Policies and Procedures
Responsible conduct in research is an imperative for Lesley
University's faculty and students. With or without federal mandate
the institution would embrace the opportunity to augment
educational programming with this very important aspect of
THE NIH: According to the NIH's notice "Update
on the Requirement for Instruction in the Responsible Conduct in
Research" Notice Number: NOT-OD-10-019, dated 11/24/09, upon award
of any NIH Institutional Research Training Grants, Individual
Fellowship Awards, Career Development Awards, Research Education
Grants, Dissertation Research Grants or other grant programs with a
training component that requires instruction in responsible conduct
in research as noted in the Funding Opportunity Announcement, a
formal training program which includes at least 8 hours of contact
hours (face to face engagement) between faculty and trainees is
required. This training program should be provided throughout the
trainees' scientific career and should occur as an undergraduate,
graduate, and post-doc student, as well as during Career Awards and
other milestones in a scientist's career.
THE NSF: Pursuant to the 2007 America COMPETES
Act, the National Science Foundation (NSF) has adopted a new
certification requirement that becomes effective January 4, 2010.
The new NSF Grant Proposal Guide states: "When submitting a
proposal to NSF, the Authorized Organizational Representative is
required to complete a certification that the institution has a
plan 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." The plan must also include a
system to verify that the training has occurred. The plan does not
have to be submitted with proposals, but NSF could request it at
any time- and NSF could audit compliance. Currently, institutions
are free to develop their own plans. For more information, visit the Office of the Provost website.
To assist faculty in the development of a training program,
Lesley University uses the NIH online training certificate program.
The modules included in the NIH online training can be used to
guide and augment responsible conduct in research training in
addition to face-to-face didactic interactions with students.
Adequate training includes the following components:
a. Conflict of interest: personal, professional, and
financialb. Policies regarding human subjects, live vertebrate animals in
research and safe laboratory practicesc. Mentor/mentee responsibilities and relationshipsd. Collaborative research including collaborations with
industrye. Peer reviewf. Data acquisition and laboratory tools; management, sharing
and ownershipg. Research misconduct and policies for handling misconduct
(please see Lesley's policy)h. Responsible authorship and publicationi. The scientist as a responsible member of society,
contemporary ethical issues, in biomedical research, and the
environmental and societal impacts of scientific research
It is incumbent upon the Principal Investigator of an NIH and/or
NSF award requiring responsible conduct in research training to
prepare, administer and document the training provided to students
involved in research.
1. Faculty Principal Investigators (PIs) have the primary
responsibility for training the students involved in their
NSF-funded research. The Preliminary Grant Approval Form requires a
signature from any PI who submits an NSF proposal that requests
funding for undergraduate students. This signature indicates that
the PI agrees to participate in appropriate RCR training.
2. Responsible Conduct of Research (RCR) training will be
required for all undergraduate receiving wages (or working as
volunteers) or receiving academic credit for participating in
NSF-funded research. Training must be completed within the semester
or summer that the undergraduate begins work on the NSF-funded
research. RCR training will be documented on a form developed for
that purpose, signed by both the PI and the undergraduate. This RCR
form will be maintained by the Institutional Review Board (IRB)
until the IRB learns that documentation is no longer needed. RCR
training will include the following components:
a) Each student must successfully complete the appropriate module of RCR training under the heading "Research Training Resources" at the bottom of the National Institute of Health Responsible Conduct of Research Training webpage: https://oir.nih.gov/sourcebook/ethical-conduct/responsible-conduct-research-training. The National Institute of Health Office of Extramural Research offers a free online training course for protecting human subjects: http://phrp.nihtraining.com/users/login.php.
This requirement can be waived by the Associate Dean for
students who have successfully completed an RCR workshop at Lesley
or another institution designed to satisfy NSF's training
requirement or other comparable training; the Associate Dean will
specify what constitutes appropriate documentation in these cases.
Successful completion should be documented by completing the RCRT
Form and attaching a certificate generated by the online training
program or by other documentation acceptable to the Associate
b) PIs will certify on the RCRT form that the student has
received RCR training appropriate to the search and discipline.
3. The Finance or Grants Officer will notify the IRB when the
University receives a grant from the National Science Foundation,
providing the name of the PI and the NSF grant number. PIs give the
Associate Dean periodic updates listing the students participating
in the research. The Dean of Faculty will facilitate this process
by sending reminder emails to all faculty who are PIs on NSF grants
at the beginning of each semester and before summer research
4. The Lesley University academic deans may amend this plan at
any time after consultation with the Associate Provost and/or Dean
of Faculty. Details of any amended plan will be sent to all faculty
with NSF grants, the Grants Officer, the Associate Dean, and the
Finance Office and will be posted on the Provost's website. At a
minimum, the plan will be reviewed and updated annually, no later
than July 1 of each year (beginning July 1, 2010).
5. The Associate Dean in consultation with the Dean of Faculty
and the Associate Provost will make decisions on a case-by-case
basis about students whose only participation in NSF funded
research falls into one of the following situations:
To access the training module, please complete the RCR training
form and follow the RCR training form and follow the instructions
for your RCR training.
Lesley University is committed to the ethical conduct of
research and is in compliance with Section 7009 of the America
Creating Opportunities to Meaningfully Promote Excellence in
Technology, Education and Science (America COMPETES) Act which
requires that an institutional plan be in place to provide
appropriate training and oversight in the responsible and ethical
conduct of research to undergraduate students, graduate students,
and postdoctoral researchers participating in National Science
Foundation (NSF) funded research projects.
The Principal Investigator (PI) will be responsible for
providing appropriate RCR training to undergraduate and graduate
students and post doctoral employees who are working on the PI's
NSF-funded projects. At this point, only those students and post
docs who are part of a NSF-funded project are required to undergo
Principal Investigators will be trained on the RCR policy by the
Institutional Review Board (IRB).
Principal Investigator can also be known as the co-investigator
(for collaborative grants) or the project director and is the
faculty member or administrator responsible for directing the work
of the NSF grant project at Lesley University.
Educational training can be offered as various activities such
as lectures, workshops, online courses, discussion groups, or any
other educational activity approved and tracked by the IRB.
The core instructional areas (modules) of the Responsible
Conduct of Research as indicated by the U.S. Office of Research
* See "PHS Policy on Instruction in the Responsible Conduct of
Only those instructional areas applicable to the grant funded
research project are required to be covered. For example, a
chemistry project might not involve the use of human subjects; the
human subjects module would therefore not be required as part of
Dissemination and administration of these regulations will be
the responsibility of the Associate Provost. The IRB will provide
support in developing and offering training and resources to the
Principal Investigators; track who has been trained; monitor the
regulations; assess the program; make recommendations; and keep
current on federal regulations pertaining to this policy.
RESEARCHER MENTORING PLAN
In order to provide the fullest orientation to research grant
processes and procedures, and to enhance the understanding and
collaboration of all those working on sponsored research, Lesley
University has implemented a Mentoring Plan. Mentoring is required
in the preparation for new faculty ad students, undergraduate,
graduate or post-doctoral, who take part in grant-funded research
The Mentoring Plan includes the following elements:
Download the Responsible Conduct of Research Training Form for Students and Post-Docs form [PDF].
Grants and Sponsored Projects Main Page
Policies and Procedures
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