This document, prepared by the Council on Governmental Relations in August 2019, provides a detailed analysis of confidentiality issues encountered by research institutions when responding to allegations of research misconduct. It explores the requirements set forth by the Office of Science and Technology Policy (OSTP) and various federal agencies, emphasizing the mandate to protect the identities of both complainants and respondents throughout the investigative process. However, the document acknowledges significant variation and complexity in institutional obligations regarding disclosure, especially when it comes to notifying collaborators, coauthors, subrecipients, new employers, funding agencies, and responding to media inquiries. The challenge lies in balancing the need for confidentiality with ensuring research integrity, correcting the scientific record, and meeting federal, state, and institutional policy requirements.
Through detailed scenarios and management considerations, the report highlights the nuanced decision-making required when addressing research misconduct cases, especially in situations where respondents have left the institution or when journals and the media are involved. It underscores the importance of involving legal counsel, considering jurisdictional differences (such as public records laws), and adhering to agency-specific regulations. Institutions are encouraged to maintain flexible policies that allow for judicious disclosure while ensuring compliance and protecting involved parties, with diligent internal communication protocols. The guidance presented is intended as an educational tool rather than prescriptive policy, recognizing that each case may necessitate tailored approaches based on institutional context, legal frameworks, and the potential impacts on individuals’ reputations and the broader research community.
