Responsible Conduct of Research (RCR)

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

2. 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.

3. Where did the new rules come from? America COMPETES Act PUBLIC LAW 110–69—AUG. 9, 2007 America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science America (COMPETES) Act TITLE VII—NATIONAL SCIENCE FOUNDATION Sec. 7009. Responsible conduct of research.

4. What does the America COMPETES Act say about RCR? 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)] NSF

5. What does NSF Require? 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)]

6. What Are ASU’s Responsibilities for RCR Training? Institutional Responsibilities Under NSF Requirements • Institutions 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.

7. When Will the RCR Requirements Begin? 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.

8. Why are all sponsors included instead of only NSF? 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.

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

10. Who made the decision on how ASU will comply with the new requirements? Office of the Vice President for Research and Economic Affairs based on recommendations of the RCR Steering Committee with input from the Faculty Advisory Group.

11. RCR ? - Postdoctoral Mentoring ? I am Confused…… 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.

12. NSF Mentoring Requirements for Postdoctoral Researcher 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.

13. NSF Mentoring Plan 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.

14. NSF Mentoring Plan vsRCR Institutional Plan Responsible Conduct of Research • Effective for proposals submitted or due after January 4, 2010 • Institutional Plan (Institution responsible) • Certified but not submitted to NSF • Auditable plan to provide training to: undergraduates, graduate students and postdoctoral researchers supported by NSF to conduct research. Postdoctoral Researcher Mentoring Effective April 2009 PI is responsible Project Specific Supplemental Document Evaluated during the merit review as part of the Broader Impacts criterion

15. What Are the Core Elements of RCR? 1. Responsible Authorship & Publication 2. Data Ownership & Management 3. Protection of Human Subjects 4. Animal Use and Care 5. Peer Review 6. Conflict of Interest 7. Research Misconduct 8. Collaborative Research 9. Mentor/Mentee Responsibilities

16. Who is Required to Take RCR Training? Responsible Conduct of Research Sponsored Projects UNDER GRADUATE STUDENTS GRADUATE STUDENTS POSTDOCS TEXT

17. ASU Institutional RCR Plan Phase 1 Phase 2 Phase 3 RCR Activities or Class CITI Online Training RCR in the Research Setting

18. ASU Institutional RCR Plan Phase 1 Targeted Content CITI Online Training • RCR Online Modules: • Undergraduate Basics • Biomedical Research • Social and Behavioral Research • Physical Sciences Research • Humanities Research • Engineering Research

19. ASU Institutional RCR Plan Phase 2 Targeted Content Interactive Activities • RCR Participation in: • Workshops • Seminars • Lectures • Coursework

20. ASU Institutional RCR Plan Phase 3 Integration in the Workplace In the Research Setting • PI Responsibility Project Specific: • Documented Discussions • Case Studies • Educational Handouts • Guest Speakers at Lab Meetings • Special Assignments

21. Requirements for Each Group *Postdocs may choose between attending RCR Activities or attend an ASU RCR class.

22. Timing Requirements 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.

23. RCR Process

24. RCR Resources Development NSF RCR Digital Library Sites http:// www.umass.edu/sts/digitallibrary/ http:// www.onlineethics.org/ ORI RCR Educational Resources http://ori.dhhs.gov/education/rcr_resources.shtml ASU Blackboard Site for Faculty Resources RCR Topic of the Month and much more to come

25. RCR Data Management • Proposals & Awards • Reports • RCR Database • Data Warehouse • CITI & RCR Activity Tracking • PI Training • Records • PI Records

26. Your turn. What If………?

27. Where Can I Get More Information? Contact Department Research Advancement Team ORSPA Office of Research Integrity & Assurance Presented by: Sheryl Trexler Assistant Director, ORIA December 2009