Tag: annual research integrity statement

  • Questionable Research Practices vs Misconduct: Where Institutions Draw the Line

    Questionable research practices (QRPs) are not research misconduct, and treating them as identical is where institutional triage goes wrong. Misconduct — fabrication, falsification, and plagiarism (FFP) — requires intent and a formal proof standard; QRPs such as p-hacking, HARKing, and selective reporting occupy a wider grey zone that most institutions route through a separate, lower-intensity process.

    A questionable research practice is a research or reporting behaviour that deviates from rigorous methodological or ethical norms without meeting the legal definition of fabrication, falsification, or plagiarism. The distinction matters because it determines which procedural track — and which evidentiary burden — an institution applies to a complaint.

    What counts as a questionable research practice?

    QRPs cluster around the design, analysis, and reporting stages of a study. The most cited taxonomy comes from an incentivised self-report survey published in Psychological Science (John, Loewenstein & Prelec, 2012), which found admission rates for practices such as selectively reporting studies “that worked” approaching 50% — far higher than admitted rates of outright data fabrication, which stayed under 2%. That gap is itself the argument for treating QRPs as a distinct governance problem rather than a rare edge case of misconduct.

    • P-hacking (data dredging): running multiple analyses or exclusion criteria until a result reaches statistical significance, then reporting only that version.
    • HARKing: presenting a post hoc, exploratory finding as though it were the pre-specified hypothesis.
    • Selective/cherry-picked reporting: omitting non-significant outcomes, conditions, or measures from the published record.
    • Salami slicing: splitting one dataset into the minimum publishable units to inflate output count.
    • Honorary or ghost authorship: crediting non-contributors or omitting contributors, which is why standardised contributor role disclosure matters for accountability.
    • Inadequate data retention: failing to keep raw data, code, or protocols available for verification.

    How do QRPs differ from research misconduct?

    Under US federal policy (42 CFR Part 93, administered by the Office of Research Integrity), research misconduct is defined narrowly as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting results. Three conditions must all be met: a significant departure from accepted practices, intentional/knowing/reckless conduct, and proof by a preponderance of the evidence. The same regulation explicitly excludes “honest error” and “differences of opinion” from the misconduct definition — which is precisely the space most QRPs occupy.

    UK guidance frames the same boundary differently but reaches a similar conclusion. UKRIO’s 2023 guidance by Simon Kolstoe, “Defining the Spectrum of Questionable Research Practices,” describes a continuum running from honest error and sloppiness through to QRPs and, at the far end, fabrication, falsification, and criminality — with no single fixed cut-off point.

    Dimension Questionable research practice Research misconduct (FFP)
    Intent required Not required — may be unintentional, driven by pressure or ignorance Must be intentional, knowing, or reckless
    Governing definition No single legal definition; institutional/disciplinary norms 42 CFR Part 93 (US); institutional misconduct policy (UK/EU)
    Standard of proof Not applicable — assessed for pattern/severity, not adjudicated Preponderance of the evidence
    Typical examples P-hacking, HARKing, selective reporting, salami slicing Fabricated data, altered images, verbatim plagiarism
    Usual institutional track Research governance, retraining, correction, departmental review Formal inquiry and investigation with findings and sanctions

    How do institutions triage an allegation?

    Under the ORI model that most US research institutions adopt, and which UK bodies broadly mirror in structure, a complaint moves through staged gates rather than a single up-or-down decision.

    1. Assessment: a Research Integrity Officer performs an initial review to establish whether, if the allegation were true, it would meet the FFP definition and falls within the institution’s jurisdiction. Concerns that describe sloppiness, honest error, or a QRP without evidence of intent are typically redirected here rather than escalated.
    2. Inquiry: a limited fact-finding step, conducted under 42 CFR Part 93 within 60 calendar days unless circumstances clearly warrant longer, to decide whether a full investigation is warranted.
    3. Investigation: a formal, evidence-gathering process triggered only once the inquiry finds a sufficient basis, applying the preponderance-of-evidence standard and producing a written report with findings.

    QRPs that do not clear the assessment gate are not dismissed outright — the National Academies of Sciences, Engineering, and Medicine’s 2017 report Fostering Integrity in Research proposed the term “detrimental research practices” specifically to argue that institutions need a formal, non-misconduct track for exactly this category, rather than either ignoring it or misapplying the misconduct process to it. COPE’s flowcharts for publishers follow the same logic: suspected fabrication routes to a formal investigation referral, while methodological concerns typically route to correction or expression-of-concern mechanisms first.

    Why does the distinction change institutional response?

    Misapplying the misconduct process to a QRP over-penalises ambiguous conduct and consumes scarce Research Integrity Officer capacity on cases that cannot meet the intent standard. Under-applying it — treating a concealed fabrication as “just” a QRP — lets a genuine breach evade the preponderance-of-evidence process entirely. Accurate triage at the assessment stage is therefore the single highest-leverage decision point in the entire allegation-handling pipeline, and it depends on evaluators being able to name the difference precisely rather than treating “research integrity concern” as one undifferentiated category.

    This is also why standardised terminology for research integrity concepts, and consistent research administration processes for logging and routing complaints, reduce inconsistent outcomes across departments within the same institution.

    Answer-first questions on QRPs and misconduct

    What is the difference between questionable research practices and research misconduct?

    Research misconduct is fabrication, falsification, or plagiarism committed intentionally, knowingly, or recklessly and proven by a preponderance of evidence under frameworks such as 42 CFR Part 93. QRPs are a broader, less severe category — practices like p-hacking or HARKing — that may be unintentional and do not meet the FFP definition.

    What are examples of questionable research practices?

    Common QRPs include p-hacking, HARKing, selective or cherry-picked reporting, salami slicing of datasets into multiple papers, inadequate record-keeping, and honorary or ghost authorship. None of these automatically constitutes misconduct unless deliberate concealment or fabrication can be demonstrated.

    Is p-hacking considered research misconduct?

    Generally no. P-hacking is classified as a questionable research practice because it typically reflects flawed analytical judgement or incentive pressure rather than deliberate fabrication. It can escalate to misconduct only if a researcher knowingly falsifies or conceals the analytic process to deceive reviewers.

    Who decides whether an allegation is misconduct or a questionable practice?

    A Research Integrity Officer (or institutional equivalent) makes this call at the assessment and inquiry stages, evaluating whether alleged conduct could meet the FFP definition before any formal investigation begins. This gatekeeping decision determines which procedural track and evidentiary standard apply.

    Where institutional policy is heading

    Recent scholarship — including a 2026 classification study in a leading research-ethics journal — continues to push toward more granular, ranked taxonomies of QRPs rather than a single undifferentiated label, reflecting growing recognition that “questionable research practice” spans behaviours of very different severity. For institutions, the practical implication is unchanged: allegation-handling policies need an explicit, documented triage step that distinguishes FFP-eligible conduct from the wider QRP category before any case enters a formal investigation track. Institutions that skip this step either over-invest in low-severity concerns or under-investigate the ones that matter.

  • Concordat to Support Research Integrity: A Signatory Self-Assessment Guide for 2026

    The Concordat to Support Research Integrity is the UK’s non-statutory, sector-wide framework for research conduct, first published in 2012 and refreshed on 4 April 2025. Signatory universities, institutes, and funders commit to five duties — rigour, ethical compliance, an integrity culture, fair misconduct handling, and continuous improvement — verified through an annual public self-assessment statement. Organisations had until 1 April 2026 to align fully with the refreshed edition, a deadline that has now passed.

    The Concordat to Support Research Integrity is a voluntary sector agreement, hosted since late 2025 by the UK Committee on Research Integrity (UKCORI), that sets out shared principles and responsibilities for maintaining rigour and honesty across UK research.

    What Is the Concordat to Support Research Integrity?

    The Concordat to Support Research Integrity is a pan-disciplinary, UK-wide reference document setting out five commitments for researchers, research-supporting staff, research organisations, and funders. It carries no statutory or regulatory force; adherence is instead enforced contractually, through individual employment or enrolment terms and through funder grant conditions, according to the UK Research Integrity Office (UKRIO).

    The document was first developed in 2012 by a coalition of national funding bodies and university mission groups. It covers every UK research sector and discipline, from arts and humanities to biomedicine, and does not replace discipline-specific ethics guidance — it supplies the overarching principles that sit above it.

    What Are the Five Commitments and Five Principles?

    The Concordat’s five commitments define what signatories must do; a nested set of five principles, embedded within Commitment 1, define the standard those actions must meet. Together they form the structure every annual self-assessment is measured against.

    1. Maintain the highest standards of research integrity, underpinned by five principles: honesty, rigour, transparency and open communication, care and respect, and accountability.
    2. Ensure research is conducted according to appropriate ethical, legal, and professional frameworks, obligations, and standards — including when working internationally.
    3. Embed a culture of research integrity, built on good governance, best practice, and support for researcher development.
    4. Use transparent, timely, robust, and fair processes to deal with allegations of research misconduct, including questionable research practices (QRPs) that fall short of intentional misconduct.
    5. Strengthen the integrity of research and review progress regularly and openly, including collaboration with other bodies to improve implementation.

    UKCORI distinguishes research misconduct — deliberate breaches of Commitment 1’s principles occurring at any stage from ideation to publication — from questionable research practices, defined as minor infractions such as avoidable errors that occur without clear intent to deceive. Authorship disputes over who qualifies for credit on a publication are a recurring category of alleged questionable practice raised under Commitment 4; institutions drafting Concordat-aligned policy increasingly cross-reference their authorship criteria and dispute-resolution guidance when doing so.

    How Does the Annual Self-Assessment and Public Statement Work?

    Signatory organisations must publish an annual research integrity statement on their own website, publicly demonstrating how they implemented the five commitments over the preceding year. This is the Concordat’s principal accountability mechanism, since the document itself carries no statutory force.

    The Research Integrity Concordat Signatories (RICS) Group — the strategic steering body for the Concordat, whose members include UK Research and Innovation, Universities UK, Wellcome Trust, Cancer Research UK, and the Scottish Funding Council — provides a standard annual-statement template, produced on its behalf by UKRIO. Use of the template is not mandatory but is encouraged, because consistent formatting lets the sector track trends in policy and practice nationally.

    An effective self-assessment and the statement built from it should typically:

    • Declare practical measures taken against each of the five commitments, not just Commitment 1.
    • Name a senior role holder accountable for research integrity oversight, plus a first point of contact for concerns.
    • Confirm a confidential reporting mechanism exists for questionable research practices and misconduct allegations.
    • Reflect honestly on gaps and areas for improvement, rather than presenting only successes.
    • Function as an “ask-once” assurance document that satisfies multiple funders’ terms and conditions simultaneously, reducing duplicate reporting burden.
    • Be approved through institutional governance channels and published alongside prior years’ statements for year-on-year comparability.

    Because research funders have no external body overseeing their own compliance, they meet their Concordat obligations solely by self-reporting through the same public annual-statement mechanism as universities and institutes — a gap worth flagging to funder-facing offices completing their own self-assessments. Research administration teams coordinating grant compliance are typically best placed to own this reconciliation, since annual statements double as evidence against multiple funders’ terms and conditions.

    What Changed in the 2025 Refresh, and Has the April 2026 Deadline Passed?

    The Concordat has been revised twice since 2012. The refreshed 2025 edition was published on 4 April 2025 following a sector-wide review and consultation led by the RICS Group, and organisations were given until 1 April 2026 to align with its new expectations — a deadline that, as of this article’s publication, has now passed.

    Edition Published Key driver What changed
    Original 2012 Sector-led initiative by funding bodies and university mission groups Established the first UK-wide framework and the five commitments
    2019 revision 25 October 2019 House of Commons Science and Technology Committee report on research integrity, July 2018 Strengthened misconduct-handling and transparency expectations
    2025 refresh 4 April 2025 RICS Group sector consultation, 2024–2025 Reaffirmed the five-commitment structure; updated annual-statement expectations; transferred secretariat to UKCORI

    The structural core is unchanged — the five commitments and five principles carry over intact from 2019 to 2025 — but the governance around the Concordat has moved. Secretariat support transitioned from Universities UK to UKCORI, and the RICS Group’s terms of reference were formally approved in November 2025. Institutions still working from 2019-edition policy wording should treat mid-2026 as the point to confirm their annual statement and internal policies now reference the 2025 text, not the superseded one.

    Common Questions About the Concordat

    What is the Concordat to Support Research Integrity?

    It is the UK’s national, non-statutory framework for research conduct, first published in 2012 and refreshed in 2025. It sets five commitments for researchers, institutions, and funders, verified through annual public self-assessment statements rather than external audit or regulation.

    What are the five commitments required of signatories?

    Signatories commit to upholding rigour and honesty, following ethical and legal frameworks, embedding an integrity culture, running fair misconduct processes, and reviewing progress openly. These five commitments are underpinned by five principles: honesty, rigour, transparency, care and respect, and accountability.

    What does the Concordat ask universities to do about reporting misconduct?

    Employers must publish accessible misconduct and questionable-practice policies that include a confidential reporting route through a named point of contact. They must also run fair, timely, documented investigations with appeals processes, and protect anyone who raises concerns from victimisation.

    Is the Concordat legally binding?

    No. The Concordat is not statutory or regulatory guidance. It becomes binding only indirectly, through individual employment or enrolment terms and through funders’ grant conditions — which is why uptake still varies across funders and disciplines.

    Implications and Outlook for Signatory Institutions

    With the April 2026 transition window closed, research offices, integrity officers, and institutional leaders now carry a live compliance gap if their published annual statement, policies, or website text still cite the superseded 2019 wording. Because the RICS Group explicitly retained the five-commitment structure, most institutions will not need to rebuild policy frameworks from scratch — the practical work is auditing existing wording against the 2025 text, confirming named accountable roles are current, and republishing the annual statement under the updated template.

    Institutions maintaining structured terminology for related governance concepts may find it useful to cross-check definitions against CASRAI’s open research-integrity dictionary when updating internal policy language. Expect the RICS Group and UKCORI to publish further implementation guidance as the first full reporting cycle under the 2025 Concordat completes; institutions that have not yet reconciled their statements should treat that as an immediate priority, not a future task.