Logo for Stony Brook University

P211: RESPONSIBLE CONDUCT OF RESEARCH AND SCHOLARSHIP (RCRS)

Issued by:
Stony Brook Research Office
Approved:
October, 2012

The goal of fostering and maintaining a culture of integrity across our diverse University community requires unwavering dedication of all faculty, staff, and students. Compliance with an ongoing educational training requirement for the responsible conduct of research and scholarship is critical to ensuring that the highest ethical standards for the conduct of research and scholarly activities are met.

I. RCRS Training Requirement

The educational program in RCRS involves 2 components:

  • On-Line Training ('CITI'):
    • The first component is one-time completion of RCRS modules provided by the web-based Collaborative Institutional Training Initiative (CITI).
    • The content modules to be completed are per requirements set forth by the Academic School or College within which the individual's department resides.
  • In Person Training ('IPT'):
    • Eight (8) hours every 4 years, or 2 hours annually.
    • Acceptable methods for satisfying this component will be established by the senior administration for each of the academic Schools or Colleges within which the individual's department resides. To ensure a successful and relevant educational experience, consultation with faculty in the development of these methods is expected, and will help ensure appropriate content RCRS training for their faculty, research staff and students. Requirements can be tailored on a department by department basis.

The following groups must complete both components:

  • Faculty
  • Graduate Students
  • Post-doctoral Fellows
  • Research Staff
  • Undergraduate students involved in research (via research classes, or other formal research activities)
  • Non-degree visitors (high school students, visiting students, visiting scholars etc) who conduct research for at least one year at SBU. (For those individuals visiting from another institution, this SBU RCRS training requirement may be waived pending proof of completion of RCRS training at the home institution.)

The following groups must complete the on-line component only:

  • Undergraduate students not involved in research (via research classes or other formal research activities)
  • Non-degree visitors (high school students, visiting students, visiting scholars, etc) who conduct research for less than one year at SBU. (For those individuals visiting from another institution, this SBU RCRS training requirement may be waived pending proof of completion of RCRS training at the home institution.)

II. Frequency of Training

The CITI must be completed one time. Individuals requiring IPT must complete 8 hours every 4 years or 2 hours annually.

NOTE: For those individuals who are named on/supported by:

  • an NSF grant funded after January 4, 2010, or
  • an applicable new or renewal NIH grant* funded after January 25, 2010, or
  • an applicable continuation (Type 5) NIH grant* funded after January 1, 2011

the '4 year clock' commences on the date of award.

* Applicable programs: D43, D71, F05, F30, F31, F32, F33, F34, F37, F38, K01, K02, K05, K07, K08, K12, K18, K22, K23, K24, K25, K26, K30, K99/R00, KL1, KL2, R25, R36, T15, T32, T34, T35, T36, T37, T90/R90, TL1, TU2, and U2R programs, and any other NIH funded programs supporting research training, career development, or research education that require instruction in RCRS per the relevant funding opportunity announcement.

III. Content of Training

To ensure a successful and relevant educational experience, consultation with faculty in the development of these methods is expected, and will help ensure appropriate content RCRS training for their faculty, research staff and students. Requirements can be tailored on a department by department basis.

With respect to the CITI program: CITI Discipline specific (Biomedical, Social & Behavioral Research, Physical Sciences, Humanities, Engineers) courses are available, covering Research Misconduct, Data Management, Conflict of Interest, Collaborative Science, Responsible Authorship, Mentoring, Peer Review, Lab Animals, and Human Subjects.

With respect to IPT: This component should promote discussion, foster a climate of ethical conduct of research and scholarly activities, and provide efficient opportunities for training.

A successful program includes, as appropriate to the discipline, the following topics:

  1. conflict of interest - personal, professional, and financial
  2. mentor/mentee responsibilities and relationships
  3. collaborative research including collaborations with industry
  4. peer review
  5. data acquisition and research tools; management, sharing and ownership
  6. research misconduct and policies for handling misconduct
  7. responsible authorship and publication
  8. the scholar as a responsible member of society, contemporary ethical issues and the environmental and societal impacts of research in the discipline
  9. policies regarding human subjects, live vertebrate animal subjects in research, and safe laboratory practices

Generation of discipline-specific requirements should consider formal mechanisms for training via RCRS coursework/ lecture series/workshops, journal clubs, GRD 500 (as available); laboratory rotations; or other curriculum, as well as less formal training opportunities through faculty meetings; laboratory meetings; faculty/student retreats; departmental research days. Any activity intended to satisfy the RCR training requirement must be supported by appropriate documentation (attendance, topics covered, etc.).

A variety of content resources exist to support face-to-face instruction, see, for example: http://www.stonybrook.edu/research/orc/RCRS.shtml#training-tab

IV. Procedure

  1. The Academic School's program(s) for compliant completion of RCRS training for their relevant faculty, research staff, and students must be developed and available for review by the RCRS Division of the Office of Research Compliance (RCRS Office). A program template is available via the RCRS Office to accomplish this requirement.
  2. Required in the description of the program is:
    • Identification of the CITI RCR course(s) to be completed (Biomedical, Social & Behavioral Research, Physical Sciences, Humanities, Engineers)
    • Confirmation of methods to be used to accomplish IPT
    • Identification of individuals or group of individuals* who will be responsible for entering accurate, verifiable information regarding individuals' IPT completion data into a central RCRS database maintained by the RCRS Office (see section V for description).

Note: Principal Investigators of grants will have primary responsibility for compliance with RCRS training requirements for undergraduate, graduate, and post-doctoral trainee supported by those grants. Exceptions:

  • On grants where a trainee is Principal Investigator, the named faculty mentor retains responsibility for the trainee's compliance with RCR training requirements.
  • On grants where a trainee is Principal Investigator, and there is no named faculty mentor (e.g., K05,K12, K18 KL2 and TU2 programs), the relevant department chair retains responsibility for the trainee's compliance with this RCRS training requirement.

V. RCRS Office

The RCRS Office will be responsible for:

  • Maintaining an RCRS database, i.e., a tool developed for use by the campus community to help then ensure compliance with this policy, allowing designated individuals to enter, monitor, and report training completion data for their Academic School, College or department.
  • Sending reminder notices to individuals regarding need to renew their in-person RCRS training requirement.
  • Conducting or hosting workshops on research involving animal subjects, research involving human subjects, research misconduct, financial conflict of interest, laboratory safety etc., in partial fulfillment of the RCRS training requirement.
  • Assisting in the development, management and organization of the GRD 500 series across disciplines.
  • Foster collaboration between the disciplines by providing a central repository for sharing of program content (videos/lectures.)

Inquiries:

Judy Matuk, M.S.
Assistant Vice President for Research Compliance
Office of Research Compliance
Stony Brook University
Stony Brook, New York 11794-3368
Phone (631) 632-9036
Fax: (631) 632-9839
Email: Judy.Matuk@stonybrook.edu


Created by Application Support for Administration
University Policy Manual @ Stony Brook University