Responsible Conduct of Research

Policy Number: RES 102	Policy Title: Responsible Conduct Conduct of Research
Supersedes Existing Policy? Yes	Policy Owner: Executive Director, Indigenous Engagement and Applied Research
Associated Procedure: Yes	Policy Sponsor: Executive Director, Indigenous Engagement and Applied Research
Next Review Date: October 2027	Date Last Approved by the CET: October 7, 2026

1. Introduction and Purpose

Loyalist College is committed to maintaining the highest standards of research integrity in alignment with the Tri-Agency Framework: Responsible Conduct of Research, a set of guidelines determined by the Tri-Council agencies (the Canadian Institutes of Health Research (CIHR), the Natural Sciences and Engineering Research Council of Canada (NSERC), and the Social Sciences and Humanities Research Council of Canada (SSHRC)). The college’s commitments and values, supported by the Tri-Agency Framework, underscore the necessity of the ethical principles of honesty, trust, accountability, and collegiality in all activities related to research.

The purpose of this policy is to define the principles of ethical research practices, set out expectations for those involved with research at the college, and establish a mechanism for responding to any alleged breaches that may arise.

2. Application

This policy applies to all research conducted at Loyalist College, and to all individuals engaged in research, including employees, students, and authorized external researchers.

Students who are alleged to have engaged in in a breach of research integrity solely within their capacity as students, and in respect only to work related to the completion of course or program requirements, will be governed by ACAD 206 Academic Integrity policy.

In the event of a discrepancy between the Tri-Agency policies and this policy, the Tri-Agency policies will prevail.

3. Definitions

Allegation. A declaration, statement, or assertion communicated in writing to the college to the effect that there has been, or continues to be, a breach of one or more Agency policies, the validity of which has not been established.

Breach. A failure to comply with Agency and/or college policy throughout the life cycle of a research project, beginning at application for funding, to the conduct of the research, and the dissemination of research results. It includes all activities related to the research, including the management of Agency funds.

Complainant. An individual or representative of the Loyalist College community who has notified the college or Agency of a potential breach of an Agency and/or college policy.

Conflict of Interest. For the purposes of this policy, a conflict of interest may arise when activities or situations place an individual in a real, potential, or perceived conflict between the duties or responsibilities related to research, and personal, institutional, or other interests. These interests include, but are not limited to, business, commercial, or financial interests pertaining to the individual, their family members, friends, or their former, current, or prospective professional associates.

Inquiry. The process of reviewing an allegation to determine whether the allegation is responsible, the particular policy or policies that may have been breached, and whether an investigation is warranted based on the information provided in the allegation.

Investigation. A systematic process of examining an allegation, collecting, and examining the evidence related to the allegation and deciding as to whether a breach of policy has occurred.

Principal Investigator. The researcher who has the primary responsibility for the design, conduct, and supervision of research.

Reprisal. An action or threat that is intended as retaliation for claiming or enforcing a right under this policy.

Researcher. Anyone who conducts research activities.

Respondent. An individual who is identified in an allegation as having possibly breached Agency and/or college policy.

Responsible Allegation. An allegation based on facts that have not previously been investigated and that, if proven, would constitute a breach under Sections 2 and 3 of the Tri-Agency Framework: Responsible Conduct of Research.

Support Person. An individual that accompanies a complainant, respondent, or witness to investigation meetings. Their purpose is to provide emotional support.

4. Policy

Loyalist College is committed to promoting the highest standards of conduct in research in order to foster an environment that promotes integrity, accountability, and responsibility through ongoing education.

All individuals involved with research must foster an environment of integrity, familiarizing themselves with the principles of responsible conduct of research and committing to the application of such principles in order to promote a positive and constructive research environment. Honest errors, conflicting data, differences in the interpretation or assessment of data or of experimental design are recognized as being intrinsic to the process of research. However, academic dishonesty, fraud, or breaches of any sort are not permitted and may be cause for disciplinary action.

Loyalist College will respond promptly to and investigate all allegations of breaches involving researchers. Investigations will be conducted impartially and adhere to the principles of procedural fairness.

Loyalist College does not carry out any research involving biohazardous materials or research that involves the use of animals. The college will notify the Tri-Agency should the college plan to engage in research in these areas and abide by the standards set by the Health Canada Laboratory Biosafety Guidelines and the Canadian Council on Animal Care Guidelines.

5. General Principles of Research Integrity

All individuals involved with research at the college must comply with the Tri-Agency Framework: Responsible Conduct of Research, which promotes research integrity through:

a. Rigour. Scholarly and scientific rigour in proposing and performing research; in recording, analyzing, and interpreting data; and in reporting and publishing data and findings.

b. Record keeping. Keeping complete and accurate records of data, methodologies and findings, including graphs and images, in accordance with the applicable funding agreement, college policies, laws, regulations, and professional or disciplinary standards in a manner that will allow verification or replication of the work by others.

c. Accurate referencing. Referencing and, where applicable, obtaining permission for the use of all published and unpublished work, including theories, concepts, data, source material, methodologies, findings, graphs, and images.

d. Authorship. Including as authors, with their consent, all those and only those who have made a substantial contribution to, and who accept responsibility for, the contents of the publication or document. The substantial contribution may be conceptual or material.

e. Acknowledgement. Acknowledging appropriately all those and only those who have contributed to research, including funders and sponsors.

f. Conflict of interest management. Appropriately identifying and addressing any real, potential, or perceived conflict of interest.

6. Responsibilities of Principal Investigators

Principal investigators must uphold the following responsibilities:

Use scholarly and scientific rigour and integrity in obtaining, recording, and analyzing data, and in reporting and publishing results.

Ensure the authenticity of research data through the monitoring of work by students and/or other supervised research personnel, the management of research methodology design, and the assurance of quality processes for acquiring, recording, examining, interpreting, and managing data.

Provide those involved with research activities with appropriate information and verify that training has occurred to prevent a breach of college policy.

Seek and obtain approval from the college’s Research Ethics Board before engaging in any research involving human participants and complying fully with the approved research protocols, as outlined within RES 103 Conducting Research by and with Indigenous Peoples and Communities and RES 104 Ethical Conduct of Research involving Human Participants.

Ensure the authorship of published works includes all those who have materially contributed to (other than financially), and share responsibility for, the contents of the publication.

Use the work of other researchers and scholars only with permission and with due acknowledgement or archival material in accordance with the rules of the archival source and the Copyright Act.

Use grant or award funds in accordance with RES 101 Financial Administration of Research Funds and provide true, complete, and accurate financial information.

Present accurately and completely one’s credentials and accomplishments when submitting grant applications and when engaged in other professional tasks or appointments.

Confirm and disclose whether under investigation for an alleged breach of responsible conduct for research.

Ensure that any material requested for monitoring and reporting is provided in a timely manner.

Disclose any real or perceived conflict of interest in accordance with ADMIN 107 Conflict of Interest and seek appropriate guidance through the college before embarking on activities that may create a potential conflict of interest.

Ensure appropriate measures to protect, manage, store, and share research data in accordance with ADMIN 128 Access to Information and Protction of Privacy.

Ensure generative artificial intelligence use in research is being used responsibly by all members of the research team and in accordance with Loyalist College Position on the Acceptable Use of Generative Artificial Intelligence and the guidelines of any relevant stakeholders or granting agencies.

7. Breaches of Agency Policies

Actions that violate or are inconsistent with the principles or policies outlined above will be considered a breach and will result in sanctions ranging from a warning or reprimand to expulsion or dismissal, as appropriate to the circumstances.

Such actions may include, but are not limited to, any or all of the following behaviours:

Fabrication: Making up data, source material, methods, or findings, including figures and images.

Falsification: Manipulating, changing, or omitting data, source material, methods, or findings, including figures and images, without acknowledgement and which results in inaccurate findings or conclusions.

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, college policy, and/or laws, regulations, and professional or disciplinary standards.

Plagiarism: Presenting and using another’s published or unpublished work or archival material in violation of the Copyright Act, including theories, concepts, data, source material, methods, or findings, including figures and images, as one’s own, without appropriate referencing and permission, if required.

Redundant publication or self-plagiarism: 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.

Invalid authorship: 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 or to a generative artificial intelligence software.

Inadequate acknowledgement: Failure to appropriately recognize contributors.

Mismanagement of conflict of interest: Failure to appropriately identify and address any real, potential, or perceived conflict of interest, including failure to disclose a conflict of interest to funders or sponsors.

Misrepresentation in an agency application or related documentation:
- Providing incomplete, inaccurate, or false information in a grant or award application or related document.
- Applying for or holding a grant or award when deemed ineligible for reasons of breach of responsible conduct of research policies.
- Listing of co-applicants, collaborators, or partners without their agreement.

Mismanagement of grants or award funds: including using funds for purposes inconsistent with the policies of a granting agency or sponsor, misappropriating funds, contravening granting agency or sponsor financial policies, or providing incomplete, inaccurate, or false information on documentation for expenditures from grant or award accounts.

Breach of agency policies or requirements for certain types of research: failing to meet agency policy requirements, Loyalist College policies, or laws or regulations that guide the conduct of certain types of research activities; failing to obtain appropriate approvals, permits, or certifications before conducting these activities.

8. Mandatory Reporting Requirements

8.1 Publication of Policy and Policy Breaches

The college will ensure that this policy is available to the public and all individuals involved with research through the posting of this policy and the associated procedure on the college’s website.

Any confirmed findings of a breach of this policy (the number and general nature of the breaches) will be posted annually to the college’s website, subject to applicable privacy laws.

8.2 Annual Report to the Secretariat on the Responsible Conduct of Research (SRCR)

The college will report annually to the Secretariat on the Responsible Conduct of Research (SRCR) on the total number of allegations received involving agency funds, the number of confirmed research integrity breaches, and the nature of those breaches, in alignment with applicable privacy laws.

8.3 Mandatory Inquiry and Investigation Reporting

In compliance with mandatory reporting requirements and applicable privacy laws, the college will provide an inquiry report to the SRCR whether an allegation has been determined to be unfounded or whether the college proceeds with an investigation, and then again at the conclusion of the investigation. The college will immediately advise the relevant agency and the SRCR of any allegations related to activities that may involve significant financial, health and safety, or other risks.

If the funding agency determines that there has been a breach of an agency policy, it will exercise the recourse it considers appropriate, proportionate to the severity of the breach. The college will collaborate and cooperate with the agency to ensure a remedy and resolution to the breach occurs. The college will notify the appropriate authorities if at any time it becomes aware of possible fraud or other unlawful activity. In cases of a serious breach of agency policy, the agency may publicly disclose any information relevant to the breach that is in the public interest.

9. Reprisals and Frivolous Allegations

Loyalist College encourages individuals to raise concerns regarding the responsible conduct of research and prohibits reprisals against any individual who, in good faith, reports an allegation, participates in an inquiry or investigation, provides information, or otherwise exercises a right or responsibility under this policy.

Individuals acting in good faith will not experience reprisal for reporting a suspected breach of this policy, even where an allegation is not ultimately substantiated.

Reprisals or threats of reprisal against an individual acting in good faith are prohibited and may result in administrative, corrective, or disciplinary action, up to and including termination of employment, expulsion, termination of a research relationship, or other appropriate measures, as applicable.

Reprisal includes:

Any act of retaliation that occurs because an individual has reported, complained of, or provided information regarding an alleged breach of this policy.

Intentionally discouraging, intimidating, or pressuring an individual from reporting a concern under this policy.

Intentionally pressuring a person to provide false, misleading, or incomplete information, or to withhold cooperation during an investigation.

A frivolous, unfounded complaint in bad faith may result in administrative, corrective, or disciplinary action, up to and including termination of employment, expulsion, termination of a research relationship, or other appropriate measures.

10. Related Documents

11. Related Documents

Canadian Council on Animal Care Guidelines, 2026
Health Canada Laboratory Biosafety Guidelines, 2004
Tri-Agency Framework: Responsible Conduct of Research, 2021

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