Whistleblowing to UK Research and Innovation (UKRI)
Krzysztof Potempa
Dreamster dedicated to the prevention and treatment of mental health disorders that affect at least 1 in 6 people worldwide!
I am writing to share my personal experience of whistleblowing to Dame Ottoline Leyser, Chief Executive of UK Research and Innovation (UKRI) in relation to among other "the use of non-disclosure agreements to settle matters relating to bullying, harassment and retaliation leaving a young mother of two without the permanent job she had while the perpetrators and enablers remain employed at the Crick"; "the failure to conclude grievance and whistleblowing investigations into the action of senior academic, human resources-HR and management members of the Crick" and "the use of tax-payer money to recruit very expensive third-party legal teams in addition to internal legal teams to wage protracted and unfair battles of attrition against whistleblowers" by UK's flagship Francis Crick Institute detailed within Whistleblowing at the Francis Crick Institute | LinkedIn
18 November 2022 Ottoline Leyser response to my 13 September 2022 letter:
Thank you for your letter dated 13 September 2022 and I am sorry for my slow response.
First, I would like to thank you for the work you are doing to improve research culture and also to find treatments for mental health conditions. These are both topics close to my heart and they are both areas where it is challenging to make progress.
On the specific situation you describe in your letter, I am sorry to hear about such difficult experiences and I appreciate you contacting me regarding this matter. ...
As you know, I am unable to discuss individual cases of bullying and harassment. UKRI does not have a regulatory role in the research and innovation sector, we are not on the list of prescribed persons and bodies who can receive third party whistleblowing concerns, nor are we an ombudsman. This is important because we are, ourselves, a research-conducting organisation and it is important that we too are held to account when behaviours fall short of the required standard. ...
UKRI is committed to preventing and tackling bullying and harassment in the research and innovation sector. We believe that it is everyone’s responsibility to address these issues and that everyone has a right to be treated fairly and with dignity and respect. We are committed to promoting safe research and innovation environments, which are free from bullying and harassment, as well as other types of harm.
Our approach and expectations on bullying and harassment are set out in the UKRI Preventing Harm Policy [(1)]. ... These polices are important but, in my view, many of the cases with which I have been involved over the years should never have escalated to the point of formal complaints being made. Furthermore, however good the quality of the complaints processes, they are usually extremely stressful for all those involved, adding to an already very difficult situation. I am therefore keen that we work to promote research environments that prevent bullying and harassment from arising, and target very early interventions such as bystander training.
Unfortunately, the evidence base for understanding the causes of bullying and harassment and effective interventions to prevent them is weak [(3)]. ... Within academia, several aspects of current research culture are considered to contribute toward a culture that enables bullying and harassment. These include academic hierarchies, the competitive nature of research, and a system focused on individual achievement against narrow criteria, all of which can create unhelpful pressures on individuals at all levels.
There is also a perception that these features are in some way necessary for excellence, when in my view the opposite is true. There will always be competition in research. There are more good ideas than there is funding to support them. However, excellence in research requires that a diverse range of people ideas and approaches are supported, and there is good evidence that collaboration in diverse teams promotes excellence.
High quality research and innovation require an environment where challenge is welcome and contradictory ideas are freely contributed and discussed. This environment should also mitigate against bullying and harassment. I find the framework of psychological safety (Newman et al Human Resources Management Review 27:521-535) [(2)] helpful in encapsulating features of a high quality research environment. In this sort of environment, everyone feels comfortable providing and receiving honest feedback. Building this kind of environment will require multiple interventions over a sustained period of time, which is frustrating in a community hungry for change...
6 February 2023 Ottoline Leyser response to my 20 December 2022 letter:
...In the past two years, UKRI has received a total of three Employment Tribunal claims alleging bullying and harassment. ... [(4)]
You have asked that we “provide a breakdown of how many times each sanction type has been applied by UKRI since UKRI’s establishment organized by year and research council’. Our system for recording data on sanctions is currently under review. At present we are limited in terms of what data we can provide as the system only holds data on currently active sanctions and we do not have a mechanism to report on sanctions that were applied and then lifted historically. Furthermore, we do not have a mechanism for rapidly determining the reason why a sanction was applied. Identification of sanctions that relate to bullying and harassment would require review of each individual sanction recorded. On our funding system, we currently have 2309 individuals, employed at 217 research organisations who have sanctions set against them. The vast majority of these sanctions have been applied for non-compliance with research outcome reporting requirements. There is an active debate about the best approach to take to eliminate bullying and harassment in research and innovation environments. UKRI is committed to taking an evidence-based approach to achieving this very important goal. The 2019, UKRI commissioned evidence review: Bullying and Harassment in Research and Innovation Environments [(3)], underpins UKRI’s policy position, as well as the guidance and expectations we set out for those that we fund.
23 May 2023 Ottoline Leyser response to my 12 April 2023 letter
1. Could you please detail your treatment plan in relation to the sensitive matter I raised to you on 13 September 2022?
The Francis Crick Institute is an independent legal entity and is responsible for dealing with complaints and grievances raised by its staff. The concerns you have described in your letter of 13 September 2022 at The Francis Crick Institute are issues at an institutional level. We recognise that they may be reflective of problems in other research and innovation environments, and we are working across the sector to foster an antibullying research and innovation culture in the UK and beyond.
In this context please note my latest response on 6 February, to recap, UKRI does not have a regulatory role in the research and innovation sector.
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4. Has the UKRI monitored the Crick to ensure they promote a fair, transparent, and positive culture anytime from learning this is not the case since January 2020?
I cannot comment on specific assurance or audit activity at The Francis Crick.
5. What is the expected timeframe for funded organizations to inform UKRI about upheld allegations?
As per my previous response of 6 February 2023, we require that the notification should be made in a timely manner rather than to a specific timescale. We are currently maturing our approach in this area, working with UKRI councils, the UKRI Research Organisations Consultation Group and UKRI governance groups to review our reporting process for bullying and harassment for UKRI- funded grants, studentships and fellowships.
8. I would expect that individuals and environments truly committed to positive research cultures would endorse and implement Hunter et al’s 7 principles to accelerate research culture change in the UK [(5)].
Do you have any intention on endorsing and implementing the mentioned principles? If not, could you please explain why not?
We have no current plans specifically to endorse or implement the mentioned principles wholesale. This reflects that there is an active debate about the best approaches to take to eliminate bullying and harassment in research and innovation environments, which in part reflect the diversity and complexity of the research and innovation landscape. For example, there is significant diversity in institutional structures and governance, definitions of bullying and harassment, the range of bullying and harassment cases that arise, and the harms and benefits resulting from particular responses to bullying and harassment. My primary focus is to foster a culture in the research and innovation system where bullying and harassment do not happen. This will require multiple aligned interventions by many actors.
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