About Responsible Conduct of Research Training
Public trust in the integrity and ethical behavior of scholars must be maintained if research is to continue to play its proper role at 91AV and in society. In alignment with 91AV’s strategic plan to produce focused research and scholarship, 91AV policy dictates that all research and scholarly activities be carried out with the highest standards of integrity and ethical behavior.
Responsible Conduct of Research (RCR) is broadly defined as applying best practices in proposing, performing, or reviewing research, or reporting research results regardless of the scientific or scholarly discipline. RCR encompasses both the ethical conduct of research and research compliance. The latter is comprised of complying with all applicable laws, regulations, and institutional policies governing research and scholarly activity.
Research or scholarly activity that is federally supported by the National Institutes of Health (NIH), the National Science Foundation (NSF), or USDA-NIFA (USDA National Institute of Food and Agriculture) may require individuals to complete a program of education in RCR as a term of the federal grant. Scroll down to view the federal RCR program requirements for NIH, NSF, and USDA‑NIFA.
Although RCR instruction is not required for everyone, anyone involved with research and scholarly activity at 91AV (regardless of funding) is strongly encouraged to participate in any and all aspects of 91AV’s RCR training program.
Program Goals
The goals of RCR training are to:
- Foster and support a culture of integrity in research and scholarly activities at the 91AV among faculty, professional staff, and students.
- Raise awareness and understanding among the 91AV community regarding the ethical and responsible conduct of research and scholarly activity.
- Help faculty, professional staff, and students stay current and compliant with federal RCR requirements.
- Create a resource base of information and mentors to support the educational and professional development of students, faculty, and professional staff in the ethical conduct of research and scholarly activity.
91AV RCR Education Program
91AV offers a comprehensive program of RCR education available to all faculty, professional staff, and students.
Training is offered through a mixture of online Collaborative Institutional Training Initiative (CITI) RCR modules, access to previously recorded RCR lectures via an on-demand video library, and various in‑person discussion formats (e.g., interactive 91AV RCR training seminar, 91AV RCR lecture series, 91AV coaching/mentoring training, and personal interaction between mentor and mentee).
Additionally, RCR educational events sponsored by the MaineHealth Institute for Research (MHIR) are available to the 91AV community.
Training Topics
- Animal Care and Use
- Protection of Human Research Participants
- Conflict of Interest and Commitment
- Misconduct in Research and Scholarly Activity
- Intellectual Property
- Collaborative Research
- Export Controls and Foreign Influence
- Rigor and Reproducibility
- Data Management including Secure and Ethical Data Use
- Mentor/Mentee Roles and Responsibilities
- Peer Review
- Responsible Authorship and Publication
- Safe Research Environments
- Controlled Substances
- Health Insurance Portability and Accountability Act (HIPAA)
- Responsible Scientist
Federal RCR Program Requirements
NIH RCR Program Requirements
NIH requires RCR education for 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. NIH applications require a plan for instruction in the responsible conduct of research.
NIH RCR Program FAQ
Format of Instruction
- Focus on discussion-based instruction in face-to-face format
- Combination of didactic and small-group discussions (e.g., case studies)
- Participation of research faculty members in RCR instruction (both formal and informal training) is highly encouraged
- Allows for online course instruction but cannot be the sole means for meeting RCR education requirement
- Requires active learning, engagement, and interaction of participants
Frequency and Timing
- Must include at least 8 hours of instruction
- Individuals must receive instruction at least once during each career stage (e.g., undergraduate student, graduate student, post-doctoral fellow or faculty)
- Frequency of instruction must occur no less than once every four years
Subject Matter
- Conflict of interest (personal, professional, and financial) and conflict of commitment in allocating time, effort, or other research resources
- Policies regarding human subjects, live vertebrate animal subjects in research, and safe laboratory practices
- Mentor/mentee responsibilities and relationships
- Safe research environments (e.g., those that promote inclusion and are free of sexual, racial, ethnic, disability and other forms of discriminatory harassment)
- Collaborative research, including collaborations with industry and investigators and institutions in other countries
- Peer review, including the responsibility for maintaining confidentiality and security in peer review
- Data acquisition and analysis; laboratory tools (e.g., tools for analyzing data and creating or working with digital images); recordkeeping practices, including methods such as electronic laboratory notebooks
- Secure and ethical data use; data confidentiality, management, sharing, and ownership
- Research misconduct and policies for handling misconduct
- Responsible authorship and publication
- The scientist as a responsible member of society, contemporary ethical issues in biomedical research, and the environmental and societal impacts of scientific research
- Complete the appropriate online CITI RCR training course
- Attend in-person interactive 91AV RCR training seminar
- Individuals responsible for mentoring/coaching must complete in-person 91AV coaching/mentoring training
- Participate in 3 one-hour lab/department/mentor discussions (one-on-one or group interaction)
- Attend 3 RCR educational events (e.g., 91AV RCR lecture series (live or on-demand video) and/or other external RCR‑focused events)
for instructions on how to create a new CITI account, add courses to your profile, and navigate through the CITI website.
Complete the CITI RCR course that aligns with your area of research or scholarly activity.
- Biomedical Responsible Conduct of Research Course
- Social and Behavioral Responsible Conduct of Research Course
- Physical Science Responsible Conduct of Research Course
- Humanities Responsible Conduct of Research Course
The Principal Investigator (PI) is responsible for ensuring that all individuals receiving support from an NIH award complete the following 91AV RCR training activities within one year of being paid from the award or within the remaining period of support (if that period is shorter than one year):
- Complete the appropriate online CITI RCR training course
- Attend in-person interactive 91AV RCR training seminar
- Individuals responsible for mentoring/coaching must complete in-person 91AV coaching/mentoring training
Additionally, the PI is responsible for ensuring that all individuals receiving support from an NIH award complete the remaining 91AV RCR training activities within two years of being paid from the award or within the remaining period of support (if that period is shorter than two years):
- Participate in 3 one-hour lab/department/mentor discussions (one-on-one or group interaction)
- Attend 3 RCR educational events (e.g., 91AV RCR lecture series (live or on-demand video) and/or other external RCR‑focused events)
Completion of 91AV RCR training is valid for 4 years.
NIH does not require certification of compliance or submission of documentation, but expects institutions to maintain records sufficient to demonstrate that NIH-supported trainees, fellows, and scholars have received the required instruction.
The 91AV Office of Training in Research is responsible for maintaining records of documentation of RCR training participation.
Participants are responsible for submitting the following forms to rcr@une.edu to receive individual credit for engaging in discussions with a mentor, attending a 91AV RCR lecture series (live or on-demand video), or participating in an external RCR education event:
- RCR Credit Submission Form for Participation in Mentored Discussions
- RCR Credit Submission Form: 91AV RCR Lecture Series or External RCR Educational Event
NSF RCR Program Requirements
NSF requires RCR education for all undergraduate and graduate students, post-doctoral researchers, faculty, and other senior/key personnel supported by an NSF grant. Training plans are not required to be included in proposals submitted to NSF; however, institutions are advised that they are subject to review upon request.
NSF RCR Program FAQ
The training provided should be effective and must be appropriately tailored to the specific needs and circumstances at each institution. It is the responsibility of each institution to determine the content, focus, and delivery method of the responsible and ethical conduct of research training program.
Content must include the following components:
- Mentor training and mentorship
- Training to raise awareness of potential security threats
- Federal export control, disclosure, and reporting requirements
- Complete the appropriate online CITI RCR training course
- Attend in-person interactive 91AV RCR training seminar
- Individuals responsible for mentoring/coaching must complete in-person 91AV coaching/mentoring training
- Receive training on 91AV policies addressing research security, export controls, and disclosure reporting
for instructions on how to create a new CITI account, add courses to your profile, and navigate through the CITI website.
Complete the CITI RCR course that aligns with your area of research or scholarly activity.
- Biomedical Responsible Conduct of Research Course
- Social and Behavioral Responsible Conduct of Research Course
- Physical Science Responsible Conduct of Research Course
- Humanities Responsible Conduct of Research Course
The Principal Investigator (PI) is responsible for ensuring that all individuals receiving support from an NSF award complete the following 91AV RCR training activities within one year of being paid from the award or within the remaining period of support (if that period is shorter than one year):
- Complete the appropriate online CITI RCR training course
- Attend in-person interactive 91AV RCR training seminar
- Individuals responsible for mentoring/coaching must complete in-person 91AV coaching/mentoring training
Completion of 91AV RCR training is valid for 4 years.
NSF specifies that institutions are responsible for verifying that undergraduate students, graduate students, postdoctoral researchers, faculty, and other senior personnel supported by NSF to conduct research have received training in the responsible and ethical conduct of research.
The 91AV Office of Training in Research is responsible for maintaining records of documentation of RCR training participation.
USDA-NIFA RCR Program Requirements
USDA-NIFA mandates that program directors, faculty, undergraduate and graduate students, post-doctoral researchers, and any staff participating in research supported by a USDA-NIFA grant must receive responsible and ethical conduct of research education.
USDA-NIFA RCR Program FAQ
Per USDA-NIFA, the general content of ethics training must, at a minimum, emphasize three key areas of research ethics authorship and plagiarism; data and research integration; and reporting misconduct. Each institution will be responsible for developing its own training system, as schools will need flexibility to develop training tailored to their specific student needs.
- Complete the appropriate online CITI RCR training course
- Attend in-person interactive 91AV RCR training seminar
- Individuals responsible for mentoring/coaching must complete in-person 91AV coaching/mentoring training
- Receive training on 91AV policies addressing research security, export controls, and disclosure reporting
for instructions on how to create a new CITI account, add courses to your profile, and navigate through the CITI website.
Complete the CITI RCR course that aligns with your area of research or scholarly activity.
- Biomedical Responsible Conduct of Research Course
- Social and Behavioral Responsible Conduct of Research Course
- Physical Science Responsible Conduct of Research Course
- Humanities Responsible Conduct of Research Course
The Principal Investigator (PI) is responsible for ensuring that all individuals receiving support from a USDA-NIFA award complete the following 91AV RCR training activities within one year of being paid from the award or within the remaining period of support (if that period is shorter than one year):
- Complete the appropriate online CITI RCR training course
- Attend in-person interactive 91AV RCR training seminar
- Individuals responsible for mentoring/coaching must complete in-person 91AV coaching/mentoring training
Completion of 91AV RCR training is valid for 4 years.
In the event an application to USDA-NIFA results in an award, the Authorized Representative (AR) assures, through acceptance of the award that the institution will comply with the USDA-NIFA training requirements. Award recipients shall, upon request, make available to USDA-NIFA the policies, procedures, and documentation to support the conduct of the training.
The 91AV Office of Training in Research is responsible for maintaining records of documentation of RCR training participation.
Resources
91AV Resources
- 91AV Research Policies and Forms Website
- 91AV Office of Training in Research
- Guidance for Facilitating RCR Mentored Discussions (PDF)
- RCR Credit Submission Form for Participation in Mentored Discussions
- RCR Credit Submission Form: 91AV RCR Lecture Series or External RCR Educational Event
91AV Research Support Resources
If your work involves any of the following categories, you may need approval or to contact an office prior to use.
| If your work involves | You need approval from | Contact |
|---|---|---|
| DEA Controlled Substances | Environmental and Health Safety | Environmental Health and Safety |
| Export Controls; Sensitive Technology; Foreign Collaborations (including visiting scholars); International Travel; Non-Disclosure or Material Transfer Agreements for Incoming/Outgoing Research Information or Materials | Office of Sponsored Programs | Office of Sponsored Programs |
| Intellectual Property, Corporate Relations, Financial Interests | Office of Sponsored Programs | Office of Sponsored Programs |
| Ionizing Radiation, Lasers, Magnetic Resonance, Imaging Devices, Radioactive materials (including Sealed Resources, or X-Ray Machines | University-Wide Radiation Safety (UWSC) | Environmental Health and Safety |
| Hazardous Chemicals or Regulated Wastes | Environmental and Health Safety | Environmental Health and Safety |
| Human Subjects | Institutional Review Board (IRB) | Office of Research Integrity |
| Protected Health Information | HIPAA Officer | HIPAA Officer |
| Research Misconduct | Research Integrity Officer (RIO) | RIO |
| Vertebrate Animals | Institutional Animal Care and Use Committee (IACUC) | Office of Research Integrity |
Federal Resources
NIH Requirements
The below notices detail updates to the NIH requirements for Instruction in the Responsible Conduct of Research
NSF Requirements
The below policies detail NSF requirements for Instruction in the Responsible and Ethical Conduct of Research
USDA-NIFA Requirements
U.S. Department of Health and Human Services Office of Research Integrity
Events
Contact
Karen Houseknecht, B.S., M.S., Ph.D.
Research Integrity Officer
Professor and Associate Provost for Research and Scholarship
(207) 602-2872
khouseknecht@une.edu
For general inquiries contact the Office of Training in Research at rcr@une.edu.