After the initial allegation of misconduct is filed, a complainant (whistleblower) should participate in a research misconduct case only "as a witness" according to a recommendation made by the HHS Review Group on Research Misconduct and Research Integrity.
The recommendation states, "Once the complainant has made a formal allegation that research misconduct has occurred, that person should not participate in the fact-finding phase, or in any other aspect of the determination of misconduct, other than as a witness."
To implement this recommendation, ORI has adopted the following policy on "The Complainant's Role in an Inquiry, Investigation, or Hearing."
Several sections of Public Health Service regulations acknowledge the importance of the role of the individual who brings forward allegations. For example, institutions are to undertake diligent efforts to protect the position and reputation of the complainant, protect the complainant's privacy to the maximum extent possible, and provide the complainant with those portions of the investigation report that address his or her role and opinions. See 42 C.F.R. § 50.103(d)(2) and (13) and § 50.104(a)(2), respectively. However, these provisions do not imply additional rights or privileges in directing the course of the proceedings.
ORI understands that being a complainant is often difficult, particularly if the complainant has been involved in the research under question and believes that his or her reputation is also at stake. Nevertheless, it is extremely important that the investigative body and ORI maintain objectivity during the proceedings, and, therefore, the role of the complainant must be strictly limited to that of a witness.
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