Detailed template procedure for investigating breaches of research integrity
Detailed template procedure for investigating breaches of research integrity
Version 1.0
This new template procedure provides research organisations with a clear, adaptable framework for responding to concerns about research integrity and allegations of misconduct in research. It supports institutions in developing proportionate, fair, and robust processes that can be applied to a wide range of situations – from relatively straightforward concerns to complex cases requiring full investigation.
This resource consists of a detailed template procedure and an accompanying flowchart outlining an investigation process. Both are adapted and updated from UKRIO’s 2023 Procedure for the Investigation of Misconduct in Research, reflecting the latest sector guidance, improved accessibility, and a revised approach that helps destigmatise investigations into research conduct.
Resources for download
Why clear investigation procedures matter
All research organisations receive concerns about research conduct. Responding to these is a routine and essential part of maintaining high standards, yet many institutions lack clear, consistent processes for handling such concerns. Without a well-designed procedure, the management of concerns may be inconsistent, delayed, or perceived as adversarial – undermining trust and discouraging individuals from raising issues.
Managing concerns, most of which are made in good faith, is vital to safeguarding the quality and credibility of research. Handing these through a transparent and proportionate process helps institutions identify problems early, supports a positive research culture, protects staff and research participants, and ensures that any necessary corrective or disciplinary actions are grounded in sound evidence. Robust procedures are therefore central to addressing breaches of integrity, strengthening research culture, and meeting legal and ethical obligations.
How to use this procedure
The template is intended as an adaptable guide, not a prescriptive standard. Organisations should tailor it to their structures, governance frameworks, and disciplinary processes. Because no procedure can anticipate every scenario, institutions will still need to make informed, context-sensitive judgements throughout an investigation. A clear, consistently applied, and regularly reviewed procedure will help ensure that such decisions are fair, robust, and well-evidenced.
Smaller research organisations or those without established frameworks are encouraged to seek support from UKRIO when developing or implementing their own procedures.
Disclaimer
This resource provides guidance only. UKRIO does not have regulatory authority, and organisations should obtain independent legal advice when developing or applying their procedures. The document should not be used in court proceedings and must not replace legal or statutory requirements. Institutions remain responsible for ensuring compliance with relevant employment, contract, data protection, and duty-of-care obligations.
Need support?
UKRIO can provide impartial guidance on adapting or implementing the procedure and flowchart. Please contact: info@ukrio.org
Last updated: 12 December 2025