SIUC Responsible Conduct of Research (RCR) Plan

Effective November 25, 2025 (revised version; originally adopted on May 29, 2015)

I. RCR Plan Background and Purpose

Federal agencies mandate that individuals engaged in federally sponsored awards complete Responsible Conduct of Research (RCR) training. Agencies such as the National Science Foundation (NSF), U.S. Department of Agriculture – National Institute of Food and Agriculture (USDA-NIFA), and the National Institutes of Health (NIH) have detailed specific requirements for those supported on sponsored funds and require an institutional RCR training plan. This document outlines SIUC’s RCR institutional training plan in compliance with federal sponsor requirements for RCR education.

II. RCR Plan Definitions

University Researcher means any SIUC affiliated faculty, staff, postdoctoral scholar, or student engaged in research or scholarly activities, whether funded or unfunded.

Affected Individuals are University Researchers involved in research projects or scholarly activities supported on or by federal funding, or, by private sponsors with RCR training requirements.

Principal Investigator (PI) is the primary individual responsible for technical compliance, completion of programmatic work, fiscal stewardship of sponsor funds and compliance with administrative requirements of the project as defined and determined by SIUC’s Office of Sponsored Projects Administration (OSPA).

III. RCR Plan Scope and Responsibilities

The scope of this plan includes the RCR education of all SIUC associated University Researchers supported on or by any federally funded research award or those non-federal sponsors with RCR training requirements. The Office of Research Compliance (ORC) Director, or their designee, fulfills the role of institutional RCR coordinator. The ORC provides core and ongoing RCR training and maintains records for all training completed through the ORC. Principal Investigators (PIs) are responsible for ensuring that all individuals named on or supported by their awards have satisfied RCR training requirements and for maintaining proper training documentation.

IV. RCR Training Requirements

SIUC’s RCR training program is primarily comprised of a core online training series, live workshops, presentations, academic coursework, and/or face-to-face discussions led and facilitated by faculty, compliance officers, and mentors. SIU encourages all university researchers and scholars to participate in as much live instruction as possible.

Affected individuals supported on or by any federal research award (including NSF, USDA-NIFA, and NIH sponsored funds), must complete SIUC’s core online training in Responsible Conduct of Research (RCR), Conflict of Interest (COI), and Research Security (RST) prior to award submission or within 30 days when added to an existing award. Individuals supported by NIH funds must complete and document eight hours of RCR instruction to meet NIH requirements. While SIUC’s core online training may count toward this total, NIH requires additional instruction with substantial face-to-face or interactive components. University researchers must also complete SIUC’s core training when required by a non-federal sponsor.

Note: NIH RCR training requirements extend to 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.

Core topics for RCR training include mentor training, conflicts of interest and commitment, collaborative research, peer review, data acquisition and management, research misconduct, authorship, appropriate training in the use of human subjects, animals, and safe laboratory practices, and research security. Research security training provides training in potential research security threats and cybersecurity, export control, and disclosure and reporting requirements to raise awareness in the research community; The SIU System Export Control Office provides and maintains documentation of additional export control training in foreign interference, international collaboration, and participation in foreign talent programs.

Affected individuals must complete RCR and COI training at least once during each career stage and at a frequency of no less than every four years. Unless otherwise specified by the sponsor, affected individuals must complete research security training within the 12 months prior to proposal submission.

NOTE: RCR courses are not substitute training for individuals who conduct research with human participants, animals, or biologically hazardous material. Individuals involved in such work must also complete the required training courses in those areas.

V. Subawards Received and Disseminated

RCR education requirements flow down from prime recipient institutions to subrecipient institutions. Subrecipient institutions must complete agency RCR requirements as part of the terms and conditions of the award. SIUC and the PI remain responsible for subrecipient compliance with award terms, including completion of RCR education requirements.

VI. RCR Training Exceptions

Federal agencies do not specify allowable exceptions to RCR education requirements. The Institutional RCR Coordinator may consider limited instances when SIUC’s core training requirements may not be applicable to an individual on a case-by-case basis in specific circumstances with adequate documentation. For example, individuals who can provide proof of appropriate training taken at other institutions may provide such documentation for evaluation. The institutional RCR coordinator will determine whether the previous training is acceptable in lieu of, or in addition to, some or all of the required training detailed in this plan. The requirements for training frequency, as described above, still apply.

VII. Non-Compliance

Individuals who fail to adhere to the institutional RCR training plan may have proposals withheld from submission, or, for current awards, have the corresponding budget purpose (BP) frozen until the institutional RCR coordinator can verify completion of appropriate training and the presence of adequate PI documentation. Any such action will occur in consultation with, and under the guidance of, the Vice Chancellor for Research.

VIII. RCR Plan Review and Revision

The Institutional RCR Coordinator shall review the RCR plan no less frequently than once each academic year and revise the RCR plan as necessary to ensure it meets current federal sponsor requirements for RCR training.