Monitoring funding processes
ThemesMonitoring funding processes
What is this about?
Why is this important?
RFOs want to ensure that the research projects they funded have a positive societal impact. In the most severe cases, research monitoring can result in the termination of project funding. Funders can monitor the allocation of finances, the quality of the research, executing of the research proposal, and whether laws, regulatory frameworks and contracts are adhered to.
After the conclusion of a research project, a funder can have a follow-up period to assess the real-time impact of the research. In addition, RFO’s can perform regular Standard Evaluation Protocols (SEP’s). For example, in the Netherlands, all institutions receiving public funding are subject to a SEP every 6 years.[1]
When a researcher wants to diverge from the research proposal, approval from the RFO needs to be sought. This often involves providing an explanation as to why the researcher wants to change the methodology.
According to UKRIO’s research misconduct guidelines, when an allegation of misconduct is made to the organization performing the research, the RFO must be be informed.[2] Both the confidentiality of the whisteblower and accused needs to be warranted when informing the RFO. In addition, allegations of research misconduct can be presented directly to the funding organization. RFOs should have guidelines in place to deal with allegations of misconduct involving their funded projects. In most instances, the funding organization will inform the research performing organization about the allegation, and the appropriate procedures will be started by the RPO (also see research misconduct). However, the person making the allegation may fear repercussions, and may wish to remain anonymous. The Wellcome Trust, a UK-based funding agency, states the following:[3]
“If an informant wishes to remain anonymous, this will be respected unless:
- there are overriding legal requirements that we reveal the identity of the informant
- it is impossible to maintain anonymity to conduct an investigation
- the informant subsequently agrees to relinquish anonymity.
The informant will be notified of any proposed change to their anonymity”
- ↑ KNAW (2016) Standard Evaluation Protocol 2015- 2021. Accessed via: https://www.knaw.nl/nl/actueel/publicaties/standard-evaluation-protocol-2015-2021
- ↑ UKRIO (2008) Procedure for the investigation of misconduct in research. Accessed via: https://ukrio.org/wp-content/uploads/UKRIO-Procedure-for-the-Investigation-of-Misconduct-in-Research.pdf
- ↑ Wellcome Trust (2019). Research misconduct. Accessed via: https://wellcome.ac.uk/funding/guidance/research-misconduct
For whom is this important?
What are the best practices?
Bullying and harassment policies
Bullying and harassment policies allow RFOs to stimulate positive research cultures. Such policies can improve research culture, and “sends a signal that cetain ethical standards must be met by researchers and organizations in exchange for funding”.[1] The US based funder National Science Foundation (NSF) requires researh performing organization receiving funding to inform the NSF about sexual harassment.[2] In addition, the Welcome Trust has elaborate rules on what they expect from the organisations they fund (7):[3]
1. The funded organisation requires policies that set out:
- standards of behavior from staff
- the procedure for responding to complaints
2. The funded organisation should have an equivalent policy in place at sub-levels, where relevant.
3. The funded organisation should investigate allegations of bullying and harassment in an impartial, fair and timely manner. It must:
- protect the rights of all employees involves
- take appropriate action.
4. The funded organisation should contact the Wellcome Trust when an investigation has been opened.
5. The funded organisation should contact the Wellcome Trust when the investigation has been completed.- ↑ Else, H. (2018). Report harassment or risk losing funding, says top UK science funder. Nature, 557(7706), 149-150.
- ↑ Witze, A. (2018). US science agency will require universities to report sexual harassment. Nature, 554(7692).
- ↑ Wellcome Trust (2018) Bullying and harassment policy. Accessed via: https://wellcome.ac.uk/funding/guidance/research-misconduct
The Embassy Editorial team, Giulia Inguaggiato, Iris Lechner, Natalie Evans, Lennart van der Molen contributed to this theme. Latest contribution was Jun 10, 2021
