New RCR Requirements

Responsible Conduct of Research (RCR) What is RCR? New Requirements for RCR Who Does it Affect? When? Data Management What is the Institutional Plan?

What If..?What is RCR?Responsible Conduct of Research (RCR) is a widely accepted set of ethical standards for conducting research. ASU is committed to maintaining the integrity fundamental to research activities through the responsible and ethical conduct of its faculty, staff, and students.

PUBLIC LAW 11069AUG. 9, 2007America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science America (COMPETES) Act

TITLE VIINATIONAL SCIENCE FOUNDATIONSec. 7009. Responsible conduct of research.Where did the new rules come from? America COMPETES Act

Section 7009: This section of the Act requires that ``each institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project.

Source: Federal Register: August 20, 2009 (Volume 74, Number 160)] NSFWhat does the America COMPETES Act say about RCR?

NSF implementation of the Act requires that each institution that applies for financial assistance from the Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project.The new policy will take effect on January 4, 2010. Institutions applying for grants will be required to certify compliance.

Source: Federal Register: August 20, 2009 (Volume 74, Number 160)] What does NSF Require?

What Are ASUs Responsibilities for RCR Training?Institutional Responsibilities Under NSF RequirementsInstitutions must have a plan in place to provide RCR training and oversight to undergraduates, graduate students, and postdoctoral researchers.Institutional certification is required for each proposal at the time of proposal submission. Training plans are not required to be included in proposals, but they are subject to review.Designate who will be responsible for overseeing compliance with the RCR training requirement. Verify that undergraduate students, graduate students, and postdoctoral researchers have received training in RCR.

All proposals submitted on or after January 4, 2010 will require certification that there is an institutional plan in place for RCR training for undergraduates students, graduate students and postdocs if awarded.

When Will the RCR Requirements Begin?

It is the right thing to do.Arizona State University is committed to fostering an ethical culture of the highest standard for the responsible conduct of research as a core value for all university research.ASU is committed to providing RCR training opportunities to all of our future researchers as an institutional responsibility in their professional and ethical development.Why are all sponsors included instead of only NSF?

NOT-OD-10-019 (11/24/09)Update on the Requirement for Instruction in the Responsible Conduct of ResearchApplies to all training, career development, research education, and dissertation research grants.Includes grant specific guidelines.More details to come.

New RCR Update from NIHOffice of the Vice President for Research and Economic Affairs based on recommendations of the RCR Steering Committee with input from the Faculty Advisory Group.

Who made the decision on how ASU will comply with the new requirements?

The RCR training requirement is an independent mandate separate from submitting the supplemental document related to mentoring for Postdoctoral Researchers which became effective on April 1, 2009.The postdoctoral mentoring plan is an individual supplemental document, developed by the PI. The plan is submitted with each proposal that is evaluated during the merit review as part of the Broader Impacts criterion.The RCR institutional plan is an auditable certification as part of proposal submission and is effective Jan. 4, 2010.

RCR ? - Postdoctoral Mentoring ? I am Confused

Each proposal submitted to NSF that requests funding to support postdoctoral researchers must include (as a supplementary document) a description of the mentoring activities that will be provided for all postdoctoral researchers supported by the project.

This requirement is separate from the RCR Institutional Plan for training activities.NSF Mentoring Requirements for Postdoctoral Researcher

Examples of mentoring activities include, but are not limited to: career counseling; training in preparation of grant proposals, publications and presentations; guidance on ways to improve teaching and mentoring skills; guidance on how to effectively collaborate with researchers from diverse backgrounds and disciplinary areas; and training in responsible professional practices.

Proposals that include funding to support postdoctoral researchers, and, do not include the requisite mentoring plan are returned to the institution without review.NSF Mentoring Plan for Postdoctoral Researcher

Postdoctoral Researcher MentoringEffective April 2009PI is responsibleProject SpecificSupplemental DocumentEvaluated during the merit review as part of the Broader Impacts criterionNSF Mentoring Plan vs RCR Institutional PlanResponsible Conduct of ResearchEffective for proposals submitted or due after January 4, 2010Institutional Plan (Institution responsible)Certified but not submitted to NSFAuditable plan to provide training to: undergraduates, graduate students and postdoctoral researchers supported by NSF to conduct research.

What Are the Core Elements of RCR?1. Responsible Authorship & Publication2. Data Ownership & Management 3. Protection of Human Subjects4. Animal Use and Care5. Peer Review6. Conflict of Interest 7. Research Misconduct8. Collaborative Research9. Mentor/Mentee Responsibilities

Who is Required to Take RCR Training?Sponsored Projects

Responsible Conduct of ResearchUNDERGRADUATESTUDENTSGRADUATESTUDENTSTEXTPOSTDOCS

ASU Institutional RCR PlanRCR in the Research Setting

RCR Activities or Class

CITI Online Training

Phase 1Phase 2Phase 3

ASU Institutional RCR PlanRCR Online Modules:Undergraduate BasicsBiomedical ResearchSocial and Behavioral ResearchPhysical Sciences ResearchHumanities ResearchEngineering Research

CITI Online Training

Phase 1Targeted Content

ASU Institutional RCR PlanRCR Participation in:WorkshopsSeminarsLecturesCourseworkInteractive Activities

Phase 2Targeted Content

ASU Institutional RCR PlanPI Responsibility Project Specific:Documented DiscussionsCase StudiesEducational HandoutsGuest Speakers at Lab MeetingsSpecial AssignmentsIn the Research Setting

Phase 3Integration in the Workplace

Requirements for Each GroupCITI RCR BasicsCITI OnlineRCR ActivitiesRCR ClassProject RCRUndergraduatesX XGraduate Students X XPost docs X X* X* XPrincipal Investigator XDepartment or ORIAX*Postdocs may choose between attending RCR Activities or attend an ASU RCR class.

For all undergraduates, graduate students and postdoctoral researchers supported on a sponsored project.Phase I (CITI): Within 60 days of starting on the sponsored project.Phase II (RCR Activities): Within the first year on the project.Phase III: (PI Mentoring): Throughout the life of the project.

Timing RequirementsRCR Process

23NSF RCR Digital Library Siteshttp:// www.umass.edu/sts/digitallibrary/http:// www.onlineethics.org/ORI RCR Educational Resourceshttp://ori.dhhs.gov/education/rcr_resources.shtml ASU Blackboard Site for Faculty ResourcesRCR Topic of the Monthand much more to come

RCR Resources Development

RCR Data ManagementReportsData WarehousePI RecordsRCR DatabasePI TrainingRecordsCITI & RCR Activity TrackingProposals & Awards

Your turn. What If?Contact Department Research Advancement TeamORSPAOffice of Research Integrity & AssuranceWhere Can I Get More Information?Presented by: Sheryl TrexlerAssistant Director, ORIADecember 2009