Procedure for the Investigation of Misconduct in Research
Update: feedback sought on UKRIO's Procedure for the Investigation of Misconduct in Research
UKRIO would welcome feedback on the Procedure, its adoption by research organisations and its use in investigating allegations of misconduct. Details on how to contact us can be found here.
Procedure for the Investigation of Misconduct in Research
In September 2008, UKRIO launched its Procedure for the Investigation of Misconduct in Research.
This step-by-step Procedure is aimed at all organisations engaged in research using funds from funders such as the Research Councils and other government bodies, as well as from charities, overseas funding bodies and the commercial sector. It sets out an approach to be followed from the first receipt of an allegation through to the investigation panel which will conclude whether the alleged misconduct occurred. The Procedure describes the issues that can arise in the course of an investigation, especially with complex allegations, and how to address them.
The Procedure is designed to ensure that investigations are carried out both thoroughly and fairly. It works with existing institutional processes such as disciplinary and grievance procedures and does not replace them.
Since its launch, the Procedure has been used by universities and NHS Trusts to investigate allegations of research misconduct, which can have serious and wide-ranging implications if not addressed properly. Research organisations can adopt the Procedure for use when investigating allegations of misconduct in research or use it as a reference tool when revising their existing processes to address misconduct. UKRIO is happy to provide advice and assistance to institutions on the adoption and use of the Procedure and on the general revision of polices and systems to address misconduct.
Adoption of the Procedure is strictly voluntary as UKRIO is an advisory body and not an organisation with regulatory powers; however, we encourage research organisations to use the Procedure as part of their policies and systems for the promotion of good practice and integrity in research. Through the widespread adoption and consistent use of the Procedure, it is anticipated that investigations into allegations of misconduct in research carried out by universities and other organisations will be conducted to the standards of objectivity, rigour and fairness set out in the publication.
The Procedure is designed to meet a need that may arise infrequently in research organisations but, when it does, can have wide-ranging and damaging consequences, harming both people and institutions. The UKRIO Procedure offers a standardised and clearly-defined process to investigate allegations of misconduct fairly, thoroughly and objectively.
The objectives of the Procedure are to:
- ensure that an investigation of alleged misconduct in research is thorough and fair;
- demonstrate that, by using an agreed standard process, there should be fewer errors in the conduct of investigations; and
- reassure those who are under investigation that the process will follow a standard procedure adopted nationally by universities and other research organisations.
The Procedure contains principles to inform the conduct of investigations of alleged misconduct and to ensure that they are carried out with the highest standards of integrity, accuracy and fairness. In addition, the Procedure contains a clear definition of what is misconduct in research.
Copies of the publication are available from UKRIO on request. A PDF of the publication can be downloaded here.
Feedback on the Procedure
UKRIO welcomes feedback on the Procedure, its adoption by research organisations and its use in investigating allegations of misconduct. Details on how to contact us can be found here.
