How to Blow the Whistle and Still Have a Career Afterwards Or... How to Conduct Professional Disputes Professionally

C. K. Gunsalus

“In looking for people to hire, you look for three qualities: integrity, intelligence, and energy. And if they don't have the first, the other two will kill you.” Warren Buffet CEO, Berkshire Hathaway

any ethical codes and codes of The Pressure To Stay Quiet conduct require you to report Let’s start with don’t do anything mes- wrongdoing because early, sages. The pressures in group settings—like M thorough examination of rele- at work or school—generally combine to vant facts is in the best interest of every or- tamp down your instinct to speak against ganization. For that to happen, witnesses to possible wrongdoing. They lead us to follow wrongdoing must bring their concerns to at- the lead of others, to conform to the group, or tention. Besides, if there’s a rule, the com- to rationalize that, if something is truly pany can show its commitment to doing the wrong, someone else will take care of it. right thing. The Bystander Effect. We know that the Still, the codes describe the formal rules; more people who aware of a problem, the the informal messages we all get can be very less likely it is that any one person will step different because there are powerful pres- forward; it’s called the bystander effect, and sures all around us telling us not to act. Sort- some of the most replicated research in social ing through these mixed messages is compli- psychology has demonstrated its power cated and a critical component of managing across a wide range of settings. This research your own development and career. was catalyzed in the 1960s by news reports of a woman, Kitty Genovese, calling out for help while being stabbed and raped in New York City within earshot of many people in their apartments. Trying to understand how that could have happened, Darley and La- tane did a series of experiments in which they staged emergencies in and around groups of people. From smoke pouring into a classroom to fake heart attacks, they found that the more people who were nearby, the less likely anyone was to respond. At the same time, they found that if one person did

© C. K. Gunsalus 2010; based on How to Blow the Whistle and Still Have a Career Afterwards by C. K. Gunsalus, Science and Engineering Ethics, Vol 4, No. 1, 1998, with kind permission from Springer Science and Business Media. C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards step forward to help, that often stimulated ported the financial shenanigans that eventu- others to do the same. ally brought the whole company down, was Conformity and Peer Pressure. The im- the subject of an internal investigation seek- pulse to conform, to go along with the group, ing to fire her, and was vilified by the other to do what everyone else is doing, can be side’s layers when she testified at trial. Jeff stronger than we acknowledge or expect. Wigand, the scientist who reported that his Even when we think of ourselves as inde- tobacco company was manipulating nicotine pendent voices, willing to swim against the levels in cigarettes, lost his job and his family. current, it can be surprisingly hard to with- The list is long, in business, in govern- stand the pressure around us, particularly ment, in science: we hear all too often that when it builds slowly and we generally like people who report wrongdoing get fired for and respect the people we work with. This the effort. After years of limbo, an investiga- effect is amplified when some of those people tion or a lawsuit may finally substantiate the have more power than you do, and over your original report, but the person making the career. report might have endured serious conse- Another famous set of experiments by quences: unemployment, reputational dam- Solomon Asch illustrates the power of the age, medical or psychological problems, di- group. A whole series of reenactments avail- vorce, financial distress, etc. We hear these able online show members of a group, one by stories, and they resonate with us on many one, giving a clearly wrong answer with con- levels, reinforcing messages we learned as viction; after several rounds, the lone voice in children. the group who has been giving the correct As a society, we don’t much like tattle- answer eventually caves and repeats the tales; we don’t like them as children, and we wrong answer, though he’s obviously con- don’t like them as adults. There are a lot of fused by the experience. If you have not seen reasons for this, and one big one is mistrust the videos, they’re worth watching. Search of the motives: Is that person telling to gain for them and spend some time considering advantage over others in the group? Did you the power of peer pressure. tell Mom that Ben got an extra cookie so you Ambivalence about Whistleblowing. could, too, and he’d get in trouble? Or did While in theory we believe that wrong-doing you ask Mom for help because the fire he set should be reported, our feelings about the got out of control and it scared you? Those practice are more ambivalent, which also are very different situations, and their ana- adds to the pressure to follow the lead of logs recur all the time in working life. At the others around us. We’ve all heard about what same time, as we get older, the stakes get can happen to people who report what turns higher: if you see or are a part of an unethical out to be serious wrongdoing: Sherron Wat- practice or violation of professional guide- kins, the accountant at Enron who first re- lines, not only could many others get hurt, your career could, too.

When one person, or a group, So Why Report? breaks the rules to benefit Before you throw up your hands and decide to keep your head down and never themselves, there are often say a word to anyone about anything going huge costs to others. on around you, stop and consider the bigger picture. As a society, we depend on the idea that people should play by the rules, from

Page 2 C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards stopping at stop signs to how profits are re- wrongdoing followed the rules, and quietly ported. When one person, or a group, breaks got the problem corrected. That’s not news the rules to benefit and it doesn’t carry themselves, there are huge penalties. Speak- often huge costs to oth- ...for every story that ing out against wrong- ers: when the safety doing does show you to practices for deep water makes the newspapers, be a person of integrity, drilling were “finessed” there are many that never character and maturity past sensible limits on become public, because the who handles problems the Deepwater Horizon, professionally and well. the livelihoods and person concerned about The rules kick in homes of hundreds of wrongdoing followed the well before you go to thousands of people rules, and quietly got the file charges; they start were affected. When with how you handle two scientists reported problem corrected. your concerns from the they’d achieved desk- beginning and how you top cold fusion research conduct yourself when results, the time and money of scores of re- you have disagreements with people at work searchers were diverted—wasted—while try- about matters of import, especially ones with ing to replicate and then investigate the false ethical dimensions. claims. More personally, who are you and what do you stand for? Do you want your reputa- Start at the Very Beginning: tion associated with an organization where Know The Rules For Having misconduct is countenanced? If your boss manipulates the sales figures for the quarter, Disputes at Work not only could she get caught and end up Well before you think about reporting without a job, you could too. If your adviser what’s going on in your group to others, you fudges data, not only could his career end, start to get uncomfortable in your daily yours could be put under a lifelong cloud as work. You might try to raise questions and well. get shut down. Or, you keep track, and the How do you figure out if speaking up is pattern of how things are done just doesn’t worth it? Should any sensible person f e e l r i g h t . ever blow the whistle when confronted Whether or not with evidence of serious wrongdoing? you ultimately It depends. file charges, you As is so often the case, there are should follow unwritten rules that affect how your these rules situation will play out. Knowing the while you as- rules and following them will make all sess the situa- the difference in what you should do tion that bothers and the outcome of your efforts. It is you. also important to know that for every story that makes the newspapers, there are many that never become public, be- cause the person concerned about

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Rule One: Consider Alternative might have misunderstood or misinterpreted Explanations (Especially the situation. This is especially true for em- That You May Be Wrong) ployees new to a department or organization, and those low on the power scale, who do All the following rules are based upon your not always have all the information neces- total and complete compliance 1 with Rule sary for evaluating a situation. One. For example, if your boss tells you to ad- At every turn, consider seriously the fact just the sales numbers for the quarter in a that your perception of the situation may be way you think crosses the line, stop and as- mistaken. Remain open to information that sess whether there are other sales being re- provides an alternative explanation to your ported to your boss that you don’t know own. When receiving information that chal- about. Are there divisions included in your lenges your existing conclusions, go back and numbers you don’t see? Look at the org chart re-examine your logic to see if it still holds and think about what you don’t know. If up. Rule One does not mandate that you ig- your adviser tells you to leave out some of nore clear conclusions from the data to “smooth” the obvious facts; it simply re- curve, what kind of experi- quires you to make a seri- ... there are legitimate, ence does she have with ous and considered effort non‐confrontational the kind of work you’re to assure that your conclu- questions you can— doing, and what’s the sions are sound and will chance that she or someone withstand close scrutiny by and should—ask else has been doing addi- people more removed from tional experiments you do the immediate situation. It is far better for not know about that are informing how she you to perform these checks than for others instructs you to report? In either case, there to expose major flaws in your thinking that are legitimate, non-confrontational questions you could have discovered had you applied a you can—and should—ask. sufficiently stringent standard. Your questions should proceed on the There may be information you do not implicit premise there is something you do have or cannot get; you are not expected to not understand and thus that you are seeking be omniscient, but you are required to be help to improve your own comprehension careful and judicious in forming your opin- and learn to be a better contributor to the ions. No matter how firm your conclusions, it group: “Have I misunderstood? At the train- is essential that you follow Rule Two in for- ing course (orientation, college, etc.), they mulating your concerns. If you can get in the instructed us to record sales differently. Can habit of following it even in your interior dia- you help me learn what’s different about this logues, you won’t run the risk later of slip- situation so I can be a better contributor to ping into presentations of conclusions rather our group?” or “Am I misinterpreting these than expressions of concern. results? No matter how often I re-calculate, I’m having trouble getting the result shown Rule Two: In Light of Rule One, Ask on this table in the manuscript. Can you help Questions, Do Not Make Charges me see where I’m going wrong?” The word “questions” is critical. Before It is very important to listen and not just charging anyone with anything, it is good to talk. Whenever you ask these questions, practice to pose your concerns as questions,2 you should be engaging in a two-way con- particularly allowing for the fact that you versation. Steps One and Two in the Proce-

Page 4 C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards dures for Responsible Whistleblowing, also fessional light. If you are overwhelmed by contain some relevant pointers. anger, frustration, resentment, or anxiety, consider seeking professional help, or find Rule Three: Figure Out What other outlets for it. It is extraordinarily stress- Documentation Supports Your ful to confront serious ethical problems at Concerns and Where it Is work. Take that seriously and, at the same time, do not ask or expect those to whom you Playing “he said, she said” is not fun. The are taking your questions about professional more you can keep the focus on factual mat- conduct to function as your friend or thera- ters, the better off you will be. All3 too often, pist. You will need friends and you may need for all the reasons already mentioned, the a therapist as you go through this process. personality of the person raising the ques- Just don’t confuse those needs with the pro- tions becomes the focus in these situations, fessional interactions of raising questions instead of the issues. You can help prevent about the work of another. Keep your focus this by concentrating relentlessly on the facts in those transactions on the work at issue. and what it takes to assess them, as well as by presenting yourself as professionally and Rule Five: unemotionally as possible. Assess Your Goals If you know what the ques- tions are and where the an- What are you seeking from this situation? swers are (even if you do not What would it take to make you feel that it have access to the source of has been properly resolved? How5 will you the answers), you can pose know when you have achieved it? Know the questions more directly, and answers to these questions before going any you will make it harder for further, because they will affect your next your questions to be actions. shrugged off without examination. Are you trying to get the sales numbers Information you might assemble in- fixed? Get the work redone? Catalyze a pub- cludes answers to some or all of the follow- lic or private discussion of the issues? Correct ing questions: What numbers or procedures a report to an oversight agency? Make the are at issue? Why is this the case? What are marketing claims more accurate? Get some- the written regulations or rules that apply? one else to admit error and that you are Where are the data to be found? How are right? Get money for supporting your own they kept (paper, computer file, notebooks, theory? Protect yourself from association sales reports, etc.)? Who collected them? Us- with misconduct? ing what techniques or procedures? What Long before you start asking for advice, materials were used in the work? Where did “going public” or lodging formal charges, it they come from? Who else has useful infor- is critical to know what you personally seek mation about these issues? How can that per- from the situation and how you will know son or persons be reached? when you get it. These situations can escalate very quickly. Lodging charges, in particular, Rule Four: Separate Your Personal almost always results in a loss of control: and Professional Concerns analyzing your own motives and goals can be very helpful in choosing the path to fol- Separate your personal and professional con- low. cerns to the maximum extent possible so that you will be presenting yourself only4 in a pro-

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For example, Step One in whistleblow- ing importance of listening to the advice you ing, below, may well lead to the person you receive. No matter how honest you have consult becoming concerned on his or her been with yourself nor how critically you own. If control and personal involvement (as have examined your logic, someone else may in receiving an apology or public vindication have information or perspective that you are for your contribution) are important enough missing. Keep your mind open to the possi- to you that you will be dissatisfied without bilities. Remember Rule One. personal involvement in a correction to the Bear in mind that there can be risk in record, you need to know that and to articu- seeking advice, but if you follow the rules late it in your interactions. and pay attention to the steps, you should be If you do not know what you seek before in a relatively protected position until the you get into this process, you may well find point at which you actually report your con- yourself unhappy with the outcome, no mat- cerns officially. Note the caveats in these ter what it is. In addition, if you do file statements: as soon as you tell anyone else charges, you will almost certainly be asked what worries you, you run the risk of losing what recourse you seek. Having a coherent control of the situation. Thus, proceed cau- and reasoned answer to this question will tiously, but proceed all the same. have a constructive effect on the process and Remember also that the goal of the early will reinforce the other steps you have taken steps is to collect enough information to de- to make this a matter of professional conduct, cide whether you will be justified in making not one of emotional reaction. an official report of your concerns: at this point, you do not have enough information Rule Six: Seek Advice to know whether you should be filing such a and Listen to It report. You are behaving professionally and re- If you have complied to the best of your abil- sponsibly to determine the appropriate fu- ity with all these rules and still believe there 6 ture course. is a problem, you are ready to approach the step-by-step process of responsible whistle- blowing. Note that there are still steps to go through before filing charges. You can only go so far by yourself, so this is the place that you must stop and explore your concerns with someone else. Yes, again. Steps One and Two provide information on picking the right person and the overrid-

The Rules for Having Disputes At Work 1. Consider Alternative Explanations (Especially That You May Be Wrong) 2. In Light of Rule One, Ask Questions, Do Not Make Charges 3.Figure Out What Documentation Supports Your Concerns and Where it Is 4.Separate Your Personal and Professional Concerns 5.Assess Your Goals 6.Seek Advice and Listen to It Page 6 C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards

Reporting Misconduct portance because of how we feel about tat- tling. After all, if the facts reported are true, Let’s say you’ve followed all the rules the motive of the whistleblower should not and believe you still must move forward to matter. Even where the whistleblower de- report suspected misconduct. Before moving lights in the problems of the wrongdoer, if into the steps, remember that how you con- the evidence reveals that important profes- duct yourself will receive a disproportionate sional or company standards were violated, and maybe even unfair emphasis in the proc- the motives of the person raising the question ess. Here’s why. should be irrelevant. Our general ambiva- lence about tattletales probably explains why A Few Words About Good Faith motive is seldom considered irrelevant in and Malicious Charges practice. This reinforces your central di- It’s a rare situation in which the motiva- lemma: how can you conduct yourself so the tion of the whistleblower doesn’t come up at question of your motives doesn’t become the some point—think back to your report about focus, rather than the acts that are worrying Ben’s cookie or fire-setting. Good faith whis- you? tleblowers must be protected—even when In organizations across the country, there wrong about the ultimate facts. Bad faith or are people whose job it is to receive com- malicious whistleblowers who are mistaken plaints, grievances, allegations and petitions. can be charged with misconduct themselves. You should know that a very large percent- How to tell them apart? age of the problems presented to them turn Filing mistaken charges where there was out to be very different than that suggested good reason to know the charges were false by the person who reported the situations. is the key element of most definitions Put another way, every story has at of “bad faith.” In this context, law- least two sides, and knowing both yers sometimes ask whether the ac- sides can change completely how cuser “knew or should have known” the situation looked when knowing that the charges were false. That is, if only one side. Especially when you the person bringing the charges are early in your career and at the should have known that the charges bottom of the power curve, you may were false from other information not have access to all the facts it readily available, that could be an takes to know for certain that wrong indication of possible bad faith that will be has been done. That doesn’t let you off the subject to punishment or prosecution. Are hook or excuse your participating in acts that you the one who really took the cookie or you know or feel are wrong. It does have started the fire? Saying that Ben did it when strong consequences for how you should you did it yourself or watched Alex do it handle yourself as you move forward. shows bad faith and would increase the con- It is a reality that once working relation- sequences for you. On the other hand, if you ships become strained, trust erodes. Conduct saw Ben do it and had no way of knowing that might have been accepted or explained that Alex had paid him to do it, or Dad gave away when people were on good terms with him permission, you would likely have been each other is perceived through a darker lens. acting in good faith, even if you were happy The existence of animosity does not in itself Ben got into trouble. establish bad faith. But its existence will af- In general, the issue of good faith proba- fect how events proceed. Those who are ex- bly gets disproportionate attention to its im- perienced at receiving concerns about possi-

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ble misconduct know that a very large num- nates, etc. The more you present yourself as a ber of cases involve personality conflicts or calm, collected, professional, the more escalating political battles. The officials who quickly this portion of the process will go. receive charges will thus almost always So you’ve prepared as best you can, now probe (consciously or unconsciously) for evi- it’s time to move forward with filing your dence of bad blood between the players in charges. any situation. Responsible Whistleblowing Especially when you are early in Step‐by‐Step Procedures your career and at the bottom Step One: Review Your Concerns of the power curve, you may with Someone You Trust not have access to all the facts The first step is always to talk quietly it takes to know for certain that and confidentially with someone you trust in a position to evaluate your concerns.1 If possi- wrong has been done. That ble, choose a person of equal or greater doesn’t let you off the hook or power than the person about whose conduct excuse your participating in acts you have questions. Two ends are served by this: First, you get reasonable advice from a that you know or feel are person with a perspective that may provide wrong. It does have strong con‐ insights you do not have on your own. Sec- sequences for how you should ond, choosing a person of equal or greater power than the person whose conduct con- handle yourself. cerns you can provide the foundation for a future alliance, if the issue is not resolved The person probing for information on through these early steps. Think about men- problems between the principals is not doing tors you have had, professors who might be so to explain away or excuse fraudulent be- helpful, or someone where you did an intern- havior, but to gain a fuller understanding of ship. Think about respected professionals what might be going on, to understand both who are family friends. Follow Rules One sides of the story. and Two above very carefully: Ask questions A key question is whether anything (only), do not lodge charges. Explain what about the work has changed (or has crossed concerns you and ask for help understanding the lines of acceptable professional conduct) the situation. or whether instead it is simply the good will Note the emphasis on seeking confiden- that has deteriorated. Because it is also often tial advice. Before you get into the substance the case that another explanation may ac- of your concerns with someone from whom count for the conduct in question, the person you seek advice, ask the person if he or she is receiving the allegations will be searching for able to protect your confidences. Some peo- information along those dimensions as well. ple, because of their organizational positions For example, the conduct may not constitute of responsibility or their personal situations, misconduct, but may well be inappropriate may not be able to promise confidentiality at on other planes, like misuse or abuse of this point in the process. For example, if a power, bullying or intimidation of subordi- person with compliance responsibilities learns, even inadvertently, that there may be

Page 8 C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards violations with respect to subjects that are the situation and your options in it, you topics of mandatory reporting for their posi- should be refining the elements of the infor- tions, that person may not be able to avoid mation you present to make as coherent and checking into the situation, no matter how it logical a presentation as possible. This will might affect the one who raised the issue. include how your concerns first arose, what Similarly, if by mischance you choose some- you did to assess them and/or to seek out one with a close personal relationship with alternative explanations, whom you have the subject of your concerns, the outcome consulted to date, the advice you received could be unfavorable. If a complete pledge of and what you did in response to that advice. confidentiality is not possible—and many It should also include some indication of times, it might not be—then you what data are relevant to your should seek a pledge that you concerns and where they can be will be notified before any revela- found. tions are made, and that the per- Your presentation may son will work with you to protect have the following flavor: “At you to the greatest possible ex- our training course [orientation, tent. college], we were instructed that It is usually not a good idea only current quarter completed to talk with many of your peers sales could be included in our about your concerns. First, peo- reports. I was told to book sev- ple at your same level are likely eral sales that, as far as I can tell to have the same disadvantage that you do in from the contracts I’ve processed, are not yet terms of access to full information about the complete. When I asked Ms. Jones about this, situation. Second, if word spreads—and it she told me not to ask questions and to go likely will—that you’re questioning the con- ahead and include them. I understand that duct of somebody above you and gossiping I’m pretty far down the food chain here, and (that’s how it will be perceived) about your I’m just trying to do the right thing. Maybe boss, it will not reflect well on you. There are there are procedures I’m too new to know times when the power of the group can help about that make my training not apply here. to get a practice changed, but you’re unlikely Can you help me figure out what I should be to catalyze it by spreading your concerns to doing next? Since Ms. Jones told me not to people around you before you’ve found a ask her any more questions, and I record all confidential, informed sounding board. the completed contracts, I’m really con- While members of your family might have cerned. The booked contracts are all recorded good advice to share, they might also lean to in the system. Can you help me understand if taking your side of the story and not fully I’ve confused something about how it works? understand the work context. Be very careful Do I need to go back and brush up on my who you choose and what you confide. procedures?” As difficult as it may be, focus on facts at In the research setting, it might go like all times, not your feelings about the person this: “I first became concerned when I noticed whose conduct concerns you. Those feelings that the figures in the paper didn’t match may need to be addressed, but they do not data I collected. When I asked Dr. Smith affect the substantive issues at the root of about this, I was told that these data came your concerns. from one of our collaborators who used a Focus on posing questions, not lodging more precise instrument than we have avail- allegations. Also, as you continue to explore able. The thing that worries me is that I used

Page 9 C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards such an instrument in my previous lab, and conducted yourself in the conversation? That its output doesn’t resemble what is pre- is, does the response have the tone “Based on sented. When I asked about this, I was told it my experience with x, y and z, that seems wasn’t my concern. I consulted unlikely to me for the follow- Dr. Deliberate, an expert on this instru- ing reasons...” or is it more ment. She confirmed that no version of like “I know Ruth Jones and the instrument could produce data in she would never do that”? this form. I am very confused and am These responses are qualita- trying to figure out an appropriate way tively different in terms of be- to proceed. Can you help me figure out ing factually-based: one is, what I should be doing next? I am con- and one is not. It’s possible, cerned about asking more questions in even likely, that a factually- my lab, because I’ve been told explicitly based response might start out not to do that. On the other hand, I’m expressed in terms of knowl- worried that a miscommunication may edge of character, but if you be leading to problems, or just my own have documentation support- confusion. The data I collected are in my ing your concerns, eventually there will need notebook on the third shelf from the left in to be facts to compared to your information. Room 697. I’ve brought copies for you to see. Reassess your conclusions if the objec- This is the version of the manuscript that first tions are fact-based and you cannot rebut led to my concerns, and some literature them with other facts. Dr. Deliberate gave me describing the fea- If the person agrees with you that there tures of the instrument I was told produced is or might be a problem, talk about what the data in figures 4 and 7. What is your ad- steps can be taken and who will take them. vice?” The person may want or be willing to carry the charges him- or herself. This is one situa- Step Two: Listen To What That tion in which it can be invaluable if the status Person Tells You of the person you have consulted is of equal or greater power than the person whose con- If the person you select for advice dis- duct is questioned. If that person is con- agrees with your perspective or discourages vinced there is a problem and that it requires you from proceeding further with2 your ques- additional steps, you will gain protection tions, try with all your might to evaluate that from his or her participation in them. response objectively. Do not assume that per- If you’re still uncertain about what to do, son is trying to protect someone else or is a apply Step Three, with care. coward if he or she does not agree with you. Those assessments may be correct, but it may Step Three: Get a Second Opinion also be that you are mistaken or do not fully understand the situation, or that you misin- and Take That Seriously, Too terpreted some aspect of it. Consider care- Bear in mind before taking this step that fully the possibility that you are just plain most communities are relatively small3 and wrong in your suspicions. that word travels within them. Your actions If the person you selected for advice dis- may well arouse the rumor mill or grapevine, agrees with you, is the disagreement based which can be damaging. Your demeanor in on the facts you provided, or does it seem to the process thus becomes all that more cru- be based on personalities or the way you cial. All the advice from Step One applies

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word will get back to the person whose con- duct concerns you in (usually) the most dam- aging possible way for you. Thus, take spe- cial care to stick to the advice in the Rules and continue to ask questions in a way that holds open the possibility that you are mis- taken. If it seems prudent and feasible, see if those who are concerned will combine with you in making a report of your concerns or of asking that someone look into the questions you raise. In the same vein, if none of those you’ve here: Ask questions and stay focused on consulted or asked are willing to involve facts. Be careful to verify that it is possible for themselves, try to assess their reasons care- the person you consult to provide you with fully. Do they disagree with you? Do they confidential, personal advice and monitor the agree but think the matter is not important professional quality of how you present enough to pursue or that another approach yourself and your motives at all times. would be more constructive? Or are they Again, assess the response you receive fearful about the consequences of proceed- very carefully, as in Step Two. Does any as- ing? Some of these are more important con- pect of it change your perception of the situa- siderations than others for you to factor into tion? Can you rebut that information with your ultimate decision. other facts, not just your conviction that Figure out if there is an ethics hotline or Smith is a slippery character who is not to be an ombudsperson you can call. Seriously trusted? consider using that hotline or person’s serv- Go back and apply all the rules and reas- ices. sess where you stand. If you believe that go- Try some or all of these approaches. This ing forward is the right thing to do, work can be a lonely business and having support through Step Four carefully and thoroughly. may mean the difference between surviving the process with a career intact and not. If all Step Four: If You Decide to Initiate you get from the effort is moral support, that Formal Proceedings, Seek Strength too will be an asset. If, from these efforts, you In Numbers form a group of people who together present charges, even better. Either way, any steps Inquire whether those you consulted will you can take to reduce or prevent your isola- join you in filing a statement of concern with tion will be to your benefit. the appropriate authorities. Are there4 others in your environment who are experiencing Step Five: Find the Right Place to the same problem or who may have observed File Charges; Study the Procedures the same actions that cause you concern? Lis- ten carefully to see if others are expressing Before taking the step to file officially, the same views. Do so carefully: do not make sure the person or organization5 you charge in heedlessly. Every additional person intend to ask to review your concerns has with whom you speak forthrightly increases some legitimate connection to the work you the possibility that you will catalyze the question. For example, professional societies rumor-mill. This increases the chance that the and journal editors are frequently asked to

Page 11 C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards investigate claims made in papers submitted Get a copy of the relevant policies or rules to them, but usually lack the resources to do and read them. Look for information on the much direct investigation, being dependent following topics: instead upon the home institutions of the re- ‣ Are you required to submit your charges searchers. Ascertain whether the person in writing, or can it be done orally? whose conduct concerns you is an employee ‣ Who will be informed of the charges you of the organization to which you will be re- make? porting. Does that organization have respon- ‣ What role will you have in the process? sibility over the person because the research ‣ What safeguards will be applied to pro- was conducted under its auspices or on its tect against conflicts of interest among premises? You may be setting yourself up for those reviewing the matters you are rais- disappointment if you seek recourse from a ing? body that has no authority to look into the ‣ Who will be informed of the outcome of questions you raise. the process? How will that occur? If possible, have some leverage or know how to get it. That is, know what the over- The answers to these questions will not sight process (if any) is for the process you necessarily change your next step, but they are invoking. Sometimes, it may be necessary will prepare you for the process and mini- to alert that oversight system when you for- mize any unpleasant surprises. mally invoke an organization’s procedures so If, after exploring these issues thor- you can assure that your charges do not get oughly, you conclude that your concerns are lost in the system. well founded and the matter serious enough, Know before you take your first formal then—and only then—proceed to Step Six. steps what procedures will be followed. Cor- porations have internal ethics and compli- Step Six: Report Your Concerns ance offices, and those offices will have in- To the maximum extent possible, con- formation about the rules and how to access tinue to pose your concerns neutrally or in their systems. Institutions receiving federal the form of questions. Remember that you research funds are required to have written still are not asserting that “Director6 Plum is policies. inflating sales numbers” or that “Dr. Mustard is committing scientific fraud.” You are stat- ing facts, asking questions or raising con- cerns along with specific information about how those concerns may be assessed. The There may be facts of tone will be something like: “The reported sales figures shown in datafiles 93-406 seem which you are unaware discrepant from the division’s reports.” or, that make the situation “The published data from three experiments dramatically different from conducted between June and December 2009 appear to differ from those in the laboratory your perception of it. books kept in the blue cupboard on the east wall of room 2546,” or, “The first two sections of the paper published by Dr. Scarlet seem to track very closely my dissertation. I am not listed as an author on the paper.”

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There may be facts of which you are un- If interviewed by a company lawyer or aware that make the situation dramatically called to testify before an investigating com- different from your current perception of it, mittee, find out if you may be accompanied no matter how carefully you have been fol- by a friend or adviser, for moral support if lowing the rules and procedures for respon- nothing else. These occasions can be stressful, sible whistleblowing. Your interests will be and many people under stress do not hear or better served in the long run if you can avoid remember things as well as they might wish. attaching labels, attributing motives, or dis- If you are accompanied by a trusted person, playing venom in your interactions. that person can call for a break to help you When you make your report, provide all regain your composure if you get wrapped the documentation you can, or all the infor- up in the emotions of the moment, and after mation about its location you have available the meeting can help you form a balanced to you. perspective about the meeting. Under ordi- nary circumstances you should not need to Step Seven: Ask Questions; engage an attorney, and if you do, it may Keep Notes send signals that are counterproductive. However, it is wise to have someone accom- If there is a meeting at which you report pany you who puts your interests first, hears your concerns, ask questions and keep care- all that is said and can help you assess how ful notes of the answers you are7 given. Date the process is functioning. your notes, and record who was present Please note that there are circumstances when you were provided with each item of that are not ordinary and in which consulting information. Ask what steps will follow and with an attorney in advance may help protect to what extent you will be kept informed. you. If there is not someone you can consult Ask if there is a person whom you may call confidentially inside the company or univer- or who will contact you regularly to keep sity, or if the conduct that concerns you is you apprised of the status of the situation. very serious if true (such as criminal conduct Will you be called to testify in the process? or serious financial irregularities), you may Given an opportunity to respond to informa- want some legal advice before you begin. If tion presented about your concerns? In- the university or company has received pub- formed when the process is over? licity for treating previous whistleblowers

Responsible Whistleblowing: Step‐by‐Step Procedures

1. Review Your Concerns with Someone 5. Find the Right Place to File Charges; You Trust Study the Procedures 2. Listen To What That Person Tells You 6. Report Your Concerns 3. Get a Second Opinion and Take That 7. Ask Questions; Keep Notes Seriously, Too 8. Cultivate Patience! 4. If You Decide to Initiate Formal Proceedings, Seek Strength In Numbers

Page 13 C. K. Gunsalus How to Blow the Whistle and Still Have a Career Afterwards very badly, or for responding to problems progress, even before any other complexities with all-out attempts to whitewash, you may arise. want to arm yourself with good legal advice For this and other reasons, it is impor- in advance. It still may not be a good idea to tant not to make assumptions about what is be accompanied by an attorney when you file happening or what it might mean. Ask the your charges, but having an effective lawyer person to whom you reported your concerns on your side and/or knowing your legal po- to call you periodically, or call and ask your- sition in advance of taking action is some- self. Be patient, persistent and professional. times a wise precaution. A caution: unless the Always follow the rules in how you conduct attorney is experienced or knowledgeable in yourself. the specific area of your complaint, the ad- vice may not be of much use to you. Do some Conclusion networking to find the right lawyer. Contact It is possible to blow the whistle and still one of the whistleblower support organiza- have a career afterwards, but it takes a tions or a successful whistleblower for advice combination of common sense, prudence, and/or a referral. and some luck. If you have followed these Take all of your documentation and rules and steps carefully, you have done a notes when you go to file charges—and be great deal to protect yourself as you move prepared to provide copies if through an investigation of suspected mis- you have not previously. conduct. There are no guarantees, but follow- Again, try to project a ing these steps should leave you reasonably calm, non-vindictive de- well informed and help you to make good meanor; focus on “big- decisions. picture” objectives and These proceedings are difficult for eve- avoid slurs on the char- ryone involved, but by following these rules, acter of others. Your feel- you should be able to maximize the likeli- ings should not be the fo- hood that questions that concern you moving cus of these proceedings—the forward are serious questions deserving of factual matters in question should be. concentrated review. In the process, by look- Keep your advisors and/or advocates ing before leaping, you will minimize some informed. Listen to their advice and try to of the worst consequences that can happen to keep a sense of humor and perspective. Get a whistleblowers, and still have a productive lot of exercise and find ways to work off the career with your good name intact. frustrations that will inevitably arise in the process that will follow.

Step Eight: Cultivate Patience! This process always takes longer than will feel reasonable. If there is a formal in- quiry or investigation, it is likely8 to be con- ducted by more than one person, or even by a committee. The logistical problems of get- Acknowledgments: Many thanks to Gretchen Winter ting together and communicating with a and Billy Tabrizi for their comments and suggestions, number of busy people can impede rapid Jovanna Stanley for editing and to Billy Tabrizi for graphic design.

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