RCR Requirements for NSF & NIH

Michele Chin-Purcell, Director, RIOPCarol Foth, Manager, RCR/RIOP02.18.2010

Background

The National Science Foundation (NSF) now requires institutions applying for funding to certify that they have a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students and postdoctoral researchers who will be supported by NSF to conduct research.

NSF grant applications that include funding to support postdoctoral researchers must include a description of mentoring activities.

The National Institutes for Health (NIH) has issued an update to their requirement for instruction in the responsible conduct of research for recipients of all NIH training grants and awards.

Questions, Questions, Questions

What are the changes in the requirements?

When do they take effect?

What do the changes mean for PIs and grant administrators?

How will these new requirementsbe managed? By whom?

How you can help?

NSF RCR Requirements August 2007 – NSF funding included in

America COMPETES Act; included requirement to provide RCR training for all students supported by funding

February 2009 – NSF asks for comments on new requirement

July 2009 – UM ad hoc committee begins meeting to develop plan to meet requirement

August 2009 – NSF publishes implementation plan for requirement: http://edocket.access.gpo.gov/2009/E9-19930.htm

NSF RCR Implementation

“Effective January 4, 2010, NSF will require that, at the time of proposal submission to NSF, a proposing institution's Authorized Organizational Representative certify that the institution has a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers who will be supported by NSF to conduct research.”

UM NSF RCR Committee Ad hoc committee comprised of representatives from

academic units with histories of receiving NSF funding Overall goal: develop a training plan that is beneficial,

feasible and ensures compliance

Framework for development:◦ New information for some; review for others◦ PIs vary in their understanding of issues◦ Need for consistent, available options using existing

resources◦ Tracking of completion should be electronic◦ Best format will combine online with interactive◦ Does not replace other required training (e.g.,

research subjects protection, lab safety)

Identified list of approved online courses

University of Minnesota Plan

Postdoctoral researchers complete RCR 1 & 2 Graduate and undergraduate students complete

course, activity or online tutorial Minimum topics to address in training:

◦ Authorship & Plagiarism◦ Data/Research Integrity◦ Reporting Misconduct

Format – in-person course preferred; online tutorial should include interaction and/or assessment of knowledge

Length – sufficient to address topics in substantive way

Complete requirement – within 90 days of the start of funding

http://www.research.umn.edu/first/NSFplan.pdf

Approval Process

Research Associate Deans serve as local clearinghouse on courses/activities that satisfy requirement◦ UM courses/activities meeting minimum topics, format and

length recommendations◦ Review new or revised courses/activities

Students submit completion certificate to RCR/RIOP for online courses

Instructor submits sign-in sheets for in-person courses or seminars

Record-keeping done by RCR/RIOP

What are some approved courses?

EdPA 5080/8095: Surviving in the Research World APSC 8123: Research Ethics in the Plant and

Environmental Science WRS 8581: Research and Professional Ethics in

Water Resources and Environmental Science BioC 8401: Ethics, Public Policy and Careers in

Molecular and Cellular Biology DHA 8181: Ethics and Research CITI RCR online curriculum List of approved courses:

http://www.research.umn.edu/first/NSFApprCrs.html

Tracking of Requirement

OVPR-generated report will identify students who need to complete requirement based on payroll records

Automated email from OVPR will be sent to student, PI and/or collegiate contact outlining requirement and options to complete it

Reminders will be sent

Consequences for non-compliance will be monitored and managed by OVPR

What does this mean for PIs?

All students supported by NSF funding to do research must complete requirement

Need to be aware of University plan – do not need to describe it in proposal; do need to ensure student compliance

Most record-keeping being handled centrally

PIs leading activities to meet requirement must have participants sign in & submit forms for recording

How can grant administrators help?

Be aware of new requirements and available information concerning the University plan: www.research.umn.edu/first/NSFreq.html

Support importance of student compliance and need to complete training according to guidelines

Ensure student hire documents reflect the correct classification and are accurately entered into the payroll system

Become familiar with tool to verify completion of requirement: https://egms.umn.edu/rcr/

Postdoc Mentoring Plan Proposals for NSF funding to support postdoctoral

researchers must include 1-page description of mentoring activities to be provided

Beginning April 2010, FastLane will check for inclusion of this section; will not accept proposal if it is missing

NSF Proposal & Award Policies & Procedures Guide includes details and list of suggested activities:

http://www.nsf.gov/publications/pub_summ.jsp?ods_key=papp

Need to develop and describe mentoring plan for postdoctoral researchers

Ensure postdoctoral researchers supported by grant/award complete training as described on application

Use UMN resources to help – Postdoctoral Affairs, departmental resources

Must keep track of activities for reporting

What does this mean for PIs?

How can grant administrators help?

PI is responsible for information on applications and reporting requirements

Be aware of PI roles and responsibilities with respect to these requirements

Be aware of resources for PIs – RCR program, Postdoctoral Affairs, departmental resources

Updated NIH requirements

November 24, 2009 - NIH Update on Requirement for Instruction in the Responsible Conduct of Research issued: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-019.html

Policy applies to all new and renewal applications submitted on or after January 25, 2010, and for all continuation (Type 5) applications with deadlines on or after January 1, 2011

NIH RCR Requirements

“NIH requires that all trainees, fellows, participants, and scholars receiving support through any NIH training, career development award (individual or institutional), research education grant, and dissertation research grant must receive instruction in responsible conduct of research.”

Summary of Changes Incorporates best practices principles into

philosophy, format and content of instruction Emphasizes need for ongoing instruction

relevant to career stage Prescriptive about content, format, duration

and frequency Provides specific guidance for preparing and

reviewing plans Requires monitoring of attendance and reports

on activities completed

What Has Been Done Regarding These Changes?

Revised existing description of RCR program to reflect new guidelines for inclusion in NIH proposals and continuations: http://www.research.umn.edu/first/AppWording.htm

Published announcements in Research News Online

Included new guidelines in RCR continuing education Information Update online materials

Identified and notified via email PIs with current applicable awards

Working with departments to identify and communicate current courses and activities

Additional Plans Work with departments to clarify their

programs and provide language to describe them

Work with Graduate School to clarify their role in implementing and supporting these guidelines

Identify other sources of programs to help applicants and awardees meet requirement (e.g., Postdoctoral Affairs, AHC, etc)

Continue to communicate about new guidelines Clarify guidelines about “monitoring” and incorporate into existing tracking systems

What does this mean for PIs?

Be aware that NIH has more specific requirements for applications and reporting

Read RFP for individual grant program details Must complete RCR parts 1 & 2 to serve as PI Must also participate in other discipline-specific

formal & informal activities Ensure others supported by grant/award

complete training as described on application Must tie activities to career stage Must keep track of these other activities for

reporting

How can grant administrators help?

PI is responsible for information on applications and reporting requirements

Be aware of PI roles and responsibilities with respect to these requirements

Be aware of resources for PIs – RCR program, Postdoctoral Affairs, departmental resources

How can grant administrators help, cont

Be aware of University record-keeping systems & how to verify completion of RCR

Be aware that institutional grant programs have updated reporting requirements – check grant program for details

Questions&

Comments

Contact Us

Carol Foth Manager, RCR/RIOPfothx001@umn.edu612-624-1854

Michele Chin-Purcell

Director, RIOPchin0077@umn.edu612-625-7213

http://www.research.umn.edu/riop/index.htm

http://www.research.umn.edu/first/