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Handling Misconduct - Whistleblowers
Whistleblower's Bill of Rights - APPENDIX A
Responsible Whistleblowing:
A Whistleblower's Bill of Rights
a. Communication: Whistleblowers
are free to disclose lawfully whatever information supports a reasonable
belief of research misconduct as it is defined by PHS policy. An
individual or institution that retaliates against any person making
protected disclosures engages in prohibited obstruction of investigations
of research misconduct as defined by the Commission on Research
Integrity. Whistleblowers must respect the confidentiality of sensitive
information and give legitimate institutional structures an opportunity
to function. Should a whistleblower elect to make a lawful disclosure
that violates institutional rules of confidentiality, the institution
may thereafter legitimately limit the whistleblower's access to
further information about the case.
b. Protection from retaliation:
Institutions have a duty not to tolerate or engage in retaliation
against good-faith whistleblowers. This duty includes providing
appropriate and timely relief to ameliorate the consequences of
actual or threatened reprisals, and holding accountable those who
retaliate. Whistleblowers and other witnesses to possible research
misconduct have a responsibility to raise their concerns honorably
and with foundation.
c. Fair procedures: Institutions
have a duty to provide fair and objective procedures for examining
and resolving complaints, disputes, and allegations of research
misconduct. In cases of alleged retaliation that are not resolved
through institutional intervention, whistleblowers should have an
opportunity to defend themselves in a proceeding where they can
present witnesses and confront those the charge with retaliation
against them, except when they violate rules of confidentiality.
Whistleblowers have a responsibility
to participate honorably in such procedures by respecting the serious
consequences for those they accuse of misconduct, and by using the
same standards to correct their own errors that they apply to others.
d. Procedures free from partiality:
Institutions have a duty to follow procedures that are not tainted
by partiality arising from personal or institutional conflict of
interest or other sources of bias. Whistleblowers have a responsibility
to act within legitimate institutional channels when raising concerns
about the integrity of research. They have the right to raise objections
concerning the possible partiality of those selected to review their
concerns without incurring retaliation.
e. Information: Institutions
have a duty to elicit and evaluate fully and objectively information
about concerns raised by whistleblowers. Whistleblowers may have
unique knowledge needed to evaluate thoroughly responses from those
whose actions are questioned. Consequently, a competent investigation
may involved giving whistleblowers one of more opportunities to
comment on the accuracy and completeness of information relevant
to their concerns, except when they violate rules of confidentiality.
f. Timely processes: Institutions
have a duty to handle cases involving alleged research misconduct
as expeditiously as is possible without compromising responsible
resolutions. When cases drag on for years, the issue becomes the
dispute rather than its resolution. Whistleblowers have a responsibility
to facilitate expeditious resolution of cases by good-faith participation
in misconduct procedures.
g. Vindication: At the conclusion
of proceedings, institutions have a responsibility to credit promptly--in
public and/or in private as appropriate--those whose allegations
are substantiated.
Every right carries with it a corresponding
responsibility. In this context, the Whistleblower Bill of Rights
carries the obligation to avoid false statements and unlawful behavior.
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Assurance
