Named Person Responsibilities
Initial Actions
The Named Persons (i.e. the FDRI) are the individuals nominated by the University to:

receive allegations of Research Misconduct;

initiate and supervise the application of the procedure in consultation with a relevant Faculty HR Manager (including undertaking
the initial investigation);

maintaining records and reporting on the investigation with internal contacts and external organisations as appropriate; and,

taking decisions at key stages of the procedure.
Responsibilities Checklist:
Initial Actions (within 10 working days of receipt of the written submission of the allegation. If it will not be
possible to work to this timescale inform the respondent and complainant).
1)
Notify the FPVC and the Director of HR of any potential conflict of interest (HR Contacts & Conflicts of Interest
Policy.)
2)
Acknowledge receipt of allegation
3)
Inform the respondent’s FPVC of any allegations, in confidence, and the substantive employer if the respondent is
not an employee of TUOS e.g. a clinical academic with an Honorary contract or NHS employee, the relevant Trust
(in line with Follett requirement).
If appropriate also inform any relevant authority or regulatory body of the
allegations (Follett Review Principles).
4)
Review the nature of the allegation to determine if it falls under the definition of Research Misconduct (see GRIP)
Complete
[√]
(advising complainant in writing if not) if it is appropriate, take any immediate action to prevent further harm/risk
(GRIP Policy).
Factors to be considered when determining the severity of the issue (not exhaustive):

Impact (on public, research record)

Level of intent or negligence

Potential harm/actual damage

Breach of legal requirements

Damage to reputation

Remedial action required
If allegation is anonymous, in assessing whether you are able or it would be appropriate to consider the
complaint, the following factors should form the basis of your assessment:

Seriousness of the issue

Credibility of the concern

Likelihood of being able to investigate the matter and confirm the allegation from alternative sources; and

Fairness to any individual mentioned in the disclosure.
If it is not deemed feasible to investigate, a record of the reasons for this decision should be made and retained
should we be subsequently challenged.
5)
Determine if the allegations fall under the University’s definition of potential research misconduct by referring to
the GRIP policy.
If the allegations are not considered to amount to research misconduct, this should be
communicated to the complainant outlining the reasons why the allegations cannot be investigated using this
procedure. Where possible highlight which process would be more appropriate to deal with their concerns and
to whom they should report their concerns to/seek further advice from (in consultation with the relevant Faculty
HR Manager) (GRIP Policy) & (Managing Performance Toolkit).
6)
If any external funders/sponsors/external collaborators are involved check what the contractual requirements are
in relation to such allegations, including if there are any contractual, legal or internally agreed obligations towards
such bodies concerning how such allegations will be handled Ensure that the PVCR&I is informed of any external
communications (RIS Contacts).
If the funding body wishes to conduct their own investigation it should be done in partnership with the
University, and the University will retain its responsibilities as the employer.
7)
Subject to deliberations from (5), meet with the respondent (with a representative from HR in attendance) to
advise them that allegations of Research Misconduct have been made which involve him/her, and provide a them
with a copy of the procedure to be followed (HR Contacts) & (Research Misconduct Procedure).
8)
Ensure all relevant information and evidence is secured.
This may include requesting a temporary restriction
being placed on the respondent not to have contact with key staff or those of any partner organisation (Data
Protection Responsibilities).