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P211: RESPONSIBLE CONDUCT OF RESEARCH AND SCHOLARSHIP (RCRS)

Issued by:
Office of the Provost, Office of the Senior Vice President for Health Sciences and Office of the Vice President for Research/Office of Research Compliance
Approved:
November 2016

Stony Brook University is committed to fostering and maintaining a culture of integrity across its diverse community. Ensuring compliance with appropriate formal training requirements for the responsible conduct of research and scholarship is part of this commitment. The training requirement consists of an online component, and an in-person training component, as detailed below.

I. Definitions

Complementary Policy: the academic unit's policy for compliant completion of RCRS training for their faculty post-doctoral associates, research staff, graduate students, and undergraduate students involved in Research and Scholarship.

Research and Scholarship: the creation of new knowledge or the creation of novel expressions of knowledge in any form.

II. On-line ('CITI') component

The following groups are required to satisfy a one-time completion of relevant RCRS modules available through the web-based Collaborative Institutional Training Initiative (CITI):

  1. Faculty, Post-doctoral Fellows, Research Staff, Graduate Students, as required by their academic units' Complementary Policy.
  2. Undergraduate Students as required by the Vice-Provost for Undergraduate Education.
  3. Visiting college-level students and visiting scholars who are collaborating on research activities with Stony Brook University faculty (in accordance with the faculty member's academic unit's Complementary Policy).
    • For those visitors from another institution, this SBU RCRS training requirement may be waived pending proof of completion of RCRS training at the home institution.
  4. High School Students as required by the applicable High School Program.

III. In Person Training ('IPT')

In-Person Training component:
All members of the Stony Brook University community who are actively involved in creation of research and scholarship must complete in-person training ('IPT') as appropriate to their discipline and as described in their academic unit's Complementary Policy.

IV. Procedure

  1. The Complementary Policy must be developed and submitted to the RCRS Subcommittee for review and approval.
  2. Required in the description of the Complementary Policy is:
    1. Identification of the CITI RCR course(s) to be completed (Biomedical, Social & Behavioral Research, Physical Sciences, Humanities, Engineers)
    2. Identification of faculty, post-doctoral associates, research staff, graduate students and undergraduate students subject to Research and Scholarship IPT requirements.
      1. The IPT must comply with specific requirements of the agency (e.g NSF, NIH) sponsoring an individual's research or scholarly activity. For example, those supported by NIH funding must complete 8 hours of IPT every 4 years, or 2 hours annually, covering the topics listed below.
      2. Where a mandate from a funding agency is absent, IPT requirements for the academic unit prevail.
    3. Identification of IPT activities/courses.
      1. In general, IPT 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:
        • conflict of interest - personal, professional, and financial
        • mentor/mentee responsibilities and relationships
        • collaborative research including collaborations with industry
        • peer review
        • data acquisition and research tools; management, sharing and ownership
        • research misconduct and policies for handling misconduct
        • responsible authorship and publication
        • the scholar as a responsible member of society, contemporary ethical issues and the environmental and societal impacts of research in the discipline
        • policies regarding human subjects, live vertebrate animal subjects in research, and safe laboratory practices
      2. Generation of discipline-specific requirements should consider formal mechanisms for training via RCRS coursework/ lecture series/workshops, journal clubs, GRD 500 and similar courses (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.
      3. Principal Investigators of grants with specific RCRS requirements 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.
    4. Identification of a mechanism for identifying and notifying individuals of their need to renew their in-person training.
    5. Identification of record keeping requirements:
      1. Any activity intended to satisfy the RCR training requirement must be supported by appropriate documentation (attendance, topics covered, etc.) either in the central RCRS database (see below) or in a departmental database.
      2. Identification of individuals or group of individuals* who will be responsible for record keeping of accurate, verifiable information regarding individuals' IPT completion data.

V. RCRS Office

The RCRS Office will be responsible for:

  • Maintaining a library of the academic units' Complementary Policy.
  • 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 unit.
  • Conducting or hosting workshops, upon request, on research involving animal subjects, research involving human subjects, research misconduct, financial conflict of interest, etc., in partial fulfillment of the RCRS in-person 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.)
  • Foster collaboration between academic units by hosting an annual workshop meeting for discussion and sharing of RCRS policies and best practices.

Inquiries:

Office of Research Compliance
Stony Brook University
Stony Brook, New York 11794-3368
Phone (631) 632-9036
Fax: (631) 632-9839


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