Institutional capacity to prevent and manage research misconduct: perspectives from Kenyan research regulators

BACKGROUND

Research misconduct i.e. fabrication, falsification, and plagiarism is associated with individual, institutional, national, and global factors. Researchers' perceptions of weak or non-existent institutional guidelines on the prevention and management of research misconduct can encourage these practices. Few countries in Africa have clear guidance on research misconduct. In Kenya, the capacity to prevent or manage research misconduct in academic and research institutions has not been documented. The objective of this study was to explore the perceptions of Kenyan research regulators on the occurrence of and institutional capacity to prevent or manage research misconduct.

METHODS

Interviews with open-ended questions were conducted with 27 research regulators (chairs and secretaries of ethics committees, research directors of academic and research institutions, and national regulatory bodies). Among other questions, participants were asked: (1) How common is research misconduct in your view? (2) Does your institution have the capacity to prevent research misconduct? (3) Does your institution have the capacity to manage research misconduct? Their responses were audiotaped, transcribed, and coded using NVivo software. Deductive coding covered predefined themes including perceptions on occurrence, prevention detection, investigation, and management of research misconduct. Results are presented with illustrative quotes.

RESULTS

Respondents perceived research misconduct to be very common among students developing thesis reports. Their responses suggested there was no dedicated capacity to prevent or manage research misconduct at the institutional and national levels. There were no specific national guidelines on research misconduct. At the institutional level, the only capacity/efforts mentioned were directed at reducing, detecting, and managing student plagiarism. There was no direct mention of the capacity to manage fabrication and falsification or misconduct by faculty researchers. We recommend the development of Kenya code of conduct or research integrity guidelines that would cover misconduct.

What contributes to local-level institutional adaptation under climate change? A configurational approach based on evidence from China's Sponge City Program

Unrestrained human industrial and agricultural production activities exacerbate climate change and environmental pollution. Climate change leads to an increase in flood risks and the spread of water and soil pollution, resulting in challenges in urban stormwater management. Institutional adaptation to climate change is vital for realizing effective local urban stormwater management. However, the accumulated knowledge on climate adaptation over the past decade has been concentrated at the technical and economic levels, with limited research on institutional adaptation. The Sponge City Program in China selects 30 pilot cities to promote a novel stormwater management approach that combines the reliability of traditional gray infrastructures made of concrete materials with the adaptability and sustainability of green-blue infrastructures based on natural-based solutions, but the extent of institutional adaptation in this process varies considerably across pilot cities. To explain what drives institutional adaptation, a configurational analysis of pilot cities is conducted using the fuzzy-set qualitative comparative analysis method. Based on data from 628 official reports and 36 interviews, we demonstrate local governments are significant institutional entrepreneurs, and high institutional adaptation occurs with the combined effects of institutional capacity, financial resources, and reputational incentives. There are three types of paths driving institutional adaptation: "strong institutional capacity-strong financial resource-low reputational reserve," "strong institutional capacity-strong financial resource-high reputational competition," and "strong institutional capacity-weak financial resource-low reputational reserve." These three paths account for 72% of the instances of high institutional adaptation outcomes, and 90% of cases share a given configuration of conditions associated with an outcome. Our conclusion advances a theoretical understanding of the drivers of institutional adaptation and provides guidelines for future climate adaptation practices.

Beyond compliance: public voluntary standards and their effect on state institutional capacity in Vietnam

Public certification standards have received limited scholarly attention, especially the institutional capacity of public authorities that develop and implement these standards to address complex challenges, such as the promotion of industrial ecology and industrial symbiosis for enhancing resource use efficiency. This research uses an institutional capacity assessment framework to examine the ways in which a voluntary public standard for certifying eco-industrial parks affected the Vietnamese state's capacity to coordinate and implement industrial ecology. The article draws upon the interviews and a review of official documentation to show that the benefits of public standards extend beyond compliance to the enhancement of state capacities to coordinate complex policy domains such as industrial ecology. The findings contribute to providing a basis to redesign standard-setting processes to move beyond end-user compliance and provide insights into how public actors can more effectively address 'systemic' sustainability challenges - from circular economy ambitions to the Sustainable Development Goals.

Climate change adaption strategies in urban communities: new evidence from Islamabad, Pakistan

Pakistan is urbanizing at the fastest pace in South Asia, and if left unplanned, it will not only reduce adaptive capacity of its residents rather it will be a chaos for its residents. The aim of this study is to answer the question on how urbanites of Pakistan are coping with climate change and which part of the society required support to cope with changing climate? To answer this questions, this study conducted survey through a structured questionnaire, from the urban residents of Islamabad, to explore their coping mechanisms towards climate change. Survey collected information on demographic, social, economic, and physical aspects, using Hackman's Treatment effect model. The sample selection equation is conditional on the adaptations to climate change in the outcome equation. Main independent variables are income, age, education, and occupation. Selection equation is based on perceptions of individuals about climate change which contains dependent variables of changes in temperature of summers and winters, changes in rain fall pattern, fog, hailstorm, and information received from social media and peer groups. With the result of 57.55, the Wald test shows that overall, there exists goodness of fit at the 99 percent confidence level. The value of rho in the Heckman model is 0.40 which implies the Heckman model provides more consistent and more efficient estimates. The results are suggesting that increasing age enhances the likelihood of adaptations as the positive and significant coefficient of age implies that age has probability to adapt to climate change. The positive and significant coefficient of income, education, and occupation implies that urbanites have higher probability to adapt to climate change. Perception is the essential foundation of adaptation, and differences in perception can be transferred to the adapted strategies. Households that experience a greater variation in annual mean temperature are more likely to adopt any adaptation strategy to cope with climate change. Essentially, poverty encompasses the majority of the characteristics that reduce respondents' adaptation capacity and increase their susceptibility to climate change. The major contextual disparities were discovered across union councils in the form of financial, personal, social, physical, and natural capitals of families. Therefore, obligation is on government to offer greater support for individuals who are less affluent in terms of these assets. For this city, officials must offer subsidy schemes to less privileged and marginalized people of urban dwellers to enhance their adaptive capacity.

Domains and processes for institutionalizing evidence-informed health policy-making: a critical interpretive synthesis

Background

While calls for institutionalization of evidence-informed policy-making (EIP) have become stronger in recent years, there is a paucity of methods that governments and organizational knowledge brokers can use to sustain and integrate EIP as part of mainstream health policy-making. The objective of this paper was to conduct a knowledge synthesis of the published and grey literatures to develop a theoretical framework with the key features of EIP institutionalization.

Methods

We applied a critical interpretive synthesis (CIS) that allowed for a systematic, yet iterative and dynamic analysis of heterogeneous bodies of literature to develop an explanatory framework for EIP institutionalization. We used a “compass” question to create a detailed search strategy and conducted electronic searches to identify papers based on their potential relevance to EIP institutionalization. Papers were screened and extracted independently and in duplicate. A constant comparative method was applied to develop a framework on EIP institutionalization. The CIS was triangulated with the findings of stakeholder dialogues that involved civil servants, policy-makers and researchers.

Results

We identified 3001 references, of which 88 papers met our eligibility criteria. This CIS resulted in a definition of EIP institutionalization as the “process and outcome of (re-)creating, maintaining and reinforcing norms, regulations, and standard practices that, based on collective meaning and values, actions as well as endowment of resources, allow evidence to become—over time—a legitimate and taken-for-granted part of health policy-making”. The resulting theoretical framework comprised six key domains of EIP institutionalization that capture both structure and agency: (1) governance; (2) standards and routinized processes; (3) partnership, collective action and support; (4) leadership and commitment; (5) resources; and (6) culture. Furthermore, EIP institutionalization is being achieved through five overlapping stages: (i) precipitating events; (ii) de-institutionalization; (iii) semi-institutionalization (comprising theorization and diffusion); (iv) (re)-institutionalization; and (v) renewed de-institutionalization processes.

Conclusions

This CIS advances the theoretical and conceptual discussions on EIP institutionalization, and provides new insights into an evidence-informed framework for initiating, strengthening and/or assessing efforts to institutionalize EIP.

Supplementary Information

The online version contains supplementary material available at 10.1186/s12961-022-00820-7.

Environmental quality: examining role of financial development, institutional capacity, and corruption

This study aims to investigate the influence of institutional capacity on the relationship between financial development and environmental quality and also examines the moderating role of corruption on the link between institutional quality and environmental quality. By using yearly data from 33 developing countries for 7 years from 2011 to 2017, this paper applies a dynamic technique system GMM. The results suggest that financial development increases environmental degradation due to possible higher energy-intensive investment. However, institutional capacity moderates its impact on environmental quality by channelizing the funds to energy-efficient investment. The findings of this study suggest that financial development improves the environmental quality when institutional capacity is higher than 3.5 on the scale of 0 to 6. Interestingly, institutional capacity is unable to control environmental degradation in the presence of corruption. The results propose that financial development has a positive relation with environmental degradation in the presence of corruption. Nevertheless, relationship between institutional capacity and environmental degradation turns to negative when corruption improves in the economies. Furthermore, the findings show that institutional capacity may only control environmental degradation when corruption improves to 40 or higher on a scale of 0 to 100. The policy implications of this study are useful for policy departments, environmental regulatory bodies, and financial institutions.

Why do water quality monitoring programs succeed or fail? A qualitative comparative analysis of regulated testing systems in sub-Saharan Africa

Background

Water quality testing is critical for guiding water safety management and ensuring public health. In many settings, however, water suppliers and surveillance agencies do not meet regulatory requirements for testing frequencies. This study examines the conditions that promote successful water quality monitoring in Africa, with the goal of providing evidence for strengthening regulated water quality testing programs.

Methods and findings

We compared monitoring programs among 26 regulated water suppliers and surveillance agencies across six African countries. These institutions submitted monthly water quality testing results over 18 months. We also collected qualitative data on the conditions that influenced testing performance via approximately 821 h of semi-structured interviews and observations. Based on our qualitative data, we developed the Water Capacity Rating Diagnostic (WaterCaRD) to establish a scoring framework for evaluating the effects of the following conditions on testing performance: accountability, staffing, program structure, finances, and equipment & services. We summarized the qualitative data into case studies for each of the 26 institutions and then used the case studies to score the institutions against the conditions captured in WaterCaRD. Subsequently, we applied fuzzy-set Qualitative Comparative Analysis (fsQCA) to compare these scores against performance outcomes for water quality testing. We defined the performance outcomes as the proportion of testing Targets Achieved (outcome 1) and Testing Consistency (outcome 2) based on the monthly number of microbial water quality tests conducted by each institution. Our analysis identified motivation & leadership, knowledge, staff retention, and transport as institutional conditions that were necessary for achieving monitoring targets. In addition, equipment, procurement, infrastructure, and enforcement contributed to the pathways that resulted in strong monitoring performance.

Conclusions

Our identification of institutional commitment, comprising motivation & leadership, knowledge, and staff retention, as a key driver of monitoring performance was not surprising: in weak regulatory environments, individuals and their motivations take-on greater importance in determining institutional and programmatic outcomes. Nevertheless, efforts to build data collection capacity in low-resource settings largely focus on supply-side interventions: the provision of infrastructure, equipment, and training sessions. Our results indicate that these interventions will continue to have limited long-term impacts and sustainability without complementary strategies for motivating or incentivizing water supply and surveillance agency managers to achieve testing goals. More broadly, our research demonstrates both an experimental approach for diagnosing the systems that underlie service provision and an analytical strategy for identifying appropriate interventions.

Institutional capacity to generate and use evidence in LMICs: current state and opportunities for HPSR

BACKGROUND

Evidence-informed decision-making for health is far from the norm, particularly in many low- and middle-income countries (LMICs). Health policy and systems research (HPSR) has an important role in providing the context-sensitive and -relevant evidence that is needed. However, there remain significant challenges both on the supply side, in terms of capacity for generation of policy-relevant knowledge such as HPSR, and on the demand side in terms of the demand for and use of evidence for policy decisions. This paper brings together elements from both sides to analyse institutional capacity for the generation of HPSR and the use of evidence (including HPSR) more broadly in LMICs.

METHODS

The paper uses literature review methods and two survey instruments (directed at research institutions and Ministries of Health, respectively) to explore the types of institutional support required to enhance the generation and use of evidence.

RESULTS

Findings from the survey of research institutions identified the absence of core funding, the lack of definitional clarity and academic incentive structures for HPSR as significant constraints. On the other hand, the survey of Ministries of Health identified a lack of locally relevant evidence, poor presentation of research findings and low institutional prioritisation of evidence use as significant constraints to evidence uptake. In contrast, improved communication between researchers and decision-makers and increased availability of relevant evidence were identified as facilitators of evidence uptake.

CONCLUSION

The findings make a case for institutional arrangements in research that provide support for career development, collaboration and cross-learning for researchers, as well as the setting up of institutional arrangements and processes to incentivise the use of evidence among Ministries of Health and other decision-making institutions. The paper ends with a series of recommendations to build institutional capacity in HPSR through engaging multiple stakeholders in identifying and maintaining incentive structures, improving research (including HPSR) training, and developing stronger tools for synthesising non-traditional forms of local, policy-relevant evidence such as grey literature. Addressing challenges on both the supply and demand side can build institutional capacity in the research and policy worlds and support the enhanced uptake of high quality evidence in policy decisions.

Consultancy research as a barrier to strengthening social science research capacity in Uganda

There is a shortage of senior African social scientists available to lead or manage research in Africa, undermining the continent's ability to interpret and solve its socio-economic and public health problems. This is despite decades of investment to strengthen research capacity. This study investigated the role of individually commissioned consultancy research in this lack of capacity. In 2006 structured interviews (N = 95) and two group discussions (N = 16 total) were conducted with a fairly representative sample of Ugandan academic social scientists from four universities. Twenty-four senior members of 22 Ugandan and international commissioning organizations were interviewed. Eight key actors were interviewed in greater depth. Much of Ugandan social science research appears to take the form of small, individually contracted consultancy projects. Researchers perceived this to constrain their professional development and, more broadly, social science research capacity across Uganda. Conversely, most research commissioners seemed broadly satisfied with the research expertise available and felt no responsibility to contribute to strengthening research capacity. Most consultancy research does not involve institutional overheads and there seems little awareness of, or interest in, such overheads. Although inequalities in the global knowledge economy are probably perpetuated primarily by macro-level factors, in line with Dependency Theory, meso-level factors are also important. The current research market and institutional structures in Uganda appear to create career paths that seriously impede the development of high quality social science research capacity, undermining donor investments and professional effort to strengthen this capacity. These problems are probably generic to much of sub-Saharan Africa. However, both commissioning and research organizations seem ready, in principle, to establish national guidelines for institutional research consultancies. These could develop both institutional and individual research capacity, improve output and accountability, and facilitate academic research funding and indigenous research agendas.