Skip to content

Overview of Research Misconduct

Description

Research Misconduct—Overview

The University of Pennsylvania is committed to the highest standards of integrity, accountability, and ethical practice in research. Research misconduct is prohibited and represents a serious breach of both University policy and the norms of scholarly communities.

Although research misconduct is relatively uncommon, the University has a responsibility to assess allegations promptly, fairly, and consistently, while protecting the rights and reputations of all individuals involved. Penn’s procedures are designed to foster responsible conduct of research and to ensure compliance with applicable federal regulations and sponsor requirements.

Effective January 1, 2026, the University maintains a single, unified policy governing the review of alleged research misconduct. This policy applies to both faculty and non-faculty members of the Penn research community and supersedes all previously published misconduct procedures.

Policy for Reviewing Alleged Research Misconduct

The Policy for Reviewing Alleged Research Misconduct applies to research conducted under the auspices of the University of Pennsylvania and to all members of the University community, including faculty and, with limited exceptions, students and staff.

The policy reflects current federal regulations and best practices and has been reviewed and approved by University leadership, including the Provost, Vice Provost for Research, and Faculty Senate bodies.

Core Expectations

All members of the research community are expected to:

  • Maintain the highest standards of ethical research practice
  • Preserve accurate, thorough, and verifiable research records
  • Accept responsibility for the integrity of research conducted under their supervision
  • Understand that authorship implies accountability for methods and findings
  • Report suspected research misconduct in good faith

What Constitutes Research Misconduct?

Research misconduct is defined as fabrication, falsification, plagiarism, or other serious deviation from accepted practices in proposing, performing, reviewing, or reporting research.

  • Fabrication: Making up data or results and recording or reporting them
  • Falsification: Manipulating research materials, processes, or data such that the research record is misrepresented
  • Plagiarism: Using another person’s ideas, processes, results, or words without appropriate attribution

Serious deviation from accepted practices includes actions that materially compromise the integrity of the research record, such as intentionally damaging or misappropriating research materials or directing others to engage in misconduct.

Research misconduct does not include honest error, differences of opinion, self-plagiarism, authorship or credit disputes, or other conduct governed by separate University policies.

How Allegations Are Handled

Allegations of research misconduct may be brought forward by any individual, whether or not affiliated with the University. Individuals are encouraged, but not required, to seek advice from trusted sources (e.g., a department chair, dean, or the University Ombuds) before submitting a complaint.

All allegations are coordinated through the University’s Research Integrity Officer (RIO) and reviewed under a structured, multi-stage process:

  1. Assessment
    An initial review to determine whether the allegation falls within the scope of the policy and is sufficiently specific and credible.
  2. Inquiry
    A preliminary fact-finding process conducted by an appointed inquiry committee to determine whether a formal investigation is warranted.
  3. Investigation
    A comprehensive examination of evidence conducted by an investigation committee to determine whether misconduct occurred, based on a preponderance of the evidence.

Throughout all stages, the University takes steps to:

  • Secure the research record
  • Maintain confidentiality to the extent possible
  • Protect individuals from retaliation when allegations are made or information is provided in good faith

Findings and Outcomes

A finding of research misconduct requires that:

  • There is a significant departure from accepted research practices
  • The conduct was committed intentionally, knowingly, or recklessly
  • The allegation is supported by a preponderance of the evidence

If allegations are not substantiated, the matter is closed and the University takes reasonable steps to restore reputations.
If allegations are substantiated, the Dean, in consultation with the Provost, will take appropriate corrective or disciplinary action under applicable University policies and sponsor requirements.

Protection from Retaliation and False Allegations

The University prohibits retaliation against complainants, witnesses, committee members, or others who participate in research misconduct proceedings in good faith. Conversely, knowingly false or reckless allegations may result in disciplinary action under other University procedures.