Responsible Conduct of Research Policy

To ensure all scholarly and research activities associated with Seneca follow accepted ethical, legal and integrity standards.

This policy applies to all individuals conducting research associated with Seneca. All individuals conducting research associated with Seneca are responsible for upholding the principles stated in the Tri-Agency Framework: Responsible Conduct of Research (2016) (Updated, September 2020).

Making up data, source material, methodologies, or findings, including graphs and images. 

Manipulating, changing, or omitting data, source material, methodologies, or findings, including graphs and images, without acknowledgement and inaccurate findings or conclusions. 

The destruction of one's own or another's research data or records to avoid the detection of wrongdoing specifically or contravention of the applicable funding agreement, institutional policy and/or laws, regulations, and professional or disciplinary standards. 

Presenting and using another’s published or unpublished work, including theories, concepts, data, source material, methodologies, or findings, including graphs and images, as one’s own, without appropriate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. 

The re-publication of one’s own previously published work or part thereof, including data, in any language, without adequate acknowledgment of the source or justification. 

Inaccurate attribution of authorship, including attribution of authorship to persons other than those who have made a substantial contribution to, and who accept responsibility for, the contents of a publication or document.

Failure to appropriately recognize contributors. 

Failure to appropriately identify and address any actual, potential, or perceived conflict of interest.

Providing incomplete, inaccurate, or false information in a grant or award application or related documents, such letters of support or progress reports; listing co-applicants, collaborators, or partners without their agreement.

*The above definitions are sourced from the Tri-Agency Framework: Responsible Conduct of Research (2016)

1. Seneca adheres to the principles of responsible research, including:
   • all contributions of funders, collaborators, and students, no matter how significant, must be recognized
   • using unpublished work of other researchers and scholars only with their permission and with acknowledgement
   • using archival material by following the rules of the archival source
   • obtaining the permission of the author before using new information, concepts or data obtained initially through access to confidential manuscripts or applications for funds for research or training that may have been seen as a result of processes, such as peer review
   • using scholarly and scientific rigor and integrity in obtaining, recording and analyzing data and in reporting and publishing results
   • ensuring authorship of published work includes all those who have materially or conceptually contributed to, and share responsibility for, the contents of the publication
   • maintaining complete and accurate records of data, methodologies and findings, which will allow verification of the work by others
   • revealing to sponsors, universities, colleges and funding agencies any conflict of interest, financial or other that may influence their decisions on whether an individual should be asked to review manuscripts or applications, test products or be permitted to undertake work sponsored from outside sources.

1. Seneca research is conducted in accordance with the Tri-Agency Framework: Responsible Conduct of Research (2016)
2. Misconduct in research and scholarship, as outlined in Article 3.1.1 of the Tri-Agency Framework: Responsible Conduct of Research (2016), is not permitted. This includes:
   • Fabrication
     
   • Falsification
     
   • Destruction of research records
     
   • Plagiarism
     
   • Redundant publication or self-plagiarism
     
   • Invalid authorship
   • Inadequate acknowledgement
     
   • Mismanagement of conflict of interest
   • Misrepresentation in funding application or related document 

1. The primary responsibility for ensuring the responsible conduct of research rests with the individuals involved in these activities.
2. Seneca faculty, staff and anyone else conducting research associated with Seneca is accountable for their work’s integrity and upholding the principles and responsibilities stated in the Tri-Agency Framework: Responsible Conduct of Research (2016).
3. Seneca will provide and/or promote professional development opportunities (e.g., workshops, seminars, and written materials) specifically related to the responsible conduct of research to employees.
4. In collaborative work, all research team members are responsible for ensuring proper acknowledgement of each member whenever the data are presented.
5. The principal investigator must retain a complete set of all original research data for five years from the date of the findings’ release.
6. All collaborators must have free access to the relevant data at all times.
7. Research team members cannot withhold authorization to copy without valid reasons communicated in writing to the Dean, Seneca Innovation.

1. Researchers must follow all applicable Tri-Agency requirements and legislation for the conduct of research, including, but not limited to:
   • 2nd edition of Tri-Council Policy Statement: Ethical Conduct of Research Involving Humans (TCPS 2);
   • Canadian Council on Animal Care Policies and Guidelines
   • Agency policies related to the Canadian Environmental 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.

1. Only the individual(s) who have made a significant intellectual and practical contribution to the research or scholarly work can be recognized as the author(s) of scholarly reports.
2. To ensure the dissemination of accurate scholarly reports, each collaborator/author of the report is responsible for verifying the accuracy of the part(s) of the report to which they have contributed, and one author must be designated as responsible for ensuring the validity of the entire final report, manuscript or presentation.
3. Students will be given the appropriate recognition for authorship or collection of data in any dissemination of the work.

• Appendix A: Procedures for investigating allegations of breaches in research integrity 

• Ethical Conduct for Research Involving Human Subjects Policy

• Tri-Agency Framework: Responsible Conduct of Research (2016)

1. The Dean of Applied Research will investigate Allegations of failure to demonstrate integrity in research and scholarly work in consultation with an ad hoc Academic Integrity Investigation Committee (AIIC).
2. If the individual(s) alleged fails to comply with this policy, they will be notified by the Dean, Applied Research, of the investigation within three (3) days of the receipt of the complaint, and the investigation will typically be completed within three (3) weeks of receipt of the complaint.
3. In cases where an allegation has been received by a Seneca employee, which is related to conduct at another institution, the Dean of Applied Research will, upon receiving the allegation, determine with the other institution which institution will conduct the inquiry and will inform the complainant of this decision.
4. Complaints or allegations received by any employee must be made in writing and submitted to the Dean, Applied Research.
5. Anonymous allegations will only be considered if compelling evidence is received that enables assessment of the allegation and credibility of the facts and evidence without the requirement for additional information.
6. The Dean of Applied Research will establish an ad hoc AIIC within three to five days of receipt of the complaint. The AIIC will consist of at least three members whose membership is determined by the nature of the allegations, none of whom are members of the Seneca Research Ethics Board nor any persons directly affiliated with the same department as the individual(s) alleged to be in breach of this policy.
7. The AIIC will consist of at least one committee member with no current affiliation with Seneca and at least one Seneca Human Resources staff member. Where appropriate, the AIIC will include a person with expertise in the area relevant to the complaint.
8. The complaint may be dealt with in several ways, depending on the severity of the alleged policy infraction and the strength of the supporting data presented.
9. The complaint may be:
   • dismissed if there is no compelling supporting data or
   • investigated by the Dean, Applied Research, and the AIIC.
10. Where there is perceived to be an infraction of this policy, the Dean of Applied Research, in collaboration with the AIIC, will:
    1. Conduct and document appropriate inquiries within three weeks of receipt of a complaint
    2. In cases where the allegation relates to activities funded by a Tri-Agency funding body and may involve significant financial, health, and safety or other risks, report the allegation immediately to the relevant Agency or the Canadian Secretariat on Responsible Conduct of Research
    3. Protect the privacy of the person(s) alleged to be responsible for misconduct and of the person(s) making the allegations as far as possible, given the need for due process in pursuing the inquiry
    4. Allow the person(s) alleged to be responsible for misconduct and the complainant(s) full opportunity to respond/comment on the allegations throughout the inquiry through mechanisms consistent with due process
    5. Decide whether or not there has been an infraction of the policy based on the data gathered
    6. Determine the actions to be taken as a result of conclusions reached, including:
       • any sanctions imposed;
       • any actions taken to protect or restore the reputation(s) or credibility of any person(s) wrongly alleged to be responsible for, or implicated in, misconduct in research, including procedures to ensure that if the charges have been dismissed, copies of documents and related files provided to third parties have been destroyed; and
       • any actions taken to protect the person(s) deemed to have made a responsible allegation
       • Inform the person(s) alleged to be responsible for misconduct and the complainant(s) in writing of the results of the inquiry within three weeks of receiving the initial complaint and of the actions that have been decided upon
11. If the respondent or the complainant is not satisfied with the decision regarding misconduct, either the respondent or the complainant has the right to appeal the committee’s decision under the collective agreement and any relevant Seneca appeals processes.
12. An appeal must be requested within five working days of the inquiry results being shared with the respondent.
13. The Vice-President, Academic, or Designate will make decisions regarding the appeal, which are considered final and binding on the institution, except where provisions of a collective agreement prevail. There is no right of further appeal.
14. The AIIC will prepare a report on the above and file it within sixty (60) days with the Dean, Applied Research and Seneca Human Resources. The report will be kept in a secured file for five years, accessible only to the Dean, Applied Research, senior Seneca employees, the complainant and the person(s) alleged to be responsible for misconduct.
15. Seneca Human Resources may conduct a second investigation of the allegations, consistent with their normal investigative processes. Records of any inquiry will be maintained in a secure file with Seneca Human Resources.
16. The report of the investigating committee will include:
    • the specific allegations
    • the names of the committee members and why they were selected
    • methods used in the investigation
    • persons interviewed or who provided information on the matter being investigated
    • details of any sanctions imposed
    • the proposed plan to restore reputations and protect complainants who have acted in good faith and any other relevant information.
17. If the research in question is supported by funds from external sources (e.g., Tri-Council granting agencies), the report must also be filed with the sponsor within 60 days.
18. If misconduct is confirmed, funds for the research project will not be accessible to the person(s) found responsible for misconduct until the matter is resolved.
19. The sanctions imposed by the AIIC will be consistent with sanctions imposed in other Seneca policies (e.g., the Acceptable Use, Copyright Policies, and applicable collective agreements).
20. Sanctions for employees could include one or more of the following:
    • verbal warning
    • special monitoring of future work
    • letter of reprimand to the individual’s permanent personnel file
    • withdrawal of specific privileges
    • removal of specific responsibilities
    • suspension or steps to terminate the appointment.
21. In the case of students, sanctions may include verbal warning, special monitoring of work, a letter of reprimand in the student’s official file, or, if warranted, suspension.

Approval Date: August 2016

Last Revision: December 2021