Printed on: 11/30/2023. Please go to policy.umn.edu for the most current version of the document.
University of Minnesota  Administrative Policy

Responsible and Ethical Conduct of Research Education

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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 Research and Innovation 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 (RCR).

Training Requirement

All research personnel that want to serve as principal investigator of a research study, sponsored or unsponsored, are required to complete the RCR Core Education through Collaborative Institutional Training Initiative (CITI) Program (see Procedure for PI Eligibility Requirements for Responsible and Ethical Conduct of Research Education). All researchers, regardless of their role in the research group, should complete the RCR Core Education through the CITI Program, regardless of funding status upon employment. It is also strongly encouraged for administrators involved in other research-related administrative roles to complete the RCR Core Education through the CITI Program. There are additional  specific requirements for anyone on funded studies by the National Institutes of Health (NIH), the National Science Foundation (NSF), and/or the United States Department of Agriculture National Institute of Food and Agriculture (USDA-NIFA) (see Appendices: NIH Requirement for Instruction in the Responsible Conduct of Research, Responsible and Ethical Conduct of Research Education Requirement for NSF and Responsible and Ethical Conduct of Research Education Requirement for USDA-NIFA). It is the responsibility of the PI to ensure compliance as outlined in the terms and conditions of the sponsored project award. 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 current vendor of choice for RCR Core online training is the Collaborative Institutional Training Initiative (CITI Program). CITI tools to make content accessible for a variety of learner groups. It is the responsibility of the researcher to meet the additional educational requirements for continuing education in RCR to maintain compliance with funding agency requirements.

The RCR Core Curriculum offered by the University of Minnesota through the CITI Program includes the following topics:

  • Introduction to RCR: overview of responsible conduct of research
  • Authorship
  • Collaborative Research
  • Conflicts of Interest and Commitment
  • Data Management
  • Financial Responsibility
  • Mentoring
  • Peer Review
  • Plagiarism
  • Research Misconduct
  • Export Controls and Economic Sanctions
  • Financial Responsibility & Other Research Areas
  • Technology and Commercialization at the University of Minnesota.

Accessibility Considerations

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

This accessibility is relevant to all training completed through CITI Program. This training requires access to a computer and the ability to log in using the Single Sign-On. If the researcher is unable to use Single Sign-On and the Duo Authentication System, they will be unable to access this training. Individual schools and colleges are responsible for providing their researchers with the time during the work shift and computer accessibility to complete the training. Because this is a required training for anyone serving as a PI and anyone being paid through a sponsored project that requires RCR Education, it should be completed during normal working hours.

Reason for Policy

This policy implements the principal investigator and researcher eligibility requirements contained in Board of Regents Policies: Submitting and Accepting Sponsored Projects (pdf) and Code of Conduct (pdf), 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, that the scope of the University's program for the responsible conduct of research includes such additional requirements.

Contacts

SubjectContactPhoneEmail
Primary Contact(s)Danielle Rintala612-624-8349[email protected]
Other ContactCIS Helpline612-625-9057[email protected]
Responsible Individuals
Responsible Officer Policy Owner Primary Contact
  • Vice President for Research and Innovation
  • Director, Research Compliance, Integrity, and Security
  • Danielle Rintala
    Director, Research Compliance, Integrity, and Security

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

Research and Innovation Office

  • Ensure establishment and maintenance of a program to address the education needs for responsible conduct of research for faculty and investigators, regardless of funding status;
  • 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 responsible conduct of 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 research study 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 research study 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:

October 2023 - Comprehensive Review, Minor Revisions. Continued use of CITI Program, require RCR Core course implementation for all researchers, regardless of funding source or role in a study, to provide continuity and reduction of redundancy in education requirements for sponsored projects and to serve as a PI.

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