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Policy on Academic Integrity in Research

Preambulatory Clause

WHEREAS the Civil Service Code of Ethics declares that “Any person in the services of the Republic of the Philippines should… Observe [the] highest standard of morality, integrity, honesty, loyalty and devotion to public wealth”, as an academic institution, UMak employees are expected to observe the highest standard of morality, integrity and honesty in the academe;

WHEREAS, as government workers of the City of Makati, through the University of Makati (UMak), adhering to the cited Civil Service Code of Ethics, it has been declared that it is our “primary purpose… to help promote the interest and welfare of the people of Makati” and our mission is to “inculcate in them good moral values and desirable personality development”;

WHEREAS even if the Student Handbook (2021 Edition) provides in Article VI Section 1 “University of Makati expects that each student must conduct or behave in a manner that manifests the moral integrity and personal refinement consistent with the true Heron’s student character” academic integrity, and honesty is only hinted at in the provisions on major offenses on paragraphs 4.2.12 (Cheating during exams), 4.2.18 (Use of proxies during exams), and 4.2.19 (Plagiarism), also in Article VIII. Student Council and Student Organizations, Section 5.2 (Student’s Duties and Responsibilities) “To uphold the academic excellence of the University, and to abide by its rules and regulations governing their academic responsibilities and moral integrity”;

WHEREAS the Center for University Research (CUR) needs to formulate modern and relevant mechanisms by and through which it can help UMak employees and students be academically honest and keep their integrity in the conduct of their research as part of its mandate as “a hub for review of research papers of employees, faculty and administrative personnel, or in collaboration with students… improving the credibility and reputation of the researcher and the university… a venue for producing quality research outputs;

WHEREFORE CUR with its function to “formulate, review, [recommend], and [monitor] the implementation of relevant research policies, guidelines, and mechanisms” sees it necessary to create a Policy regarding Academic Integrity in Research to cover other acts of Academic Dishonesty and Unethical Conducts that applies to research such as fabrication of data, improper, imprecise or lacking proper documentation and citation of sources and authorship, and having someone or something else do one’s own study paid or not paid, human or otherwise;

Policy Statement
It shall be the policy of CUR in its mission to provide “comprehensive research services through the use of both commercial and open-source research software; and
establishing partnerships with industry, research organizations, and other HEIs for collaborative and commissioned research work” to ensure that UMak:

  1. Uses updated software and technology that ensures academic rigor and integrity in research;
  2. Partnered with organizations that will capacitate UMak in the use of modern software and technology in data collection and processes to ensure ethical use of such in the field of research and the academe.

It shall be the policy of CUR and UMREC, along with their external peer reviewers and evaluators, to ensure that the research published by individual UMak Community, and those they endorse for grants or subsidies under the following CUR Policies represent the academic rigor and ethics of the University. This shall be the same policy that shall apply to external authors who wish to publish their work with us and wishes to comply with the following:

  1. Research Financial Grant as provided for by CUR Policy 1 s 2022-2023;
  2. Publication Incentives as provided for by CUR Policy 2 s 2022-2023;
  3. Universitas and Research Congress as provided for by CUR Policy 3 and 4 s 2022-2023;
  4. Application to certify published and unpublished research for promotions purposes as provided for by CUR Policy 6 s 2022-2023;
  5. Request to conduct research, as provided for by CUR Policy 7 s 2022-2023, from internal or external requesters;
  6. Research Project and Implementation Incentives, as provided for by CUR Policy 8 s 2022-2023.

CUR takes on the responsibility to report to the proper authorities its findings upon taking due process.

Objectives

The Center for University research shall:

  1. Receive and document communications from UMREC, and its pool of internal and external peer evaluators regarding papers that are suspected to be academically dishonest,
  2. Utilize modern and relevant means through which academic dishonesty shall be determined and detected,
  3. Create programs that shall enable, and update UMak community members utilize modern technology ethically in their conduct of research,
  4. Follow relevant policies of the Human Resource Management Office to possibly report erring personnel, and the Center for Student Formation and Discipline to possibly report erring students.

Coverage
This policy covers all research papers and articles submitted to UMREC and CUR to comply with CUR Policies in the Policy Statement. Moreover, this also covers other academic papers that may enlist the following services of CUR complying to CUR Policy 9 s 2022-2023, Policy And Guidelines On The Use Of NVIVO, SPSS, And Turnitin.

To recall:

  1. Application for Research Financial Grant as provided for by CUR Policy 1 s 2022- 2023;
  2. Application for Publication Incentives as provided for by CUR Policy 2 s 2022-2023;
  3. Submissions for Universitas and Research Congress as provided for by CUR Policy 3 and 4 s 2022-2023;
  4. Application to certify published and unpublished research for promotions purposes as provided for by CUR Policy 6 s 2022-2023;
  5. Request to conduct research, as provided for by CUR Policy 7 s 2022-2023, from internal or external requesters;
  6. Application for Research Project and Implementation Incentives, as provided for by CUR Policy 8 s 2022-2023.

UMAK Code of Academic Integrity in Research

The University of Makati reaffirms the following acts of academic integrity and ethics of research:

  1. Initiative on research that aims at contributing to the body of knowledge and innovations for the field of study, scientific discipline, or industry, and that
    benefits the members of the University of Makati and the people of Makati City and the Philippines.• Any submission covered by this policy that does not aim for this shall be outrightly rejected.
  2. Minimum number of references for their Review of Related Literature and the Discussion/Analysis of Data as set by the Colleges, Schools, Institutes, and
    Centers of UMak, granted that the Human, Electronic, or Paper trails are research articles found in SCOPUS list and passed the CUR Policy on the List of Accredited and Recognized Non-SCOPUS Journals (CUR Policy 5 s 2022-2023).

    1. Any submission that does not comply with this shall be returned for revisions.
    2. Failure to verify the credibility of the sources cited in the Review of Related Literature and in the Results and Discussion.
  3. Proper citation of sources on Direct Quotations and paraphrased statements following APA 7th Edition or any citation conventions adopted by the UMak
    Colleges, Schools, Institutes, or Centers as provided for by CUR Policy 3 s 2022-2023 for the purpose of their contextualized research or journal. Research advisers have the responsibility to ensure that students comply with the formatting and citation convention adopted by the university, and or their college, school, or institute. CUR reserves the authority to return for revision submissions that failed to comply to this. Employee Researchers shall ensure compliance with this requirement. CUR reserves the authority to return for revision any submission from outside proponents.
  4. Full disclosure of Research Locale to ensure the credibility of the data gathered. As such it is the responsibility of the researcher/s to request to conduct research especially if it will involve outside organizations, institutions, agencies (private or government), offices, or companies to respect their jurisdiction and possibly their IPR on Trade Marks as provided for by the Intellectual Property Rights Code (RA8293) or the right to data privacy of such organizations as provided for by Data Privacy Act of 2012 (RA10173). Nonetheless, the research locale authorities have the right to invoke their right to privacy and anonymity.
    1. Upon approval of Request to Conduct Research as provided for by CUR Policy 7 s 2022-2023, Internal and External applicants may disclose that their research participants or respondents are from the University of Makati.
    2. On the other hand, if the research locale is not the University of Makati, if UMREC or CUR receives a complaint from the authorities of the research locale regarding the use of their organization’s name or Local Government Unit’s name without their expressed consent through their letter or email within the bounds set here, CUR shall conduct an investigation and shall file incident report and applicable disciplinary actions:
      1. If students, to SDFO;
      2. If employee, to HRMO.
  5. Anonymity of quantitative research respondents and voluntary divulgence of the identity of qualitative research participants. As such, it is the responsibility of the researcher to ensure that the human subjects were properly informed and have fully agreed through the Informed Consent Form following UMREC SOP No. 06.
    1. If detected by UMREC and/or CUR:
      1. UMREC reserves the authority as per their SOPs for further actions in the approval and monitoring of the implementation of the Research Protocol.
      2. CUR reserves the authority to reject any full paper.
    2. If UMREC and/or CUR receives a data privacy breach, and privacy infringement from the participants or respondents:
      1. UMREC reserves the authority as per their SOPs for further actions in the approval and monitoring of the implementation of the Research Protocol.
      2. CUR reserves the authority to reject any full paper.
  6. Courteous and Respectful formulation and implementation of Research Data Gathering Tools. They must be sensitive and respectful of the gender, ethnicity, and social class of the respondents or participants. It is also the responsibility of the researchers to validate their tools.
    1. The student researchers shall be assisted by their research teacher and/or research adviser on this;
    2. Employee researchers may ask assistance from CUR or external validators for this;
    3. External applicants shall ensure that they have proof that this has been done.
  7. Precise documentation of participant’s or respondent’s responses, field observations, semiotic or hermeneutic reference and inference, and such. It is the responsibility of the researcher to ensure the confidentiality of these documents and their proper disposal. It is highly suggested that if ever there are hard copies of these documents they are shredded thoroughly after a period of 5 months or a semester in an academic year.
  8. Full disclosure of ICT software used in the methodology. This then augments and formalizes the provisions of UCR Advisory 1 s 2022-2023. Such software shall only be used on the following aspects of the research:
    1. Review of Relate Literature writing: Only for the search of related research and identifying common themes and codifying.
    2. Data Analysis: for the statistical treatment of quantitative data, for initial and final analysis/coding of qualitative data, and for the connection or convergence of qualitative and quantitative data in a mixed methods study.
    3. Drafting of the Results and Discussion of a journal article or Chapter 4 (Results and Discussion) and Chapter 5 (Conclusions and Recommendations) of a Thesis (HSU, Baccalaureate, and Master’s) or Dissertation.
  9. 15% similarity threshold in Turnitin as endorsed by research units. It is the responsibility of the researcher to have their papers checked by their research unit and endorsed by them to CUR for their Certificate as provided for by CUR Policy No. 9 s 2022-2023. It is to be noted that students, faculty, and all employees of UMak can use for free the Turnitin Draft Coach to experience for themselves how the similarity check works in their own papers.
    1. A submission without the said Turnitin certification shall be rejected. Resubmission with the required certification is allowed.
    2. CUR reserves the authority for full Plagiarism check and investigation in case the submission is still found to violate this Turnitin threshold. This also applies if they received a Plagiarism allegation or report either from UMREC or from any concerned persons. The following shall be the consequence after the investigation:
      1. For employees: CUR shall file an incident report against the employee with the Human Resources Management Office (HRMO).
      2. For students: CUR shall file Student Handbook Article VI.4.2.19 (Plagiarism) case following Article VI Section 6.
  10. Full disclosure of authorship and full originality of the paper should be the responsibility of the researcher. Artificial Intelligence authorship is not recognized as its use is limited by number 8 of this code.
    1. The following unethical practices shall also have the same consequences indicated in number 9 of this code:
      1. Paying or use of undisclosed research assistants whether human or not to accomplish the research and the report.
      2. Plagiarism of copyrighted or non-copyrighted papers.
      3. Fabrication, tampering, and falsification of data.
      4. Infringement of Intellectual Property Rights of authors and institutions.
    2. In case of the use of LLMs as provided for by CUR Advisory 1 series 20222023, CUR requires its full disclosure and sets the Turnitin percentage similarity threshold for AI generated texts to 5%:
      1. Non-disclosure upon detection would mean rejection of the paper;
      2. Papers with disclosure but the similarity goes beyond the threshold may be returned for improvement;
      3. Papers with disclosure may be returned for revisions if it is found within the threshold but have chunked similar texts;
      4. Papers with disclosure will be approved if they are within or below the threshold even if it has similarities, if those are scattered.

Separability and Repealing Clause
Any provisions that shall be found unconstitutional, illegal, and contrary to the foundational principles and policies of the University of Makati shall be repealed.
However, those that are found to be constitutional, legal, and support and affirm the foundational principles and policies of the University of Makati shall remain enforced.

Amendments, Repeals, and Revisions
This policy may be amended, some parts may be repealed, or all together revised by the Center for University Research with the coordination of UMREC, the Management Committee, or the University of Makati Board of Regents if found necessary.

Effectivity
This policy shall take effect immediately upon Management Committee approval.

Prepared by:
(Sgd.) FLORANTE E. DELOS SANTOS, RGC
Director

Attachment: CUR Policy 10-22-23 Academic Integrity in Research (PDF)