Annual Statement (2021) to University Court - QMU Compliance with the Concordat to Support Research Integrity
1. Background
Published in 2019 by Universities UK in collaboration with the UK Funding Bodies, Research Councils, the Wellcome Trust and various government departments, the Concordat to Support Research Integrity provides a national framework for good research conduct and its governance. Everyone involved with research has a joint responsibility for ensuring high standards of integrity throughout the research process, from the creation of methodology and data collection through to publication and authorship. As a signatory QMU continues to review and revise its policies, processes and guidance to provide a supportive environment and culture for research and knowledge exchange (KE).
QMU fully supports the principles laid out in the UK Concordat to Support Research Integrity: this report summarises our approach to embedding research integrity in our activities, including ensuring compliance with the provisions of the Concordat, and relevant activities undertaken.
All signatories to the Concordat must demonstrate that they are committed to the ongoing development of a culture that supports and nurtures research integrity, and of mechanisms that provide assurances and, when things go wrong, to ensuring appropriate investigation and action are forthcoming. Importantly, we must be able to account for our efforts in an open and transparent way.
2. Summary of actions and activities in the past 12 months mapped against Concordat Principles
Principle 1: Upholding the highest standards of rigour and integrity in all aspects of research
- Our commitment to research integrity features strongly in the new Research and KE Strategy 2022-27 (first draft being issued for consultation in November 2021) and is increasingly a defining driver of excellence in our research culture.
- An explicit statement and reference to our commitment to research integrity is now included in publically facing strategic documents including our REF 2021 Environment templates and Scottish Funding Council (SFC) University Outcome Agreement and University Innovation Fund (UIF) Statement.
- Launch of a new Welcome to Research and KE@qmu Booklet affirming our commitment via institutional statements and signposting to various internal and external resources.
- Strengthening of inter-institutional support for research integrity and governance through enhanced professional services peer to peer mentoring and sharing of best practice and training.
- Ongoing investment and commitment to institutional membership of the UK Research Integrity Office (UKRIO).
Principle 2: Ensuring that research is conducted according to appropriate ethical, legal and professional frameworks, obligations and standards
- Implementation of the Concordat is a key underpinning operational action in our 2020-2022 Concordat for Researcher Development Action Plan and institutional Knowledge Exchange (KE) Concordat Action Plan.
- Reviewing and monitoring compliance with the Concordat will be a key criterion in the 2021/22 Centre Annual Review process.
- A new institutional commitment to the principles of narrative CVs and the responsible use of metrics, recognising that sustained excellence in research values a range of diverse contributions, will underpin our post REF 2021 research culture as reflected in key strategic documents.
- Commitment to roll out the Research Integrity Self-Assessment Tool-kit in session 2021/22.
- The Research and Knowledge Exchange Development Unit (RKEDU) is working with the School of Health Sciences in the implementation of a new and enhanced programme of professional development to support NHS Research Ethics, Integrity and Governance in partnership with NHS Lothian R&D. This will also include improved internal signposting and refreshed policy guidance on our intranet pages and enhanced central institutional co-ordination for Clinical Trials registration.
Principle 3: Supporting a research environment that is underpinned by a culture of integrity and based on good governance, best practice, and support for the development of researchers.
- UKRIO provide guidance on institutional processes and procedures to support implementation of the concordat. RKEDU works with UKRIO on general or hypothetical topics, as well as those on specific research projects, issues and cases.
- Launch of a new QMU Researcher Development Training Programme for 2021/22 with specific training on research integrity including: Good Research Practice and a Healthy Research Culture; NHS Research Ethics and Governance; Publish or Perish: managing the academic publishing process; and understanding research metrics.
- Dedicated funds to enable contract research staff to access enhanced support for research integrity via the Wellcome Trust Clinical Research Facility, Edinburgh.
- Commitment to explore and embed CRediT (Contributor Roles Taxonomy) or a similar high-level taxonomy that can be used to represent the roles typically played by contributors to scholarly output.
- Continued use and promotion of the Concordat in initial brokerage meetings with SMEs to uphold the principles of integrity in all contract research and consultancy.
- Membership of Praxis Auril (professional association for KE practitioners) and participation in best practice networks with other HEIs on integrity in commercialisation.
- Additional training resources promoted and made available via QMU’s membership of UKRIO and the QMU research integrity intranet page.
Principle 4: Using transparent, timely, robust and fair processes to deal with allegations of research misconduct should they arise.
- Promotion internally and externally of the UKRIO Confidential Advice Line on the conduct of academic,scientific and medical research, from promoting good practice to addressing poor practice and misconduct. This is open to all, including members of the public, research participants, patients,individual researchers, research students and research organisations.
- Promotion of named institutional contacts for confidential liaison for whistle-blowers or any other person wishing to raise concerns about the integrity of research being conducted under their auspices.
- Launch of a new institutional Whistleblowing Policy in 2021.
- Commitment to an institutional review of the overarching policy approach to safeguarding. A new policy framework recognises the University’s duties to protect children and vulnerable adults who are at risk of harm, abuse, neglect, exploitation, or discrimination. In 2021 a new Safeguarding in Research Webpage was launched.
Principle 5: Working together to strengthen the integrity of research and to review progress regularly and openly
- Active membership on the Scottish Research Integrity Network (SRIN) (network of all Scottish HEIs led by the Universities of Dundee and Edinburgh) and sector contribution to SRIN’s submission to the House of Commons Inquiry into Reproducibility and Research Integrity.
- Delivery of a Wellcome Trust Café Culture event in December 2020 to gain further insight into our research environment/culture including an enhanced understanding of issues relating to research integrity
- Patterns of researcher awareness of research integrity and any concerns are monitored through QMU’s participation in the national Culture, Employment Culture, Employment and Development in Academic Research Survey (CEDARS) survey with targeted response interventions being initiated and progressed through the Concordat for Researcher Development Working Group and reported to Research Strategy Committee.
- Independent, external review of QMU CEDARS results by Vitae. Full analysis shared transparently across the institution.
- Participation in Universities Scotland developments relating to Trusted Research, designed to support cross-sector campaigns which protect all those working in international research and innovation.
3. COVID 19 and Research Integrity
COVID 19 posed significant challenges for the quality and ethical standards of research. Our research integrity intranet pages provided guidance on conducting research during the pandemic and included collaborative shared advice and support to researchers on COVID 19 specific issues. During this period we have strengthened collaborative links through SRIN with Research Governance and Integrity Teams in other HEIs and this has led to sharing of resources and training. We have also drawn on expertise in the NHS Lothian R&D Office
4. Participation in the Culture, Employment and Development in Academic Research Survey 2021(CEDARS)
QMU participates in CEDARS. This biennial national survey is intended to gather anonymous data about working conditions, career aspirations and career development opportunities for research staff and research leaders in Higher Education Institutions. CEDARS is based on a standard question set to allow for UK benchmarking with other institutions and longitudinal comparison. We are using CEDARS to undertake detailed and robust analysis of QMU research staff views and experiences of research integrity and to benchmark against national UK aggregate data. Key data for 2021:
Please note that we have included the CEDARS 2020 and UK Aggregate data for context. Any differences between 2020 and 2021 should be treated with caution due to the relatively small sample size. For example, the independent review of our CEDARS 2021 data by Vitae highlighted that the ‘margin of error’ is about 5-9% (at a 95% confidence level) depending on the result.
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CEDARS Data – QMU and UK Aggregate Data Comparison |
QMU CEDARS 2020 |
UK Aggregate Data 2020 |
QMU CEDARS 2021 |
UK Aggregate Data 2021 |
QMU Action in response to CEDARS Feedback |
|---|---|---|---|---|---|
|
I am familiar with my institutions mechanisms to report incidents of research misconduct. |
|||||
| Agree | 46.6% | 58% | 52.1% | 57.7% |
Enhanced promotion of the Concordat and reporting mechanisms. Increased visibility on web, intranet and in staff communications. Roll out the new Research Integrity Self-Assessment Toolkit in 2021/22. Enhanced staff training. |
|
I would feel comfortable reporting any incidents of research misconduct. |
|||||
|
Agree |
54.8% |
68.3% |
58.9% |
66.4% |
Development of integrity as a core component of research culture and a priority theme in new QMU Research and KE Strategy 2022-27. Explore best practice in other HEIs via SRIN. Roll out the new Research Integrity Self-Assessment Toolkit in 2021/22. Enhanced staff training. Continue to invest in internal and external mentoring. |
|
I trust my institution to investigate any reported incidents of research misconduct fairly |
|||||
| Agree | 60.3% | 66.8% | 61.7% | 65.4% |
Promotion of QMU membership of UKRIO and confidential helpline QMU training events with the Chief Executive of UKRIO. Roll out the new Research Integrity Self-Assessment Toolkit in 2021/22. Long term commitment to CEDARS participation and external independent analysis of findings. |
| I trust that my institution would take action after such an investigation. | |||||
| Agree | 40.7% | 63.8% | 57.5% | 62.3% |
Long term commitment to CEDARS and to transparency in findings. Roll out the new Research Integrity Self-Assessment Toolkit in 2021/22. Explore best practice in other HEIs via SRIN. Long term commitment to CEDARS participation and external independent analysis of findings. |
| Have personally felt pressured into compromising my research standards or integrity. | |||||
| Have | 9.6% | 9.4% | 11.1% | 8.9% |
Work with UKRIO to investigate specific issues. Mandatory training for all Research Managers in 2021/22. Appointment of a new Academic Research Integrity Champion. Enhanced staff training. Continue to invest in internal and external mentoring. |
| In the past 2 years I have reported any incidents of research misconduct. | |||||
|
Have |
1.3% | 4.1% | 1.3% | 4% |
Explore efficacy of reporting mechanisms and governance structures for misconduct with input from URKIO. Explore best practice in other HEIs via SRIN. |
|
Institution promotes the highest standards of Research Integrity and conduct |
|||||
| Agree | 71.8% | 74.3% | 65.7% | 75.4% |
Development of integrity as a core component of research culture and a priority theme in new QMU Research and KE Strategy 2022-27. |
|
Aware of the Concordat to Support Research Integrity (but may not know the detail). |
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|
Awareness |
72.6% | 54.1% | 79.5% | 52.1% |
Standing item on key institutional committees. Enhanced staff training. Consideration of Research Integrity KPI as part of strategic planning. Roll out the new Research Integrity Self-Assessment Toolkit in 2021/22 |
5. Statement to provide assurance that the processes the institution has in place for dealing with allegations of misconduct are transparent, timely, robust and fair, and that they continue to be appropriate to the needs of the organisation.
Processes for dealing with allegations for misconduct as detailed under Principle 4 include named institutional contacts for confidential liaison and an institutional Whistle Blowing Policy. This is supported by membership of UKRIO and proactive internal and external promotion of the UKRIO Confidential Advice Line.We will seek to enhance this in session 2021/22 by appointing an Academic Champion for Research.Integrity and rolling out the Research Integrity Self-Assessment Toolkit.
6. High-level statement on any formal investigations of research misconduct that have been undertaken, which will include data on the number of investigations.
There have been no formal investigations of research misconduct by a research student or a member of staff or student in the past 12 months.
7. Statement on what the institution has learned from any formal investigations of research misconduct that have been undertaken, including what lessons have been learned to prevent the same type of incident re-occurring.
There have been no formal investigations of research misconduct by a research student or a member of staff or student in the past 12 months.
8. Statement on how the institution creates and embeds a research environment in which all staff, researchers and students feel comfortable to report instances of misconduct
In the development of our Research and KE Strategy 2022-27 we are elevating our commitment to research integrity as not only an important part of academic citizenship and high standards of academic rigour but as a key driver of a positive research culture. This report summarises the activities undertaken in the past 12 months to promote and strengthen a culture of research integrity. A range of policies and procedures are in place to ensure that research and KE are undertaken to the highest standards of integrity and we have sought to enhance mechanisms to report misconduct. Feedback from CEDARS has identified a need for training in helping staff identify poor integrity and this is being addressed through additional training, new researcher mentoring initiatives and the strengthening of external links including SRIN, NHS R&D Offices and institutional membership of UKRIO. These policies are made available to staff through the University web pages and are referenced in our induction processes and new Welcome to Research&KE@ QMU Booklet.
Research and Knowledge Exchange Development Unit (RKEDU) November 2021
