Printed on: 07/16/2020. Please go to http://policy.umn.edu for the most current version of the Policy or related document.
University of Minnisota  Administrative Policy

Education in the Responsible Conduct of Sponsored Research and Grants Management

Responsible University Officer(s):
  • Vice President, Research
Policy Owner(s):
  • Director - Research Compliance Office
Policy contact(s):
  • Sara Muench
Date Revised:
Nov 26, 2018
Effective Date:
Jun 3, 2010

Policy Statement

Faculty, staff, and students who serve in various capacities on research and scholarship projects are required to complete training that is appropriate for the role they will serve on the project and meets sponsor regulations. Sponsor regulations, University policies, and the supervisors of staff and students will determine the appropriate level of training. The Office of the Vice President for Research has the responsibility to ensure that principal investigators (PIs), investigators, co-investigators and their staff and students have access to the necessary information and supporting resources to meet expectations about the responsible conduct of research.

Research funding from internal and external sources will not be released for faculty and staff who fail to complete research education requirements. Other policies address requirements related to research and may impose additional consequences for non-compliance.

The vendor of choice for RCR on line training is the Collaborative Institutional Training Initiative (CITI Program).  CITI uses the following to make content accessible to a wider range of people with disabilities, including blindness and low vision, deafness and hearing loss, learning disabilities, cognitive limitations, limited movement, speech disabilities, photosensitivity and combinations of these. 

Per CITI:

The Collaborative Institutional Training Initiative (CITI Program) is committed to making all of its content accessible to persons with disabilities. The CITI Program website and other communications aim to adhere to best practices for accessibility such as:

Reason for Policy

This policy implements the principal investigator and researcher eligibility requirements contained in Board of Regents Policy: Submitting and Accepting Sponsored Projects and Board of Regents Policy: Code of Conduct, and establishes the expectation for a training program to meet the shared responsibility for the responsible and ethical conduct of research.

This policy also articulates the shared commitment of the University and its faculty, staff, and students to ethical behavior and fulfillment of the fiduciary duties of public funding that are fundamental to the responsibility of serving as principal investigator (PI) or in another role on projects of research and scholarship.

In addition, various government and other agencies set standards and requirements for education and training in the responsible conduct of research. This policy ensures, where applicable, the scope of the University's program for the responsible conduct of research includes such additional requirements.

Procedures

    Forms/Instructions

    Appendices

      Frequently Asked Questions

      There are no FAQs associated with this policy.

      Contacts

      SubjectContactPhoneEmail
      Primary Contact(s) Sara Muench 612-625-2211 schu2270@umn.edu
      Other Contact RCO Helpline 612-625-9057 ovprrco@umn.edu

      Definitions

      Principal Investigator (PI)
      The individual or individuals primarily responsible for and in charge of a sponsored project.
      Responsible Conduct of Research (RCR)
      Term used in many contexts; in general, the rules, regulations and best practices used to guide research and scholarly activities to produce results that are honest, accurate, efficient and objective. The University also uses this term to define the expectations included in Board of Regents Policy: Code of Conduct and to describe its education program.

      Responsibilities

      Office of Vice President for Research
      • Ensure establishment and maintenance of a program to address the education needs for responsible conduct of research for faculty and investigators involved in externally and internally funded research and scholarship;
      • Consult with faculty, administrative, and/or research staff for guidance on the content and delivery of the educational materials and other program requirements;
      • Publicize the research education program to all faculty, staff, and students; and
      • Track and maintain information on participation in RCR and NSF/USDA-NIFA education activities and assess the ongoing effectiveness of the research education program.
      Associate Dean for Research or equivalent for College or Unit
      • Ensure faculty, staff, and students complete research education requirements appropriate for their role on the project and/or required by the sponsor or the University;
      • Publicize the research education program to faculty, staff, and students in college or unit; and
      • Provide advice and guidance for research education program, as needed.
      Department Heads
      • Ensure faculty, staff, and students complete research education requirements appropriate for their role on the project and/or required by the sponsor or the University;
      • Publicize the research education program to faculty, staff, and students in their department; and
      • Monitor completion of requirements by research staff and students, as needed.
      PIs and Faculty
      • Complete the University's responsible conduct of research requirement (RCR);
      • Be aware of appropriate training and/or required training requirements for staff and students working on their projects; and
      • Ensure staff and students complete research education requirements appropriate for the role they will have on the project and/or as required by the sponsor or the University.
      Research staff and students
      • Be aware of research education requirements appropriate for the role they will have on the project and/or as required by the sponsor or the University; and
      • Complete research education requirements appropriate for the role they will have on the project and/or as required by the sponsor or the University.

      Related Information

      Related Policies

      History

      Amended:
      November 2018 - Comprehensive Review, Minor Revisions. Appendix added, clarification of language for use with training grants, clarification of roles and responsibilities related to NSF and USDA/NIFA policies.
      Amended:
      April 2014 - Comprehensive Review, Minor Revision. Eliminated both (annual and every three years) Responsible Conduct of Research (RCR) continuing education requirements; eliminated Administrative Procedure: Requesting A Time Extension for RCR Completion; added Administrative Procedure: Research Ethics Training Requirement for NSF and USDA-NIFA.
      Effective:
      June 2010

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