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PROCEDURES FOR RESPONDING TO ALLEGATIONS OF MISCONDUCT IN RESEARCH*

In order to maintain confidence in the integrity of the Faculty’s research enterprises, allegations of misconduct in research must be treated with the utmost seriousness and examined carefully and responsibly. This document outlines the procedures for responding to allegations brought against individuals holding teaching or research appointments in the Faculty of Arts and Sciences. They are designed to ascertain the truth and to protect the rights both of individuals accused of misconduct and of others whose reputations may be brought into question.

Because allegations of misconduct may differ in many ways, no single course of action will always be the most thorough and fair. The procedures described below are intended to provide a framework for careful and thorough investigation of allegations in a variety of circumstances. Issues that do not relate to the integrity of research methods or practices or to the reporting of research are outside the scope of this policy. Should allegations be made against individuals holding appointments in more than one Harvard faculty, the chairman of the Standing Committee on Professional Conduct, in consultation with the appropriate officers in the other faculty or faculties, shall determine at the outset which faculty shall investigate the allegations.

Procedures

  1. All allegations of misconduct in research, except those manifestly lacking in substance, whether initially received by a department chairman or by another individual, shall be brought to the attention of the chairman of the Standing Committee on Professional Conduct.
  2. Upon receiving an allegation of misconduct in research, the chairman of the Standing Committee shall inform the accused party or parties of the nature of the allegation and solicit a response. If the chairman of the Standing Committee decides that the allegation requires further investigation, he or she shall so recommend to the Standing Committee which shall determine whether and how to proceed. The Dean should be fully informed of the steps to be taken, and the information on which they are based.
  3. If the Standing Committee decides that the allegation merits further action, it shall initiate formal procedures by empanelling an Investigating Committee. After conferring with the Dean and the Standing Committee, the Chairman of the Standing Committee shall appoint an Investigating Committee consisting of individuals he or she deems appropriate, knowledgeable, and impartial. Some, but preferably not all, members of the Investigating Committee shall be members of the Faculty of Arts and Sciences. Before the Investigating Committee is finally empanelled, the chairman shall identify them to the accused party or parties with a view to ascertaining unrecognized threats to the fairness of the process.
  4. The Investigating Committee shall undertake an orderly and careful consideration of the facts that bear on the case. The accused party or parties shall be informed of the procedures to be followed. At a time or times designated by the Investigating Committee, the accused party or parties shall be invited to appear before it. The accused party or parties shall have the right to appear before the committee and shall be informed of the nature of the evidence presented to the Investigating Committee and given reasonable time and opportunity to comment on that evidence before the conclusion of the investigation. The Dean of the Faculty shall be fully informed in a timely manner of the procedures and proceedings of the Investigating Committee.
  5. After completing the proceedings and deliberations it deems appropriate, the Investigating Committee shall submit a report to the Dean. Before it is submitted, this report shall be offered to the accused party or parties for review with reasonable time to respond, and any corrections or responses supplied by the accused shall be included in, or appended to, the report.
  6. At this point, the Dean may request any further information or assistance from the Investigating Committee or other individuals. The Dean shall then take whatever action he or she considers appropriate.
  7. The Office of the Dean shall maintain records of any proceedings brought hereunder.

Throughout the process all participants shall bear in mind these several considerations:

  1. The importance, both in fact and in appearance, of thoroughness, fairness, objectivity, and acting with reasonable speed.
  2. The importance of protecting the reputations of individuals and, to that end, maintaining confidentiality to the extent that it is appropriate and consistent with other obligations of the Faculty.
  3. The need to protect the rights of the person or persons alleged to have engaged in misconduct. These rights include the right to be informed, with specificity at the appropriate time, of the allegations and of the evidence in support of the allegations, and the right to be informed of the procedures to be followed.
  4. The importance of ensuring that the interests and the full obligations of the Faculty are thoroughly considered.
  5. The importance of informing and consulting with other individuals, agencies, or institutions who have an interest in the research in question in order to meet in good faith the obligation of the Faculty to others.

Footnotes

* As voted by the President and Fellows of Harvard College on July 25, 1987.