Scientific integrity resource guide: Efforts by federal agencies, foundations, nonprofit organizations, professional societies, and academia in the United States

Figures & data

Table 1. Scientific integrity work by federal agencies.

Federal Agency	Type of Scientific Integrity Developed	Year Developed	Key Target Group	Website
OSTP	Published the federal policy on research misconduct in the Federal Register as a final, government-wide policy	2000	Federal agencies	https://www.federalregister.gov/articles/2000/12/06/00-30852/executive-office-of-the-president-federal-policy-on-research-misconduct-preamble-for-research
OSTP	Provided guidance to federal agencies to respond to the 2009 Presidential Memorandum on Scientific Integrity	2010	Federal agencies	https://www.whitehouse.gov/sites/default/files/microsites/ostp/scientific-integrity-memo-12172010.pdf
OSTP	Issued a scientific integrity report card for individual federal agencies on their progress	2013	Federal agencies	http://www.peer.org/assets/docs/SI_Report_Card_Comparison_Chart%20-%20Sorted%20by%20Score.pdf
NSF	Published the Research Misconduct regulation in the CFR	2002	NSF employees and grant awardees	https://www.gpo.gov/fdsys/granule/CFR-2012-title45-vol3/CFR-2012-title45-vol3-part689/content-detail.html
NSF	Released the Responsible Conduct of Research, requiring institutions to provide appropriate training/oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral fellows	2009	Research institutions applying for NSF grants	https://www.gpo.gov/fdsys/pkg/FR-2009-08-20/html/E9-19930.htm
NSF and NAS	Jointly published the third edition of On Being a Scientist: A Guide to Responsible Conduct in Research	2009	Graduate students and beginning researchers but applies to all scientists	http://www.nap.edu/catalog/12192/on-being-a-scientist-a-guide-to-responsible-conduct-in
NSF	Released draft Scientific Integrity Policy	2011	Civil service employees; visiting scientists, engineers, and educators; those working at NSF under the Intergovernmental Personnel Act; and political appointees	http://www.nsf.gov/bfa/dias/policy/si/sipolicy.pdf
NSF	Supported research grants on scientific integrity	1990s–present	Undergraduate and graduate students	http://digitalworlds.ufl.edu/projects/gap/
HHS	Policies and Principles for Assuring Scientific Integrity	2011	11 HHS operating divisions	http://www.hhs.gov/sites/default/files/open/pres-actions/scientifc-integrity-principles-12-19-11.pdf
HHS ORI	Commission on Research Integrity report, “Integrity and Misconduct in Research”	1995	Federal agency scientists and professional societies	http://ori.hhs.gov/historical-background
HHS ORI	Development of biennial Research Conferences on Research Integrity	2000	Research community	https://ori.hhs.gov/rri_conference
HHS ORI	Research on Research Integrity Program	2001	Research community	http://ori.hhs.gov/rri-program
HHS ORI	Rapid Response for Technical Assistance program	2001	Universities and institutions	http://ori.hhs.gov/rapid-response-technical-assistance
HHS ORI	RCR Resource Development Program	2002	Research community	https://ori.hhs.gov/rcr-resource-development-program
HHS ORI	RCR Program for Academic Societies, a collaboration with the Association of American Medical Colleges	2002	Academic societies and their members	https://ori.hhs.gov/program-academic-societies
HHS ORI	New regulation on PHS Policies on Research Misconduct (42 CFR Part 93)	2005	10 PHS offices and agencies	https://ori.hhs.gov/sites/default/files/42_cfr_parts_50_and_93_2005.pdf
HHS ORI	ORI Introduction to the Responsible Conduct of Research	2003, updated in 2007	Research community	http://ori.hhs.gov/ori-introduction-responsible-conduct-research
HHS ORI	RCR Program for Graduate Schools, a collaboration with the Council of Graduate Schools	2007	Graduate schools and students	http://cgsnet.org/scholarly-integrity-and-responsible-conduct-research-rcr?tabid=123
HHS ORI	RCR Program for Postdoctoral Students	2007	Graduate students and postdoctoral fellows	http://ori.hhs.gov/historical-background
HHS ORI	“The Lab: Avoiding Research Misconduct”	2011	Graduate students (movie available in English, Spanish, and Chinese)	http://ori.hhs.gov/thelab
HHS ORI	Posts case studies on research misconduct on website	Ongoing	Research community	https://ori.hhs.gov/case_summary
HHS NIH	NIH OER oversees the policy for the NIH peer review process using a two-tiered system	Ongoing	Peer reviewers	http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-120.html
HHS NIH	NIH Policies and Procedures for Promoting Scientific Integrity	2012	NIH employees and grantees	https://ombudsman.nih.gov/ScientificIntegritynov2012.pdf
HHS NIH	PubMed Commons	2013	Authors	http://www.ncbi.nlm.nih.gov/pubmedcommons/
HHS NIH	Joint workshop with Nature Publishing Group and AAAS on reproducibility and rigor of research findings	2014	Research community	http://www.nih.gov/research-training/rigor-reproducibility/principles-guidelines-reporting-preclinical-research
HHS NIH	Launched a new website to help guide reviewers through the peer review process	2015	Peer reviewers	https://grants.nih.gov/grants/policy/review.htm
HHS NIH	Statement on Integrity in Peer Review	2015	Research community	http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-106.html#sthash.XJY7n6c6.dpuf
HHS NIH	New guidelines on Enhancing Reproducibility Through Rigor and Transparency in Grant Applications	2015	NIH employees and grantees	http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-103.html
HHS FDA	Established the Office of Scientific Integrity	2009	FDA employees	http://www.fda.gov/AboutFDA/CentersOffices/OC/OfficeofScientificandMedicalPrograms/ucm197861.htm
HHS FDA	Issued 11 key principles of scientific integrity	2012	FDA employees	http://www.fda.gov/AboutFDA/ReportsManualsForms/StaffManualGuides/ucm289975.htm
HHS CDC	Guidance on Scientific Integrity	2016	CDC employees	https://www.cdc.gov/od/science/docs/cdcsiguide_042516.pdf
EPA	Principles of Scientific Integrity	1999	EPA employees	http://www.epa.gov/osa/epas-principles-scientific-integrity-fact-sheet
EPA	Scientific Integrity Policy	2012	EPA employees	http://www2.epa.gov/sites/production/files/2014-02/documents/scientific_integrity_policy_2012.pdf
EPA	Community of Practice for Statistics	2014	EPA employees	http://www.ncbi.nlm.nih.gov/pubmed/25795653
EPA	Peer Review Handbook, fourth edition	2015	EPA employees	http://www2.epa.gov/sites/production/files/2015-09/documents/final_epa_peer_review_handbook-_4th_ed_091415_dummy_link.pdf
USDA	Departmental Regulation 1074-001 on Scientific Integrity	2013	USDA employees and contractors	http://www.ocio.usda.gov/sites/default/files/docs/2012/DR%201074-001_0.pdf
USDA	Scientific Integrity Policy Handbook	2013	USDA employees and contractors	http://www.usda.gov/documents/usda-scientific-integrity-policy-handbook.pdf
USDA	Scientific Integrity Allegations Summary Report	Annually, beginning in 2013	USDA employees and contractors	http://www.usda.gov/documents/usda-updated-scientific-integrity-summary-report.pdf
USAID	Scientific Integrity Policy	2012	USAID staff and implementing partners	https://www.usaid.gov/sites/default/files/documents/15396/integrity.pdf
USAID	Scientific Research Policy	2014	USAID staff and implementing partners	https://www.usaid.gov/sites/default/files/documents/15396/USAID%20Scientific%20Research%20Policy%2012-3-14.pdf

CDC, Centers for Disease Control and Prevention; CFR, Code of Federal Regulations; EPA, US Environmental Protection Agency; FDA, US Food and Drug Administration; HHS, US Department of Health and Human Services; NAS, National Academy of Sciences; NIH, National Institutes of Health; NSF, National Science Foundation; OER, Office of Extramural Research; ORI, Office of Research Integrity; OSTP, Office of Science and Technology Policy; PHS, Public Health Service; RCR, Responsible Conduct Research; USDA, US Department of Agriculture; USAID,

Table 2. Scientific integrity work by foundations.

Foundation	Type of Scientific Integrity Grant	Year Developed	Key Target Group	Website
Laura and John Arnold Foundation	$66,859,986 in grant dollars for research integrity projects (includes the grants below)	2011–2015	Organizations and academia conducting research integrity projects	http://www.arnoldfoundation.org/grants/
Laura and John Arnold Foundation	8 grants COS totaling $10,052,621	2013–2018	COS	http://www.arnoldfoundation.org/grants/
Laura and John Arnold Foundation	$100,000 grant to AAAS	2014–2016	AAAS	http://www.arnoldfoundation.org/grants/
Laura and John Arnold Foundation	$300,000 grant to The Center for Scientific Integrity	2015–2017	Center for Scientific Integrity	http://retractionwatch.com/2015/08/03/new-300000-grant-marks-the-fifth-anniversary-of-retraction-watch/
John Templeton Foundation	$2,109,856 grant to COS	2014–2015	COS	http://www.arnoldfoundation.org/grants/
John Templeton Foundation	$80,000 grant to the BITSS	2015	BITSS	http://www.prweb.com/releases/2015/05/prweb12727015.htm
John D. and Catherine T. MacArthur Foundation	$400,000 grant to the Center for Scientific Integrity	2014	Center for Scientific Integrity	http://retractionwatch.com/2014/12/15/retraction-watch-growing-thanks-400000-grant-macarthur-foundation/
Alfred P. Sloan Foundation	Digital Information Technology program	2011	Researchers, technologists, engineers, academic publishers, and university administrators	http://www.sloan.org/fileadmin/media/files/annual_reports/2013-Annual-Report.pdf
Alfred P. Sloan Foundation	$168,600 grant to COS	2014	COS	https://cos.io/about_sponsors/

AAAS, American Association for the Advancement of Science; BITSS, Berkeley Initiative for Transparency in the Social Sciences; COS, Center for Open Science.

Table 3. Scientific integrity work by nonprofit organizations.

Nonprofit Organization	Type of Scientific Integrity Developed	Year Developed	Key Target Group	Website
NAS	Report (“The Role and Activities of Scientific Societies in Promoting Research Integrity”) recommending the development of activities/materials to improve integrity of research	1989	Scientific organizations representing the research community and scientific journals	http://www.aaas.org/sites/default/files/content_files/The%20Role%20and%20Activities%20of%20Scientific%20Societies%20in%20Promoting%20Research%20Integrity.pdf
NAS	Good Science and Responsible Scientists	1992	Scientific community	http://www.aaas.org/sites/default/files/content_files/The%20Role%20and%20Activities%20of%20Scientific%20Societies%20in%20Promoting%20Research%20Integrity.pdf
NAS	Responsible Science: Ensuring the Integrity of the Research Process, Volume I	1992	Research community	http://www.nap.edu/openbook.php?record_id=1864&page=R1
NAS	Integrity in Scientific Research: Creating an Environment That Promotes Responsible Conduct	2002	Research community	http://iom.nationalacademies.org/Reports/2002/Integrity-in-Scientific-Research-Creating-an-Environment-That-Promotes-Responsible-Conduct.aspx
NAS	On Being a Scientist: A Guide to Responsible Conduct in Research	2009	Research community	http://www.nap.edu/catalog/12192/on-being-a-scientist-a-guide-to-responsible-conduct-in
NAS	Workshop: “Conflict of Interest and Medical Innovation: Ensuring Integrity While Facilitating Innovation in Medical Research”	2014	Research community	http://www.nap.edu/catalog/18723/conflict-of-interest-and-medical-innovation-ensuring-integrity-while-facilitating
NAS	Workshop: “Does the Public Trust Science? Trust and Confidence at the Intersections of the Life Sciences and Society”	2015	Research community	http://nas-sites.org/publicinterfaces/roundtable/events/trust/, http://www.nap.edu/catalog/21798/trust-and-confidence-at-the-interfaces-of-the-life-sciences-and-society
NAS	Colloquia: “Reproducibility of Research: Issues and Proposed Remedies”	2017	Research community	http://www.nasonline.org/programs/sackler-colloquia/upcoming-colloquia/
COS	Open Science Framework	2014 (ongoing)	Research community	http://openscienceframework.org/
COS	COS communities: Publishing Initiatives, Metascience, Infrastructure, and Interest Groups	2014 (ongoing)	Research community	https://cos.io/communities/
COS	Workshop: “Creating Standards for Reproducible Research”	2014	Research community	https://bitssblog.wordpress.com/2014/11/06/creating-standards-for-reproducible-research-overview-of-cos-meeting/
Center for Scientific Integrity	Retraction Watch	2010	Research community	http://retractionwatch.com/

COS, Center for Open Science; NAS, National Academy of Sciences.

Table 4. Scientific integrity work by professional societies.

Professional Societies	Type of Scientific Integrity Developed	Year Developed	Key Target Group	Website
COPE	Maintains database of research/publication misconduct cases discussed at the COPE Forum	1997	Research Community	http://publicationethics.org/cases
COPE	eLearning course	Ongoing development	COPE members who are editors and publishers	http://publicationethics.org/resources/e-learning
COPE	Code of Conduct and Best Practice Guidelines for Journal Editors	2011	COPE members	http://publicationethics.org/files/Code_of_conduct_for_journal_editors_Mar11.pdf
CSE	“Promoting Integrity in Scientific Journal Publications”	2006–present (ongoing)	Scientific editors	http://www.councilscienceeditors.org/resource-library/editorial-policies/white-paper-on-publication-ethics/
AAAS	5 VHS videos on ethical scientific research and a Discussion and Resource Guide	1996	Research community	http://www.aaas.org/page/integrity-scientific-research-video-series
AAAS	The Role and Activities of Scientific Societies in Promoting Research Integrity	2000	Scientific societies	http://www.aaas.org/sites/default/files/content_files/The%20Role%20and%20Activities%20of%20Scientific%20Societies%20in%20Promoting%20Research%20Integrity.pdf
AAAS	Joint workshop with Nature Publishing Group and NIH on reproducibility and rigor of research findings	2014	Research community	http://www.nih.gov/research-training/rigor-reproducibility/principles-guidelines-reporting-preclinical-research
FASEB	Set of recommendations on enhancing research reproducibility	2016	Research community and journalists	https://www.faseb.org/Portals/2/PDFs/opa/2016/FASEB_Enhancing%20Research%20Reproducibility.pdf
ASA	Statement on Maintaining Integrity of U.S. Presidential Appointments	2004	President of the United States	http://www.asanet.org/about-asa/how-asa-operates/council-statements/integrity-presidential-appointment-scientists
ASA	Statement on Academic Independence and Scientific Integrity	2006	Scientific community	http://www.asanet.org/about-asa/how-asa-operates/council-statements/academic-independence-and-scientific-integrity
ACS	Position Statement on Scientific Integrity in Public Policy	2014–2017	Research community	http://www.acs.org/content/acs/en/policy/publicpolicies/promote/scientificintegrity.html
ACS	“Catching Errors: Peer Review and Retractions in Publishing” webinar	2015	ACS members	http://www.acs.org/content/acs/en/acs-webinars/popular-chemistry/catching-errors.html

AAAS, American Association for the Advancement of Science; ACS, American Chemical Society; COPE, Committee on Publication Ethics; CSE, Council of Science Editors; FASEB, Federation of American Societies for Experimental Biology; NIH, National Institutes of Health; ASA, American Sociological Association .

Table 5. Scientific integrity work by academia.

Academia	Type of Scientific Integrity Developed	Year Developed	Key Target Group	Website
ICTS	Course on the responsible conduct of research	2007	Students at Washington University in St. Louis and members from ICTS partner institutions	http://ethicsresearchcore.org/education/rcr/
CCRE	Professional Integrity program	2012	Investigators who have engaged in wrongdoing or unprofessional behavior	http://icts.wustl.edu/icts-researchers/education
CCRE	Library of Research Ethics Case Studies	Ongoing	Research community	http://ethicsresearchcore.org/education/case-studies/
CASBS	Group on Best Practices in Science	2013	Research community	https://bps.stanford.edu/?page_id=1977
CASBS	Best Practices in Science conference	2015	Scientists actively conducting research on scientific integrity	http://bps.stanford.edu/?page_id=4587
BITSS	Leamer-Rosenthal Prizes for Open Social Science	2015	Emerging researchers and leaders in education	https://bitssblog.wordpress.com/prizes/

BITSS, Berkeley Initiative for Transparency in the Social Sciences; CASBS, Center for Advanced Study in the Behavioral Sciences; CCRE, Center for Clinical Research Ethics; ICTS, Institute of Clinical and Translational Sciences.

Table 6 Current scientific integrity-related initiatives for the five sectors.

Type of Scientific Integrity Work	Federal Agencies	Foundations	Nonprofit Organizations	Professional Societies	Academia
Scientific integrity policies	13			1
Research on scientific integrity	2	1			2
Research misconduct	5	2	1	1	1
Training modules	7			2	2
Guidance handbooks	3		3
Workshops	2		4	1
Peer review	4
Reproducibility	2			1
Publication	1	1		3
Open science/transparency		4	2
Monetary prizes		1			1

Numerals represent the current number of activities on scientific integrity by a sector. The darker shaded spaces represent areas in which a sector is not currently engaged and helps to identify where more attention may be needed.