Important Topics for Fostering Research Integrity by Research Performing and Research Funding Organizations: A Delphi Consensus Study

Abstract

To foster research integrity (RI), it is necessary to address the institutional and system-of-science factors that influence researchers’ behavior. Consequently, research performing and research funding organizations (RPOs and RFOs) could develop comprehensive RI policies outlining the concrete steps they will take to foster RI. So far, there is no consensus on which topics are important to address in RI policies. Therefore, we conducted a three round Delphi survey study to explore which RI topics to address in institutional RI policies by seeking consensus from research policy experts and institutional leaders. A total of 68 RPO and 52 RFO experts, representing different disciplines, countries and genders, completed one, two or all rounds of the study. There was consensus among the experts on the importance of 12 RI topics for RPOs and 11 for RFOs. The topics that ranked highest for RPOs concerned education and training, supervision and mentoring, dealing with RI breaches, and supporting a responsible research process (e.g. through quality assurance). The highest ranked RFO topics concerned dealing with breaches of RI, conflicts of interest, and setting expectations on RPOs (e.g. about educating researchers about RI). Together with the research policy experts and institutional leaders, we developed a comprehensive overview of topics important for inclusion in the RI policies of RPOs and RFOs. The topics reflect preference for a preventative approach to RI, coupled with procedures for dealing with RI breaches. RPOs and RFOs should address each of these topics in order to support researchers in conducting responsible research.

Designing and implementing a research integrity promotion plan: Recommendations for research funders

“…Subsequently, we engaged in consultations with key stakeholders within the funder community to actively solicit their views and interpretations of what constitutes a responsible research culture and how funding organizations, in their local and contextual capacities, can contribute to such a culture. These consultations were conducted using several methodological approaches, including Delphi surveys [ 13 ], expert interviews, focus groups [ 14 ], and co-creation workshops [ 15 ]. All these consultation efforts have built on each other, with the results of the Delphi study acting as the starting point for prioritizing the topics that were deemed most important for funders, and feeding into the interviews and focus group, which subsequently formed the basis of the co-creation workshops.…”

Fostering a research integrity culture: Actionable advice for institutions

“…Since then, several guiding documents have focused on institutional responsibilities and organizational measures to strengthen research integrity (e.g., Committee on Responsible Science et al 2017;Forsberg et al 2018;Lerouge and Hol 2020). Research Integrity Promotion Plans have been strongly encouraged (Labib et al 2021;Lerouge and Hol 2020;Mejlgaard et al 2020) and may become a contractual obligation within the next EU framework program 'Horizon Europe' (Bouter 2020). However, which specific actions research institutions can implement -or where to start remains unclear (Mejlgaard et al 2020).…”

“…Similarly, institutions could adopt clear guidelines and rules for mentoring. Poor mentoring is perceived as a highly impactful research misbehaviour (Bouter et al 2016;Gopalakrishna, ter Riet, et al 2021;Haven et al 2019) whereas responsible mentoring is a central factor in fostering research integrity (Anderson et al 2007;Forsberg et al 2018;Gopalakrishna, Wicherts, et al 2021;Labib et al 2021;Sørensen et al 2021). Nevertheless, junior academics often perceive their supervision as less than optimal (Haven et al 2019;Wells et al 2014).…”

“…Besides specifying what is not allowed, operationally defining the desired situation in terms of expected behaviours can make abstract ideas and aspirations tangible and enable institutions to translate their ambitions into specific goals and actions -which can then be monitored and evaluated (Labib et al 2021;Lerouge and Hol 2020;Valkenburg et al 2021).…”

“…Although dealing with breaches of integrity is strictly speaking part of processes, policies, and procedures, we discuss it separately due to its importance: research policy experts and institutional leaders consider effectively dealing with (suspected) breaches of research integrity one of the top 3 priorities of research performing organizations (Labib et al 2021). In contrast, a significant proportion of researchers does not know where or how to report suspected breaches of integrity.…”