Saint Marys University
Graduate Student
Handbook - 2023
1
Preface
The purpose of this handbook is to provide a useful reference for our graduate students. The
information contained within has been compiled from various sources including the 2023-24
Academic Calendar as well as from policies and procedures of the Faculty of the Graduate
Studies and Research, and other offices and bodies of Saint Mary’s University. We have tried
to be as accurate as possible in the information provided, however, if there are discrepancies or
inconsistencies between the information provided within this handbook and the original sources,
the information in the original sources shall hold precedence.
Due to diversity between academic disciplines and the graduate programs offered across the
Faculty of Graduate Studies and Research, it is challenging to write a handbook which applies
to all graduate students at Saint Mary’s. For more detailed information on a particular graduate
program, please contact your program coordinator/director.
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Table of Contents
Page
1.0 Welcome from the Dean 3
2.0 Who’s Who? 4
3.0 Roles and responsibilities 5
3.1 Guiding Principles for Graduate Student Supervision in Canada 9
4.0 Where do I go for help when I have a question regarding my program? 14
5.0 Progression through your graduate program
5.1 Getting started 17
5.2 Academic advising 17
5.3 Registration 17
5.4 Fees: per-course-fee programs and program-fee programs 18
5.5 Full-time and part-time status 18
5.6 Receipt of stipends, scholarships or salary payments related 20
to your graduate program
5.7 Your program of study and research 22
5.8 Supervision of your thesis research 22
5.9 Evaluation Thesis/Program Progress 23
5.10 The thesis defence 24
5.11 Graduating 27
5.12 Time-for-completion, interruptions, and extensions 27
6.0 Academic and Research Integrity 30
7.0 Scholarships and Fellowships 35
8.0 Research Ethics Board (REB) and the Office of Research Ethics 36
8.1 REB Review and Clearance Requirement and Exemption 36
8.2 Research Ethics Education 37
9.0 Animal care and research involving the use of animals 37
10.0 Health and safety
10.1 Saint Mary’s Occupational Health and Safety Policy 38
10.2 Responsibilities of graduate students in regard to OH&S 38
10.2.1 Special responsibilities of graduate students in regard to OH&S 39
when in positions of responsibility for others
10.3 Graduate Student Research Activities in Hazardous Settings 39
10.4 On-campus security 40
11.0 Graduate students and Intellectual Property 41
12.0 Conference travel awards 42
13.0 Commonly requested forms 42
14.0 Other Important policies and procedures applying to graduate students and programs 43
14.1 FGSR Policy on Criteria and Selection of Supervisors of Graduate Students 43
at Saint Mary’s University
14.2 Conflict of Interest in Research 44
14.3 Saint Mary’s University Policy on Integrity in Research and Scholarship and 50
Procedures for Reporting and Investigating Scholarly Misconduct
14.4 Masters Thesis and PhD Dissertation Defence Policy 62
14.5 Policy on Changing Thesis Supervisors 64
15.0 Graduate studies glossary of terms 65
16.0 Academic Calendar of Events 67
17.0 General campus information
17.1 Campus map 70
17.2 Housing 70
17.3 University health services 70
17.4 Enterprise Information Technology (EIT) 71
17.5 Athletics and recreation 71
17.6 (Other) Important People on Campus 72
18.0 References 73
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1.0 Welcome from the Dean
Welcome, or welcome back, to the Faculty of Graduate Studies and Research (FGSR). Since
August 2017, it has been my distinct honour to serve the faculty, staff, and students of Saint
Mary’s as the Dean of FGSR. Before starting my role as FGSR Dean, I also served as professor
of physics for 17 years here at Saint Mary’s University, which all has allowed me to experience
first-hand the support of world-class research and scholarship in Arts, Science and Business, at
all levels of this University from individual faculty members to our excellent support staff
right up to the President’s Office.
With an impressive diversity of graduate programs and research activities which continue to
grow and expand, Saint Mary’s can confidently stand as one of the most research-intensive
small universities in Canada even as that descriptor “smallensures that we maintain our
uniquely Santamarian advantages, including the benefit of a strong sense of community and
accompanying mutual supports. This all ensures that Saint Mary’s University is a great place to
pursue graduate studies!
The FGSR oversees all graduate programs in the University, but the administration of each
student’s program is a collaborative effort between FGSR and the individual graduate
program. We work closely together with the Offices of the Deans’ of Arts, Science, and the
Sobey School of Business as well as the Office of the Vice-President, Academic and
Research in the oversight and administration of our graduate programs.
Our professors in the Faculties of Arts, Science and the Sobey School of Business offer
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diverse graduate-level credentials spanning the range of PhD, Doctoral and Masters
programs, one Graduate Diploma, and one Post-Baccalaureate Certificate. Our Professional
and Research-based programs capitalize on the vast range of expertise areas of our professors,
and on Saint Mary’s tight community connections to offer high calibre graduate programs across
all of the Faculties.
I hope you find this handbook a useful guide to help you navigate through your graduate
program. Please be aware that your program may have a handbook of its own to provide
program-specific information. Aside from these handbooks, there are many other useful
resources available (see the “Where do I go for help?” section of this Handbook for more
resources).
Best wishes in the pursuit of knowledge and in your personal and professional growth which are
the cornerstones of graduate studies.
Please do not hesitate to contact the staff in the FGSR Office for assistance.
Adam J. Sarty, Ph.D.
Dean, Faculty of Graduate Studies and Research
Associate Vice President, Research
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2.0 Who’s Who?
FGSR Staff:
Dr. Adam Sarty
Associate Vice President,
Research / Dean - FGSR
adam.sarty@smu.ca
902-491-6478
Dr. James O’Brien
Associate Dean, FGSR
Student Affairs
associatedean.fgsr@smu.ca
902-496-8770
Shane Costantino
Administrative Assistant to the
Dean
shane.costantino@smu.ca
902-491-6478
Heather Gray
Graduate Studies Officer
heather.gray@smu.ca
902-420-5069
Leah Ray
Graduate Studies Officer
leah.ray@smu.ca
902-491-6646
Tanya Carroll
Program Assistant
902-420-5089
Marlene Ramos
Research Grants Officer
902-420-5186
Kevin Buchan
Director Office of Innovation &
Community Engagement (OICE)
kevin.buchan@smu.ca
902-491-6297
Danielle Goodfellow
Industry Liaison Officer - OICE
danielle.goodfellow@smu.ca
902-420-5270
Vanisa Omicevic
Research Office Assistant -
OICE
oice@smu.ca
902-491-6459
Orshy Torok
Research Ethics Officer REB
ethics@smu.ca
902-420-5728
Emily Allen
Animal Care Coordinator /
Aquatic Facility Manager
animalcare@smu.ca
902-491-6335
Graduate Program Coordinators/Directors, Managers and other Resource
Personnel by Program:
Commerce
Applied Economics
ather.akbari@smu.ca
902-420-5670
sobeygrad.admissions@smu.ca
902-420-5010
EMBA / EDBA
kevin.kelloway@smu.ca
902-491-6355
MBA
chantal.hervieux@smu.ca
902-420-5771
sobeygrad.admissions@smu.ca
902-420-5010
MBA-CPA
david.bateman@smu.ca
902-420-5623
sobeygrad.admissions@smu.ca
902-420-5010
MBAN
michael.zhang@smu.ca
902-491-8676
MFIN
rahman.khokhar@smu.ca
902-491-6371
MMCCU / Grad Diploma
claudia.defuentes@smu.ca
902-420-5851
erin.hancock@smu.ca
902-802-7897
jude.robertson@smu.ca
902-491-6257
MTEI
ellen.farrell@smu.ca
902-420-5693
gordon.fullerton@smu.ca
902-496-8167
sobeygrad.admissions@smu.ca
902-420-5010
MSc
Applied Psychology
debra.gilin@smu.ca
902-491-6211
Applied Science
kai.ylijoki@smu.ca
902-491-6527
keith.bain@smu.ca
902-491-6535
Astronomy
astrogc@ap.smu.ca
902-420-5637
Computing & Data
Analytics
pawan.lingras@smu.ca
902-420-5798
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keith.bain@smu.ca
902-491-6535
MA:
Atlantic Canada Studies
alexander.macleod@smu.ca
902-491-6222
Criminology
stephen.schneider@smu.ca
902-420-5872
Geography
m.novak@smu.ca
902-491-6541
History
nicole.neatby@smu.ca
902-420-5765
Global Development
Studies
kate.ervine@smu.ca
902-491-6224
Philosophy
todd.calder@smu.ca
902-420-5826
Women & Gender Studies
michele.byers@smu.ca
902-420-5482
Theology and Religious
Studies
syedadnan.hussain@smu.ca
902-496-8217
PhD:
Applied Science
kai.ylijoki@smu.ca
902-491-6527
keith.bain@smu.ca
902-491-6535
Astronomy
astrogc@ap.smu.ca
902-420-5637
Business Administration
ashraf.zam[email protected]a
902-491-6272
hannah.wood@smu.ca
902-420-6529
I/O Psychology
debra.gilin@smu.ca
902-491-6211
Global Development
Studies
kate.ervine@smu.ca
902-491-6224
Education:
Int’l Master of Teaching
English
esther.enns@smu.ca
902-420-5009
keith.bain@smu.ca
902-491-6535
Graduate Programs Research Centres:
Master of Applied Health
Services Research
mahsr@smu.ca
902-491-6889
3.0 Roles and Responsibilities
This section attempts to clarify the roles and responsibilities of individuals and offices/bodies of
the University. Starting with you, the student, and working upwards through the organizational
structure of your program and the University, roles and responsibilities are characterized below:
The graduate student:
Graduate students play special roles in universities. They are students in the traditional sense,
but may also have roles as research assistants/collaborators, teaching assistants, and mentors
to undergraduate and other graduate students. Many academic committees of the University
have positions reserved for graduate students, so they can also have input into the decision
making activities of the University. It is the particular responsibility of students to ensure
that they meet all their program requirements within the regulated time-for-completion of
their graduate programs. (see Academic Regulation 16 in the 2023-24 Academic Calendar)
The graduate student is ultimately responsible for ensuring that:
a) relevant courses are taken and pre-requisites are met,
b) research is carried out appropriately, and
c) all course, program, and University deadlines and outcomes are met.
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Although there are many individuals and university offices/bodies that can assist the graduate
student in progressing through their program, it is the student who must take ultimate
responsibility for ensuring that their degree requirements are met in a timely manner.
Graduate students must register for every semester (including summer) until completion
of all requirements for the degree (see Academic Regulation 5 in the 2023-24 Graduate
Academic Calendar). This is an active process. Students must register for the appropriate
courses and/or thesis/program continuation status on Banner Self Service
(http://selfservice.smu.ca
) every semester until all degree requirements have been met (also
see section 5.3 of this Handbook). Students must obtain all required approvals by professors,
supervisors, and program coordinators/directors before registering. If a student anticipates that
they may have to interrupt their graduate program for any reason, they should talk to their thesis
supervisor(s) and program coordinator/director as soon as possible.
In research-based graduate programs, students should acknowledge the vital role of their
thesis supervisor(s). Students should maintain communication with their supervisor(s) and,
seek and give consideration to their advice. Similarly, students should solicit advice and
guidance from their supervisory committee members (where applicable) and from their program
coordinator/director.
Graduate students are required to abide by all policies and procedures of the University,
including, but not limited to, all academic regulations detailed in the Academic Calendar, the
Safety Policy (also see section 10.0. of this Handbook), the Freedom of Information/Protection
of Privacy Policy, the Policy on the Prevention and Resolution of Harassment and
Discrimination, and the Tri-Council Policy on Research Involving Human Subjects (also see
section 8.0. of this Handbook).
Of particular importance to all researchers at Saint Mary’s is the Senate Policy on Integrity in
Research and Scholarly Activity (
http://www.smu.ca/academics/fgsr-current-policies-and-
procedures.html). This Policy identifies the responsibilities of all researchers at Saint Mary’s in
carrying out research ethically and with integrity. The Policy defines scholarly misconduct and
outlines the procedures for investigating allegations of scholarly misconduct. Another policy to
become familiar with is on Conflict of Interest in Research. (http://www.smu.ca/academics/fgsr-
current-policies-and-procedures.html).
Your attention is also directed to the Report of the Expert Committee on Research Integrity by
the Council of Canadian Academics (see
https://cca-reports.ca/reports/honesty-accountability-
and-trust-fostering-research-integrity-in-canada/). The following Fundamental Principles of
Research Integrity have been extracted from the Report:
1. Conduct research in an honest search for knowledge. (Honesty; Fairness; Trust;
Openness)
2. Foster an environment of research integrity, accountability and public trust. (Trust;
Accountability)
3. Know your level of competence and your limitations; act accordingly. (Honesty;
Trust; Accountability)
4. Avoid conflicts of interest, or if they cannot be avoided, address them in an ethical
manner. (Trust; Accountability; Openness)
5. Use research funds responsibly. (Honesty; Accountability)
6. Review the work of others with integrity. (Fairness; Trust)
7. Report on research in a responsible and timely fashion. (Trust; Openness)
8. Treat data with scholarly rigour. (Honesty; Accountability)
9. Treat everyone involved with research fairly and with respect. (Fairness; Trust)
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10. Acknowledge all contributors and contributions in research. (Fairness; Accountability;
Openness)
11. Engage in the responsible training of researchers. (Fairness; Trust)”
All regulations and policies are available on the Saint Mary’s web site or by contacting the
FGSR.
The thesis supervisor:
In research-based graduate programs with a thesis requirement, the thesis supervisor provides
advisement to the student in the research and thesis development. In optimal circumstances,
the supervisor also mentors their graduate students.
The thesis supervisor may also offer guidance on course selection; however, the program
coordinator/director should be considered the authority in this area. Finally, the thesis supervisor
also monitors the student’s progress within their program. The thesis supervisor should
provide feedback to the student on their progress on a regular basis and, if warranted, bring
concerns forward to the graduate coordinator/director and the Dean of the FGSR.
The thesis supervisor should meet with the graduate student on a regular basis. The frequency
of these meetings varies in accordance to the student’s progress in their program, but a
scheduled meeting at least once a semester is highly recommended.
The supervisory committee:
In some graduate programs with thesis requirements, aside from the thesis supervisor, a
supervisory committee consisting of additional faculty members and, sometimes, relevant
experts from outside of Saint Mary’s may be constituted to aid in the supervision of the thesis
research. The other members of the committee can be seen as “secondary” supervisors who
can provide advice and act as sounding boards for various aspects of the thesis research. It is
recommended that a scheduled meeting of the supervisory committee and the student is held at
least once a year to review progress and make recommendations on the research activities.
Members of the supervisory committee usually serve as examiners (but not the external
examiner) at the thesis defence (also see section 5.10).
The Program Coordinator/Director:
Program Coordinators/Directors have very important roles in graduate studies at Saint Mary’s.
They have oversight for the program, chair the respective Program Committee, and they
represent each graduate program on the FGSR Graduate Studies Committee. They have key
roles in leading the design and administration of graduate programs, and in advising and
monitoring graduate students.
Responsibilities of Graduate Program Coordinators/Directors are defined in the 2022-2025
Collective Agreement (see 13.1.60 and 13.1.61) between Saint Mary’s University and the Saint
Mary’s University Faculty Union and include:
the integration, planning and development of the course offerings which constitute the
program;
the development of the program in consultation with the appropriate Deans and
Chairpersons;
the initiation, formulation and recommendation of academic policies relating to the
program;
the supervision of student progress;
the advisement of students and the approval of their course selections;
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the dissemination and enforcement of University policies as they affect the program.
Program Coordinators are administratively responsible to the Dean of the FGSR.
Officers and staff of the FGSR:
The Dean of the FGSR is mandated by the Senate and the Board of Governors to be the
administrative and academic leader of the FGSR. The following officers and staff report to the
Dean of the FGSR.
The Associate Dean Student Affairs assists the Dean of the FGSR in addressing issues
related to the learning, progress and well-being of Graduate Students at Saint Mary’s University.
The Administrative Assistant to the Dean provides administrative support to the Dean, Associate
Dean, the Graduate Studies Officer and the Research Grant Officer. The Administrative
Assistant coordinates many of the daily activities in the office.
The Graduate Studies Officer (GSO) oversees the admissions process and administers
scholarships and fellowships. The GSO works closely with the Program Assistant, program
coordinators/directors, the Registrar’s Office and the Financial Services Office in the admission,
monitoring and administration of graduate students and their financial accounts.
The Program Assistant is the main point of contact for the FGSR. They assist the Graduate
Studies Officer with all aspects of the admissions process and respond to student enquiries.
The Research Grants Officer (RGO) is responsible for all pre-submission issues related to
research grant applications and some post-award issues (e.g. some reporting responsibilities to
funding agencies). However, while some post-award financial administration falls into the
domain of the RGO, Financial Services is the ultimate authority on post-award financial issues.
The Research Office Assistant provides administrative, financial, and admissions support to
both the Faculty of Graduate Studies and Research and the Office of Innovation and
Community Engagement.
There are two staff in the Office of Innovation and Community Engagement: the Director and the
Industry Liaison Officer. The mandate of this office is to facilitate research relationships and
collaborations between faculty members and external partners [i.e. private-sector, public sector
(outside of the public granting agencies) and NGO’s], as well as to be a means of transfer of
applied research outcomes into the private sector (i.e. knowledge and technical transfer). The
office is also a resource in negotiating research contracts, intellectual property agreements, etc.
Also see section 11.0 in this Handbook
The Research Ethics Officer reports administratively to the Dean of the FGSR. However, due to
the mandatory arms-length relationship between Universities and their REBs, the Officer to the
REB works on a day-to-day basis with the Chair of the REB who reports to Senate. Also see
section 8.0 in this Handbook.
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3.1 Guiding Principles for Graduate Student Supervision
The following is a copy of a publication of the Canadian Association of Graduate Studies. The
document was adopted as guiding principles on graduate student supervision for the Faculty of
Graduate Studies and Research at the April 24, 2009 meeting of the FGSR Faculty Council.
Guiding Principles for Graduate Student Supervision
Copyright © Canadian Association of Graduate Studies (CAGS) 2008
This document was prepared by a working group composed of the following members of CAGS:
Dr. J. Kevin Vessey, Dean of Graduate Studies and Research, Saint Mary’s
University
Dr. Gwendolyn Davies, Associate Vice-President of Research, & Dean of
Graduate Studies, University of New Brunswick
Dr. Jonathan C. Driver, Dean of Graduate Studies, Simon Fraser University
M. Frédéric Lalande, Graduate Student, Université du Québec à Montréal
& Président, Conseil national des cycles supérieurs
Dr. Berry Smith, Vice-Dean, School of Graduate Studies, University of Toronto
The document was approved at the September 13th 2008 Meeting of the CAGS
Board of Directors and the October 18th, 2008 Annual General Meeting of CAGS.
A. Introduction
Post-baccalaureate graduate studies are extremely important to the economic and social well-
being of Canadians and have an ever increasing role in higher education in Canada. Over the
10 year period between 1995 and 2004, graduate student enrollment increased from
approximately 113,000 to 149,000 in Canada
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. Graduate studies are not only a life and career
enhancing activity for students, but also a vital component of research and scholarship in
Canada, important drivers of the nation’s productivity and essential for global competitiveness.
The role of supervisors and supervisory committees, as well as the relationship between
students and their supervisors, are key components affecting the success of research-stream
students in their programs.
Superimposed upon the student-supervisor relationship are the roles of supervisory committees,
graduate program committees, departmental bodies, and offices of faculties/schools of graduate
studies. Further complicating the issue of graduate student supervision is the diversity in
supervision culture across the University, where the relationship may range from a very
structured “master to apprentice” scenario to a very unstructured, “subtle guide of an
independent scholar.”
Despite the complexity and diversity surrounding supervision of graduate students, the
Canadian Association of Graduate Studies felt it important that guiding principles for graduate
student supervision be identified and endorsed at a national level. While many excellent guides
on graduate student supervision exist within various graduate handbooks, senate or faculty by-
laws, and websites within graduate schools across Canada, these are often highly specific to
individual departments or graduate programs. This document is meant to identify, at a high
level, guiding principles which can apply to all graduate supervisors and students. These
principles can be a stand-alone resource or a precursor for graduate schools and programs to
customize to their particular academic environment. It is also intended that the document be
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applicable to defining roles and responsibilities of graduate students in the student-supervisor
relationship as well as for graduate supervisors and administrators of graduate programs across
Canada.
Various documents have been utilized and are cited in the preparation of these guiding
principles, but in particular, a document from the University of Western Ontario
2
has been used
as a “template” for many of the principles identified here. The principles are intended mainly for
research masters and doctoral programs, though they may have relevance to “professional”
graduate programs where the student works with a supervisor.
B. Guiding Principles
1. A Supervisor should be identified in a timely fashion
One of the most important aspects of graduate training is the timely, clear identification
of a supervisor for each graduate student. This individual plays a key role in setting the
direction of the graduate student’s research. There are wide variations in the practices of
finding such a supervisor, and in the timing of when supervisors are normally assigned
to students across discipline, research field and graduate programs. In some fields,
students are assigned supervisors before they begin their programs (e.g. commonly the
case in engineering, the natural sciences, and some fields in the social sciences), while
in others, supervisors are normally assigned after one or more semesters. Whatever the
norm for the discipline, field or graduate program, procedures for assigning a supervisor
in a timely fashion should be in place and should be followed. Such procedures should
also be clearly documented and known to students and faculty.
2. Supervisory committees or equivalents should be established early.
In most graduate programs, a supervisory committee (or an equivalent, such as “second
reader”) is also assigned to the graduate student. The supervisory committee normally
acts as a supplementary resource for graduate students’ research, helps monitor
program progress of graduate students, and approves the thesis for defence.
Supervisory committees or their equivalent also can play vital roles in
managing/mitigating conflict between supervisor and student should it arise. In order to
obtain the maximum benefit from such a committee, it should be established as early as
possible in the student’s program.
3. Expectations, roles and responsibilities of graduate students and supervisors
should be made clear.
The University and/or individual graduate programs should provide guidelines on the
roles of the supervisor and the graduate student. Some faculties/schools of graduate
studies recommend that a written agreement or “contract” be signed by supervisor and
graduate student on such issues. In these cases, it is important that students have
informed consent and are not coerced into signing contracts with which they are not in
agreement. Universities should provide workshops for supervisors and graduate
students at which the roles of students and supervisors can be discussed.
4. Supervisors should be readily accessible to their students, and regular
monitoring and feedback should be ensured.
Graduate study can be a very unfamiliar environment for new graduate students and
students who are new to in Canada. Graduate programs tend to be much less
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structured than undergraduate programs. Also, the rich cultural diversity in our
Universities means that the cultural background of graduate students can be quite
different from the norms found within the institution. Because of these realities, it is
important that supervisors are highly accessible to provide guidance and feedback to
graduate students, but particularly to students for whom both graduate programs and
Canada are new. Frequent meetings with graduate students at which academic,
research and other issues are addressed, progress is reviewed, evaluation is provided,
and future activities are identified are extremely important for the success of students.
Most graduate programs require a written report on student’s progress to be submitted
to departmental, school or faculty offices at least once per year. Such formal
procedures, while essential, should not preclude more frequent evaluation of student
activities and progress on a more informal basis, such as office or lab meetings, email
communications and telephone conversations. When supervisors will be absent from
the university for extended periods of time (e.g. field seasons; sabbatical leaves), steps
need to be taken to ensure continuation of quality supervision during these absences.
5. Student-supervisor relationships should be professional.
The relationship between supervisors and students, however friendly and supportive it
may become, should always be academic and professional. Relationships that are at
odds with an arm’s length criterion (e.g., romantic, sexual, family ties) are unacceptable
between supervisors and students. If a substantial conflict of interest arises (e.g., when
supervisors develop emotional, financial and/or business arrangements with the student)
mechanisms should be in place to initiate a change of supervisor.
6. Intellectual debate and challenge should be encouraged and supported.
Intellectual debate is a fundamental component of university activity. Every effort should
be made by both the student and supervisor to recognize and acknowledge that a robust
element of academic challenge and questioning is a normal, and indeed, healthy aspect
of the student-supervisor relationship.
7. Supervisors should be mentors
Supervisors have responsibilities beyond the academic supervision of research and
writing. Although the mentoring role will vary across disciplines, and will depend on the
needs of the individual student, supervisors should be responsible for mentoring
students in the following areas: development of appropriate professional skills;
applications for funding; networking opportunities with colleagues in academia and
beyond; assistance with publications; and career development.
8. Issues of intellectual property and authorship should be made clear.
Supervisors are responsible for informing students about university policies that govern
intellectual property, and about any specific intellectual property issues that are likely to
arise from their research. Even when issues are not clearly defined, it is important that
students and supervisors have a discussion and reach an agreement early in their
relationship regarding issues including rights of authorship, the order of authorship on
multi-authored publications, and ownership of data. It is inappropriate for thesis
supervisors to ask students to sign over their intellectual property rights as a condition of
pursuing thesis research under their supervision.
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9. Conflicts should be resolved at the lowest level possible.
From time to time, conflicts may emerge between the supervisor and the student.
Involving more people and higher levels of authority in a conflict can result in
exaggeration of the original problem. This makes it harder to resolve and causes more
damage to the participants and those around them. Conflicts should be resolved as
close as possible to the source of the problem (i.e., at the lowest level of administration).
If the student and supervisor cannot find a solution after discussing the problem, they
should then involve the supervisory committee or equivalent. If the problem cannot be
resolved at the student-supervisor level, it may be dealt with by the program. The
University should ensure that appropriate resources (e.g. ombudsperson, equity office)
are available to assist. If no satisfactory resolution can be found at the program level, the
problem may be referred to the higher administrative levels. All parties should follow
procedures congruent with established policies of their universities.
10. Continuity is important in graduate supervision.
The relationship between the student and supervisor is often critical to the student’s
successful completion of the degree. Continuity of supervision is an integral component
of this relationship, since it provides (or should provide) stability, security, an opportunity
to establish sufficient mutual knowledge and trust to facilitate effective intellectual
debate, and generally an environment that allows optimal focus on the goals of the
graduate program. As a consequence, a change in supervisor should be made only for
strong and compelling reasons such as a mutually agreed major shift in academic
direction of the research, major academic disagreements and/or irreconcilable
interpersonal conflicts. It is recognized that some programs may place each new
incoming student with an initial or temporary supervisor. In these cases, a subsequent
timely change in supervisors, as the student clarifies research interests, is generally a
routine matter.
11. Alternative supervision should be available.
Policies and practices should cover situations in which a supervisory relationship cannot
be continued, so that the student can continue in the program. These should cover
situations beyond the control of the student (e.g. temporary or permanent absence of
supervisor), situations that may arise from conflict of interest, and situations that result
from personal relations between supervisor and student. Notwithstanding possible
delays in time to completion, policies and practices should ensure that a student is not
penalized is a change in supervisor is necessary.
12. Students have substantial responsibilities for managing their own graduate
education
Students share in the responsibility for the goals that they successfully complete their
program, and that it be of high quality. They are responsible for knowing and conforming
to the various policies and procedures that may concern academic and research
conduct, intellectual property, human subjects, animal welfare, health and safety, as well
as degree and program requirements and timelines. They may need to be proactive and
take responsibility for ensuring good communication with supervisory committee
members, in the meeting of timelines and other program requirements, and in seeking
effective advice on academic and other matters. If problems arise in the supervisory
relationship, it may be the student who needs to take action and seek advice and
remedy from the department or the school. The university, graduate department and
supervisor are responsible for providing an appropriate environment for high-quality
13
graduate education, but success is ultimately in the hands of the student. It is therefore
essential that universities inform students of their responsibilities, and provide them with
the information and support that they need to carry out their responsibilities
C. Conclusion
As noted in these principles, successful supervision of graduate students depends on a healthy
and productive relationship between the supervisor and graduate student, within a milieu that
involves several other parties and conditions. At the core of successful supervisor-graduate
student relationships are mutual respect and professionalism. When combined with clarity on
the respective roles of students, supervisors, and others involved in the students education, and
information on the policy and procedures relevant to a student’s graduate program, these
features will serve students, supervisors and the rest of the University community well. Our goal
is to ensure the success of graduate students in their programs and in their future endeavours.
D. References
1
Canadian Association of Graduate Studies, 2007. 36th Statistical Report, 1992-2004.
CAGS, Ottawa, Canada.
2
Faculty of Graduate Studies, University of Western Ontario, 2007. Principles and
Guidelines Regarding Graduate Student Supervision.
http://grad.uwo.ca/supervis/supervis.html
E. Other Resources
Butterwick, S. and Mullins K., 1996. Research on Graduate Student Supervision: The
State of the Art. The Centre for Teaching and Academic Growth, University of British Columbia.
Canadian Association of Graduate Studies, 2005. Graduate Studies: A Practical Guide. CAGS,
Ottawa, Canada
School of Graduate Studies - University of Toronto, 2002. Graduate Supervision Guidelines for
Students, Faculty, and Administrators. University of Toronto, Toronto, Canada
Faculty of Graduate Studies University of British Columbia, 2007. Handbook of Graduate
Supervision. University of British Columbia, Vancouver, Canada
Faculty of Graduate Studies Simon Fraser University, 2007. Report of the task force on
graduate student supervision. Simon Fraser University. Burnaby, Canada.
Canadian Association of Graduate Studies, 2005. A Guide to Intellectual Property for
Graduate Students and Postdoctoral Scholars. CAGS, Ottawa, Canada.
14
4.0 Where do I go for help when I have a question regarding my
program?
The following is a list of first points of contact and resources available to graduate students:
For questions about your academic program (e.g. courses, thesis defence procedures):
People: - program coordinator/director (contact information is in Section 2 of this
Handbook)
Documents: - the 2023-24 Graduate Academic Calendar available at:
https://smu-ca-
public.courseleaf.com/
- program handbooks (if available for your program - check with your
program coordinator/director)
For questions about fellowship and scholarship payments or fee assessments:
People: - Heather Gray or Leah Ray, the Graduate Studies Officers (contact
information is in Section 2 of this Handbook). You may be directed to
administrators in your program, the Service Centre, or the Registrar’s
Office, but the Graduate Studies Officers should be your first contact in
sorting out such issues.
Documents:
- the 2023-24 Graduate Academic Calendar available at: https://smu-ca-
public.courseleaf.com/
For questions about your thesis research:
People: - thesis supervisor
- other members of your thesis supervisory committee (if applicable)
- program coordinator/director
For questions on Intellectual Property matters, or if you are interested in commercializing your
research, contact the Office of Innovation and Community Engagement (contact information is
in Section 2 of this Handbook).
For general inquiries of the FGSR Office, contact the Program Assistant or the Administrative
Assistant to the Dean (contact information is in Section 2 of this Handbook).
For questions on Information Technology (IT) Services (e.g. computer connectivity), visit
https://www.smu.ca/academics/enterprise-information-technology.html and/or the Enterprise
Information Technology Help Desk located on the second floor of the Loyola Building, Room L-
268 and the first floor of the Atrium Building.
For questions on student services (i.e. services designed to support students' psychological,
physical, cultural, spiritual, emotional and educational development), visit
https://www.smu.ca/saas/index.html and various offices located in the O’Donnell-Hennessey
Student Centre.
15
For international students requiring orientation with Saint Mary’s, Halifax and Canada, the
International Centre is the best place to start (http://www.smu.ca/international/the-international-
centre.html; international.centre@smu.ca; 3rd floor, O’Donnell-Hennessey Student Centre,
Room 300; Tel: (902) 420-5525).
For questions relating to parking on campus, visit
http://www.smu.ca/about/facilities-
management.html
Please note: Fellow graduate students and individual professors can often be good sources of
information; however, be aware that sometimes information can be misinterpreted or
miscommunicated, leading to confusion and frustration. Students are well advised to follow-up
on information provided by these sources from documented sources, your program coordinator
or relevant FGSR staff.
University web pages
A large amount of information is available from the University’s web pages. Searching the Saint
Mary’s website (www.smu.ca) or perusing the FGSR web pages (https://www.smu.ca/fgsr/
),
particularly under the Current Students menu (http://www.smu.ca/academics/fgsr-current-
students.html) can be very useful.
Most graduate programs have web pages that may be helpful to current students. Here are the
addresses of Program web pages as of September 2023.
Arts:
Atlantic Canada Studies:
https://www.smu.ca/academics/departments/atlantic-canada-studies-
graduate-programs.html
Criminology: https://www.smu.ca/criminology/index.html
Geography: https://www.smu.ca/geography/index.html
History: https://www.smu.ca/history/index.html
Global Development Studies (MA and PhD): https://www.smu.ca/gds/
Philosophy: https://www.smu.ca/philosophy/index.html
Theology & Religious Studies: https://www.smu.ca/religion/index.html
Women & Gender Studies:
https://smu.ca/academics/departments/women-and-genders-
studies.html
Commerce:
Executive Doctorate of Business Administration:
https://www.smu.ca/edba/index.html
Executive Master of Business Administration:
https://www.smu.ca/academics/sobey/executive-master-of-business-administration.html
Master of Applied Economics:
https://smu.ca/academics/sobey/masters-in-applied-economics.html
16
Master of Business Administration:
https://www.smu.ca/academics/sobey/sobey-mba.html
Master of Business Administration (CPA Stream)
http://www.smu.ca/academics/sobey/mba-cpa-stream.html
Master of Business Analytics
https://www.smu.ca/mban/index.html
Master of Finance: https://smu.ca/academics/sobey/master-of-finance.html
Master of Management - Co-operatives and Credit Unions:
https://www.smu.ca/iccm/
Master of Technology Entrepreneurship and Innovation:
https://smu.ca/academics/sobey/master-technology-entrepreneurship-innovation.html
Graduate Diploma in Co-operative Management:
https://www.smu.ca/iccm/
PhD in Business Administration (Management):
https://smu.ca/academics/sobey/phd-in-business-administration.html
Science:
Applied Science (MSc and PhD):
https://www.smu.ca/faculty-of-science/science-departments-and-programs.html
Astronomy (MSc and PhD): https://www.smu.ca/astronomy-physics/index.html
Computing and Data Analytics:
http://www.smu.ca/academics/msc-in-computing-and-data-analytics.html
Psychology (MSc and PhD): https://www.smu.ca/psychology/index.html
Research Centres:
Master of Applied Health Services Research:
https://www.smu.ca/academics/master-of-applied-
health-services-research.html
Education:
International Master of Teaching English:
https://www.smu.ca/academics/international-master-
of-teaching-english.html
17
5.0 Progression through your graduate program
5.1 Getting started
So, you have arrived on campus. Now what? Please refer to the General Campus Information
section at the end of this Handbook for information on getting around and getting settled.
The first person you should seek out is your program coordinator/director and/or the program
manager (contact information is in section 2). They should be able to get you oriented and you
can ask them if there is a graduate student handbook specific to your graduate program.
If you have not already done so before arriving on campus, you should activate your Saint
Mary’s University computer account online at: https://activate.smu.ca
. You will need your
Banner ID which was supplied with your letter of acceptance into your graduate program, and
your Banner PIN (initially your birth date in ddmmyy format - e.g. 1 December 1993 would be
011293). Once activated, you will be able to access both the “Banner Self-Service”
(
http://selfservice.smu.ca) that enables access to many useful services and personal records
(including on-line registration and your timetable) and to SMUport (http://smuport.smu.ca/).
PLEASE keep your personal and contact information on Banner Self-Service up-to-date.
This information is extremely important in enabling FGSR and others in the University to
contact you.
5.2 Academic advising
The 2023-24 Graduate Academic Calendar specifies the requirements for your program and, in
some cases, may indicate the recommended sequence of courses and research work to meet
the requirements. For graduate programs that assign thesis supervisors early in the graduate
program, the supervisor may also provide useful guidance, but the program coordinator should
be considered the authoritative source of information for academic advisement.
5.3 Registration
Academic year registration begins in April and continues until the second week of classes each
term. Check the Registration Dates
page to find out when to register. Spring and summer
session registration begins in February and continues until the first week of classes in each
term. Before registering, all graduate students must consult and receive approval for
their courses from the program coordinator and in some programs, from their thesis
supervisor.
Registration Instructions
Go to Self Service Banner
and follow these instructions to register for courses.
Select “Enter Self-Service Banner”
Enter your smu.ca email address and password. Click here if you need help to access
your account.
Select the "Student" tab at the top
Select "Registration"
Select the appropriate term from the drop-down menu and click "Submit"
Select "Add or Drop Classes"
Enter the CRN (5-digit number) for the courses, labs and recitations you want to register
for in the "Add Classes Worksheet".
Click "Submit Changes".
18
After submitting your changes, two things may appear:
A list of successfully added courses (with an option to drop them). You are successfully
registered for these courses.
You may also see a list of courses that could not be added, with error messages
explaining why. You are not registered for these courses.
If a course is at capacity, check if there is a Waitlist offered (WL in Banner). Visit the
Waitlist
Registration page for information on waitlisting and how to use this option.
Visit Common Registration Q & A
page for more information and tips.
In addition to the courses identified in the Academic Calendar and by your program coordinator,
students in program-fee based graduate programs must be registered in FGSR9000 for
every semester in which they are in their graduate programs. This includes the maximum
time-for-completion, as well as extension periods (i.e. for students who are granted extensions
to their graduate programs).
5.4 Fees: per-course-fee programs and program-fee programs
Depending on your graduate program, you may have tuition fees assigned on either a per-
course-fee basis or a program-fee basis.
Per-course fee programs:
All students in the MBA, MBA (CPA Stream), MMCCU and GD CME programs.
Fees are based upon the number of courses enrolled within a semester (i.e. on a per-course
basis). For details on per-course fees please visit:
http://www.smu.ca/academics/graduate-
tuition-fees.html
Program-fee programs:
All MA and MSc students
All students in the IMTE, EMBA, EDBA, MAE, MBAN, MFIN, MTEI and MAHSR
programs
All PhD students
Students in program-fee based programs are charged a fee for their entire program. These
fees may be charged once at the outset of the program, or in multiple installments during the
program. For details on program fee, see the 2023-24 Fee Tables.
http://www.smu.ca/academics/graduate-tuition-fees.html
Regardless of whether you are in a per-course or a program-fee based program, fees are
assigned to your “student account” accessible through Banner Self-Service.
5.5 Full-time and part-time status
For all students enrolled in the MBA, MBA (CPA Stream), MMCCU and GD CME programs (i.e.
all per-course-fee programs), full-time or part-time status is identified by course load within the
term (see Academic Regulation 8 in the 2023-24 Academic Calendar). In general, a student
taking at least nine (9) credit hours within a term will be considered full-time for that term while
students registered in less than nine (9) credit hours per term will be considered part-time for
that term.
For all graduate students other than those identified above (i.e. program-fee-based
students), full-time and part-time status is defined as below:
19
(i) Full-Time: a student who is enrolled in a program of study, who makes demands upon the
resources of the institution by enrolling in courses, engaging in research, and/or writing a
thesis/report under continuing supervision. These students will normally be geographically
available to the university, will visit the campus regularly, and will not be engaged in full-time
employment (on or off campus) while registered as full-time students (except while undertaking
program defined requirements such as co-op work semesters, practica, and internships), and
will be in pursuit of their studies as a full-time occupation.
(ii) Full-Time Continuing: Full-Time Continuing: a student who is enrolled in a full-time program
of study who is beyond their minimum time-for-completion (see Regulation 19
), who makes
demands upon the resources of an institution by enrolling in courses, engaging in research,
and/or writing a thesis/report under continuing supervision. These students will normally be
geographically available to the university, will visit the campus regularly, will not be engaged in
full-time employment (on or off campus) and will be in pursuit of their studies as a full-time
occupation.
(iii) Part-Time: a student who is enrolled part-time in a program of study in an approved
graduate degree, certificate, or diploma program. These students will normally be engaged in
completing 50% or less of the program requirements per semester.
(iv) Part-Time Continuing: a student who is enrolled part-time in a program of study, who has
exceeded the minimum time-for-completion of their program (see Regulation 19
). Note: Part-
time Continuing is the normal, default status for students beyond their minimum time-for-
completion of their program registered as Thesis Continuation.
Regarding full-time and part-time status of graduate students in program-fee based programs,
please note the following important points:
Graduate students will be designated as FT or PT by their Graduate Program
Coordinators.
Following admission, changes in registration status from FT to PT or vice-versa will be
allowed ONLY with the permission of the Program Coordinator and the Dean of the
FGSR and only when the student’s situation changes so as to satisfy the above
definitions.
Only during the minimum time-for-completion of the program will FT students be eligible
for funding from the FGSR. PT students are not eligible for funding from the FGSR.
The normal status for thesis-continuation students is part-time. Under exceptional
circumstances, and for a limited period of time, a thesis-continuation student may be
identified as full-time. In order for full-time status to apply, students will normally be
geographically available to the university, visit the campus regularly, not be engaged in
full-time employment (on or off campus) and be in pursuit of their studies as a full-time
occupation. Students requesting full-time thesis continuation status are required to
complete and sign an application form (see section 13 of this handbook) which must be
endorsed by the supervisor, authorized by the program coordinator, and submitted to the
Faculty of Graduate Studies and Research.
20
5.6 Receipt of stipends, scholarships or salary payments related to your graduate
program:
If you are a recipient of funding to help support your graduate program, congratulations! In this
section we are referring to funds directly related to your graduate program, not “outside” sources
of funding such as parents, partners, part-time employment, bank/student loans, etc.
Funding to help support your graduate program may come from various sources, including the
following:
(i) external scholarships/fellowships (e.g. Tri-Agency [NSERC, SSHRC, and CIHR]
scholarships; provincial granting agencies such as Research NS, NS Graduate
Scholarship; research foundations; individual government agencies and departments;
non-governmental agencies, charitable organizations, foreign governments)
(ii) internalnamed” scholarships (e.g. the Bernard Kline Memorial Scholarship, John
Despard deBlois Scholarship)
(iii) FGSR Graduate Fellowships or Graduate Awards
(iv) fellowships from thesis supervisors’ research grants
(v) salary from thesis supervisors’ research grants
(vi) salary from departmental teaching assistantships (TAs)
(vii) salary from current employers specifically for pursuing your graduate program.
Categories (i) through (iv) are handled under Paragraph 56(1) (n) of the Canada Revenue Act
(see
https://www.canada.ca/en/revenue-agency/services/tax/technical-information/income-
tax/income-tax-folios-index/series-1-individuals/folio-2-students/income-tax-folio-s1-f2-c3-
scholarships-research-grants-other-education-assistance.html) and are considered “amounts
paid or benefits given to persons to enable them to advance their education”. Students normally
receive a T4A slip for income tax purposes associated with income from these categories.
Categories (v) through (vii) are employment salary or wages “for services rendered”. Students
should receive a T4 slip for Income Tax purposes associated with income from these
categories.
Further characterization of fellowship and scholarship funding categories and payment modes:
(i) External Scholarships and Fellowships
Payment of funds provided from external scholarships may be handled in two
ways.
a) The funding agency/organization may deposit the money with Saint
Mary’s and the University will oversee its disbursement to you. This is done
through deposits to your student account (viewable in Banner Self Service).
b) The external granting agency may send the money directly to you,
normally in the form of a cheque. If you receive such an award, please
inform the FGSR. We would like to recognize your accomplishment and we
also like to know about such funding of our students for statistical purposes.
21
(ii) Internal “named” scholarships
The origin of the funds for these scholarships may have been from internal or
external sources to the University, but Saint Mary’s now holds and administers
these funds. Awardees have the scholarship amounts deposited into their
student accounts.
(iii) FGSR Graduate Fellowships or Graduate Awards
These funds are supplied internally from Saint Mary’s and are allocated through
the FGSR to the graduate programs. These funds are then allotted to graduate
students within the program by the program coordinator/program committee on a
merit basis. Awardees have the fellowship/award amount deposited into their
student accounts.
(iv) Fellowships from thesis supervisors’ research grants
These funds are provided by research grants held by the Thesis Supervisor.
These funds are only available to students whose supervisors hold such grants
and are willing and able to budget such scholarships within the grant.
Graduate students who have been awarded Saint Mary’s administered fellowships and
scholarships, as detailed above, will normally receive their funds (less tuition and associated
fees) in three installments at the beginning of each semester, provided they have registered
early. Students who have registered by August 4, 2023 may collect their first installment (34%
of scholarship less fees) on September 8, 2023. Students who have registered by December 1,
2023 may collect their second installment (33% of scholarship less fees) on January 5, 2024.
Students who have registered by April 5, 2024 may collect their third installment (33% of
scholarship less fees) on May 3, 2024. MBA students will normally receive their scholarships in
two installments (50% of scholarship less fees) on September 8, 2023 and January 5, 2024,
provided they have registered early.
Further characterization of salary funding categories and payment modes:
(v) Salary from thesis supervisors’ research grants
This may seem similar to category (iv) funding above, but an important difference
is that the funding is paid as a salary for services rendered which are not directly
related to the student thesis research (e.g. data analysis for a supervisor’s
research project which is not a component of the student’s thesis research). The
student is normally employed as a casual employee by the supervisor’s
department and is paid through Saint Mary’s Payroll Services.
(vi) Salary from departmental teaching assistantships (TAs)
Some departments hire graduate students as teaching assistants, normally in
undergraduate laboratories and classes. These are administered through
individual departments and students are paid through Saint Mary’s Payroll
Services.
(vii) Salary from current employer for pursuit of a graduate program
Some students attend graduate school under the permission/direction of a
current employer, normally as a career development process. Employers may
pay for the student to pursue their graduate program as a component of their job.
Employers and employees/students negotiate the salary and terms. Saint Mary’s
has no role in such funding situations; however, the FGSR would appreciate
being informed of such employer support for statistical purposes.
22
5.7 Your program of study and research (extracted/modified from the 2023-24 Academic
Calendar):
Students entering with an honours degree (or equivalent) must complete a minimum number of
credit hours of course work as defined by the program (see detailed descriptions of the
individual graduate programs
in the Graduate Studies Academic Calendar) and, where
applicable, submit an acceptable thesis or masters research project (MRP). In some programs,
a master’s degree or graduate diploma may consist of course-work only and no thesis or
MRP. The course requirements for such non-thesis programs are described in the detailed
description of the program. Courses in all programs must be at the 5000 level or above, but
where advisable, courses at the 4000 level may be included in a program, provided that the
requirements applying to graduate students in such courses are of a graduate standard. It is the
particular responsibility of students to ensure that they meet all their program requirements
within the regulated time-for-completion of their graduate programs (see Graduate Academic
Regulation 19).
Where required, a student shall submit a thesis on a subject approved by the Graduate Program
Coordinator (GPC) in which research has been conducted under the direction of a supervisor
appointed by the appropriate GPC. A public oral defense in the presence of an Examining
Committee appointed by the GPC and the Dean of the FGSR is mandatory. Details on the
defence process for each program are available through the FGSR and/or Program
Coordinators.
Changes in either the program of courses or the topic of the thesis require the approval of the
Supervisory Committee and the Graduate Program Coordinator.
5.8 Supervision of your thesis research:
All students in programs with a thesis requirement will be assigned a thesis supervisor. The
timing of the assignment of a thesis supervisor varies from program to program. In some
programs (e.g. MSc in Applied Science), the supervisor is assigned as the student is accepted
into the program. In others, some period of time may pass (normally one or two semesters)
before a supervisor is appointed. If you start your program without a thesis supervisor, see your
program coordinator/director soon after commencing study in your program to clarify how and
when your supervisor will be assigned.
In some programs, aside from a thesis supervisor, a supervisory committee of one or several
other supervisors may also be constituted. These secondary supervisors are also a resource to
you in pursuing your thesis research activity. A meeting with your supervisory committee can
be called at any time, but normally a meeting is held at least once a year.
Check with your program coordinator/director and/or the program’s graduate handbook (if
applicable) if the program has a form to officially identify your thesis supervisor(s). If not, the
Graduate Student’s Thesis and Supervisors Identification available at
http://www.smu.ca/academics/fgsr-current-forms.html
can be used for this purpose.
The relationship between student and thesis supervisor varies between programs and
individuals. In some programs and disciplines, the thesis supervisor’s role is as a sounding
board” or guide who the student can call upon when they need advice or direction. In other
programs and disciplines, the interaction between student and thesis supervisor is more
frequent, with the student and supervisor interacting on a daily basis (especially in laboratory
settings).
23
Regardless of the variances in student-supervisor alliances, the following guidelines make for a
good working relationship between student and supervisor:
mutual respect
open communication
a good understanding of one another’s roles and responsibilities in the pursuit of the
research
Aside from these guidelines, students and their supervisors are required to abide by all policies
and procedures of the University, including, but not limited to, all academic regulations detailed
in the Academic Calendar, the Safety Policy, the Freedom of Information/Protection of Privacy
Policy, the Policy on the Prevention and Resolution of Harassment and Discrimination, the
Research Integrity Policy, and the Tri-Council Policy of Research Involving Human Subjects
(see section 8.0.). All of these regulations and policies are available on the Saint Mary’s web
site or by contacting the FGSR. Also see section 3.1 of this handbook on Guiding Principles for
Graduate Student Supervision.
5.9 Evaluation of Thesis/Program Progress (extracted from Regulation 28 of the 2023-24
Academic Calendar):
A student may be required to provide updates to the supervisor/supervisory committee on the
progress of their thesis research. If required, a student will be given a minimum of thirty days
notice to provide an update to the supervisor/supervisory committee. The update will be in the
form of a meeting at which the student will present a written report on their research
activities/progress, and address questions and comments from the supervisor/supervisory
committee on the report and research progress.
The supervisor will prepare a report on the student’s progress using the form available from the
program or the FGSR (the latter is available at
http://www.smu.ca/academics/fgsr-current-
forms.html). The report must be witnessed by the student’s signature and the student is free to
make comments regarding the report. The report, which will include an evaluation at one of the
three assessment levels indicated below, will be sent to the Program Coordinator for signature
and forwarded to the Dean of the FGSR. These evaluations become part of the student’s
record within the FGSR, but are not recorded on the student’s transcript.
The progress in a student’s program can be assessed at three levels:
Satisfactory
Unsatisfactory - In need of improvement
Not Acceptable
The actions coming forth from the assignment of the above assessments are:
Satisfactory
The students’ progress in their research relevant to the period of time working pursuing
the research is at least sufficient in terms of quality and quantity. In the assessment,
leeway must be given for problems that may arise in pursuit of the research which are
beyond the reasonable control of the student. With a Satisfactory rating, the student is
recommended for continuation of his/her Program.
Unsatisfactory - In need of improvement
Progress is not satisfactory. The students’ progress in their research relative to the
period of time working pursuing the research is insufficient in terms of quality and/or
quantity. With an “Unsatisfactory” rating, the Supervisor’s report on the progress of the
student must include a timeline (minimum of 4 months; maximum of 12 months) with
24
outcomes for the student to achieve within the specified period. After the specified
period in the timeline, another update will be provided by the student per the procedures
identified above. If the expected outcomes have been achieved successfully, a student
will be assigned a “Satisfactory” rating. If the expected outcomes are not achieved in a
satisfactory manner, the Supervisor’s new report on the student’s progress will include
an assessment of “Not Acceptable.”
Not Acceptable
If the expected outcomes are not achieved and the Supervisor/Supervisory Committee
concludes that the student will not succeed in completing the Program, the
Supervisor/Supervisory Committee will note the rating of “Not Acceptable” in the
Supervisor’s report and forward this report to the Program Coordinator. The Program
Coordinator will review the case and make an independent recommendation to the Dean
of Graduate Studies and Research. Upon the recommendation of the Dean of Graduate
Studies and Research, the student will be dismissed from their Program. Students who
have received an evaluation of “Not Acceptable” and have received notice of dismissal
have up to thirty (30) days to make an appeal in writing to the Senate Committee on
Academic Appeals. (Note: The Supervisor/Supervisory Committee cannot change a
student’s assessment directly from a “Satisfactory” rating to “Not Acceptable”. If a
student’s progress has been determined to be less than fully satisfactory, the student
must be rated “Unsatisfactory - In Need of Improvement” and actions as defined above
taken before a rating of “Not Acceptable” could be considered.)
5.10 The thesis defence
The following regulations, policies and procedures are drawn from the 2023-24 Graduate
Academic Calendar and the FGSR Master Thesis and PhD Dissertation Defence Policy and
Procedures Document.
For all graduate programs with a thesis requirement, the thesis defence is the culmination of all
of the “blood, sweat and tearsthat go into researching and preparing the thesis.
Early in preparing the thesis, students should refer to the Library’s guidelines on thesis
formatting (http://www.smu.ca/academics/archives/thesis-forms-procedures.html
).
The thesis defence process is administered at the program coordinator/director level, but with
varying levels of aid and oversight by the FGSR for different graduate programs. For example,
the FGSR is highly engaged in the defence procedures of all doctoral programs. For details of
the procedures within your individual program, see your program coordinator/director.
Remember that progression through a graduate program is ultimately the student’s
responsibility. Do not assume that the procedures listed below happen “automatically”. Check
with your supervisor, program coordinator, and the FGSR, as applicable, to make sure that
things are proceeding as they should.
The following is an attempt to explain the thesis defence process in general:
Before the defence:
The thesis is approved for defence. Once the thesis is complete (or nearly
complete), the student is given approval by the supervisor/supervisory
committee and/or the program coordinator/director that the thesis can go
forward to a defence.
25
PLEASE NOTE: If your graduate program does not have a form to approve the thesis for
defence, students are encouraged to use the FGSR’s Thesis Defence External Examiner
Nomination Form available at http://www.smu.ca/academics/fgsr-current-forms.html
.
Coincident with approval for the defence, the examination committee should be identified by the
supervisor/supervisory committee and/or the program coordinator/director. The composition of
examination committees varies between programs.
The minimum requirements for the composition of the Examining Committees
for Master Theses are:
o the Thesis Supervisor
o an examiner who may have been previously involved in the
supervision of the student’s thesis research
o an “external” examiner who has not been previously involved in the
supervision of the student’s thesis research; the external examiner
must hold a Master’s degree or equivalent. Examples of equivalent
status may be a Doctor of Medicine (M.D.), a lawyer (L.L.B.), or
professional Engineer (P.Eng.) with expertise and research
experience in the thesis subject.
o a neutral Chair (normally the Program Coordinator or the Dean of the
FGSR or their delegates)
The minimum requirements for the composition of the Examining Committees
for PhD Theses/Dissertations are:
o the Thesis Supervisor
o two examiners who may have been previously involved in the
supervision of the student’s thesis research
o an “external” examiner who has not been previously involved in the
supervision of the student’s thesis research; the external examiner
must hold a PhD, be an expert in the thesis topic, be external to Saint
Mary’s University, and not be in a conflict of interest with either the
PhD candidate or their supervisor.
o a neutral Chair (normally the Program Coordinator or the Dean of the
FGSR or their delegates.
A thesis defence date is tentatively set and the thesis is distributed to the examiners for
review. This should normally occur four to six weeks before the proposed thesis
defence date. Examination of a thesis is a time-consuming process and examiners,
especially the external, must be given adequate time to review the thesis and prepare a
report.
The defence is organized and the event is advertised.
Prior to the thesis defence, the external examiner’s report is received. PLEASE NOTE:
If the external examiner has serious concerns that could bring into question whether the
thesis is ready for defence, discussions between the external examiner, the thesis
supervisor, the program coordinator/director, and the Dean of the FGSR may result in
the defence being postponed or cancelled.
The title/signature page of the thesis is prepared by the student according to the
Library’s guidelines, and circulated amongst the committee after the defence.
26
During the defence:
The procedures for both a Masters and a PhD defence can be found on the FGSR website
at:
https://www.smu.ca/fgsr/fgsr-current-policies-and-procedures.html
After the defence:
The student revises the thesis according to the instructions of the examiners and under
the supervision of the supervisor.
Once all revisions are complete and approved by the relevant examiners, those who
withheld their signatures at the defence sign the title/signature page.
An electronic copy of the thesis is submitted to the FGSR according to the Library’s
Procedures, available at:
https://www.smu.ca/academics/archives/thesis-forms-
procedures.html.
A “Change of Grade Form” for the thesis course must be submitted to the FGSR office
by the thesis supervisor or the program coordinator/director.
In April 2013, the FGSR Council passed the “Policy and Procedures on Master Thesis and PhD
Dissertation Defences.” The document is available at
http://www.smu.ca/academics/fgsr-
current-policies-and-procedures.html. The document summarizes/references those Academic
Regulations and FGSR Policies/Procedures, as well as addresses additional issues concerning
Master Thesis and PhD Dissertation requirements, processes and procedures, including the
requirements for attendance (in person and by distance) at defences.
Thesis Submission / Convocation Deadlines
Please see below for details on the submission of your thesis and for deadlines you need to be
aware of.
For final submission of your thesis, FGSR must receive an electronic version in PDF format, the
signed title page, and any required forms: (http://www.smu.ca/academics/archives/thesis-forms-
procedures.html)
Prior to submitting your thesis, Shane in the FGSR office would be happy to review a
PDF version of the it to ensure that it meets the formatting guidelines.
(shane.costantino@smu.ca
)
Winter Convocation (January)
The deadline for final submission is the last day the university is open prior to the
Christmas break. This date varies year to year and can be found on the HR website
(http://www.smu.ca/about/holiday-schedule.html#d.en.45153
)
The student should defend at least two weeks prior to the submission deadline to ensure
they have adequate time to complete their revisions.
The External Examiner should receive the thesis one month prior to the defence date*.
o The External Examiner Nomination Form is available at:
http://www.smu.ca/academics/fgsr-current-forms.html
**.
27
Spring Convocation (May)
The deadline for final submission is May 1.
The student should defend no later than mid-April to ensure they have adequate time to
complete their revisions.
The External Examiner should receive the thesis one month prior to the defence date*.
o The External Examiner Nomination Form is available at:
http://www.smu.ca/academics/fgsr-current-forms.html
**.
Fall Convocation (September)
The deadline for final submission is September 1.
The student should defend no later than mid-August to ensure they have adequate time
to complete their revisions.
The External Examiner should receive the thesis one month prior to the defence date*.
o The External Examiner Nomination Form is available at:
http://www.smu.ca/academics/fgsr-current-forms.html
**.
*Receipt of the thesis by this date is absolutely necessary to give the External Examiner
adequate time to review and comment on the thesis
** The External Examiner must already have been contacted by the Program Coordinator or
Supervisor and have agreed to examine the thesis in the given time frame. If the External
Examiner is to attend the defence in person, it is the responsibility of the Program
Coordinator/Supervisor to make arrangements for the Examiner’s visit.
5.11 Graduating:
To graduate, students must successfully meet all the requirements of their graduate program as
defined by the Academic Calendar.
Fall Convocation normally held in September/October, January Convocation is normally held in
late January and the Spring Convocation normally in late May. A student must submit an
Application for Graduation the semester before they intend to graduate (available from the
Registrar’s Office and at https://www.smu.ca/academics/student-forms.html
). For deadlines for
applications for graduation and convocation, see section 16.0 of this Handbook).
For programs with a thesis requirement: Sometimes students underestimate the amount of time
required between submitting a thesis for defence and having it examined, defended, revised,
and finalized. Students need to be realistic in considering the time needed to complete all
requirements; otherwise, meeting the deadlines for graduation can be very stressful.
5.12. Time-for-completion, interruptions, and extensions to programs (extracted/modified
from the 2023-24 Academic Calendar):
How long do I have to complete my program?
a. The normal academic year of the FGSR is composed of three 4-month semesters running
from September 1 to August 31. Full-time students will normally complete their studies through
a series of consecutive 4- month semesters. (e.g., three semesters will constitute 12 months of
continuous full-time study; six semesters will constitute 24 months of continuous full-time study).
b. The FGSR has established normal minimum (often referred to as residency period) and
maximum completion times for each program (see following table). Normally, Full-Time (FT)
students will complete their program within the defined time periods. For Part-Time (PT)
students, the minimum period will be double that defined for FT students.
28
c. If a student (FT or PT) does not complete the program within the minimum period, they must
be registered as a FT Continuing or PT Continuing student until they complete the program,
provided they do not exceed the maximum time for completion of a program
d. If a student (FT or PT) does not complete their program within the maximum period, they
are not entitled to continue their program, unless they have applied for and been granted an
Extension to their graduate program (see Graduate Academic Regulation 20).
Time for-Completion of Graduate Programs
Graduate Program
Minimum
Number of
Years
(Semesters)
-
Full-time
Minimum
Number of
Years
(Semesters) -
Part-time
Maximum
Number of
Years
(Semesters) -
Full-time
Maximum
Number of
Years
(Semesters) -
Part-time
International Master
of Teaching English
1.3 (4)
NA 2.7 (8) NA
MA Atlantic Canada
Studies
2 (6)
4 (12) 5 (15) 7 (21)
MA Criminology
2 (6)
4 (12)
5 (15)
7 (21)
MA Geography
2 (6)
4 (12)
5 (15)
7 (21)
MA History
1 (3)
2 (6)
4 (12)
5 (15)
MA Global
Development
Studies (Category I)
2 (6)
4 (12) 5 (15) 7 (21)
MA Global
Development
Studies (Category II)
1 (3)
2 (6) 4 (12) 5 (15)
MA Global
Development
Studies (16 months)
1.3 (4)
2.7 (8) 5 (15) 7 (21)
MA Philosophy
1 (3)
2 (6
4 (12)
5 (15)
MA Theology and
Religious Studies
1 (3)
2 (6) 4 (12) 5 (15)
MA Women and
Gender Studies
2 (6)
4 (12) 5 (15) 7 (21)
PBCAE
0.7 (2)
2 (6)
2 (6)
4 (12)
MAEC
1 (3)
2 (6)
4 (12)
5 (15)
MFIN
1 (3)
NA
2 (6)
NA
EMBA (16 Months)
1
1.3 (4)
NA
1.3 (4)
NA
MBA
2 (6)
4 (12)
5 (15)
7 (21)
MBA - (CPA
Stream)
1
1(3)
NA 4(12) NA
MMCCU
NA
3 (9)
NA
5 (15)
Graduate Diploma in
Co-operative
Management
NA
1.7 (5) NA 2.7 (8)
29
Graduate Program
Minimum
Number of
Years
(Semesters)
-
Full-time
Minimum
Number of
Years
(Semesters) -
Part-time
Maximum
Number of
Years
(Semesters) -
Full-time
Maximum
Number of
Years
(Semesters) -
Part-time
M of Technology
Entrepreneurship
and Innovation
1.3 (4)
NA 2.7 (8) NA
MSc Astronomy
2 (6)
4 (12)
5 (15)
7 (21)
MSc Applied
Psychology
2 (6)
4 (12) 5 (15) 7 (21)
MSc Applied
Science
2 (6)
4 (12) 5 (15) 7 (21)
MSc Computing and
Data Analytics
1.3 (4)
2.7 (8) 2.7 (8) 5.3 (16)
Master of Applied
Health Services
Research
2 (6)
4 (12) 5 (15) 7 (21)
PhD Applied Science
3 (9)
NA
7 (21)
NA
PhD Astronomy
4 (12)
8 (24)
7 (21)
10 (30)
PhD Business
Administration -
Management
3 (9)
NA 6.3 (19) NA
PhD Industrial &
Organizational
Psychology
3 (9)
6 (18) 7 (21) 10 (30)
PhD International
Development
Studies
3 (9)
6 (18) 7 (21) 10 (30)
Time-for-completion for Full-time and Part-time refers to students’ status when admitted into
programs and applies throughout their programs, regardless if their status changes during the
programs.
1 Full-timelock-step” program with defined courses in a prescribed sequence.
2 Part-time “lock-step” program with defined courses in a prescribed sequence.
NA = Not Applicable
Interruptions to programs (leave of absence):
In exceptional circumstances, a leave of absence from a graduate program for a period of up to
a maximum of one year may be granted. Leaves of Absences can be granted only twice for
Master programs and only three times for PhD programs. Requests for a leave of absence
(forms available at https://www.smu.ca/academics/fgsr-current-forms.html
) must be supported
by documentation explaining exceptional personal circumstances which would prevent
continuation in the program during the period of time for which the leave applies. The decision
of the Dean of the Faculty of Graduate Studies and Research is final. If a leave of absence is
granted, the student is considered to be inactive in the program during the period of exemption
but must pay the appropriate fees. Time spent away from one’s graduate program while on a
30
leave of absence, does not contribute to the time-for-completion. Students are expected to
apply prior to or during the term for which the leave will take place. Students returning from an
approved leave of absence must re-activate their status by submitting an Application for
Reactivation into Graduate Program (forms available at
https://www.smu.ca/academics/fgsr-
current-forms.html). Reactivation of a student’s program must be approved by the Program
Coordinator and the Dean of the FGSR.
Extensions to graduate programs:
Circumstances may sometimes justify an extension to a student’s graduate program beyond the
normal maximum time-for-completion identified above. An extension to a graduate program may
be considered under any of the following conditions:
(i) illness, family strife, or unforeseen family responsibilities*
(ii) pursuit of an employment opportunity which makes a positive contribution to the
student’s graduate program*
(iii) unforeseen difficulties in pursuit of the thesis research beyond the control of the
student.
*Note: In cases (i) and (ii) above, it is highly preferable that students apply for leave of absences
from their programs at the time of the incident/situation.
A student applying for an extension should submit a written request on the appropriate FGSR
form (available at https://www.smu.ca/academics/fgsr-current-forms.html
) to their program
coordinator. The request should include a letter of support from the student’s supervisor or
supervisory committee, together with a letter describing in detail the reason for the requested
extension and, where applicable, supporting documentation certifying the facts surrounding the
request. After the program coordinator has reviewed and approved the application, it is
forwarded to the Faculty of Graduate Studies and Research. The decision of the Dean of
Graduate Studies and Research is final and the student will be notified of the decision.
Extension to a program will be for a maximum of one year in length per request. Extensions can
be granted only twice for Master programs and only three times for PhD programs. Students at
or beyond their normal maximum program period who are denied extensions, will not be able to
continue their graduate program. Students who do not complete their program within the
maximum number of allowable extensions will not be able to continue their graduate program.
Extensions will not be granted retroactively to a student who has failed to register for one or
more previous semesters and is beyond their maximum program period.
6.0 Academic and research integrity
In graduate school, academic and research integrity must be adhered to the highest standards.
As students at the highest levels of academic training and as future leaders in your fields, the
importance of learning, adopting and living the tenets of academic and research integrity within
graduate school cannot be understated. Wherever you may find yourself in the future, be it in
academe, private sector organizations, government departments and agencies, or the not-for-
profit sector, all are guided and regulated by codes of ethics, policies, regulations and laws to
inform, regulate and enforce integrity in the workplace. Therefore, learning and following the
regulations and policies relating to academic and research integrity while at Saint Mary’s will not
only serve you well here, but also position you well for ethical behavior in your future
endeavours.
31
At Saint Mary’s, graduate students are responsible for informing themselves and adhering to
policies on two broad areas of integrity: academic and research.
6.1 Academic integrity
Regarding academic integrity, students should familiarize themselves with the Academic
Integrity and Student Responsibility section of the 2023-24 Graduate Academic Calendar
(https://smu-ca-public.courseleaf.com/
).
The following is extracted from that section of the Calendar:
An academic community flourishes when its members are committed to these fundamental
values:
1. Respect: An academic community of integrity is a community where individual growth of
all members is advanced through the cultivation of mutual respect in an atmosphere of
academic freedom.
We strive to create an environment where everyone recognizes their responsibility to
respect the rights of other members of the university community, and nurtures a climate
of respect, fairness, and civility toward others while embracing everyone's dignity,
freedom, and diversity.
2. Communication: In an academic community of integrity, it is acknowledged that a
shared point of view is not always possible, and that civil debate and discourse is
necessary for intellectual growth even in the face of disagreement.
Through respectful and vigorous discussion and debate, individual freedoms may
flourish without threatening the privileges or freedoms of others.
As new and emerging technologies change communication, all members of the
academic community commit to continually be mindful of the safety, privacy, and
confidentiality of others as well as that of their own.
3. Responsibility & Accountability: Personal behavior and actions have
consequences. All members of the academic community commit to the responsible
enjoyment and exercise of their rights, with respect for the rights of others.
All members of the academic community will be trustworthy and answerable for their
conduct, decisions, and obligations, and will comply with all applicable laws, regulations,
policies and procedures.
4. Stewardship: Members of an academic community of integrity value their community’s
property, infrastructure, and resources as assets that allow them to accomplish their
work. All members of the academic community will use university resources ethically
and in a wise and prudent manner to achieve our educational mission and strategic
objectives.
5. Excellence & Leadership: Members of an academic community of integrity know that
through scholarly inquiry, academic freedom improves through working and learning
together.
6. Honesty & Integrity: Members of an academic community of integrity act and
communicate truthfully and candidly as they uphold the university’s values, and they
make decisions based on the pursuit of truth and the honest search for knowledge.
32
All members of the academic community conduct themselves with integrity in learning,
teaching and research.
Our conduct as community members should protect and promote the University’s pursuit
of the advancement of research and scholarship.
7. Safety: Members of the academic community will not endanger others, intentionally or
recklessly. When situations arise where someone is in danger we will strive to act to
alert the person, or the proper authorities, to the danger.
To adhere to academic integrity within the University, students must familiarize themselves with
the Academic Regulations that have been put in place by the Senate of Saint Mary’s University.
These can be found in Section 2 of the 2023-24 Graduate Academic Calendar. These
Regulations cover everything from registration to submitting theses. The following is
extracted from the introduction of the Academic Regulations section of the Calendar:
“Academic regulations exist to assist the students in academic matters; to delineate the terms of
students’ contract with the University; and to maintain the integrity of the University’s academic
programs. While regulations enable the system to operate smoothly and effectively, they also
facilitate growth, development, and responsibility in students. Saint Mary’s makes every effort to
ensure that advice on academic matters is available to its students, but in the final analysis it is
the students’ responsibility to seek such advice.
“Students, members of faculty, and administrative officers concerned with academic
matters are all expected to be familiar with the rules, regulations, and procedures of the
University as published in this Academic Calendar. The University reserves the right to
approve academic programs and timetables, and to control access to courses and
individual classes. It is the particular responsibility of students to ensure that the
courses which they take are appropriate for their academic program, involve no timetable
conflicts, and collectively satisfy all the requirements of that program.
While Section 2 of the 2023-24 Graduate Academic Calendar cites all of the University’s
regulations on academic integrity and the procedures for investigating and acting upon
breaches of academic integrity by the University, your professors, thesis supervisors, and the
Office of the FSGR are also excellent sources for information and interpretation of these
regulations.
While the vast majority of students complete their studies and thesis research without issue,
students must be aware that breaches of academic integrity carry penalties up to and including
expulsion from the University. However, more important than the threat of penalties to dissuade
students from acts of academic dishonesty, all students should strive to conduct themselves in
the most honest and responsible manner because in so doing, they are learning ways and
means of conducting themselves that will serve them well in their future professional
endeavours.
6.2 Research integrity
While the fundamental values referenced above in terms of academic integrity apply to research
integrity as well (i.e., personal honesty, mutual trust, fairness, respect and personal
accountability), research integrity comes with an additional suite of responsibilities that come
from funding and governmental agencies.
All researchers (including graduate students) at Saint Mary’s University should be familiar with
the two very important policies passed by the University’s Senate: (1) Saint Mary’s University
Policy on Integrity in Research and Scholarship and Procedures for Reporting and Investigating
Scholarly Misconduct; and (2) Saint Mary’s University Policy on Conflict of Interest in Research.
33
The following is extracted from the Policy on Integrity in Research and Scholarship:
The common good of society depends upon the search for knowledge, its free exposition,
and the recognition of contributions to, and ownership of intellectual property. Academic
freedom in universities is essential to both these purposes in the teaching function of the
university as well as in its scholarship and research. At the same time, academic freedom
presupposes the duty to use that freedom in a manner consistent with the scholarly
obligation to base research and teaching on an honest search for knowledge. An honest
search for knowledge rules out fraud and other research misconduct. Saint Mary's
University is committed to promoting and nurturing a culture of integrity in research, and to
ensuring that procedures are in place to assist scholars and students in meeting their
professional obligations to integrity and to ethical conduct in research.
Saint Mary's University is committed to excellence in scholarly activities and as such
is committed to assuring that the highest standards of scholarly integrity are to be
understood and practiced. As a scholarly community, the University, and all the
individuals that comprise it, have a responsibility to maintain the highest standards
of scholarship which include such components as:
1. rigorous attention to citing the contributions of others (including students); this
may involve joint authorship on publications;
2. using unpublished or published work of others only with permission and with due
acknowledgement;
3. respecting the privileged access to information or ideas obtained from confidential
manuscripts or applications;
4. respecting the privileged access to information or ideas obtained from duly
executed non-disclosure and confidentiality agreements between the University and
outside parties;
5. careful planning of research protocols, ensuring that methods of data collection
and storage, and methods of analysis are appropriate;
6. using scholarly and scientific rigour and integrity in obtaining, recording and
analyzing data, and in reporting and publishing results;
7. proper use of all research resources (funds, equipment and materials);
8. revealing to sponsors, universities, journals or funding agencies, any material
conflict of interest, financial or other, that might influence their decisions on whether
the individual should be asked to review manuscripts or applications, test products
or be permitted to undertake work sponsored from outside sources;
9. following the regulations of the University and the requirements of granting
agencies;
10. appropriately and fairly recognizing the contribution of others from within or
beyond the University Community to the creation of intellectual property
11. following the ethical principles relevant to one’s own discipline;
12. following Senate-approved policies and procedures of the University’s Research
Ethics Board and the Tri-Council Policy Statement: Ethical Conduct for Research
Involving Humans;
34
13. following the policies and procedures defined by the University’s Animal Care
Committee and consistent with the Canadian Council on Animal Care’s Guide to the
Care and Use of Experimental Animals;
14. following all other the principles and responsibilities defined in the Tri-Council
Policy Statement: Integrity in Research and Scholarship..”
The following is extracted from the Policy on Conflict of Interest in Research:
“The Conflict of Interest in Research Policy (hereafter, referred to as The Policy) is aimed
at ensuring and maintaining the public’s confidence in Research carried out by The
University, in University Members who conduct or support the Research, and in External
Sponsors that fund the Research. In this regard, those University Members, External
Sponsors and The University share a responsibility to ensure that the integrity of
Research is not compromised by real, perceived or potential Conflicts of Interest.
A University Member shall not participate in a decision, process or activity involving
Research at The University that involves Conflict of Interest unless such decision or
process has been approved in advance by the Person in Authority [as defined in the
Policy] responsible for such decision or process and, if such approval has been given, any
terms or conditions made by the Person in Authority regarding such decision or process
are fulfilled.”
Aside from these internal policies, all researchers are required to follow regulations and policies
of relevant funding and governmental agencies. For example, all researchers at Saint Mary’s
are required to follow the Government of Canada’s Tri-Council Funding Agencies’ (i.e., NSERC,
SSHRC and CIHR) Responsible Conduct of Research Framework
(https://rcr.ethics.gc.ca/eng/framework-cadre-2021.html
). The Tri-Council’s Framework indicates
that breaches of Agencies’ policies include, but are not limited to:
a. Fabrication: Making up data, source material, methodologies or findings, including
graphs and images.
b. Falsification: Manipulating, changing, or omitting data, source material, methodologies or
findings, including graphs and images, without appropriate acknowledgement, such that
the research record is not accurately represented.
c. Destruction of research data or records: The destruction of one’s own or another’s
research data or records or in contravention of the applicable funding agreement,
institutional policy and/or laws, regulations and professional or disciplinary standards.
This also includes the destruction of data or records to avoid the detection of
wrongdoing.
d. 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.
e. 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.
f. 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.
35
g. Inadequate acknowledgement: Failure to appropriately recognize contributors.
h. Mismanagement of Conflict of Interest: Failure to appropriately identify and address any
real, potential or perceived conflict of interest, in accordance with the Institution’s policy
on conflict of interest in research, preventing one or more of the objectives of the RCR
Framework (Article 1.3) from being met.
6.2.1. Research integrity for research involving human participants
Saint Mary’s University values scientific research and believes that research involving humans
as participants should balance the need for scientific inquiry with the need to protect the welfare
of participants. Committed to the advancement of knowledge and the training of students, Saint
Mary's University promotes good research and recognizes that ethical research is an integral
part of scientific inquiry. Saint Mary’s University endorses the principles of the Tri-Council Policy
Statement: Ethical Conduct of Research Involving Humans 2 (2022 and subsequent revisions
and amendments; hereafter referred to as the TCPS 2). This important document can be found
here: https://ethique.gc.ca/eng/policy-politique_tcps2-eptc2_2022.html
The Saint Mary's University Research Ethics Board (REB) applies the principles of the TCPS 2
and outlines provisions designed to promote ethical research. If your research involves human
participants, please check with the REB office to see whether ethics clearance from the REB
office is required before you start.
Contact:
Orshy Torok | Research Ethics Officer
Saint Mary's University
923 Robie Street, Atrium 202
Halifax, NS B3H 3C3
Phone: 902 420 5728
Fax: 902 496 8772
Email: ethics@smu.ca
Web: http://www.smu.ca/academic/reb/
6.2.2. Research integrity for research involving animals
For faculty and students using animals in their research, the ethical use and care of animals is
an integral part of research integrity at Saint Mary’s University. If thesis research involves the
use of live animals, including in the field, graduate students must receive approval from the
Animal Care Committee. The Saint Mary’s Animal Care Committee (animalcare@smu.ca
)
follows the standards (i.e., guidelines and policies) of the Canadian Council on Animal Care
(CCAC;
https://ccac.ca/). Section 9 of this handbook gives more details on the certification
process.
7.0 Scholarships and Fellowships
Most internal scholarships and fellowships do not require an application. However, check the
“Opportunities & Deadlines” window of the FGSR website (https://www.smu.ca/fgsr/) and be
alert for messages from your program coordinator for further scholarship and fellowship
opportunities.
36
The FGSR website also provides links to external sites with scholarship opportunities and useful
scholarship search engines/databases (
http://www.smu.ca/academics/fgsr-current-scholarships-
and-awards.html).
If you have entered your graduate program with a scholarship from an external major granting
agency (e.g. NSERC, SSHRC, CIHR, Research Nova Scotia), congratulations! If not, you still
may be eligible to apply for a competition if within a defined period of commencing your
graduate program.
For information on the Tri-Agency CGS Master Awards see:
http://www.nserc-
crsng.gc.ca/Students-Etudiants/PG-CS/CGSM-BESCM_eng.asp. For further information on Tri-
Agency CGS master awards please contact Heather Gray (heather.gray@smu.ca) in the FGSR
Office.
For information on the Tri-Agency CGS Doctoral Awards, see:
http://www.nserc-
crsng.gc.ca/Students-Etudiants/PG-CS/CGSD-BESCD_eng.asp. Contact Heather Gray
(heather.gray@smu.ca) in the FGSR Office for details on these scholarships.
For information on “Scotia Scholars Awards” from Research NS see
Scotia Scholars Award
Research Nova Scotia (researchns.ca). The competition for these awards is in the spring.
Internally, please contact Heather Gray (heather.gray@smu.ca) for further details.
For information on the Nova Scotia Graduate Scholarships (NSGS) at the Master & Doctoral
levels see: http://www.smu.ca/academics/fgsr-graduate-students.html
. For further details on
these scholarships please contact Heather Gray (heather.gray@smu.ca).
8.0 Research Ethics Board (REB) and the Office of Research Ethics
8.1 REB Review and Clearance Requirement and Exemption
The REB provides a service to the Saint Mary’s University community by working with
researchers (faculty, staff, and students) to identify and resolve ethical issues in their research
with the goal of protecting the interests of participants, maximizing the expected benefits of the
research, and minimizing potential harms to participants.
The REB reviews the ethical aspects of research and clears, rejects, or recommends changes
to submitted research projects that involve human participants and that fall under the jurisdiction
of Saint Mary's University and the purview of the TCPS 2. In rare instances, the REB may also
suspend or revoke research ethics clearance to research projects that are later determined to
jeopardize the welfare of human participants.
Applications (involving funded or unfunded research) submitted to the REB may include faculty
research, staff research, graduate research projects (e.g., master’s theses, doctoral theses,
major research projects, dissertations, or any other research activities involving humans),
undergraduate research projects involving humans (e.g., honours theses, directed research).
Pilot studies (i.e., a smaller version of a main study) may also require REB review.
Because some pedagogical activities resemble research activities from the perspective of a
human participant, course-based research activities that involve students collecting data from
human participants may require REB review.
37
Collaborative research projects involving research partners or participants from other institutions
or First Nation, Inuit, and Métis communities may require external local review in addition to
SMU REB review.
When embarking on a new research endeavor involving humans, you are encouraged to
discuss the matter with the Research Ethics Officer or Research Ethics Board Chair to
determine whether your proposed activities constitutes research as per the TCPS 2.
Research applications must be submitted to the REB by faculty (i.e., full-time, part-time, and
adjunct), librarians, staff, and post-doctoral fellows, unless the aforementioned are also
students. All student applications must be submitted directly by the faculty supervisor.
Note that research projects that involve the use of secondary data may also require ethics
review.
8.2 Research Ethics Education
There are numerous ways of learning about research ethics and the requirements for submitting
an application and managing the ethical aspects of research involving humans:
Reading the TCPS 2 (https://ethique.gc.ca/eng/policy-politique_tcps2-
eptc2_2022.html)
Completing the online Course on Research Ethics (CORE-2022)
and obtaining a
Certificate of Completion
Requesting education sessions at ethics@smu.ca
Forms, policies, procedures, and additional resources are available on the REB website:
https://smu.ca/research/research-ethics-board.html
9.0 Animal care and research involving the use of animals
If faculty or thesis research is to involve the use of live vertebrate or higher invertebrate (e.g.
cephalopods) animals, graduate students must receive certification from the Animal Care
Committee that the experimental procedures proposed have been approved and that the care
and treatment of animals is in accordance with the principles outlined by the Canadian Council
on Animal Care (CCAC). An “Animal Use Protocol” form must be completed by the graduate
student’s supervisor and is available from the Animal Care Committee Coordinator, Caila
Henderson (animalcare@smu.ca) or from the SMU Animal Care Committee website
. Review
and approval is outlined here. Researchers are encouraged to seek approval early. Scientific
Peer Review should occur prior to submission of the Animal Use Protocol forms and is the
responsibility of the graduate student’s supervisor to provide proof of peer review. If scientific
peer review has not occurred, the protocol may be submitted to the Animal Care Coordinator
who will assist in coordinating the scientific peer-review process. The SMU Animal Care
Committee meets to review submitted protocols, renewals, and amendments. The submission
and review meeting schedule can be found on the website. Further information can be obtained
from Animal Care Committee Acting Chairperson Dr. Susan Bjornson
(susan.bjornson@smu.ca).
The CCAC requires that “all personnel involved with the ethical use of animals in science must
be competent and adequately trained in the principles of ethical use and care of
animals.”(Source: CCAC website: https://ccac.ca/en/training/)
To comply with these requirements, Saint Mary’s University Animal Care Committee will not
approve animal use protocols unless the graduate student has completed the required
38
training. The required training modules are available from the CCAC’s website
(https://ccac.ca/en/training/modules/
). The core stream training modules must be completed, as
well as any other modules applicable to the proposed protocols. More information on training
requirements is available on the
SMU Animal Care Committee website.Evidence of successful
completion of the applicable modules should be submitted with the subsequent Saint Mary’s
Animal Care Protocol Forms. For a complete list of required forms and documents, please
contact the Animal Care Committee Coordinator, Caila Henderson (
animalcare@smu.ca).
10.0 Health and Safety
Health and safety are important to everyone. As members of a large institution involved in
research activities with roles of responsibility for others (e.g. as teaching assistants), health and
safety have heightened importance.
10.1 Saint Mary’s Occupational Health and Safety Policy
Saint Mary’s Safety Policy is available at the University’s Occupational Health and Safety
(OH&S) website: https://smu.ca/about/occupational-health-and-safety.html
. There is also a very
useful OH&S brochure, containing the Safety Policy and other useful information available at
http://www.smu.ca/about/ohs-resources.html. An OH&S Committee
(http://www.smu.ca/about/joint-occupational-ohs-committee.htm) composed of members from
across the University acts as an advisory group on OH&S issues and the University’s OH&S
Policy.
The University’s Occupational Health and Safety Program Manager is Valerie Wadman
(valerie.wadman@smu.ca
; 420-5658)
Because of the nature of risks to which graduate students can be exposed pursuing research in
scientific laboratory and field settings, the Faculty of Science has developed a series of
documents, guidelines and policies on research activities for their faculty, staff and students.
Please contact Valerie Wadman (valerie.wadman@smu.ca
; 420-5658) for further information.
10.2 Responsibilities of Graduate Students in regard to OH&S
Extracted from the University’s OH&S Policy:
“All faculty, staff and students are responsible for safe thinking and safe working practices and
procedures so as to safeguard their own individual health and wellbeing as well as that of all
colleagues and members of the Saint Mary’s community.”
The above statement means that we are all responsible for our own safety, as well as the safety
of others in the workplace. In the course of our activities we are responsible for bringing safety
issues to the attention of our superiors and the right to be properly trained in the use of any
hazardous materials or equipment. Please see Section 10.3 below.
For more details on the rights and responsibilities of graduate students on OH&S issues, see
the University’s Safety Policy. Please see Section 10.1. The policy is also available at:
https://smu.ca/about/occupational-health-and-safety.html
.
39
10.2.1 Special responsibilities of graduate students in regard to OH&S when in positions
When graduate students are placed in positions of responsibility for others, such as assisting in
laboratory classes, special responsibilities fall upon them in terms of OH&S. Saint Mary’s
University complies with the Occupational Health and Safety Act and accompanying
Regulations of the Province of Nova Scotia. Of particular importance is Bill C-45, an act of the
Canadian Parliament that amended the Canadian Criminal Code in regard to responsibilities
and consequences of persons in positions of responsibility of others on OH&S issues (see
Westray Bill (Bill C-45) - Overview : OSH Answers (ccohs.ca).
Section 217.1 of Bill C-45 imposes a legal duty to those who direct others in their work to take
reasonable steps in preventing bodily harm to persons they direct. Since Section 217.1
imposes a legal duty of persons directing work to protect everyone in the workplace, those
persons are open to charges of criminal negligence. This means that if someone comes to
harm due to negligence of persons in positions of supervision/responsibility (e.g. a graduate
student in the role of a TA of a lab of undergraduates; a professor supervising the thesis
research of a graduate student), that person may not only be liable for damages under a civil
case, but also under criminal law.
In simple terms, anyone in a position of responsibility for others in the workplace must act
reasonably to ensure that those for whom they are providing supervision are properly informed
of hazards and risks, and trained in how to address the hazards so that risks are manageable
and appropriately monitored in their activities.
10.3 Graduate Student Research Activities in Hazardous Settings
Most thesis research is in benign settings; however, some research may expose graduate
students to hazardous substances and/or situations. What often comes to mind when people
think of hazardous research settings, is the scientific laboratory where hazardous substances
may be used. However, research can also take place in hazardous settings, such as in some
foreign countries, wilderness settings, or even in times or places in Halifax where safety may be
an issue.
As section 10.2 details, University personnel in positions of supervision/responsibility of
graduate students are legally responsible for their safety in regard to their approved research
activities. That being said, the first step in being able to assess if research involves hazards is a
notification from the researcher. With this in mind, all graduate students involved in thesis
research must bring any hazards/risks associated with their proposed or pursued research to
the attention of their thesis supervisor(s).
From the identification of a hazard associated with proposed or pursued thesis research an
assessment of the risks associated with the hazard must be completed. The development of a
risk management strategy and ongoing monitoring/updating of the risk by the graduate student
is required if the research is pursued.
The process involves four steps. The student:
1) identifies the hazard;
2) assesses the risks associated with the hazard;
3) implements a strategy to manage the risk;
4) monitors the risks and updates the risk management strategy as necessary.
To aid students and supervisors in this process, please find the Graduate Research Hazards
Assessment form on the FGSR website (http://www.smu.ca/academics/fgsr-current-forms.html
).
40
This form can be submitted to the supervisor and/or supervisory committee when the thesis
research is presented or discussed.
IMPORTANT: While graduate students are individuals of the age of majority with the right of
self-determination, without appropriate assessment and oversight of the graduate student’s
ability to manage the risks associated with doing research in hazardous settings, the supervisor
and the University may be in a position of legal negligence should harm come to the student.
With this in mind, supervisors reserve the right to refuse approval of thesis research
proposals when the risks to a graduate student are assessed to be greater than can be
reasonably managed. Similarly, the University reserves the right to override the approval
of thesis research and/or to recall a graduate student from the field when the risks
(anticipated or newly arising) to the graduate student are assessed to be greater than can
be reasonably managed.
10.4 On-Campus Security
Being largely a public access facility with long hours of operation, security at the University can
be challenging and needs to be on everyone’s mind. Do not leave lap-tops, wallets, purses, etc.
unattended for even short periods of time. It is amazing how bold and fast criminals can be
when an opportunity presents itself.
University Security Services (420-5577) is located on the lower level of the McNally
Building (McNally Main 016).
The Emergency contact number is 420-5000. This is an emergency phone only. Do not call this
number if you do not have an emergency. For general inquiries call 420-5577.
Study and thesis research often result in graduate students being on campus at irregular hours.
The University Security Department provides additional services to students, faculty, and staff
working after hours on campus. Graduate students working after hours should notify the
University Security Department at 420-5577. Security staff are then aware of their presence
and will frequent the work area during patrols. This service is available to provide those
individuals working outside of regular business hours an additional measure of comfort.
University Security, in conjunction with the Saint Mary's University Student Association, provide
a safe drive home program known as 'Husky Patrol. There are two vans that operate Sunday to
Friday between the times of 6:30 pm to 12:00 midnight. The service has certain conditions and
limits to its geographic range. For details, see https://smusa.ca/services/
or phone 902-496-
8713.
Saint Mary's University Security also offers the safe walk program to all members of the
University community and visitors. A University Security Officer will provide an escort on the
University property. The request can be made by contacting University Security at 902-420-
5577. This is a 24 hour, 7 day a week service offered by University Security.
41
11.0 Graduate students and intellectual property
In the course of their research, graduate students may create intellectual property (IP) either on
their own or in concert with others (e.g. supervisors, other students). Graduate students have
certain rights to the protection of this IP, both for recognition of their role in its creation and in
cases where there may be opportunities for the IP to be commercialized.
Intellectual Property
Currently, Saint Mary’s University does not have a defined policy related directly to graduate
student IP, nonetheless, there are a few conditions to consider:
Students have IP rights and rights to protection under the Canadian copyright and patent
legislation, provided they satisfy the requirements of the law.
Students should discuss with their thesis supervisor very early on, any expectations and the
relevant policies concerning authorship on publications, and issues surrounding ownership
of IP. Factors to consider include: patent applications, third party licensing, third party
funding, confidentiality agreements or other contracts between the University, the supervisor
and the student covering these issues.
Article 15.4 of the Collective Agreement between Saint Mary’s University and Saint Mary’s
University Faculty Union (2018-21) (available at:
www.smu.ca/webfiles/SMUFUCASeptember12022toAugust312025-DraftNewAgreement-
April2420232.pdf addresses any contractual agreements between the University and
Faculty Members in regard to IP.
In circumstances where there is a potential and interest for thesis research to be
commercialized, a thesis supervisor may ask a student to assign their intellectual property
rights or to sign a non-disclosure agreement. Such agreements should be reviewed and
approved by our Office of Innovation and Community Engagement (OICE) prior to a student
signing the agreement. However, it is inappropriate for a thesis supervisor to require a
student to do so as a condition of pursuing thesis research once the thesis work has been
established. If graduate students have concerns in this area, please contact the Dean of the
FGSR.
It is inappropriate for graduate students to make contractual relationships with parties inside
or outside of the University in regard to their thesis research. If students have questions in
this area, they should contact the University’s Office of Innovation and Community
Engagement.
Authorship
In many situations authorship of publications arising from thesis research includes the graduate
student, the thesis supervisor, as well as, other contributors. There is no universally accepted
order of authors on research publications. The order of authors varies between discipline,
journals and personal preference. It is important for graduate students to discuss with their
supervisor the issue of authorship to avoid confusion and possible conflict in this regard. If a
disagreement arises, it would be useful to contact the program coordinator/director and/or the
Dean of the FGSR to help facilitate a resolution.
42
Resources
What exactly is IP? What are the types of IP? What are my rights as a graduate student
relative to IP? For the answer to these and other important issues in regard to IP graduate
students are encouraged to refer to an excellent publication of the Canadian Association of
Graduate Students, entitled “A Guide to Intellectual Property for Graduate Students and
Postdoctoral Scholars” available at:
http://www.cags.ca/documents/publications/working/Guide_Intellectual_Property.pdf
The University and funding agencies that support the research are also implicated when IP
is realized. For more information on these relationships and possible funding opportunities,
graduate students should contact the University’s Office of Innovation and Community
Engagement at: (902) 420-5270 or via e-mail: oice@smu.ca
.
12.0 Conference travel awards
Saint Mary’s University has established a fund, administered by the FGSR, to assist graduate
students with travel and accommodation expenses associated with presenting a paper or poster
at a conference. There are two competitions per year (April and October) and the maximum
funding support available under this program is $500. Application forms are available from
https://smu.ca/academics/fgsr-current-forms.html.
To be eligible to apply for one of these awards graduate students must meet the following
criteria/conditions:
Applicants must be attending the conference for the purpose of presenting a paper or
poster
Applicants must be registered as full-time students (in good standing) in a graduate
program at Saint Mary's University
Applicants from Masters programs may only receive funding from this competition once
(1) during the course of their studies. Applicants from PhD programs may receive
funding from this competition twice (2) during the course of their studies.
13.0 Commonly requested forms
The following are forms created and used by the FGSR. Electronic versions of these and other
forms are available at: https://www.smu.ca/fgsr/fgsr-current-forms.html.
Application for Conference Travel Funds
Application for International Graduate Student Bursary
Application for Full-time Thesis Continuation Status
Application for Leave of Absence from Graduate Program
Application for Reactivation into Graduate Program
External Examiner Nomination Form
Graduate Program Extension Request
Graduate Research Hazards Assessment Notification
International Travel Funds for Graduate Student Thesis Research
Progress Reports on Student’s Graduate Program
Thesis and Supervisor Identification Form
43
Individual graduate programs may also provide their students with forms associated with their
programs. Please check with your program coordinator/director and/or your graduate program
handbook (if applicable) for such forms.
There are also many forms available from the Service Centre (e.g. Application for Graduation;
Letter of Permission) available at: https://www.smu.ca/academics/student-forms.html
.
For graduate students who are traveling on university business whose travel costs are being
supported by university funds (e.g. supervisor’s research grants, FGSR Conference Travel
Award), Travel Advance and Expense Report forms are available from the Financial Services
website at: https://smuhalifax.sharepoint.com/sites/fspa
.
14.0 Other important policies and procedures applying to graduate
students and programs
For a complete handling of Academic Regulations that apply to graduate programs, please refer
to the Graduate Academic Calendar (see: https://smu-ca-public.courseleaf.com/
) and your
individual Program requirements within the Calendar. For a complete list of FGSR Policies &
Procedures, see:
https://www.smu.ca/fgsr/fgsr-current-policies-and-procedures.html.
14.1 FGSR Policy on Criteria and Selection of Supervisors of Graduate Students
at Saint Mary’s University
The development of future researchers and societal leaders within graduate schools depends
on responsible and effective supervision of graduate students. In addition to having relevant
expertise, supervising research and writing, and guiding students through their graduate
programs, supervisors should also strive to be mentors to their graduate students (see FGSR’s
Guiding Principles for Graduate Student Supervision). Specifically, a potential supervisor must
demonstrate both scholarly experience and prior supervisory skills that are demonstrably
relevant to the content and goals of the graduate program(s) in which they are contributing.
Policy Statement:
A department or program’s Graduate Program Committee shall have the responsibility and
authority to determine who may supervise graduate students within its graduate program. In
addition to any particular departmental or program requirements, the Faculty of Graduate
Studies and Research requires that a supervisor be a full-time Faculty member or Professor
Emeritus of Saint Mary’s University, or appointed to the University as an Adjunct Professor for
the period of supervision of the graduate student (see Graduate Academic Regulation 16.e).
In evaluating a potential supervisor, Graduate Program Committees will normally adhere to the
following guidelines. A supervisor shall:
1) hold an earned PhD in a relevant discipline;
2) have a demonstrable record of scholarly work, both past and present, as defined by the
Collective Agreement between Saint Mary’s University and Saint Mary’s University Faculty
Union, relevant to the Graduate Program ;
3) be able to provide evidence of having supervised (or co-supervised) thesis research at the
appropriate level (e.g., at least at the Honour’s level for supervision of a Master’s student; at
least at the Master’s level for supervision of a PhD student); and
4) have been a member of a graduate student supervisory committee.
44
Dispute Resolution:
In the event of a disagreement between a Graduate Program Committee and a full-time faculty
member concerning the Committee’s evaluation of the faculty member’s potential supervision of
a student within the specific Graduate Program, the matter shall be forwarded to the Dean of the
Faculty of Graduate Studies and Research. The Dean of Graduate Studies shall consult with
the graduate program in question, the faculty member, the relevant Deans of Arts, Science or
the Sobey School of Business, and any other relevant persons, in order to come to a decision.
The decision of the Dean of Graduate Studies and Research, after due consideration to all
parties and their respective contributions to the matter, shall be final, and shall in all cases be
guided by the best interests of the students.
14.2 Conflict of Interest in Research
Effective date: January 1, 2009 1
Name: Conflict of Interest in Research
Policy Number: 8-1004
Origin: FGSR Research Committee
Approved: January 16, 2009
Issuing Authority: Senate
Responsibility: Vice President, Academic and Research
Revision Date(s): NA
Effective Date: January 1, 2009
Purpose:
The Conflict of Interest in Research Policy (hereafter, referred to as The Policy) is aimed at
ensuring and maintaining the public’s confidence in Research carried out by The University, in
University Members who conduct or support the Research, and in External Sponsors that fund
the Research. In this regard, those University Members, External Sponsors and The University
share a responsibility to ensure that the integrity of Research is not compromised by real,
perceived or potential Conflicts of Interest.
Other Relevant Policies:
• Saint Mary’s University Policy on Integrity in Research and Scholarship and Procedures for
Reporting and Investigating Scholarly Misconduct (Senate; VP, Academic and Research)
• Senate Policy on Ethical Conduct for Research Involving Humans (Senate, VP, Academic and
Research)
Policy 4-1009: Procurement Conflict of Interest (VP, Finance)
• Research Agreements Policy (VP, Finance; VP, Academic and Research)
• Policy SMU0001: Nepotism Policy (VP, Administration)
Definitions:
Closely Associated Persons: Persons related by blood, adoption, marriage, or common law
marriage to University Members, persons with whom University Members have intimate
personal relationships, or persons who are former, current or prospective business or research
associates of the University Member.
Conflict of Interest: Conflict of Interest arises when
• any activity, undertaking or situation of a University Member or Closely Associated
Person, places a University Member in a real, perceived or potential conflict between the
University Member’s professional obligations, duties or responsibilities to The University
45
and the University Member’s or Closely Associated Person’s personal, financial or other
interests.
• the University Member or Closely Associated Person obtains a financial interest or
position of influence in a Business connected to the University Member or Closely
Associated Person with which The University has an existing relationship.
Conflict of Interest in Research: Conflict of Interest as it relates, directly or indirectly, to any
Research activities, projects or programs of, or affiliated with, The University. (Also see
examples of Conflicts of Interest in Research in Appendix 1).
Disclosure: Provision of full particulars of the matter giving rise to and the nature of the Conflict
of Interest.
Business: Any corporation, partnership, sole proprietorship, firm, franchise, association,
organization, holding company, joint stock company, business or real estate trust or society, or
any other separate legal entity organized, whether for profit, non-for-profit or charitable
purposes.
External Sponsors: Bodies and individuals external to The University, including but not limited
to, the Federal Granting Agencies (NSERC, SSHRC and CIHR), other federal and provincial
government funding agencies (e.g. ACOA, CRC, CFI, NSHRF), federal, provincial and
municipal government departments, federal and provincial crown corporations, non-
governmental organizations, research foundations, philanthropic organizations, private-sector
companies, industry associations and private citizens which provides funding for Research
carried out by University Members.
Financial Interest: An interest in a Business consisting of (a) any stock, stock option or similar
ownership interest, but excluding any interest arising solely by reason of investment in such
business by a mutual fund, pension fund, or other institutional investment fund over which the
university member does not exercise control; or (b) receipt of, or the right or expectation to
receive, any income, participation in or benefit from such Business or elsewhere whether in the
form of a fee (e.g. consulting), business, salary, allowance, forbearance, forgiveness, interest in
real or personal property, dividend, royalty derived from the licensing of technology, rent, capital
gain, real or personal property, or any other form of compensation, or any combination of the
foregoing;
Personal Interests: The personal, private, or Financial Interest of a University Member or
Closely Associated Person. These can include interests which are not directly monetary in
nature.
Person(s) in Authority: The person overseeing and/or responsible for a decision, process or
activity related to or involving Research at The University. A Person in Authority can be, but is
not limited to, a Committee Chair, a Department Chair, a Dean, a Vice-President or the
President.
Research: All studies, investigations, and scholarly activity of a basic, applied or
commercialization nature whether funded from within The University, by External Sponsors or
self-funded, and the direct or in-direct support of the same, that are conducted by University
Members under the auspices of The University.
The University: Saint Mary’s University as an institution and all its constituent University
Members, including entities partially owned or controlled by The University.
46
The Policy: Saint Mary’s University Conflict of Interest in Research Policy.
University Member(s): Faculty, undergraduate students taking part in Research, graduate
students, postdoctoral fellows and other personnel involved directly or indirectly in Research,
including, but not limited to, research assistants and associates, technical staff, adjunct
professors, visiting professors, and university administrators and officials representing The
University.
Scope of The Policy:
The Policy applies to all Research funded by The University, External Sponsors, and Research
that a University Member is funding personally.
The Policy applies to all University Members.
The Policy governs all Research activities that can reasonably be conducted “under the
auspices” of The University. Such Research includes:
(a) Research conducted within The University facilities by or under the direction of
University Members;
(b) Research conducted or directed by University Members under the direction or
sponsorship of The University at facilities external to The University;
The Policy Statement:
A University Member shall not participate in a decision, process or activity involving
Research at The University that involves Conflict of Interest unless such decision or
process has been approved in advance by the Person in Authority responsible for such
decision or process and, if such approval has been given, any terms or conditions made
by the Person in Authority regarding such decision or process are fulfilled.
Contextualizing the Policy Statement:
1. In the university environment, it is inevitable that Conflict of Interest in Research will
sometimes arise. It is the ethical responsibility of everyone who acts on behalf of The
University to ensure that decisions and actions which affect The University and those it
serves are taken in the best interests of The University and are not influenced by
Personal Interests, or the interests of a Closely Associated Person.
2. A central tenet of the proper handling of Conflict of Interest is Disclosure. Any University
Member who is aware, or has reasonable grounds to believe, that (s)he in is in a Conflict
of Interest in Research must self-disclose the nature of the Conflict of Interest to the
Person in Authority. Disclosure in and of itself does not necessarily preclude the University
Member participation in the process or activity related to the Research (see Procedures below).
3. All University Members are required to maintain the integrity of the Research enterprise at
The University. That being said, any University Member who is aware, or has reasonable
grounds to believe, that an undisclosed Conflict of Interest exists is required to report it
to the Person in Authority. If the Person in Authority has well-founded reason to believe that a
University Member intentionally withheld Disclosure of a Conflict of Interest in Research, the
Person in Authority should refer to the “Senate University Policy on Integrity in Research and
Scholarship and Procedures for Reporting and Investigating Scholarly Misconduct” for possible
action.
4. Being in a Conflict of Interest does not necessarily mean that a University Member will not be
able to have some role in the relevant decision, process or activity. However, that role will come
with clearly defined terms and conditions identified by the Person in Authority. University
Members found to be in Conflict of Interest must immediately respond to the direction of
47
the Person in Authority to address the Conflict of Interest. Normally, the University Member
will not participate in The University decision or process that involves a Conflict of Interest, but
shall instead declare the Conflict of Interest and then remove her/himself from the decision or
process in question. A University Member will not participate in any activity that involves a
Conflict of Interest unless such activity has been approved in advance by the Person in
Authority and, if such approval has been given, any terms or conditions made by the Person in
Authority regarding such activity are fulfilled (see Procedures below).
5. Its is highly likely that a Research decision, process or activity may relate to a number of
policies that contain conflict of interest provisions (e.g. other policies of The University, policies
and procedures related to the funding from the External Sponsor). In cases where a decision,
process or activity associated with Research at The University may involve other polices
of The University which address Conflict of Interest, or the conflict of interest policies of
External Sponsors, the Person in Authority will make a determination on which policy
sets a higher standard in its handling of Conflict of Interest and that standard will apply
to the decision, process or activity.
Procedures:
1) On Making Disclosures:
a) As soon as a University Member becomes aware of a Conflict of Interest in Research,
(s)he must make a Disclosure to the Person in Authority. Normally, a disclosure of a
Conflict of Interest in Research shall be made in writing. Minor conflicts, such as those
that may arise in a committee meeting, may be disclosed verbally to the Person in
Authority (i.e. the chair).
b) Upon receiving an oral Disclosure from the University Member, the Person in
Authority may request that the University Member make the Disclosure in writing.
c) If a Person in Authority becomes aware of a Conflict of Interest in Research or
potential Conflict of Interest, (s)he will request a Disclosure in writing from the University
Member.
2) On Responding to Disclosures:
a) The Person in Authority to whom the Disclosure has been made shall decide whether
a Conflict of Interest exists, whether it will be permitted to continue and, if so, under
what, if any, conditions.
b) The Person in Authority shall base this decision on a determination of the course of
action that is in the best interests of The University and its capacity to fulfill its mission. In
making this determination, the Person in Authority may take into account the following
factors:
i) any possible harm to the interests of students, research participants, clients of
university services, or others served by The University, should the Conflict of
Interest be permitted to continue;
ii) any possible harm to The University or its employees, officers or others acting
on its behalf if the Conflict of Interest were allowed to continue;
iii) whether reasonable alternate arrangements which do not involve a Conflict of
Interest can be made;
48
iv) the consequences to The University and its reputation and future activities of
not permitting the Conflict of Interest to continue;
v) the consequences to The University and its reputation and future activities of
permitting the Conflict of Interest to continue;
vi) the educational, research, economic and other interests of The University;
c) A Person in Authority may require additional information from The University member
and may consult with others before making a decision relating to a Conflict of Interest.
d) A Person in Authority may impose terms and conditions before permitting a Conflict of
Interest to continue (see Guidelines below). Such terms and conditions will often include
disclosure of information concerning the existence of the Conflict of Interest and/or the
Person in Authority’s decision, to individuals potentially affected by the Conflict of
Interest. A Person in Authority shall not permit a Conflict of Interest situation to continue
where there is reason to anticipate that to do so would not be in the best interests of The
University.
e) Where applicable, the decision of the Person in Authority shall be communicated in
writing to the University Member.
f) Notwithstanding any decision by a Person in Authority regarding a Conflict of Interest,
the Person in Authority may review any decisions at any time and may vary such
decisions.
Compliance:
The intent of The Policy is to assist The University in the management of Conflict of Interest in
Research. It is expected that all University Members will comply fully with The Policy, including
all requirements for Disclosure. Failure to do so shall constitute a breach of The Policy and
grounds for disciplinary action in accordance with the applicable collective agreement,
employment contract, or other applicable disciplinary process of The University, including those
contained in the “Senate Policy on Integrity in Research and Scholarship and Procedures for
Reporting and Investigating Scholarly Misconduct.”
Effect on Collective Agreements:
Nothing in The Policy shall be construed as limiting any right of grievance or arbitration
permitted under an applicable collective agreement, or the right of The University to discipline a
University Member for failure to comply with this policy.
Guidelines:
The following guidelines are in the form of answers to questions and are for the purpose of
aiding University Members and Persons in Authority in assessing if Conflicts of Interests in
research exist and options for handling Conflicts of Interest, including terms and conditions for
enabling University Members to be involved in decisions or process where Conflict of Interest in
Research exist. The situations presented below are only examples and the list is not exhaustive.
1) In reviewing and adjudication processes (e.g. grant applications, scholarly article reviews)
and in the selection of external examiners for theses, who would be in a Conflict of Interest with
University Member as a Closely Associated Person?
49
The person:
• is from the same University department/program;
• has been a research supervisor or graduate student of the University Member within
the past six years;
• is providing letters of support;
• has collaborated with the University Member within the past six years or has plans to
collaborate in the immediate future;
• is an employee of a non-academic organization with which the University Member has
had collaboration within the past six years.
2) In adjudication work in committees, and for what are considered minor Conflicts of Interests
(e.g. a committee member is from the same Faculty or Department but has no personal
relationship or research collaboration with the University Member), what are some conditions
which might enable a committee member to continue in the committee’s work?
The Person in Authority could require the committee member in the Conflict of Interest to:
• disclose the Conflict of Interest to the committee;
• leave the room when the application is being adjudicated;
• take part in the discussion around the application, but leave the room when the
application is voted upon;
• or, take part in the discussion around the application, but not take part in the vote on
the application.
3) In adjudication work in committees, if a committee member is also an applicant, (s)he is
clearly in a Conflict of Interest. Under what conditions might a committee member continue in
the committee’s work?
The Person in Authority could require the committee member in the Conflict of Interest to:
• disclose the Conflict of Interest to the committee and leave the room when her/his
application is being adjudicated and voted upon.
4) If a potential graduate student falls into the category of Closely Associated Person, but the
relationship to a University Member is not particularly close (e.g. a blood relative, but not closely
related; a former business associate, but one which the University Member has had no
relationship or dealings in the past six years), under what conditions might the University
Member be involved in the thesis supervision of the student?
The Person in Authority could allow the University Member in the Conflict of Interest to:
• serve on the supervisory committee, but not be the primary supervisor;
• or, serve as a co-supervisor of the student
References/sources (passages of this policy were adapted from the following):
1. Policy on Conflict of Interest and Conflict of Commitment. 2004. University of Regina.
http://www.uregina.ca/presoff/vpadmin/policymanual/hr/20140.shtml
2. Policy on Conflict of Interests. 2002. Dalhousie University.
http://senate.dal.ca/Files/policies/Conflict_of_Interest.pdf
3. Conflict of Interest/Conflict of Commitment An Issues Paper. 2004. The Federal Granting
Agencies (NSERC, SSHRC & CIHR). http://www.nserc.gc.ca/institution/coi/toc_e.htm#intro
50
4. Notification of Intent to Apply for a Discovery Grant. 2008. NSERC.
http://www.nserc.gc.ca/forms/instructions/180/e.asp
5. Schedule 14: Conflicts of Interest of the 2008 Memorandum of Understanding Between Saint
Mary’s University and The Federal Granting Agencies, namely the Natural Sciences and
Engineering Research Council (NSERC), the Social Sciences and Humanities Research
Council (SSHRC) and the Canadian Institutes of Health Research (CIHR).
http://www.nserc.gc.ca/institution/mou_sch14_e.htm
APPENDIX 1
Examples of Conflicts on Interest in Research
Conflicts on Interest in Research situations take many forms. Examples include, but are not
limited to, cases in which a University Member:
• conducts a review, assessment or evaluation of a project or colleague, the outcome of which
may affect the University Member’s Personal Interests;
• conducts or participates in a research project which may affect his or her Financial Interests or
those of a related Business;
• is party to a decision on the part of The University to enter into any sort of research contract
that may affect a Closely Associated Person’s Financial Interests;
• supervises a research associate, post-doctoral fellow, graduate or undergraduate student
employed by a business in which the University Member has a Financial Interest;
• supervises a graduate or an undergraduate student who is a Closely Associated Person of the
University Member;
• uses The University resources in more than an incidental manner for private Business
purposes;
• uses information acquired in the course of University activities, which is not in the public
domain, to advance their Personal or Financial Interests or those of a related Business.
14.3 Saint Mary’s University Policy on Integrity in Research and Scholarship and
Procedures for Reporting and Investigating Scholarly Misconduct
Application
The policy and the procedures contained in this document apply to all members of the
University community engaged in any form of research activity.
Definitions
1. “the University” refers to Saint Mary's University
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2. “granting agencies” refers to any agency or organization that provides grants and/or contracts
for the funding of research, including, but not limited to, the three major federal funding
agencies, NSERC (the Natural Sciences and Engineering Research Council of Canada),
SSHRC (the Social Sciences and Humanities Research Council of Canada), and CIHR
(Canadian Institutes of Health Research).
3. “University Community all full-time and part-time faculty and staff, all full-time and part-time
students (both undergraduate and graduate), all post-doctoral fellows and research associates,
all non-salaried visiting researchers/professors (including students from other institutions;
hereafter called visiting researchers/professors in this document), and all people hired on term
positions and/or casual employment positions at Saint Mary's University.
4. “Dean of Research” refers to the Dean of the Faculty of Graduate Studies and Research of
Saint Mary's University or the person designated by the Vice President, Academic and
Research to carry out the responsibilities of the Dean of the Faculty of Graduate Studies and
Research.
5. “Vice President” refers to the Vice President Academic and Research of Saint Mary's
University.
6. “named individual(s)” refers to the individual or individuals who are accused of scholarly
misconduct (i.e. the person or persons charged) as described by this document and are named
in an allegation.
7. “all parties” refers in the case of a formal investigation to all persons making an allegation
and all persons charged with an allegation of scholarly misconduct as defined under this policy.
8. “the committee” refers to the investigative committee established to conduct a formal
investigation.
9. “Tri-Council Agency(ies)” refer to one or more of the Government of Canada’s federal
granting agencies, namely the Canadian Institutes of Health Research (CIHR), the Natural
Sciences and Engineering Research Council, (NSERC), and the Social Science and Humanities
Research Council (SSHRC).
PART 1
POLICY STATEMENT
I. Preamble
The common good of society depends upon the search for knowledge, its free exposition, and
the recognition of contributions to, and ownership of intellectual property. Academic freedom in
universities is essential to both these purposes in the teaching function of the university as well
as in its scholarship and research. At the same time, academic freedom presupposes the duty
to use that freedom in a manner consistent with the scholarly obligation to base research and
teaching on an honest search for knowledge. An honest search for knowledge rules out fraud
and other research misconduct. Saint Mary's University is committed to promoting and nurturing
a culture of integrity in research, and to ensuring that procedures are in place to assist scholars
and students in meeting their professional obligations to integrity and to ethical conduct in
research.
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II. Integrity in Scholarly Research
Saint Mary's University is committed to excellence in scholarly activities and as such is
committed to assuring that the highest standards of scholarly integrity are to be understood and
practiced. As a scholarly community, the University, and all the individuals that comprise it, have
a responsibility to maintain the highest standards of scholarship which include such components
as:
1. rigorous attention to citing the contributions of others (including students); this may involve
joint authorship on publications;
2. using unpublished or published work of others only with permission and with due
acknowledgement;
3. respecting the privileged access to information or ideas obtained from confidential
manuscripts or applications;
4. respecting the privileged access to information or ideas obtained from duly executed non-
disclosure and confidentiality agreements between the University and outside parties;
5. careful planning of research protocols, ensuring that methods of data collection and storage,
and methods of analysis are appropriate;
6. using scholarly and scientific rigour and integrity in obtaining, recording and analyzing data,
and in reporting and publishing results;
7. proper use of all research resources (funds, equipment and materials);
8. revealing to sponsors, universities, journals or funding agencies, any material conflict of
interest, financial or other, that might influence their decisions on whether the individual should
be asked to review manuscripts or applications, test products or be permitted to undertake work
sponsored from outside sources;
9. following the regulations of the University and the requirements of granting agencies;
10. appropriately and fairly recognizing the contribution of others from within or beyond the
University Community to the creation of intellectual property
11. following the ethical principles relevant to one’s own discipline;
12. following Senate-approved policies and procedures of the University’s Research Ethics
Board and the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans;
13. following the policies and procedures defined by the University’s Animal Care Committee
and consistent with the Canadian Council on Animal Care’s Guide to the Care and Use of
Experimental Animals;
14. following all other the principles and responsibilities defined in the Tri-Council Policy
Statement: Integrity in Research and Scholarship.
53
The faculty of the university and employees hired to conduct research have a particular
responsibility to uphold the highest standards of scholarly behavior, and are refereed to the
“Guidelines for Investigators in Scholarly Research” attached as Appendix I.
III. Scholarly Misconduct
The phrase “scholarly misconduct”, as used in this document, includes but is not limited to the
following:
1. fabrication, falsification, or plagiarism, but not including those factors intrinsic to the process
of scholarly research, such as honest error, conflicting data or differences in interpretation or
judgment of data or experimental design;
2. 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;
3. taking unfair advantage of one’s privileged access to the work of others, or deliberate
misrepresentation of one’s own work or that of others.
4. inaccurate attribution of authorship, including attribution of authorship to persons other than
those who have contributed sufficiently to take responsibility for the intellectual content,
agreeing to be listed as author to a publication for which one made little or no material
contribution, or re-publication of one’s own previously published work or part thereof, without
adequate acknowledgment of the source, or justification;
5. disposing of intellectual property outside the university without due benefit to those entitled to
some return;
6. intentionally failing to comply with federal, provincial, or university regulations for the
protection of researchers, human participants, the public, or the environment, or for the welfare
of laboratory animals or intentional noncompliance with agreements that relate to the conduct of
the research; this includes failing to obtain appropriate approvals, permits or certifications before
conducting these activities;
7. failing to meet policy requirements or, to comply with applicable policies, laws or regulations,
including those of the Tri-Council Agencies, for the conduct of certain types of research
activities;
8. failure to reveal any conflict of interest during review of research grant applications or
manuscripts, or in testing products for sale of distribution to the public;
9. failure to reveal to the University any financial, direct or indirect, in a company that contracts
with the University to undertake research, or to provide research-related materials or services.
Financial interest would include, for example, ownership, stock holdings, or a directorship. Stock
ownership through a mixed mutual fund managed by a third-party fund manager (such as the
case with the University pension scheme), where the individual does not have control on the mix
of funds (i.e. it is not a self-directed fund) is excluded and would not form grounds for
misconduct.
54
Saint Mary's University will not tolerate scholarly misconduct within the University Community. It
will take appropriate measures to maintain an environment that promotes scholarly integrity.
Further, it will take accusations of scholarly misconduct seriously and, as quickly as possible,
determine their validity and take appropriate action. In doing so, the University will seek to
protect the integrity of academic scholarship even, if need be, at the expense of the University’s
reputation.
It must be recognized however, that not all actions that fail to meet the highest standards of
scholarship constitute scholarly misconduct. Scholarly misconduct is related to and involves the
notion of a conscious or deliberate deception or action, and even such misconduct has degrees
of seriousness.
Ensuring that the University Community is free from scholarly misconduct is ultimately an
individual as well as a collective responsibility.
Part 2
PROCEDURES FOR REPORTING INVESTIGATING SCHOLARLY MISCONDUCT
Allegations of scholarly misconduct against individuals associated with the University will be
taken seriously by the University. Such allegations will be treated in such a way as to protect, to
the maximum extent possible, both those bringing the allegations and those named in the
allegations. All inquiries and investigations will be completed as quickly as possible while
respecting due process and natural justice. The following procedures are intended to ensure
that due process, natural justice and the rules of procedural fairness are achieved.
These procedures are to address scholarly misconduct on the part of anyone involved in
research activities within the University, but they are not intended to replace agreements
or procedures which already exist within the University or those which obtain in collective
bargaining agreements between the University and its employee groups. The procedures apply
to all faculty and staff of the University, all visiting researchers/professors, and all organizations
within the University involved in research. They apply to undergraduate and graduate students
insofar as they are involved in either funded or unfunded research projects (including thesis
projects), but do not apply to scholarly misconduct related to course work.
I. Allegations
1. Members of the university who hold what they believe to be well-founded suspicions of
scholarly misconduct or who have allegations of scholarly misconduct reported to them, should
report the matter to the Dean of Research. The reported allegation may be written or verbal.
Anonymous allegations will normally not be entertained and will be considered only if relevant
facts are publicly available or otherwise independently verifiable.
2. The Dean of Research may bring forth an allegation on his/her own behalf, although such a
procedure should be used rarely and only when warranted by the circumstances. If the
allegation is against the Dean of Research or anyone associated with his/her research program
for which the Dean of Research could be seen to be in a conflict of interest, it should be made to
the Vice President.
55
3. Upon receiving an allegation, the Dean of Research may take immediate action if warranted
to protect Tri-Council Agency or other funding agencies funds. Immediate actions could include
freezing grant accounts, requiring a second authorized signature from an institutional
representative on all expenses charged to the researcher’s grant accounts, or other measures,
as appropriate.
4. Upon receiving an allegation, the Dean of Research shall inform the individual(s) named of
the allegation. If the circumstances allow, the Dean of Research will attempt a resolution by
mediation between the parties. Upon his/her discretion, the Dean of Research may involve the
University’s Conflict Resolution Advisor and/or others to aid in the mediation process. If this
mediation is successful, no further action will be taken, and the file shall be destroyed. If
mediation is not successful, the matter will proceed to the stage of informal and confidential
inquiry.
II. Informal and Confidential Inquiry
1. Upon receiving an allegation which cannot be settled immediately by mediation, the Dean of
Research must determine, as promptly and prudently as possible, the merit of the allegation. To
avoid any conflict of interest, in cases where the Dean of Research has made an allegation, a
designate shall be used to determine its merit.
2. It should be emphasized that this initial inquiry is informal and should allow the flexibility for
the Dean of Research to consult, clarify, investigate and mediate as each unique situation
requires.
3. During this initial inquiry, the Dean of Research shall maintain the highest possible degree of
confidentiality so as to protect the reputation and careers of all involved, as well as the
reputation of the University. If the Dean of Research finds that there is not sufficient substance
in the allegation to warrant further investigation, the allegations shall be dismissed, no action
taken, and the file destroyed.
4. If in the Dean of Research’s judgment there are grounds to believe that the allegation has
merit, the Dean of Research shall recommend that the allegation be presented to the Vice
President. Although this stage of the process should normally be completed within one calendar
month of receiving the allegation, prudent management of an allegation may in some instances
involve a longer period of time. For the allegation to proceed to the Vice President, the
allegation(s) must be written and signed by the person or persons making the allegation, and
include all pertinent details of the allegation and be accompanied by such supporting evidence
as may be available. The individual(s) named in the allegation shall be informed in writing that
the manner has been referred to the Vice President.
III. Formal Investigation:
1. If the Vice President determines that the allegation has no merit, all practical steps shall
immediately be taken together by the Dean of Research and the Vice President to redress any
harm that may have been done by the allegation.
2. If the Vice President determines that the allegation has merit, he/she will consider the
seriousness of the case and consult with the Dean of Research, then determine whether or not
a formal investigation shall proceed. The individual(s) involved will be informed in writing (with a
56
copy to the Faculty Union if a faculty member or professional librarian is involved and/or the
relevant staff union if a staff member is involved).
3. If the Vice President determines that the allegation has merit and constitutes serious
scholarly misconduct, he/she will immediately convey this conclusion to the Dean of Research.
The Dean of Research, on behalf of the University, will bring a formal charge against the named
individual(s). Simultaneously, the Vice President will initiate a formal investigation. All relevant
parties (including bargaining unit representatives) are to be notified in writing that a formal
investigation is being undertaken.
4. If it is deemed not warranted to bring a formal charge, the Vice President, in consultation with
the Dean of Research, will deal with the situation in an appropriate manner. The person making
the allegation (if not the Dean of Research) may appeal in confidence to the President if he/she
believes the informal investigation has not adequately dealt with the allegation.
5. Except where the allegation is deemed to have been mischievous, knowingly inappropriate or
malicious, the Vice President and the Dean of Research will take whatever practical and
reasonable actions may be necessary to protect the person making the allegation from possible
acts of coercion or retribution by the individual(s) alleged to be involved in the scholarly
misconduct. This is especially important if the person making the allegation is a graduate
student supervised by the individual alleged to be involved in the scholarly misconduct, or is a
visiting researcher/professor whose residency at the University has been facilitated and or is
dependent upon the individual alleged to be involved in the scholarly misconduct or is a
research employee (including post-doctoral fellows and research associates) whose “pay and
rations” are directly dependent upon grant or contract funds for which the individual alleged to
be involved in scholarly misconduct is the signing authority.
6. In the case of the Vice President proceeding with a formal investigation, an investigative
committee consisting of three persons with experience in the general area of research and
scholarship involved in the particular case will be appointed by the Vice President. No member
of the department or equivalent unit in which the individual(s) accused hold(s) membership shall
be among the three persons appointed. Persons external to the University may be appointed if
deemed appropriate or necessary, and is required in cases where the individual(s) named in the
allegation hold funds from one or more of the Tri-Council Agencies.
7. The Vice President will present the investigative committee with a list of the formal charges
and turn over all relevant materials.
8. The committee will undertake a formal investigation following the procedures set forth in
Appendix II to this document. It will examine and should have access to all materials necessary
to carry out the investigation.
9. The committee will address the charges of scholarly misconduct and determine whether or
not they have merit. The committee will not comment on any action to be taken.
10. At any time during the process, the University shall take necessary steps to protect the
funds of any external granting/contracting agencies involved. Where required, the University will
notify the appropriate funding agencies.
57
11. The committee will ensure that it is cognizant of all real or apparent conflict of interest on the
part of those involved in the inquiry, including both those accused and those making the
allegations.
12. The committee may seek impartial expert opinions (from outside the University if required),
as necessary and appropriate, to ensure that the investigation is thorough and authoritative.
13. The committee will keep copies of all materials it has collected and any tape recordings of
its hearings so that they are available for transcription if required.
14. All parties will be kept informed of the committee’s proceedings and will be given ample
opportunity to respond to any allegations or counter-allegations. All individuals involved will
have the right to be represented by an advocate in responding to the committee’s investigations,
and at any hearings that are conducted.
15. When the committee makes the final decision, which ordinarily should be within two
calendar months of the initiation of the formal investigation, it will provide the Vice President with
a written report. The Vice President will provide a copy of the report to the individual(s) named
and to the Research Officer.
16. Completion of the formal investigation process should ordinarily not involve the elapse of
more than three calendar months from the date the first allegation is received by the Dean of
Research. Any extension beyond three months should be justified to all parties by the Vice
President. An adjournment requested by the person accused is considered justification for an
extension of the same duration.
IV. Action Taken Based Upon the Investigation
1. When no scholarly misconduct is found, every effort will be made by the Vice President and
the Dean of Research to protect the reputation(s) of individual(s) named from undue harm, as
well as the reputation of the University.
2. In cases where scholarly misconduct is judged to have occurred, the Vice President and the
Dean of Research will discuss with the President appropriate action based on the nature and
seriousness of the misconduct.
3. After consultation (as outlined in Part 2, Section IV.2. above), the President will implement
appropriate penalties, reprimands and/or remedies that are consistent with the nature and
seriousness of the misconduct involved. A penalty involving dismissal or suspension of a faculty
or staff member from the University shall be recommended by the Vice President to the
President of the University. Where the faculty or staff member is covered by a collective
bargaining agreement, actions shall be pursuant to the provisions of that agreement.
4. Where required by them, the Vice President will notify the appropriate funding agencies of the
action being followed. In some instances, the nature of the misconduct may require its referral to
law enforcement agencies.
5. All records will be maintained by the Vice President in accordance with the appropriate
agreements or regulations. If the allegations are deemed to have been groundless, these
records should be destroyed in accordance with University practices unless they are useful to
the protection of the individual’s reputation.
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V. Recourse:
Any named individual(s) have recourse to their collective bargaining representatives, or to the
courts as appropriate.
Pertinent References
Canadian Association for Graduate Studies, A Guide to Intellectual Property
for Graduate Students and Postdoctoral Scholars, Ottawa, 2005
http://www.cags.ca/pdf/Guide_Intellectual_Property.pdf ;
Cameron, D. Academic Freedom and the Canadian University, AUCC Research File: 1(3),
2003.
CAUT Policy Statement on Academic Freedom,
http://www.caut.ca/en/policies/academicfreedom.asp, Ottawa, Approved: November 2005.
CAUT Policy Statement on Fraud and Other Misconduct in Academic Research,
http://www.caut.ca/en/policies/fraud.asp, Ottawa, Approved: November 2003.
CIHR, NSERC and SSHRC, Conflict of Interest/Conflict of Commitment An Issues Paper,
http://www.nserc.gc.ca/institution/coi/toc_e.htm#intro; Updated: August 2004.
CIHR, NSERC and SSHRC, Tri-Council Policy Statement: Integrity in Research and
Scholarship, http://www.nserc.ca/professors_e.asp?nav=profnav&lbi=p9; Updated: February,
2006.
Filteau, C., Legal Matters Pertaining to Graduate Studies, Ontario Council on Graduate Studies,
Council of Ontario Universities, November 1990.
Harvard Medical School, Faculty Policies on Integrity in Science, Faculty of Medicine, Harvard
University, Boston MA, July 1994.
Panel on Responsible Conduct of Research, The Tri-Agency Framework: Responsible Conduct
of Research, http://www.rcr.ethics.gc.ca/_doc/Framework-CadreReference_eng.pdf, 2011.
Savage, Donald C, Fraud and Misconduct in Academic Research and Scholarly Activity, CAUT,
Ottawa, 1991.
APPENDIX I
GUIDELINES FOR INVESTIGATORS IN SCHOLARLY RESEARCH
INTRODUCTION
These guidelines describe practices generally accepted by members of the academic
community. The primary intent of codifying them is to bring them to the attention of those
beginning their careers in scholarly research and to remind others of generally accepted
procedures of scholarly behavior. These recommendations are not intended as rules, but rather
as guidelines from which each group of investigators can formulate its own set of specific
procedures to ensure the quality and integrity of its research. These guidelines are based upon
the Faculty Policies on Integrity in Science of the Faculty of Medicine at Harvard University.
59
I. SUPERVISION OF RESEARCH TRAINEES
Careful supervision of new investigators by their preceptors is in the best interest of the
university, the preceptor, the trainee, and the scholarly community. The complexity of research
methods, the necessity for caution in interpreting possibly ambiguous data, and the need for
advanced statistical and non-statistical analysis, all require an active role for the preceptor in the
guidance of new investigators. This is particularly true in the common circumstance of a trainee
who arrives in a research unit without substantial experience in scholarly research.
Recommendations
1. The responsibility for supervision of each junior investigator should be specifically assigned to
some faculty member in each research unit or department.
2. The ratio of trainees to preceptors should be small enough that close interaction is possible
for scientific interchange as well as oversight of the research at all stages.
3. The preceptor should supervise the design of experiments and the processes of acquiring,
recording, examining, interpreting, and storing data. (A preceptor who limits his/her role to the
editing of manuscripts does not provide adequate supervision).
4. Collegial discussions among all preceptors and trainees constituting a research unit or
department should be held regularly, both to contribute to the scholarly efforts of the members
of the group and to provide informal peer review.
5. The preceptor should provide each new investigator (whether student, postdoctoral fellow, or
junior faculty) with applicable governmental and institutional requirements for ethical conduct of
studies involving healthy volunteers or patients, animals, radioactive or other hazardous
substances, and recombinant DNA.
II. DATA GATHERING, STORAGE AND RETENTION
A common denominator in most cases of alleged scholarly misconduct has been the absence of
a complete set of verifiable data or information record. The retention of accurately recorded and
retrievable results is of utmost importance for the progress of scholarly inquiry. A researcher
must have access to his/her original results in order to respond to questions including, but not
limited to, those that may arise without any implication of impropriety. Moreover, errors may be
mistaken for misconduct when, for example, the primary experimental results are unavailable. In
addition, when statistical analysis is required in the interpretation of data, it should be used in
the design of studies as well as in the evaluation of results.
Recommendations
1. Custody of all original primary research data must be retained by the unit or department in
which they are generated. An investigator may make copies of the primary data for his/her own
use.
2. Original experimental results should be recorded, when possible, in bound books with
numbered pages. An index should be maintained to facilitate access to data.
60
3. Where appropriate, machine print-outs should be affixed to or referenced from the research
notebooks.
4. Primary data should remain in the research unit or department at all times and should be
preserved as long as there is any reasonable need to refer to them. The head of each research
unit or department chair must decide whether to preserve such primary data for a given number
of years or for the life of the unit or research project. In no instance, however, should primary
data be destroyed while investigators, colleagues or readers of published results may raise
questions answerable only to reference such data.
III. AUTHORSHIP
A gradual diffusion of responsibility for multi-authored or collaborative studies has led to the
publication of papers for which no single author was prepared to take full responsibility. Two
critical safeguards in the publication of accurate, scholarly reports are the active participation of
each co-author in verifying that part of a manuscript that falls within his/her specialty area and
the designation of one author who is responsible for the validity of the entire manuscript.
Recommendations
1. Criteria for authorship of a manuscript should be determined and announced by each
department or research unit. The only reasonable criterion should be that the co-author has
made a significant intellectual or practical contribution. The concept of “honorary authorship” is
unacceptable.
2. The first author should assure the head of each research unit or department chairperson that
he/she has reviewed all the primary data on which the report is based and provide a brief
description of the role of each co-author. (In multi-institutional collaborations, the senior
investigator in each institution should prepare such statements.)
3. Appended to the final draft of the manuscript should be a signed statement from each co-
author indicating that he/she has reviewed and approved the manuscript to the extent possible,
given individual expertise.
IV. PUBLICATION PRACTICES
Certain practices that make it difficult for reviewer and reader to follow a complete experimental
sequence: the rapid publication of data without adequate tests of reproducibility or assessment
of significance, the publication of fragments of a study, and the submission of multiple, similar
abstracts or manuscripts differing only slightly in context. In such circumstances, if any of the
work is questioned, it is difficult to determine whether the research was done inaccurately, the
methods were described imperfectly, the statistical analyses were flawed, or inappropriate
conclusions were drawn. Investigators should review each proposed manuscript with these
principles in minds.
Recommendations
1. The number of publications to be reviewed at the time of faculty appointment or promotion
should be limited in order to encourage and reward bibliographies containing fewer but more
substantive publications rather than those including many insubstantial or fragmented reports.
(It is suggested by the Harvard Medical School Guidelines, for example, that no more that 5
61
papers be reviewed for appointment as Assistant Professor, no more than 7 for Associate
Professor and no more than 10 for Professor).
2. Simultaneous submissions of multiple, similar abstracts or manuscripts to journals is
unacceptable.
V. LABORATORY GUIDELINES
Because each research unit and/or department addresses different scientific problems with
different methods, each unit and department should develop its own specific guidelines to
identify practices that seem most likely to enhance the quality of research conducted by its
members. Those guidelines should be provided to all members of the unit or department and to
new investigators upon starting work.
Adapted from: Harvard Medical School, Faculty Policies on Integrity in Science, Faculty of
Medicine, Harvard University, Boston MA., July 1994.
APPENDIX II
Procedures for the conduct of a Formal Investigation by the Investigative Committee into
allegations of scholarly misconduct at Saint Mary's University:
1. The person charged must be provided with full information concerning the allegations against
him or her.
2. The person charged must have a full opportunity to be heard and to reply to those allegations
(audi alteram partem).
3. If the person charged requests an adjournment, a reasonable period for adjournment should
be allowed.
4. The person charged should be entitled to call witnesses and question (i.e. cross-examine) the
witness giving evidence against him or her.
5. A record of all proceedings should be kept.
6. The person charged should be provided with a record of the evidence in the proceedings if
there is a further right of appeal.
7. The investigative committee has a duty to listen fairly to both sides, and to reach a decision
untainted by bias.
8. Decisions arrived at must be based on the evidence available to the committee which in turn
would be available to the person charged and thereby subject to cross-examination or refutation
by him or her. If there is any relevant evidence available, it must be submitted as evidence in
order to have a bearing on a decision.
9. The person charged must be provided with reasons for any decisions or recommendations
which the committee makes. A final point to be made is that any administrative procedures
agreed to should not simply receive the approval of the relevant governing bodies but must also
62
correspond to the principles outline above. The fact that an institution might contend that it
followed its duly approved rule book to the letter would not provide immunity to rulings to a
higher court that the rules contained in it were improper in that they were deemed to have
contravened these principles.
Adapted from: Filteau, C. Legal Matters Pertaining to Graduate Studies. Ontario council on
Graduate Studies. Council of Ontario Universities. November 1990. Pg.33.
14.4 Masters Thesis and PhD Dissertation Defence Policy
FGSR Policy and Procedures on Master Thesis and PhD Dissertation Defences
Approved by FGSR Council on 24 April 2013
The processes and procedures around Master Thesis and PhD Dissertation defences are
prescribed in a number of existing Academic Regulations, FGSR Policies, FGSR procedural
guidelines, and individual graduate program procedures and guidelines. This document
summarizes/references those Academic Regulations and FGSR Policies/Procedures, as well as
addresses additional issues concerning Master Thesis and PhD Dissertation requirements,
processes and procedures.
Scope:
Processes and procedures around PhD Dissertations are the responsibility of the FGSR. For
Master theses, individual program have significant oversight (and responsibility) for processes
and procedures, but these must adhere to the Academic Regulations set out in the Graduate
Academic Calendar and they should follow policies/recommendations/guidelines set out by the
FGSR. Master programs also have the choice of engaging the FGSR in oversight of thesis
defences, or handle the defence process themselves within the program. This Policy does not
address Master Research Project (MRPs). The content, process and procedures around MRPs
and their examination are defined by the individual graduate programs (e.g. MBA, MFIN).
Academic Regulations related to Master Thesis and PhD Dissertation Defences:
Language of Instruction and Examination (Regulation #15 in the 2023-24 Graduate
Academic Calendar):
o The language of instruction for all graduate programs is English. Likewise, all
theses will be written and examined in English. The only exception to this policy
is where the nature of the scholarly topic requires that the thesis be written, in
whole or in part, in a language other than English. The rare exceptions for use of
a language other than English in a thesis must have approval in writing from the
student’s supervisor, the Program Coordinator, and the Dean of the FGSR. The
Supervisor and Program Coordinator must also ensure that qualified thesis
examiners, fluent in the language presented in the thesis, are available for
examination of the thesis. Even if the thesis is written, in whole or in part, in a
language other than English, the thesis examination will be carried out in English.
Program Requirements (with reference to thesis/dissertation procedures in Regulation
#16 (d) in the 2023-24 Graduate Academic Calendar):
o Where required, a student shall submit a thesis on a subject approved by the
Program Committee in which research has been conducted under the direction of
a supervisor appointed by the appropriate Program Committee. An oral defence
in the presence of an Examining Committee appointed by the Program
Coordinator and the Dean of the FGSR is mandatory.
63
o The minimum requirements for the composition of the Examining Committees for
Master Theses are:
(i) the Thesis Supervisor
(ii) an examiner who may have been previously involved in the
supervision of the student’s thesis research
(iii) an “external” examiner who has not been previously involved in the
supervision of the student’s thesis research; the external examiner must
hold a Master’s degree or equivalent. Examples of equivalent status may
be a Doctor of Medicine (M.D.), a lawyer (L.L.B.), or professional
Engineer (P.Eng.) with expertise and research experience in the thesis
subject.
(iv) a neutral Chair (normally the Program Coordinator or the Dean of the
FGSR or their delegates)
o The minimum requirements for the composition of the Examining Committees for
PhD Theses/Dissertations are:
(i) the Thesis Supervisor
(ii) two examiners who may have been previously involved in the
supervision of the student’s thesis research
(iii) an “external” examiner who has not been previously involved in the
supervision of the student’s thesis research; the external examiner must
hold a PhD, be an expert in the thesis topic, be external to Saint Mary’s
University, and not be in a conflict of interest with either the PhD
candidate or their supervisor.
(iv) a neutral Chair (normally the Program Coordinator or the Dean of the
FGSR or their delegates)
FGSR Policies related to Master Thesis and PhD Dissertation Defences (available on the
FGSR website):
Masters Defence - Procedures
PhD Defence - Procedures
FGSR procedure documents related to Master Thesis and PhD Dissertation Defences
(available on the FGSR website):
Submitting the Completed, Revised Thesis after the Defence
FGSR forms related to Master Thesis and PhD Dissertation Defences (available on the
FGSR website):
External Examiner Nomination Form (Masters and PhD)
Other University and FGSR Policies and Academic Regulations related to Master Thesis
and PhD Dissertation Defences (available on the University’s Policy and Procedures website):
Graduate Academic Regulation #33 - Academic Integrity
Conflict of Interest in Research
Senate Policy on Research Integrity in Research and Scholarship
64
14.5 Policy on Changing Thesis Supervisors
Approved by FGSR Council, 21 April 2017
Related Policies:
Saint Mary’s University Policy on Conflict of Interest in Research
Saint Mary’s University Policy on Integrity in Research and Scholarship
FGSR Guiding Principles for Graduate Student Supervision
Introduction:
In rare cases, there may be cause for a graduate student to change her/his thesis supervisor.
The need for such change may include:
Supervisor leaves the university: The supervisor retires, leaves the university to work
somewhere else or is on sick leave for more than a year. Except for sick leaves, if the
student has almost completed his or her thesis this may not be an issue, as long as the
supervisor is still affiliated with Saint Mary’s (e.g. through Adjunct or Emeritus status)
and available for support. If the student is still early in their program, and the supervisor
is no longer willing to supervise the student, the University/Program has the
responsibility to make their best effort to help the student find a new supervisor.
Student changes area of interest: Sometimes, a student’s research focus changes or
shifts to such an extent that the supervisor feels he or she no longer has the appropriate
background to supervise the research. Also, a student may lose interest completely in
his or her research and wish to change fields entirely.
Incompatibility of graduate student and supervisor: Sometimes two individuals simply
don’t get along and it interferes with the ability of the thesis research to continue.
Changing supervisors is a big step. It can be stressful, take time and the outcome may not be
totally satisfactory to everyone. Before taking such a drastic step, supervisors and students
are encouraged to consider and address the following questions:
Has the student and supervisor discussed the problem or conflict?
Has the conversation about the problem been sufficiently clear that both student and
supervisor agree on the problem?
Has the student and supervisor attempted to remedy the problem?
Have the supervisory committee members been involved in the discussions and their
advice sought?
Has the student and supervisor consulted with the FGSR Associate Dean Student
Affairs and/or the University’s Conflict Resolution Officer?
Has the student and supervisor explored the implications of changing supervisors?
Have student and supervisor considered whether there is anyone else in the graduate
program who might have the knowledge, experience, time and interest to supervise the
student?
The Policy:
Individual graduate programs, under the leadership of their Graduate Program Coordinators, are
responsible for adjudicating any problems in the relationship between a graduate student and
her or his thesis supervisor. If it is deemed that a change of supervisor is necessary, programs
are primarily responsible for ensuring that the process proceeds fairly and with as little harm as
possible to both parties. However, the FGSR should be consulted and it can play a supporting
role. If the graduate student and/or supervisor is considering a change supervisors, (s)he/they
should:
65
Discuss this with the Graduate Program Coordinator (GPC) for the program.
Attempt to resolve the issue through discussion with the GPC, and, if warranted, the
FGSR Associate Dean Student Affairs, and the University’s Conflict Resolution Officer.
Ensure that both "old" and "new" supervisors are part of the decision, and consult with
the full supervisory committee when appropriate.
Ensure that the GPC (or Program if applicable) Committee approves the change.
Ensures that FGSR is informed.
When warranted, the University is required to make best efforts to find a new thesis supervisor,
however, it must be recognized that this may not always be possible. Students also need to be
aware that changing supervisors may affect their stipend if the former supervisor was
contributing to the stipend from his/her research funds. Both students and supervisors should be
aware that there are potential intellectual property issues to resolve in changing theses
supervisors.
Nota bene: Adapted from
https://www.grad.ubc.ca/handbook-graduate-supervision/ending-
relationship .
15.0 Graduate studies glossary of terms
Course-fee-based graduate programs/students: Applies to all graduate students in the MBA,
MBA (CPA Stream) and the MMCCU (Masters & Diploma) programs (all other students are in
program-fee-based graduate programs). Tuition fees are based on a cost-per-course basis.
Students who have completed all course work, but are still enrolled in their programs to
complete their thesis or master research project (MRP) should register in the appropriate
program continuation course for their program.
Extension to graduate programs: If a graduate student has been unable to complete their
graduate program within the maximum allowable time-for-completion
for their program due to
circumstances beyond their control, they may apply for an extension to their program for up to
one year.
FGSR9000: A “pseudo-course” in which Program-Fee-Based Graduate Students
should
register in every semester in their graduate program. There is no FGSR9000 course per se (i.e.
no class to attend or credit to receive). Registering in FGSR9000 simply indicates to the
computerized registration system that you enrolled as a graduate student, and this is especially
important if you are not registering in any other course work in a given semester (e.g. doing
thesis research only).
Graduate Hazards Research Assessment (GRHA): The purpose of the GRHA form is (1) to
bring to the attention any possible hazards that a graduate student may be exposed in carrying
out their proposed research activities, (2) to provide an initial risk assessment, and (3) propose
an initial risk management strategy.
Graduate Studies Officer: Housed within the offices of the FGSR (Atrium, Room 210), the
Graduate Studies Officers, Heather Gray and Leah Ray
coordinate the application process for
all graduate programs and are instrumental in working with the Service Centre in setting up the
accounts from which students are paid their scholarships/stipends.
Leave of absence: Students who, due to exceptional personal circumstances, are prevented
from actively pursuing their course of study and research within the normal period of their
program may apply for a leave of absence. At the end of the period of approved absence the
66
student must reactivate their program by completing the Application for Reactivation in
Graduate Programform available on the FGSR web site.
Program coordinator/director:
Each of the graduate programs has a graduate program
coordinator or director. Each of these coordinators chairs the respective graduate program
committee. Program coordinators are very important contacts for all graduate students and the
main liaison between the graduate program and the FGSR. In case of questions about your
program, the program coordinator should be your first contact.
Program-fee-based graduate programs/students: Applies to MA and MSc students, all PhD
students, and students in the IMTE, MAE, EDBA, EMBA, MBAN, MFIN and MTEI programs.
Tuition fees are based on the entire program (i.e. NOT on a per-course basis) and are charged
at the start of each semester during a student’s Residency Period
. Program-fee-based
graduate students should enroll in FGSR9000.
Reactivation of a graduate program: Any student who does not register in a given semester
for any reason (e.g. withdrew from the program; was granted a leave of absence), must apply
for a reactivation to their graduate program by filling out the
Application for Reactivation in
Graduate Programform available on the FGSR web site and submitting it to the FGSR prior to
attempting to register.
Residency period: The minimum allowable time-for-completion
of a graduate program and is
normally coincident with the minimum period to complete all required course work in a graduate
program. Residency periods vary among programs and are identified in the Academic Calendar
for each program.
Registrar: The transcript and course registration people. If graduate students have any
questions associated with what is on their transcripts (i.e. the student’s academic record), they
should contact the Registrar, located in McNally Main 101. The Graduate Studies Officers,
Heather Gray or Leah Ray
, may also be of assistance to students with questions for the
Registrar.
Service Centre
: Located in McNally Main 108, the Service Centre oversees the assigning and
collection of tuition and student fees. Students who have questions about their fees are advised
to first contact the
Graduate Studies Officer.
Student account: An account set up by the University into which tuition and student fees are
charged, and where scholarship/fellowship funds provided by the University are deposited.
Supervisor: For thesis-based programs, graduate students will be assigned a supervisor for
their thesis research. Depending upon the program, the supervisor may be assigned at the time
of acceptance into the program, or within a specified period once the student has commenced
their program.
Supervisory committee: For thesis-based programs, and dependent upon the program, a
supervisory committee normally consists of one to three other faculty members, aside from the
supervisor, who aids in the supervision and normally, the examination of the thesis research.
Time-for-completion: The normal time allowed for completion of a graduate program. This
period includes the residency period, plus time allowed for the completion of the thesis. Time-
for-completion varies among programs and is identified in the Academic Calendar for each
Program.
67
16.0 Academic Calendar of Events
Date
Event
2023
July
3 (Monday)
Administrative Offices closed. No classes Canada Day.
5 (Wednesday)
Second Summer Session (Undergraduate) classes begin.
7 (Friday)
Last day for registering and changing courses in the summer term.
10 (Monday)
a. Last day for dropping courses in the summer term (July Aug).
b. Last day for final payment of summer term tuition fees.
August
1 (Tuesday)
Deadline for filing applications for winter 2024 Convocation.
3 (Thursday)
Last day for withdrawing, without academic penalty, from summer term
(Reference: Academic Regulation 16).
7 (Monday)
Administrative Offices closed. No classes Natal Day.
16 (Wednesday)
Last day of classes in Graduate Summer Session and in Second Summer
Session (summer term-Undergraduate).
17- 18 (Thursday -
Friday)
Study Days
19- 22 (Saturday -
Tuesday)
Formal final examination period. Summer term ends.
September
4 (Monday)
Administrative Offices closed. No classes - Labour Day.
5 (Tuesday)
Academic year begins.
6 (Wednesday)
CLASSES BEGIN.
12 (Tuesday)
Last day for registering and changing courses in the fall term
(September December).
15 (Friday)
a. Last day for dropping courses in the fall term (September
December).
b. Last day for final payment of fall term tuition fees.
22 - 23 (Friday -
Saturday)
Fall Convocation.
29 (Friday)
Administrative Offices closed. No classes - Alternative day for National
Day for Truth and Reconciliation
October
3 (Tuesday)
Deadline for filing applications for spring 2024 Convocation.
9 (Monday)
Administrative Offices closed. No classes - Thanksgiving Day.
November
6 - 12 (Monday -
Sunday)
Fall Break. No classes.
11 (Saturday)
No classes Remembrance Day.
20 (Monday)
Last day for withdrawing, without academic penalty, from three (3) credit
hour or six (6) credit hour courses taught only in the fall term (Reference:
Academic Regulation 16).
December
6 (Wednesday)
Last day of classes in fall term date.
68
Date
Event
7 (Thursday)
Study Day. No classes.
8 (Friday)
Patronal Feast of the University. Administrative offices closed. Study Day.
9 (Saturday)
Start of formal final examinations in three (3) credit hour courses and
formal mid-year examinations in six (6) credit hour courses.
20 (Wednesday)
End of final exams and end of the fall term. Note: Subject to change
should it not be possible to schedule all formal examinations in the
designated timeframe.
2024
January
4 (Thursday)
Administrative Offices open. Academic year resumes.
8 (Monday)
CLASSES RESUME.
12 (Friday)
Last day for registering and changing courses in the winter term
(January April).
17 (Wednesday)
a. Last day for dropping courses in the winter term (January April).
b. Last day for final payment of winter term tuition fees.
26 - 27 (Friday -
Saturday)
Winter Convocation
February
14 (Wednesday)
Last day for withdrawing, without academic penalty, from six (6) credit
hour courses taught from September to April (Reference: Academic
Regulation 16).
19 (Monday)
Administrative Offices closed. No classes - Heritage Day.
19 - 25 (Monday -
Sunday)
Winter Break. No classes.
March
14 (Thursday)
Last day for withdrawing, without academic penalty, from three (3) credit
hour courses or six (6) credit hour courses taught only in the Winter term
(Reference: Academic Regulation 16).
29 (Friday)
Administrative Offices closed. No classes - Good Friday.
April
1 (Monday)
Administrative Offices closed. No classes - Easter Monday
8 (Monday)
Last day of classes in winter term.
9 -10 (Tuesday -
Wednesday)
Study day. No classes.
11 (Thursday)
Start of formal final examinations.
22 (Monday)
End of formal final examinations and end of the winter term. Note: Subject
to change should it not be possible to schedule all formal examinations in
the designated timeframe.
May
6 (Monday)
Summer Sessions begin for graduate and undergraduate courses.
8 (Wednesday)
Last day for registering and changing courses in the spring term.
9 (Thursday)
a. Last day for dropping courses in the spring term (May June).
b. Last day for final payment of spring term tuition fees.
13 - 18 (Monday -
Saturday)
Spring Convocation Week
69
Date
Event
20 (Monday)
Administrative Offices closed. No classes Victoria Day.
June
3 (Monday)
Deadline for filing applications for fall 2024 Convocation.
5 (Wednesday)
Last day for withdrawing, without academic penalty, from spring term
(Reference: Academic Regulation 16).
17 (Monday)
Last day of classes in First Summer Session (spring term-Undergraduate).
18 - 19 (Tuesday -
Wednesday)
Study Days. No Classes.
20 - 22 (Thursday -
Saturday)
Formal final examination period. Spring term ends.
July
1 (Monday)
Administrative Offices closed. No classes Canada Day.
3 (Wednesday)
Second Summer Session (Undergraduate) classes begin.
5 ( Friday)
Last day for registering and changing courses in the summer term.
8 (Monday)
a. Last day for dropping courses in the summer term (July Aug).
b. Last day for final payment of summer term tuition fees.
August
1 (Thursday)
Deadline for filing applications for winter 2025 Convocation.
3 (Saturday)
Last day for withdrawing, without academic penalty, from summer term
(Reference: Academic Regulation 16).
5 (Monday)
Administrative Offices closed. No classes Natal Day.
13 (Tuesday)
Last day of classes in Graduate Summer Session and in Second Summer
Session (summer term-Undergraduate).
14- 15 (Wednesday
- Thursday)
Study Days.
16 - 19 (Friday -
Monday)
Formal final examination period. Summer term ends.
70
17.0 General Campus Information
17.1 Campus Map
17.2 Housing
For information on Campus Family & Graduate Housing visit
https://www.smu.ca/gradstudies/graduate-and-family-housing.html
or telephone (902) 420-5598.
17.3 University Health Services
The Student Health Center offers health care to all students at the University. Realizing that
students have a busy schedule the Student Health Center will do everything possible to keep
students healthy, be supportive and treat illness and injuries quickly so that class absences will
be kept to a minimum. Education, including knowledge of current health issues, testing, and
counseling are available at the Student Health Center.
The Student Health Center is located on the 4th floor of the Student Centre.
Tel: 420-5611
Email: student.health@smu.ca
Also see: https://www.smu.ca/healthclinic/index.html
71
17.4 Enterprise Information Technology (EIT)
Enterprise Information Technology (EIT) provides the technology and related services to
support the teaching, learning, and research of students. Technology is viewed as a basic
necessity and spans the campus from the classrooms to residence rooms. Data communication
and Internet services are provided through a network providing students with ready access to
wired and wireless connections in all buildings and many outdoor spaces on campus. This
network supports over 7,000 student devices in addition to the 1,900 university computers in
labs, classrooms, and faculty and administrative offices.
All Students, Faculty & Staff have access to the ‘SMU Safe’ Android and iOS application. This
application provides emergency contact details for University Services along with functionality to
place emergency calls to the SMU security desk and 911 services. The application also features
an optional ‘virtual walk-home’ service, where SMU Security desk can monitor an individual
(perhaps as they walk home to residence at night) and can alert emergency services if they do
not arrive as planned. The SMUSafe App is available in both the Apple and Google App stores.
Most on-line services are supported by EIT including SMUport and Self-Service Banner. In
SMUport, the university’s web portal, students can connect with the campus community, and
obtain on-line course information through Brightspace. Self-Service Banner provides students
with on-line course information and registration.
The department supports the classroom learning environment by equipping them with the latest
multimedia presentation tools.
Four general access labs, four common computing areas, and several departmental labs across
campus hold over 400 workstations. Some general access labs are open 24 hours per day, 7
days a week. EIT makes all academic software available to students and faculty though our
SMU AppsAnywhere
Implementation. Here, students and faculty can find a wide range of
software for their purposes including statistics, graphics, charting and map drawing, CAD,
financial and mathematical applications, and business productivity suites. Because
AppsAnywhere is web-based this software is available anywhere and anytime via a an
individuals on personal device. Printing is available in common computing areas, as well as in
some computer labs.
The University’s Evergreen program allows our technology to be replaced on a scheduled basis
to keep it current. As a result, all computer lab, classroom and office systems are less than 4
years old. Audio Visual projectors and large TV’s or monitors in teaching classrooms are on a 4
year refresh cycle.
Assistance is provided to all students by EIT in a number of ways. The department maintains
documentation on how to use the technology services on campus. EIT operates two Help Desk
locations to provide support in person, by telephone or email.
For further information visit (www.smu.ca/eit), phone (902) 496-8111 or HelpDesk@smu.ca
.
17.5 Athletics and recreation
Saint Mary’s has excellent sport facilities on campus. Through their SMUSA fee payments,
students have access to the sports and recreational facility, The Homburg Centre for Health and
Wellness (https://www.smu.ca/campus-life/smufit-main.html
).
72
17.6 (Other) Important people on campus
President: Dr. Robert Summerby-Murray
president@smu.ca
Interim Vice-President Academic and Research: Dr. Madine VanderPlaat
vpacademic@smu.ca
Academic & Enrolment Management / Registrar Dan Seneker
registrar@smu.ca
Dean, Faculty of Graduate Studies & Research: Dr. Adam Sarty
Associate Vice President - Research
adam.sarty@smu.ca
Dean, Faculty of Arts: Dr. Mary Ingraham
mary.ingraham@smu.ca
Interim Dean, Faculty of Science: Dr. Sam Veres
sam.veres@smu.ca
Interim Dean, Faculty of Commerce: Dr. Mark Raymond
mark.raymond@smu.ca
Director, Student Affairs & Services Tom Brophy
tom.brophy@smu.ca
Director, Global Learning and Intercultural Support Miyuki Arai
miyuki.arai@smu.ca
73
18.0 References
2023-24 Academic Calendar, Saint Mary’s University
https://smu-ca-public.courseleaf.com/graduate/
A Guide to Intellectual Property for Graduate Students and Postdoctoral Scholars, Canadian
Association of Graduate Students
(http://www.cags.ca/documents/publications/working/Guide_Intellectual_Property.pdf
)
OHS Answers, Bill C-45 - Amendments to the Criminal Code Affecting the Criminal Liability of
Organizations, Canadian Centre for Occupational Health and Safety
(http://www.ccohs.ca/oshanswers/legisl/billc45.html
)
Collective Agreement between Saint Mary’s University and Saint Mary’s University Faculty
Union, 2022-25 (https://smu.ca/about/collective-agreements.html
)
- Freedom of Information/Protection of Privacy Policy, Saint Mary’s University
- Occupational Health & Safety Orientation Booklet, Saint Mary’s University
- Policy on the Prevention and Resolution of Harassment and Discrimination, Saint Mary’s
University
- Policies on Integrity and Research in Scholarship Procedures for Reporting Misconduct, Saint
Mary’s University
- Safety Policy, Saint Mary’s University
- Conflict of Interest in Research, Saint Mary’s University
(https://www.smu.ca/about/policies-and-procedures-alphabetical-listing.html
)
Scholarships, Fellowships, Bursaries, Prizes, Research Grants and Financial Assistance,
Canada Revenue Agency Bulletin IT-75R4 (
https://www.canada.ca/en/revenue-
agency/services/tax/technical-information/income-tax/income-tax-folios-index/series-1-
individuals/folio-2-students/income-tax-folio-s1-f2-c3-scholarships-research-grants-other-
education-assistance.html)
The Tri-Council Policy of Research Involving Human Subjects
(https://ethics.gc.ca/eng/policy-politique_tcps2-eptc2_2022.html
)