RCR Requirements for NSF & NIH

1. RCR Requirements for NSF & NIH Michele Chin-Purcell, Director, RIOP Carol Foth, Manager, RCR/RIOP 02.18.2010

2. 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.

3. 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?

4. 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

5. 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.”

6. 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

7. 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 tutorialshould 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

8. Approval Process • ResearchAssociate 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 onlinecourses • Instructor submits sign-in sheets for in-person courses or seminars • Record-keeping done by RCR/RIOP

9. 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

10. 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

11. 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

12. 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/

13. 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

14. What does this mean for PIs? • 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

15. 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

16. 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

17. 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.”

18. 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

19. 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

20. 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

21. 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

22. 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

23. How can grant administrators help, cont • Be aware of University record-keeping systems & how to verify completion of RCR • Be aware that institutional grant programshave updated reporting requirements – check grant program for details

24. Questions & Comments

25. Contact Us Carol Foth Manager, RCR/RIOP fothx001@umn.edu 612-624-1854 Michele Chin-Purcell Director, RIOP chin0077@umn.edu 612-625-7213 http://www.research.umn.edu/riop/index.htm http://www.research.umn.edu/first/