protocol review

could claim any number of acceptable A Word from OLAW reasons to terminate him. The lack of evidence and witness accounts regarding the In response to the issues posed in this only individual willing or able to provide exchange between Richmond and Levine scenario, the National Institutes of information about an animal welfare issue make this a ‘he said/he said’ situation. Health - Office of Laboratory Animal even at institutions with effective reporting With proper training and awareness, Welfare (NIH-OLAW) provides the structures for animal welfare concerns. Richmond should have reported the conflict following clarification: Whistleblowers should use the to the IACUC as soon as it happened, In this scenario, a graduate student institution’s internal reporting structure to before performing the procedure, so that under duress from his mentor performs report animal welfare concerns but may resolutions could have been made to prevent an unapproved procedure on a rat. also call OLAW to either make a report noncompliance. At present, Richmond Subsequently, the student reports the or receive anonymous consultation. Once should identify himself as the whistleblower noncompliance anonymously to the an incident has been reported to the to the IACUC so he can at least provide IACUC. Then, the mentor, assuming the IACUC and the institution has verified a witness account of the interaction that student was the whistleblower, retaliates. that a noncompliance has occurred, an Levine is denying and be afforded protection During its investigation of the unapproved authorized individual at the institution from reprisal. activity, the IACUC uncovers the mentor’s must contact OLAW promptly with a Richmond’s relationship with Levine reprisal and must decide a course of action. preliminary report3. If reprisals are reported is already beyond repair, and the ethical The PHS Policy requires the IACUC to OLAW’s Division of Compliance murkiness of the mentor’s philosophy as an agent of the institution to review Oversight, the institution will be asked to is not a nurturing and welcoming place concerns involving the care and use of reaffirm their reporting policy for animal to learn. Richmond should reconsider animals at the institution1. Although welfare concerns and clearly state that the hostile working environment in the the PHS Policy does not have explicit the policy complies with the institution’s laboratory and anticipated mentorship whistleblower protections, OLAW expects Animal Welfare Assurance with OLAW value from a researcher who is clearly institutions to vigorously enforce both and the Guide.5 It is important to note that not adhering to IACUC authority, who is institutional and state protections for the source of a whistleblower complaint to performing unethical research, and who individuals who come forward with OLAW is not releasable under the federal belittles and intimidates others who may valid concerns regarding research animal Freedom of Information Act3,6. ❐ question his practices. A noncompliance welfare and research integrity as mandated of this magnitude requires reporting to by the Guide for the Care and Use of Patricia Brown ✉ OLAW, and the report should also go to Laboratory Animals2. OLAW disagrees Director, OLAW, OER, OD, NIH, HHS, Bethesda, the department chair. The chair, working with the IACUC chair’s interpretation of MD, USA. with the IACUC, could lend support to the Guide’s requirements for reporting ✉e-mail: [email protected] identifying a more welcoming research animal welfare concerns. Protection from environment for Richmond. While coming reprisals should be afforded to any person Published online: 27 May 2020 clean will not change the need for Richmond reporting a concern whether identified or https://doi.org/10.1038/s41684-020-0557-6 to find a new lab, it could salvage his anonymous. When anonymous complaints reputation, self-esteem, and possibly are made to the IACUC, it is important References 1. Ofce of Laboratory Animal Welfare, National Institutes of his research career while assisting the to have a feedback mechanism to inform Health. Public Health Service Policy on Humane Care and Use IACUC in holding Levine accountable for the complainant of the outcome. This may of Laboratory Animals. (US Department of Health and Human promoting noncompliance and punishing prevent those reporting anonymously Services, Bethesda, Maryland, USA, 2015). https://olaw.nih.gov/ policies-laws/phs-policy.htm thoughtful dialogue. ❐ who may feel the concerns have not been 2. Institute for Laboratory Animal Research. Guide for the Care acknowledged from reporting to oversight and Use of Laboratory Animals. 8th edition 23-23, (National Jon Reuter ✉ and Sara Hashway agencies or other outside parties. Academies Press, Washington, D.C., USA, 2011). University of Colorado Boulder, Boulder, While OLAW is not tasked specifically 3. Ofce of Laboratory Animal Welfare, National Institutes of Health. Reporting Noncompliance. https://olaw.nih.gov/ CO, USA. in the PHS Policy with determining if guidance/reporting-noncompliance.htm (2020). ✉e-mail: [email protected] retaliation has occurred, it takes allegations 4. Potkay, Steven & DeHaven, William OLAW and APHIS: Common Areas of Noncompliance. Lab Animal 2000 29 32-37. of retaliation seriously and in such cases https://olaw.nih.gov/sites/default/fles/LabAnimal.pdf (2020). carefully monitors institutional animal care 5. Ofce of Laboratory Animal Welfare, National Institutes Published online: 27 May 2020 and use programs for compliance with of Health. Domestic Assurance Sample Document, Part III. https://doi.org/10.1038/s41684-020-0553-x PHS Policy and the Guide, particularly Institutional Program for Animal Care and Use https://olaw.nih. gov/sites/default/fles/assursmp.htm#sectionIII (2020). regarding reporting policies related 6. National Institutes of Health. Public Health Service Policy on References to animal welfare concerns1–4. OLAW Humane Care and Use of Laboratory Animals - Frequently Asked 1. Ofce of Laboratory Animal Welfare, National Institutes of Health. Obtaining an Assurance. https://olaw.nih.gov/guidance/ considers whistleblower protections Questions. Institutional Reporting to OLAW, Question C.5. (US Department of Health and Human Services, Bethesda, obtaining-an-assurance.htm imperative to ensure effective institutional MD, USA, revised 2017). https://olaw.nih.gov/guidance/ 2. Institute for Laboratory Animal Research. Guide for the Care oversight. A whistleblower may be the faqs#report_5 (2020). and Use of Laboratory Animals. 8th edn. (National Academy Press, Washington, DC. 2011.)

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