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Institutional Responsibilities

• An institution must have a plan in place 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. As noted in听GPG Chapter II.C.1e, institutional certification to this effect is required for each proposal.
• While training plans are not required to be included in proposals submitted to NSF, institutions are advised that they are subject to review, upon request.
• An institution must designate one or more persons to oversee compliance with the RCR training requirement.
• Institutions are responsible for verifying that undergraduate students, graduate students, and postdoctoral researchers supported by NSF to conduct research have received training in the responsible and ethical conduct of research.

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Institutional Responsibilities

The guidance provided below is directed at formal instruction in responsible conduct of research.听听 It reflects the accumulated experiences and the best practices of the scientific community over the past two decades.听 These practices have been incorporated into many of the best regarded programs of instruction in responsible conduct of research.

1. Format: Substantial face-to-face discussions among the participating trainees/fellows/scholars/participants; a combination of didactic and small-group discussions (e.g. case studies); and participation of research training faculty members in instruction in responsible conduct of research are highly encouraged.听听While on-line courses can be a valuable supplement to instruction in responsible conduct of research, online instruction is not considered adequate as the sole means of instruction. A plan that employs only online coursework for instruction in responsible conduct of research will not be considered acceptable, except in special instances of short-term training programs (see below), or unusual and well-justified circumstances.听
2. Subject Matter:听While there are no specific curricular requirements for instruction in responsible conduct of research, the following topics have been incorporated into most acceptable plans for such instruction:
conflict of interest 鈥� personal, professional, and financial
1. policies regarding human subjects, live vertebrate animal subjects in research, and safe laboratory practices
2. mentor/mentee responsibilities and relationships
3. collaborative research including collaborations with industry
4. peer review
5. data acquisition and laboratory tools; management, sharing and ownership
6. research misconduct and policies for handling misconduct
7. responsible authorship and publication
8. the scientist as a responsible member of society, contemporary ethical issues in biomedical research, and the environmental and societal impacts of scientific research

While courses related to professional ethics, ethical issues in clinical research, or research involving vertebrate animals may form a part of instruction in responsible conduct of research, they generally are not sufficient to cover all of the above topics.听 Additional detail regarding subject matter is available under Resources.

3. Faculty Participation: Training faculty and sponsors/mentors are highly encouraged to contribute both to formal and informal instruction in responsible conduct of research.听 Informal instruction occurs in the course of laboratory interactions and in other informal situations throughout the year. Training faculty may contribute to formal instruction in responsible conduct of research as discussion leaders, speakers, lecturers, and/or course directors.听 Rotation of training faculty as course directors, instructors, and/or discussion leaders may be a useful way to achieve the ideal of full faculty participation in formal responsible conduct of research courses over a period of time.
4. Duration of Instruction: Instruction should involve substantive contact hours between the trainees/fellows/scholars/participants and the participating faculty.听 Acceptable programs generally involve at least eight contact hours. 听A semester-long series of seminars/programs may be more effective than a single seminar or one-day workshop because it is expected that topics will then be considered in sufficient depth, learning will be better consolidated, and the subject matter will be synthesized within a broader conceptual framework.
5. Frequency of Instruction:听听Reflection on responsible conduct of research should recur throughout a scientist鈥檚 career: at the undergraduate, post-baccalaureate, predoctoral, postdoctoral, and faculty levels.听 Institutional training programs and individual fellows/scholars are strongly encouraged to consider how to optimize instruction in responsible conduct of research for the particular career stage(s) of the individual(s) involved. Instruction must be undertaken at least once during each career stage, and at a frequency of no less than once every four years. It is highly encouraged that initial instruction during predoctoral training occurs as early as possible in graduate school.听听Individuals at the early career investigator level (including mentored K awardees and K12 scholars) must receive instruction in responsible conduct of research at least once during this career stage.听 Senior fellows and听career award recipients (including F33, K02, K05, and K24 awardees) may fulfill the requirement for instruction in responsible conduct of research by participating as lecturers and discussion leaders. 听To meet the above requirements, instruction in responsible conduct of research may take place, in appropriate circumstances, in a year when the trainee, fellow or career award recipient is not actually supported by an NIH grant. 听This instruction can be documented as described on the NIH RCR policy website.

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