All those involved in applying for, in receipt of, or managing research awards must familiarise themselves with the specific terms set out in the relevant funder’s bullying and harassment policy. Typically, such policies apply to all ‘participants’ in awards including award-holders, co-investigators, sponsors and supervisors, research staff, students, fieldworkers, collaborators, consultants, sub-awardees and advisory committee members (hereafter ‘those associated with the award’).
The University’s obligation to report information about bullying and harassment to the funder
The University has responsibilities to inform relevant funders:
- At application stage - if applicants, or others named on the grant application, have live disciplinary warnings or sanctions for bullying and harassment;
- Throughout the duration of the award - if allegations of bullying and harassment (in the case of NIH grants, sexual harassment) are being formally investigated against those associated with the award.
As part of its revised policy, Wellcome has introduced two new requirements:
- At application stage if the applicant has been at the University for less than 12 months, Wellcome must be informed if the applicant has a live disciplinary warning for bullying, harassment, abuse or harm, or research misconduct, at their previous employer; and
- For grant applications already under consideration, Wellcome must be notified of any allegations associated with an employee, either as a lead applicant, sponsor or supervisor, that lead to an investigation.
In order that the University can comply with these requirements, the following steps should be followed:
(i) When submitting an application to a funder that requires disclosure about bullying and harassment and/or research misconduct sanctions
Prior to submitting an application to Research Services for institutional review and approval and submission to the funder, an appropriate senior departmental contact (typically the Head of Department or Head of Administration and Finance) should contact the Executive Director of Research Services if anyone named on the grant application has a live disciplinary warning or sanction for bullying and harassment or research misconduct (and, for Wellcome applicants who have been with the University for less than 12 months, if they had a live disciplinary warning or sanction for bullying and harassment or research misconduct at their previous employer). The Head of Department and Executive Director of Research Services, in consultation with University HR, will agree how any relevant information required by the funder should be disclosed to the funder in confidence in order for the application to proceed.
(ii) When a formal investigation of a bullying and harassment or research misconduct allegation is commenced by individual associated with an award
When a formal investigation of a bullying and harassment or research misconduct allegation is commenced, departments should establish whether the individual who is the subject of the investigation is associated with any research grant applications or awards with conditions that require disclosure of the fact to the funder. Departments should liaise with their HR Team Leader and may also seek advice from the Executive Director of Research Services. Where notification to the funder is required, the Head of Department and Executive Director of Research Services, in consultation with University HR, will agree how any relevant information required by the funder under its terms and conditions should be disclosed in confidence.
It is anticipated that this circumstance will be sufficiently rare that no more formal process will be required. However, it is essential that departments pass the information on promptly and confidentially to the Executive Director of Research Services at the appropriate stage.
In all cases the minimum necessary information will be shared (but note that Wellcome requires a `factual statement about the nature of the allegation’).
Funders with policies around bullying and harassment or research misconduct typically state that they may apply their own sanctions (in addition to those applied by the employer) in cases where an allegation has been upheld against applicants or award holders. This may include rejection at application stage, withdrawal of funding, removal of an individual from the award etc. Wellcome also reserves the right to share any information they receive with co-funders of the research.
Where such sanctions from funders result in consequences for individuals and their teams, departments, Research Services and University HR will aim to provide support.
(iii) The University’s obligations with respect to our own policy and that of sub-awardees
The responsibilities imposed by funders typically require the University to have its own policy on bullying and harassment, which meets certain criteria, and to investigate allegations of bullying and harassment in an impartial, fair and timely manner, and take appropriate action. The University has approved revisions to its Harassment policy to ensure that, where relevant, members of the University funded by an external sponsor understand their responsibility to comply with a sponsor’s terms and policy pertaining to bullying and harassment and that the University may also be required by the sponsor to comply with specific terms relating to bullying and harassment.
Funders typically also require that collaborating institutions, sub-awardees, consultants and other external parties are subject to the terms and conditions of its funding and have appropriate local policies in place. Advice should be taken from Research Services, which will look to ensure that relevant provisions are included in agreements with third parties connected with such an award.
(iv) Other issues that may arise
The issue of sharing sensitive data with an external body clearly raises data protection issues. The University has completed a Legitimate Interest Assessment relating to these requirements, which has concluded that there would be a Legitimate Interest to share the data required by the funders’ policies.
Funders may:
(a) make a contact at the University aware of any allegations made directly to the funder about the behaviour of Oxford staff; or
(b) ask for more information about an organisation’s policy and processes and whether they are following them.
Wellcome’s policy stipulates that anyone can report a concern or allegation of bullying, harassment, abuse and harm related to Wellcome-funded research directly to Wellcome,as well as to the University. If an allegation is made directly to a member of Wellcome staff, Wellcome will discuss the circumstances with the informant and, if the informant is unwilling or unable to report the allegation to the University, Wellcome will then contact the University directly. The University’s contact for the purpose of receiving such allegations is the Head of Employment Relations (Dawn McNish, email: [email protected]).
Wellcome may ask for more specific details about concerns, including the name of the employee under investigation. If this happens, please liaise with the relevant HR Team Leader in University HR.
