SENATE
Report
of the
Senate Committee on the Faculty
Proposed
Revisions to Procedures
Regarding Misconduct in Research
April
18, 2002
The
Senate Committee on the Faculty ("SCOF") was asked to
consider a draft of revised "Procedures Regarding Misconduct
in Research" (the "Procedures") that was developed
by the Research Misconduct Procedures Review Committee, chaired
by Professor David Manning (the "Manning Committee").
The
Manning Committee's work represents a continuation of an effort
to revise the Procedures so as to reflect developing federal law.
Thus, in 1997 the Procedures (as published in Almanac on
September 3, 1991) were revised to include an addendum recommended
by the Office of Research Integrity of the U.S. Public Health
Service (Almanac,
September 9, 1997). [The existing procedures that would be
changed by these proposed revisions can be located at: www.upenn.edu/assoc-provost/handbook].
Thereafter, SCOF considered and commented upon proposed revisions
prepared by the Manning Committee's predecessor. In a letter dated
December 7, 1999, Gregory Possehl, Chair of SCOF, recommended
that "the Provost should select a body to redraft the Procedures
... in light of the final White House Office of Science and Technology
["OSTP"]
recommendations." Notification of OSTP's final federal policy
on research misconduct was published on December 6, 2000, and
that policy is reflected in the Manning Committee's draft.
SCOF
discussed the draft at two meetings, including one attended by
Professor Manning and Robert Terrell of the General Counsel's
office, an ex officio member of the Manning Committee. In addition,
the Chair of SCOF met personally or in telephone conference with
the same individuals on two occasions. As a result of those meetings,
the draft was extensively revised to accommodate concerns expressed
by members of SCOF. We are now pleased to recommend approval of
the revised draft, which we believe represents a sensible and
fair approach to a difficult and complicated subject, one that
implicates individual, institutional and public interests and
that is embedded in a complex federal regulatory environment.
The
field of policy choice with respect to the Procedures narrowed
considerably after OSTP's final policy was published, at least
if, as SCOF believes, it is not thought sensible to have one policy
on research misconduct for federally sponsored research and another
for non-federal research. The federal policy defines research
misconduct, prescribes the necessary predicates for a finding
of research misconduct, invites research institutions to make
the initial response to allegations of research misconduct (with
the alternative being immediate direct federal agency involvement),
and sets forth the general elements of an acceptable process for
such a response.
The
federal policy provides that the institutional response will usually
consist of several organizationally separated phases, including
an inquiry to determine whether an investigation is warranted,
an investigation leading to recommendations, and an adjudication,
defined as a phase "during which recommendations are reviewed
and appropriate corrective actions determined." The policy
contemplates that the institutional process may be supplemented
by additional oversight or investigative steps by the appropriate
federal agency, and it sets forth a variety of requirements to
notify federal authorities during and at the conclusion of the
institutional process. Finally, the policy provides guidelines
for developing "fair and timely procedures for responding
to allegations of research misconduct," including safeguards
for informants, safeguards for subjects of allegations, norms
of objectivity and expertise for those involved in reviewing allegations
and conducting investigations, reasonable time limits for the
conduct of each stage, and protections to ensure confidentiality.
SCOF
believes that the revisions to the Procedures now proposed by
the Manning Committee faithfully reflect the requirements of federal
law and will fairly and responsibly serve the sometimes conflicting
interests of the individuals involved in allegations of research
misconduct, of the University and of the public. The process prescribed
provides numerous protections against hasty or ill-considered
judgments concerning research misconduct, while requiring that
serious and credible allegations be examined thoroughly and promptly.
Apart from protections afforded to complainants and informants,
a respondent is afforded a meaningful opportunity to participate
at each stage of the process, including (1) the right to reply
to the report of a preliminary inquiry committee (1.3), (2) the
right to an advisor (who may be a lawyer) when appearing before
a formal investigation committee (2.2), (3) the right to make
a written reply to (2.3), and to initiate a hearing concerning
any material findings of fact in (2.4), the draft report of a
formal investigation committee, and (4) the right to make a written
reply to the final report of a formal investigation committee
(2.5). In addition, a respondent has the right to challenge alleged
procedural irregularities and/or instances of bias at any stage
of the process and to appeal a denial of such a challenge to the
Provost (4.2). Finally, and a provision reflecting SCOF's expressed
concerns, under section 4.3, "[a]ny final action taken by
the Dean under Section 3.3, and any administrative action taken
under Sections 4.4, 4.5, 4.6 or 4.7 may be reviewed under other
established University grievance and appeal procedures to the
extent such review is within the stated jurisdiction of such procedure."
SCOF
recognizes that some aspects of these proposed revisions to the
Procedures may not comport with the expectations and/or views
of some members of the community, particularly those whose exclusive
focus is the interests of potential respondents. We repeat, however,
our view that such a focus is incomplete and that, when all of
the legitimate interests are taken into view, the proposed revisions
represent a fair and responsible approach to a complex problem.
We commend the Manning Committee for its efforts and in particular
for its thoughtful responses to our concerns.
Emily
A. Blumberg, Medicine
Stephen
B. Burbank, Law, Chair
Charles
Dwyer, Education
Vincent Price, Communication
Gino C. Segre, Physics & Astronomy
Ex
Officio
Faculty
Senate Chair David B. Hackney, Neuroradiology
Faculty Senate Chair-elect Mitchell Marcus, Computer
& Information Science