Download - A “Can Do” Approach to RCR Compliance
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A “Can Do” Approach to RCR Compliance
Lessons Learned and Strategies Going Forward Marty Welsch, HR/RCR Coordinator
Diane Rees, IT Professional, Research Services Colorado State University
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Where Are You From?(as of Sunday)
A. Colorado B. East Coast
C. West Coast D. No Coast
E. Undecided
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What Do You Do?
A. Pre-Award B. Post- Award
C. Regulatory Compliance
D. Information Technology
E. Cost Accounting/Auditing
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Today’s Objectives
• Introduction: What the charge was and why?
• Trainee Identification and Training Opportunities
• Challenge of Integration of RCR Activities
• Lessons Learned & Strategies Moving Forward
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Brief Background of Responsible Conduct of Research (RCR)
NSF Requirement NIH Requirements
• January 4, 2010
• America COMPETES Act of 2007
• Invest in innovation through R&D
• Make the nation more competitive by improving math & science education
• F2F Training
• Established training schedules
• Career level specific training
• Nine recommended core competencies
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Going for the Gold
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Research@CSU• CSU enrollment:
– 26,500 resident-instruction students– Freshman class size of 4500– 3,600 graduate students
• 1,500 faculty (970 tenure-track)• 4,400 staff
– 130 FTE in the Office of the VP for Research– 26 FTE in Sponsored Programs/7.5 FTE in Research Services– 7.5 FTE in RICRO (Research Integrity & Compliance Review Office)
• FY10 Research Expenditure by Sponsor– Total Federal = $211 mil (HHS>NSF>DoD>NASA>DoE)– Non-Federal = $49 mil– Total Research = $303 mil
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Key to Success: Collaboration
RCRSponsored Programs
Research Services
RICRO
Provost
OVPR
Graduate School
Researchers
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RCR Organization Chart
RCR DirectorDr. Kathy Partin
RCR CoordinatorMarty Welsch
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Lucky!
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Exciting & Overwhelming Challenges
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How many?• NIH funded trainees
– Department– Name– Job Title– PI
• Same information for NSF trainees
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Identifying the Trainees
RCR OfficeOffice of Research
ServicesIT support for the
Vice President for Research division
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Identifying the Trainees
NSF Policy:
“Implementation Plan: Effective January 4, 2010, NSF will require that, at the time of proposal submission to NSF, a proposing institution's Authorized Organizational Representative certify 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. ... institutions are responsible for verifying that undergraduate students, graduate students, and postdoctoral researchers supported by NSF to conduct research have received RCR training.”
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Identifying the TraineesNIH Policy:“NIH requires that all trainees, fellows, participants, and scholars receiving support through any NIH training, career development award (individual or institutional), research education grant, and dissertation research grant must receive instruction in responsible conduct of research. This policy will take effect with all new and renewal applications submitted on or after January 25, 2010, and for all continuation (Type 5) applications with deadlines on or after January 1, 2011. This Notice applies to the following 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. This policy also applies to any other NIH-funded programs supporting research training, career development, or research education that require instruction in responsible conduct of research as stated in the relevant funding opportunity announcements.”
*CSU includes R01s
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Identifying the TraineesCriteria
Research Account Data Trainees
NSF research accounts created since January 1, 2010
NIH research accounts – new and additional dollars added since January 1, 2010
Job titles (graduate research assistant, student hourly, work study, post doc, etc.)
Paid from research account (pay period >= January 1, 2010)
Identify/Exclude individuals who have already been reported
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Identifying the Trainees
Sponsored Programs Award Database
Human Resources Employee Data
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Identifying the TraineesPulling the Data
Research Account Data
HRS Data
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Identifying the TraineesDetail Report
Trainees
Research Account Data
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Identifying the TraineesDetail Report - Research Data
Funding Mechanism
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Identifying the TraineesDetail Report - Trainee Data
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Identifying the TraineesSummary Report
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Identifying the Trainees
Sponsored Programs
Award Data
HRS Data Trainee Report
Hard Copy ReportElectronic Excel File
RCR Office for Review
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Department Notification
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Grassroots Approach to Communication
Bottom Up: Communicate to Trainees through the PIs and GECs
Top Down:Buy-In and Support
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Training Opportunities Online Training Face to Face Training
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Back to the Pyramid…..
• RCR Online Training is expected for anyone that does research or scholarly activity at CSU
• 70% to pass• Not dependent upon funding mechanism • Assume Compliance/Information not tracked• Mentoring is expected
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Back to the Pyramid….
• Standard being met by some departments• Departments don’t have discipline specific RCR courses• Active Compliance/Tracking • RCR activities are evaluated
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We Aim for the Gold
• Some departments have achieved this level• Create ethical based research culture/less of a
compliance mentality • Discipline specific RCR training• Increase number of departments to Gold level
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Online Traininghttp://rcr.colostate.edu
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Online Training
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Online Training
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Online Training
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Case StudyConflict of Interest
Dr. Ashanti Quick is an internationally renowned author and an established authority in Creative Writing. In addition to teaching and advising at CSU, Dr. Quick is very much in demand across the country and works with her publisher to promote her books and present lectures at various writing workshops. She also supplements her income by serving as a panel member at the Iowa Writer’s Workshop (one month in the summer and during spring and fall breaks), consulting with a state literacy advisory panel (two evenings/month), and serving as an ad hoc consultant to a board of a private foundation (approximately 2 hours/week).
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Dr. Quick
Does a Financial COI appear to exist?
A. YesB. NoC. Don’t Know
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Dr. Quick should….
A. Resign from CSU if she is not willing to give up her outside professional development, as conflict of interest should be eliminated.
B. Work with her department head to disclose her outside activities in a management plan
C. Not do anything. Professional development and outreach is encouraged by the University.
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Face to Face Training
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Does your organization have….
RCRA. Online RCR Training
B. F2F RCR Training
C. Both
D. RCR Training in
Development
E. Don’t know
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Ethics Infusion Program
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Science & Communication Workshops
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RCR Training Costs• 1 x cost
– Online Training Huron Consulting Group/$60,000.00 – Ethics Infusion Program/$30,000.00– I-clickers/$40.00 each
• Ongoing Costs– Adobe Licensing/$3000.00– Staff support
• 25% FTE Director• 50% FTE Coordinator• IT Work Study Student $10,000/year
– Workshops/2-3 year/$2000.00 each
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Future Plans
Revise the RCR training web site Automate!
Authenticate login
Identify online trainees completing the master quiz
Identify face to face trainees via registration process
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Future Plans
Modify the existing database to identify and track trainees
Oracle
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Future Plans
Develop an automated department notification process
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Questions?
~ Thank You ~