Amherst College Responsible Conduct of Research Policy and Training Plan

Introduction

Responsible Conduct of Research (RCR) is an overarching philosophy for every aspect of the College's research and scholarly activity.  Within this philosophy, Amherst College is committed to creating and maintaining a research environment that conforms to the highest ethical principles, fosters intellectual honesty and integrity, encourages research advances of the highest quality, and supports a culture of mutual respect, inclusion and belonging.

The College follows federal, state, local and College policies in conducting responsible and ethical research.  Several federal funding agencies sponsoring research activity at the College require the development of an RCR policy and training plan for the appropriate training and oversight in the responsible and ethical conduct of research. This policy and plan describes Amherst College’s compliance with this requirement.

Definitions

CITI - Collaborative Institutional Training Institute

Conduct of Research - Comprises the broad range of activities undertaken throughout the life of a research project, including: the proposal of a project; the generation, evaluation and dissemination of knowledge; engagement in the peer review process; handling of proprietary information and intellectual property; and interactions with students and colleagues.

PI/PD - Principal Investigator and/or Project Director is the primary faculty member or staff member responsible for the technical and scientific direction of a research project

Research - As defined by the U.S. Office of Research Integrity, is “a systematic investigation, including development, testing, and evaluation, designed to develop or contribute to generalizable knowledge”

RCR - Responsible Conduct of Research

Researchers - Includes undergraduate students, post-baccalaureate fellows, graduate students, postdoctoral researchers, senior personnel and staff members who conduct research under the direction of a PI/PD

Senior Personnel - Includes any co-investigator, other faculty member or staff member who participates in the design, direction and conduct of a research project

Policy

A campus-wide environment pertaining to responsible and ethical conduct of research requires researchers to have the knowledge, skills, and tools to allow them to be responsible for their research conduct. To that end, RCR training is required for all undergraduate students, post-baccalaureate fellows, graduate students, postdoctoral fellows, faculty members, senior personnel, and staff members conducting research through the College in astronomy, biology, biochemistry/biophysics, chemistry, environmental studies, geology, neuroscience, physics, and psychology. RCR training is also required for all undergraduate students, post-baccalaureate fellows, graduate students, postdoctoral fellows, faculty members, senior personnel, and staff members conducting research involving human subjects, regardless of the discipline.

RCR training is additionally required for any undergraduate students, post-baccalaureate fellows, graduate students, postdoctoral fellows, faculty members and other senior personnel or staff members conducting research in any discipline (including but not limited to computer science, mathematics, the social sciences, etc.) who are paid through NIH, NSF, or USDA grants that are administered by the College, or who are paid by grants from other funders that require RCR training per the associated funding announcement and/or funding agency guidelines.

Training Plan - Roles and Responsibilities

Principal Investigators and/or Project Directors (PI/PDs) are responsible for determining and assigning the appropriate training program for undergraduate students, post-baccalaureate fellows, graduate students, postdoctoral fellows, senior personnel and other staff members (altogether, researchers) who conduct research under their direction, and for notifying researchers of the timeline for completing the required training (see Timeline, below). PI/PDs conducting externally sponsored research must assign and complete RCR training programs in compliance with specific funding agency requirements, when applicable.

Researchers identified as subject to RCR training are required to complete the assigned training program(s) for the research being undertaken according to the timeline given by the PI/PD.

PI/PDs are responsible for overseeing researchers’ completion of the required RCR training and maintaining training documentation of RCR training for all researchers who work under their direction.

PI/PDs are, themselves, responsible for completing ongoing RCR training appropriate to their own career stage and subject matter and for maintaining documentation of this training. For PI/PDs conducting externally sponsored research projects, this requires completion of any specific funding agency requirements, as applicable, and may include periodic refresher training.

PI/PDs submitting NIH, NSF, or USDA or other STEM funding proposals (as required by the funding agency), must confirm that they have reviewed and will comply with the College’s RCR policy and training plan during the pre-submission internal approval process, via the Internal Routing Form (administered by the Office of Sponsored Research and Foundation Relations). The Internal Routing Form must be completed before PI/PDs’ proposals can be submitted to the funding agency for review.

Training Plan - Topic Areas

While training topics and complexity will vary depending on the field of research and educational and career stage of the PI/PD and researchers involved, the best RCR training programs will cover the following areas: 
 

  • Collaborative research, including collaborations with industry and investigators and institutions in other countries
  • Conflict of interest and conflict of commitment, in allocating time, effort, or other resources
  • Contemporary ethical issues in science
  • Data acquisition and analysis; laboratory tools (e.g., tools for analyzing data and creating or working with digital images); recordkeeping practices, including methods such as electronic laboratory notebooks
  • Secure and ethical data use; data confidentiality, management, sharing and ownership
  • Environmental and societal impacts of scientific research
  • Mentor/mentee responsibilities and relationships
  • Peer review responsibilities
  • Research misconduct and policies for handling misconduct
  • Policies regarding human subjects, live vertebrate animal subjects in research, and safe laboratory practices    
  • Responsible authorship and publication  
  • Safe and inclusive research environments (e.g., those that promote inclusion and are free of sexual, racial, ethnic, disability and other forms of discriminatory harassment) 
  • The scientist as a responsible member of society

Training Plan - Procedures

RCR training at the College is provided through the online Collaborative Institutional Training Initiative (CITI) and other applicable online training programs, and through formal and informal faculty-student mentorship, one-on-one and group in-person training and discussions.

Within CITI, the College provides a curated series of programs for RCR training in various fields for researchers at various educational and career stages. In addition to ongoing formal and informal face-to-face training, the CITI and other applicable online training programs should be assigned to meet basic training requirements at the College. In addition to the College’s basic CITI training programs, a variety of courses, including in Animal Care and Use/IACUC, IRB, and Biosafety/Biosecurity, amongst others, are also available and should be assigned as applicable. Follow the links below to access the CITI RCR training:

For questions about CITI, or for assistance in selecting the appropriate courses for your needs, please contact the Research Laboratory Coordinator.

Visit RCR Training Requirements by Specific Funding Agency for more information on sponsored research agency requirements.

Training Plan - Timeline

PI/PDs and researchers should complete required RCR training within 60 days of initial engagement in the research activity.

Oversight

The College’s Office of the Provost and Dean of the Faculty holds overall responsibility for compliance with the College's Responsible Conduct of Research (RCR) training plan. The Associate Provost and Associate Dean of the Faculty has direct, day-to-day oversight of the RCR training plan. The Research Laboratory Coordinator, the Senior Research Administrator, the Office of Sponsored Research and Foundation Relations, and the Director of Compliance further support compliance efforts.

Principal investigators and/or project directors who conduct research in the sciences or social sciences are responsible for ensuring that undergraduate students, post-baccalaureate fellows, graduate students, postdoctoral researchers, faculty members, senior personnel and other staff who participate in their research complete RCR training as needed according to this plan. PI/PDs are also responsible for completing RCR training appropriate to their career stage and as outlined in sponsored research award requirements.

Documentation of Compliance for Sponsored Research

The Senior Research Administrator in the Controller’s Office, working with the Research Laboratory Coordinator at the Science Center, will track compliance with the RCR Policy and Training Plan for all PI/PDs and researchers participating in externally sponsored projects, according to specific funding agency requirements.

Process for Addressing Issues Related to Compliance

The Research Laboratory Coordinator will report any overdue training to the Associate Dean of the Faculty within 30 days of its past due date. The Associate Dean of the Faculty will contact the responsible PI/PD in writing to let them know what training is overdue and next steps for regaining compliance. Failure of any researcher to complete the required RCR training following this notification will result in administrative actions.

Review of the Responsible Conduct of Research Policy and Training Plan

Chairs of the College’s Compliance Committees, including: Human Subjects Committee (IRB); Institutional Biosafety Committee (IBC); Institutional Animal Care and Use Committee (IACUC); and the Laser and Radiation Safety Committee, with input from the Office of Sponsored Research and Foundation Relations, the Associate Dean of the Faculty and the Controller, will periodically review this plan and make recommendations for its improvement. Final approval of any changes to this plan rests with the College’s Provost and Dean of the Faculty.

Approved by: Senior Staff
Approval Date: May 9, 2024
Effective Date: June 1, 2024
Revision History: Original policy written in 2012
Primary Office Responsible for Administering this Policy: Office of the Provost and Dean of the Faculty