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RCR Requirements for NSF & NIH. Michele Chin-Purcell, Director, RIOP Carol Foth, Manager, RCR/RIOP 02.18.2010. Background. - PowerPoint PPT Presentation
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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/[email protected]
Michele Chin-Purcell
Director, [email protected]
http://www.research.umn.edu/riop/index.htm
http://www.research.umn.edu/first/