Current DHHS regulations require that policies and procedures developed by institutions to handle allegations of scientific
misconduct include provisions for “undertaking diligent efforts to protect the positions and reputations of those persons
who, in good faith, make allegations.” Analogously, institutions receiving PHS funds are required to protect the confidentiality
of those accused of such misconduct or, failing that, to restore their reputations if the allegations are not confirmed. Based
on two surveys, one of whistleblowers and one of individuals accused but exonerated of scientific misconduct, this paper examines
how well the system works to protect both sets of participants in cases of alleged misconduct.
Contrary to popular impressions created by notorious cases, substantial minorities of both whistleblowers and exonerated scientists
experience no adverse outcomes at the time the allegations are made and pursued. During this period, however, whistleblowers
report more negative outcomes and more severe negative outcomes than their accused but exonerated counterparts. In the longer
run, majorities of both groups report little impact on different aspects of their careers or professional activities, though
those who report any impacts generally report negative ones. The accused but exonerated, however, appear to fare worse than
whistleblowers in impacts on several aspects of their personal lives; their mental health, physical health, self-esteem, and
self-identity.
The evidence from these studies suggests that: (1) federal officials should focus on the role of institutional and departmental
officials in mediating the most severe consequences experienced by those involved in these incidents; (2) potential whistleblowers
and accused scientists should be counseled regarding the likely harm they will suffer if their case gains notoriety or if
they hire an attorney; and (3) institutions can best protect whistleblowers and those accused but exonerated of scientific
misconduct by acting promptly and limiting access to information.
Keywords scientific misconduct - scientific integrity - whistleblowing - exoneration
An earlier version of this paper was presented at the symposium entitled “Misconduct in Science: A Decade of Progress or Merely
Years of Controversy” held during the Annual Meeting of the American Association for the Advancement of Science, Philadelphia,
Pennsylvania, 13 February, 1998.