the complainant(s), dated, accompanied by documented evidence and directed to the President.
2.2. Allegations should be written, with sufficient detail about the nature of the alleged breach, the location and time of its occurrence (e.g. date or timeframe). It should be supported by all available documentation and contain enough information to permit a determination of whether the alleged conduct, if substantiated, would constitute a breach of the Policy and to permit further information gathering about the alleged breach.
2.3. Anonymous allegations will be considered only if all relevant facts are publicly available or otherwise independently verifiable. If all relevant facts are verifiable, the AVPR or Senior Administrator will initiate an Inquiry to determine whether the complaint should be dismissed or investigated. Anonymous complainants are not entitled to participate or receive information on any of the outcome.
2.4. The privacy of both the complainant and the respondent will be protected as far as possible. Individuals making allegations in good faith or providing information related to an allegation will be protected from reprisals to the full extent possible.
2.5. Within 10 days of the receipt of an allegation in writing, the President shall notify the individuals named therein with a copy of the document containing the allegation, provided that the signature(s) of complainant(s) shall be removed.
3. Assessment of Allegations
3.1. The President's authority under Sections 2 and 3 shall normally be delegated to the Vice President Research and Innovation and the Director, Research Ethics and Integrity (Research Integrity Officer - RIO).
3.2. INITIAL ASSESSMENT
a. On receipt of a complaint, the RIO, in consultation with the VPR, must determine:
i. the applicability of the relevant Senate Policy and Collective Agreement provisions to the complaint;
ii. if the allegation(s) were true, if the complaint would constitute misconduct; and
iii. if the complaint is frivolous, vexatious or unsubstantiated.
b. Given the diversity of research and scholarship covered by the Policy, establishing special circumstances and other facts may be of essential relevance when making an initial assessment; hence, prior to reaching the decision to move forward with an allegation, the RIO may request additional information, may consult with the Vice-President (Research and Innovation), with persons in the relevant unit of the University and with others who can provide context for reaching the decision.
c. If it is determined that the relevant Senate policy or collective agreement provisions do not apply, or if the complaints are deemed frivolous, vexatious or unsubstantiated, the allegations, if found to be true, could not constitute misconduct. The RIO, in consultation with the VPRI may recommend to the President to dismiss the complaint as it would be deemed to be out of scope. If the complaint is not dismissed, then the allegation is deemed to be within scope and proceeds to the preliminary inquiry.
3.3. PRELIMINARY INQUIRY
a. If an allegation is within scope, the President will refer the case to the Vice-President Research & Innovation, Associate Vice-President Research and/or Director, Research Ethics and Integrity, who will conduct a Preliminary inquiry. This inquiry may include further discussions of the allegations with the Complainant and requests for additional information via the standard operating procedure for addressing an allegation of a Breach of RCR Policy.
i. Where circumstances warrant or require the University may take immediate action to protect the administration of funding agency funds without first undertaking an investigation and/or identifying research misconduct.
ii. Similarly, subject to any applicable laws including privacy laws, if the allegation involves significant financial, health and safety or other risks and is related to activities funded by the Tri-Agencies, the Institution is required to advise the relevant Council of the Tri-Agencies or the Tri-Agency Secretariat on Responsible Conduct of Research (SRCR) of the allegation. However, any ambiguity or uncertainty in agency rules or in their application shall be construed in favour of the protection of privacy
b. The Preliminary Inquiry shall normally be completed and report forwarded to the President within 30 business days. In some circumstances, however, an additional 15 business days may be utilized to complete the review. Should this occur, parties to the matter shall be notified.
c. Upon receipt of the Preliminary Inquiry report, the President shall determine whether the allegation warrants further investigation or should be dismissed. Parties to the matter shall be informed of the outcome (President’s decision) in accordance with the Standard Operating Procedure for addressing an allegation of a breach of RCR Policy.
4. Investigation
4.1. If an investigation is deemed to be warranted through the Preliminary Inquiry, the President shall, in writing, notify the persons involved within 30 days. Within 30 more days of such notification, the President shall designate and convene an ad hoc committee of no fewer than 3 persons to conduct the investigation (known as ‘the Committee’).
4.2. Some but not all of the members of the Committee shall be from the same discipline as the person under investigation. In addition, for research funded by the Tri-Agencies, one member of the committee shall be a person not currently affiliated with the University.
4.3. The Committee shall have the discretion to establish in each case, a procedure suitable to the circumstances, provided that in every case, its discretion will be exercised with the following parameters:
a. before any determination of an investigation is made, the person against whom the allegations are made shall have full disclosure of the allegations and evidence and be provided an opportunity to answer in full.
b. the investigation shall proceed in a timely manner; and
c. the proceedings will remain confidential to the extent possible, with a view of protecting persons that are:
i. not party to
ii. witness in the preceding of the identity of the persons making the allegations, and
iii. the person against whom the allegations are made.
4.4. In every case, the detailed procedures of the investigation shall be in accordance with the provisions of the applicable collective agreement.
5. Determination of Findings
5.1. Within 7 days following the conclusion of its investigation, the Committee shall report to the President, in writing, with its findings as to whether misconduct has occurred.
5.2. If the determination is that the allegations are unfounded, the file shall be closed, and all parties will be notified. Every effort will be made to protect the reputation of individuals wrongly subjected to an allegation.
5.3. If the allegations disclosed are shown to constitute misconduct, the President shall determine an appropriate discipline taking into account the severity of the misconduct.
5.4. In every case, the imposition of a discipline shall be in accordance with the provisions of the applicable collective agreement and Faculty regulations in force at the time of the imposition of the discipline.
5.5. In the case of a breach of this Policy, and subject to applicable privacy laws, the President may disclose any information relevant to the breach that is in the public interest including the name of the researcher subject to the decision, the nature of the breach, and the recourse imposed. To inform disclosure of this information, the extent to which the breach jeopardizes the safety of the public, potentially damages the integrity of or brings the conduct of research and/or the University into disrepute will be considered.
6. Records
6.1. Written records shall be kept of the inquiry and investigation and these records shall be kept as confidential files, for a minimum of 3 years within the Office of Research Ethics following the finding of either misconduct or dismissal of the allegation. An annual report of investigations will be compiled and forwarded to the relevant internal and external institutional office (Canadian: CIHR, SSHRC, NSERC; US – NIH if the university has received applicable funding) as or if required.
| Date of Next Review: | 2030 |
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| Related Policies, Procedures and Guidelines: |