DfT annual statement of compliance with the Concordat to Support Research Integrity (2023 to 2024)
Updated 26 September 2024
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Overview
The Department for Transport (DfT) is committed to making policies that are based on evidence. We use research to understand the context in which we are working, the challenges we are facing and how these will change over time. We also use research to understand the likely impacts of our policies and to evaluate their effectiveness.
This provides a statement of the levels of compliance of DfT’s research with the Concordat to Support Research Integrity (the concordat), the academic standard and national framework for good research and governance for the year ending March 2024.
Consistent with the principles of concordat, DfT seeks to conduct research that follows the highest standards of rigour and integrity, uses appropriate ethical, legal, and professional standards, and is underpinned by a culture of integrity and good governance.
Our approach follows the guidance to implement the concordat of the Government Office for Science (GO-Science).
Governance
DfT’s research and development (R&D) programme is overseen by its R&D Board, which is chaired by our Chief Scientific Adviser, Sarah Sharples.
Amanda Rowlatt, our Chief Analyst, is the senior manager overseeing research integrity.
The Chief Analyst’s office provides administrative support and is the lead contact for any queries about research integrity issues.
Contact: caomailbox@dft.gov.uk.
Processes to support a culture of research integrity
Research integrity in government is underpinned by the Seven Principles of Public Life (the ‘Nolan principles’) and the Civil Service Code.
The codes and guidance for the analysis and science professions also provide support. Within DfT, further support is provided by bespoke guidance including our analytical assurance framework and guidance on quality assurance of analytical modelling.
For individual research projects, a proforma is used to highlight expected professional standards and capture authorisations.
Governance is provided through the:
- senior analysts and research managers
- heads of analysis and science and engineering professions
- Chief Scientific Adviser
- Chief Analyst
- R&D Board
Annual management assurance exercises are used to monitor compliance with standards.
Analysis and research staff are briefed on the requirements to comply with the concordat, based on the guidance of GO-Science. Guidance on this has been provided on our intranet and shared with our arms-length bodies. Annual management assurance exercises are used to monitor compliance with standards.
Open science, research protocols and publications of research
DfT is committed to publishing the research studies it commissions to inform its policies and projects in accordance with principles of open science and the government social research (GSR) publication protocol, which has been adopted in the GO-Science guidance to implement the concordat.
Research outputs will be published at the final report stage after a thorough analytical review of its findings has been completed, including peer review where appropriate. Interim outputs will not be published routinely.
The GSR publication protocol’s established guideline for publication is that research outputs should be published within 12 weeks of finalisation.
Our compliance with this guideline is stronger for social research and evaluation studies, for which it is a long-established principle, than for other types of research in scope of the concordat.
This principle has been introduced through the published GO-Science guidance.
Outputs from transport economics, appraisal and modelling research continue to be published regularly, although this is often later than the 12-week guideline. During 2024 to 2025, when we expect more of these research projects to conclude, we will continue work to ensure that more of these outputs are published quickly.
Our innovation and R&D programmes (the majority of which cover science and engineering research) are deemed to be compliant with the publication standard, noting permitted exceptions, for example, commercial confidentiality. During 2024 to 2025, we will explore further modifications to grant and contractual agreements with our suppliers to ensure that final reports are published. This too, will implement an expectation that programmes will publish a summary of research plans at the start
Social research studies are generally published in accordance with the guidance, although there have been several publications that have been delayed beyond the 12-week guideline in the past year.
Evaluation studies are also generally published in accordance with the guidance. We are cooperating fully with the new evaluation registry for government evaluations, ensuring that evaluation reports and some evaluation plans are stored there.
Development of model publication processes continues. Two key developments are currently taking place: DfT’s adoption of the new aqua book best practice framework of providing, where possible, publication links within its business critical model register and DfT will also be implementing the algorithmic transparency reporting standard (ATRS).
The ATRS has a commitment to explore an appropriate and effective way to achieve greater transparency on complex algorithm-assisted decision making in the public sector.
In line with other areas of research, we plan to publish data science research where applicable. Data science code will be made open, where it is possible to do so. AI governance processes are under development and will include guidance on transparency and use.
Data science research projects have commenced but outputs are not yet finalised. We expect the first of the outputs and their publication to take place in 2024 to 2025.
We note the GSR publication protocol’s new guideline (introduced in December 2021) that protocols and analysis plans should usually be developed and published in advance of any study being started.
We note the GSR publication protocol’s new guideline (introduced in December 2021) that protocols and analysis plans should usually be developed and published in advance of any study being started.
We are committed to publishing protocols for our higher-value research studies (those costing more than £500,000) but not for lower-value studies on the grounds of proportionality (those studies would still have outputs published when completed).