Procedure for Investigating Allegations of Misconduct in Research

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(x)more than one Respondent, the Named Investigator shall inform each individualseparately and not divulge the identity of any other Respondent. A summary ofthe allegations in writing shall be given to the Respondent (and his/herrepresentative by agreement) at the meeting, together with a copy of theProcedure to be used and the timeframe of the investigation.This Procedure aligns with the College’s Whistleblowing policy. In accordancewith that policy, the allegation and identity of the Complainant will be keptconfidential so far as is reasonably possible by the Named Person/NamedInvestigator until any Formal Investigation is launched, save for the provisions inparagraphs 22.4.6 – 22.4.9 above.23.1.5 Stage Three: Screening(i)The Named Investigator shall ensure that all relevant information and evidenceare secured, so that any investigation conducted under this Procedure canhave access to them. This may include, but is not limited to:a. Securing all relevant records, materials and locations associated with thework, copies of which shall be provided to the Respondentb. Liaising with Human Resources and the relevant line manager(s) to: Request the temporary suspension of the Respondent from duties onfull pay Request the temporary barring of the Respondent from part, or all, ofthe premises of the College and any of the sites of any partnerorganisation(s); and/or Request a temporary restriction be placed on the Respondent requiringhim/her not to have contact with some or all of the staff of the Collegeand those of any partner organisation(s)(ii)(iii)(iv)Such actions shall only be taken where there is a clear risk to individuals orthat evidence might be destroyed, and will take into account the Respondent’sresponsibilities for supervision, teaching and management. A review of anysuch action will be taken throughout the Procedure to ensure that it is notunnecessarily protracted. The implementation of this stage of the Proceduredoes not imply guilt.Once initiated the Procedure will progress to the natural end-point irrespectiveof:a. The Complainant withdrawing the allegations at any stageb. The Respondent admitting, or having admitted, the alleged misconduct, infull or in partc. The Respondent or the Complainant resigning, or having alreadyresigned, his/her postAll contributions to the process of screening will be recorded and maintainedfor subsequent use. As part of the Screening Stage the Named Investigatorwill:a. Review the submission and supporting evidence provided by theComplainantb. Review the evidence and supporting documentation from the Respondentc. Review any background information relevant to the allegationsd. Interview the Respondent, the Complainant and other individuals whomight provide relevant informatione. Produce a report of the findings of the Screening Stage
(v)(vi)(vii)(viii)The Screening Stage will normally aim to be completed within 30 working daysfrom the receipt of the allegations.When there is clear evidence of an infringement that might contravene theCollege’s disciplinary code, the Named Investigator will consult the Head ofHuman Resources on the full and accurate transfer of all case information tothe disciplinary process. A full written record shall be kept of this decision.When the Named Investigator considers that the allegations are sufficientlyserious and have sufficient substance to warrant recommending a FormalInvestigation, the Named Investigator shall take immediate steps to set up aFormal Investigation.When the allegations have some substance, but due to a lack of clear intent todeceive or due to their relatively minor nature, the matter shall be addressedthrough the College’s competency, education and training mechanisms, orother non-disciplinary processes, rather than through the Procedure’s FormalInvestigation stage. The investigation using the Procedure would thenconclude at this point.If the Named Person decides that the allegations are mistaken, frivolous,vexatious and/or malicious, the allegations will then be dismissed. Thisdecision shall be reported in writing to the Respondent and all the parties whohad been informed initially.23.1.6 Stage Four: Formal Investigation(i)(ii)The Investigation Panel shall examine the evidence collected during theScreening Stage following the original allegations and investigate further asrequired.The Named Investigator shall inform the following (or their nominees) that aFormal Investigation of the allegations is to take place:a. Respondent (and his/her representative by agreement)b. Complainant (and his/her representative by agreement)c. Named Persond. Principale. Head of Human Resourcesf. Head of Research Grants Administrationg. Academic Secretaryh. Named Person of any Partner Organisation with which either theRespondent and/or Complainant has an honorary contract, and throughhim/her the Heads of Organisation, Personnel and Research(ix)(x)(xi)(xii)The Investigation Panel must be appointed within 30 working days of theNamed Investigator recommending a Formal Investigation. The InvestigationPanel will not work to a prescribed timetable but will work as quickly aspossible without compromising the Principles of the Procedure.The Investigation Panel shall consist of at least three, and always an unevennumber of, senior members of staff. In selecting the panel the NamedInvestigator shall take into consideration the subject matter of the allegationsand any potential conflicts of interest.It is a requirement that one or more members of the Investigation Panel beselected from outside the College, particularly where allegations are especiallyserious or involve senior staff. Such external members replace internalmembers of the Investigation Panel rather than being in addition to them.At least two members of the Panel shall have experience in the area ofresearch in which the alleged misconduct has taken place, although they shallnot be members of the Department concerned. Where allegations concern
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Procedure for Investigating Allegations of Misconduct in Research

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