SIGNED JOINT #4
ARTICLE 19
ARTICLE 19, Clauses 19.31 through 19.40,
Joint #4
25 February 2000
GROSS MISCONDUCT IN ACADEMIC RESEARCH
19.31 Gross misconduct in academic research means:
(a) fabrication, falsification, or plagiarism but not factors intrinsic to the process of academic research, such as honest error, conflicting data or differences in interpretation or assessment of data or of experimental design; or
(a#1)u willful or deliberate destruction, or destruction resulting from the failure to take reasonable measures to ensure the safety, of one’s own research data within a period of five (5) years after publication of the research results, or the deliberate tampering with or destruction of the research of another; or
(a#2)x once the results of the research have been published, refusal without good and sufficient reason, to provide access to the data that resulted in the published document, for the purpose of verification by bona fide academic researchers for a period of five (5) years from the date of publication; or
(a#3)x failure to respect agreements concerning privileged access to information or ideas obtained from confidential manuscripts or applications; or
(a#4)x the use of unpublished scholarly work of others without their permission when that permission is explicitly required; or
(b) significant failure to comply with relevant federal or provincial statutes or regulations or national or international standards for the protection of researchers, human subjects, or the health and safety of the public, or for the welfare of laboratory animals, or significant failure to meet other legal requirements that relate to the conduct of research; or
(c) failure to reveal any relevant and substantial conflict of interest to the agencies funding the ASM’s University research, to those who commission such research, to an editor or to an agency requesting the ASM to undertake reviews of research grant applications or manuscripts for publication, or to an agency requesting the ASM to test products, processes or services for sale or distribution to the public; or
(d) failure to reveal to the University any material financial interest, either by the ASM or a close relative, in a company that contracts with the University to undertake research, or to supply goods or services directly pertaining to the ASM’s University research. Material financial interest includes ownership, substantial stock holding, a directorship, substantial honoraria or consulting fees but does not include routine stock holding in a large publicly traded company.
19.32 (a) All allegations of gross misconduct in academic research shall be made in writing, shall specify the misconduct alleged, and shall be signed and directed to the President. If in his or her judgement, based on the signed complaint, and, if requested by the President an interview with the complainant, there is sufficient substance to warrant formal investigation, the President shall notify the Association and the ASM who is the subject of the allegations, in writing that he or she is under investigation. Such notification shall be within twenty (20) days of receipt of the allegation. Otherwise, the allegations shall be dismissed, no action taken, and all related documentation destroyed.
(b) The written notice shall include a copy of the signed allegations to allow the ASM who is the subject of the allegations an opportunity to respond and shall advise the ASM in writing of his or her right to be accompanied or represented as stated in Clause 19.33. Such notification shall be delivered by the University in a manner that provides proof of receipt, either by means of a receipt signed by the individual ASM so named in the letter, or in the presence of a witness other than the person delivering the letter. Further proceedings shall not commence until the University has proof of delivery. The investigation shall be confidential and conducted in such a way as to balance the need for a fair investigation with the rights to privacy of the person(s) accused and the person(s) making the allegation(s).
19.33 During the course of the formal investigation, the ASM named in the allegations or an ASM otherwise participating shall have the right to be accompanied by a person of his or her choice at any meeting in which he or she participates or is present, or to have such a person represent him or her at any meeting in which he or she would otherwise participate or be present.
19.34 The ASM named in the allegations shall be given a copy of the draft final report stemming from the investigation, and will be given adequate opportunity to know any evidence presented in the report and to respond to that evidence if he or she chooses to do so. The draft final report shall be given to the ASM within sixty (60) days of the President informing the ASM of the investigation. The ASM shall have ten (10) days to respond to the draft final report. If notice of discipline is not received within ninety (90) days of the sending of the President’s written notice of investigation, then discipline shall not be imposed.
19.35 Any discipline imposed on an ASM for gross misconduct in research shall be subject to Clause
19.03. If the Association decides to grieve under Article 20, then the grievance shall proceed directly to Arbitration (Step 3).
19.36 If the proposed discipline is one of suspension, then the provisions of Clauses 19.09 to 19.11 shall apply except that the time limit in Clause 19.11 shall be twenty (20) days. If the discipline is one of dismissal, the provisions of Clauses 19.17 to 19.20#1u shall apply except, notwithstanding Clause 19.18, an arbitration board of three (3) persons shall hear the grievance.
19.37 If the University decides after investigation not to discipline the ASM named in the allegations or if an arbitration board decides that no discipline is to be invoked, then the University shall remove all documentation from the ASM’s official personal file and shall destroy the documentation or transfer it to the ASM except that it shall retain any arbitration report which shall be a public document. The University shall take such steps as may be necessary and reasonable to protect the reputation and credibility of ASMs wrongfully accused of gross misconduct in academic research, including written notification of the decision to all agencies, publishers, or individuals who were informed by the University of the investigation.
19.38 The University shall use its best efforts:
(a) to minimize disruption to the research of the complainant and of any third party whose research may be affected by the securing of evidence relevant to the allegation during the course of the formal investigation; and
(b) to ensure that any such disruption not negatively affect future decisions concerning the careers of those referenced in (a) above.
19.39 The University shall take disciplinary action against those who make unfounded allegations of gross misconduct in research which are reckless, malicious or not in good faith.
19.40 If a formal investigation sustains an accusation of gross misconduct in research in relation to research that is funded by an outside agency or research that has been published or submitted for publication, the President shall so inform the agency or publisher concerned of the decision. In any event, if the outside agency or publisher has been informed of the proceedings before a judgement has been rendered, the President shall send a copy of the decision of the University or the arbitration board to the agency or publisher concerned.
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W. E. Schrank
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J. E. Strawbridge
