Institutional Responsible Conduct of Research (RCR) Plan

1. Institution

University of Illinois Urbana-Champaign (U of I), Office of the Vice Chancellor for Research and Innovation (OVCRI)

2. Institutional RCR Coordinator

Christopher Lehmann, Ph.D., Research Integrity Officer (RIO); Email rcrtraining@illinois.edu

3. Background/Purpose

3.1. Background.  The University expects all individuals engaged in research to be educated in principles of integrity, including those values expressed in the General Principles on the Ethical Conduct of Research and Scholarship. Federal agencies require that individuals conducting sponsored research complete training as part of ethics education. The National Science Foundation (NSF), the 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. 

3.2.  Purpose.  The purpose of this document is to provide the elements of the University’s RCR Plan to comply with federal research sponsor RCR education requirements.

3.3. Scope.  The scope of this plan includes the RCR education of University Researchers (defined in Section 4.1) supported on sponsored research funds subject to the agency requirements described in Section 3.1.

4. Definitions

4.1. University Researchers.  University-affiliated faculty, staff, and students who are engaged in research or scholarly activities, whether funded or unfunded. 

4.2. Affected Individuals.  University Researchers who are appointed on funds, or who are involved in published research or scholarly activities that acknowledge funds, from sponsor agencies that require RCR training.

4.3. Principal Investigators.  University Researchers who lead sponsored research projects, as defined by Campus Administrative Manual in “Eligibility to Serve as a Principal Investigator of an Externally-Sponsored Activity” (CAM RP-06).

5. Policy Statement

To foster a world-class research enterprise that conducts responsible research, reports research results with integrity, and does not tolerate research misconduct, it is recommended that University Researchers complete the Primer in the Responsible Conduct of Research at the University of Illinois, available through the OVCRI's Training Portal. In addition, Affected Individuals are required to meet specific research sponsor RCR education requirements. The University follows the federal sponsor agency mandates that Affected Individuals complete appropriate RCR training, including those obligations pursuant to subawards received from and sent to other institutions.

6.  Education Requirements

Affected Individuals supported by NSF, USDA-NIFA, or NIH sponsored funds must complete the following education requirements: 

6.1. National Science Foundation (NSF).  See details of NSF requirements here.

Affected Individuals must:

  • Complete core RCR training via at least one of the following means:
    • Online modules offered by the University
    • In-person ethics seminars or rostered courses offered by the University
    • RCR education provided within their research group
  • Complete training in mentoring and mentorship, and
  • Complete Research Security training (via OVCRI’s Training Portal), which includes Federal Export Control, Disclosure, and Reporting Requirements.

6.2. U.S. Department of Agriculture – Institute of Food and Agriculture (USDA-NIFA).  See details of USDA-NIFA requirements here.

Affected Individuals must complete core RCR training via at least one of the following means:

  • Online modules offered by the University
  • In-person ethics seminars or rostered courses offered by the University
  • RCR education provided within their research group

6.3. National Institutes of Health (NIH).  See details of NIH requirements here.

Affected Individuals must:

  • Attend in-person rostered courses offered by the University that are structured to meet NIH’s 8 contact hour RCR education requirement, or
  • Meet training requirements via documented participation in at least 8 contact hours of RCR education provided within their unit or research group, including subject matter as suggested by NIH

7. Educational Content 

7.1. Core Topics.  As part of its RCR Education Program, the University recommends that University Researchers receive a comprehensive education that includes, at a minimum, the Core Topics specified by the NSF, USDA-NIFA, and NIH. Principal Investigators are encouraged to suggest additional educational opportunities, professional development, and team discussions of integrity-related issues that are relevant to their team's research.

7.2. Mentor Training and Mentorship Programs.  The University recommends formal mentor training and mentorship programs for all University Researchers. Affected Individuals on NSF sponsored research are required to complete this training. Such training may include the following topics:

  • Mentor and Mentee Responsibilities 
  • Research Team Environment and Expectations 
  • Mentoring Plans and Individualized Development Plans
  • Authorship, Publication, Copyright, and Intellectual Property
  • Collaboration and Responsible Professional Practices
  • Communication and Conflict Resolution

Individual departments, schools, institutes, and colleges are encouraged to develop comprehensive mentor training and mentorship programs. The Graduate College provides supporting resources for faculty members, including a Graduate Faculty Mentoring Toolkit. The OVCRI is developing online programming for future use by University Researchers. 

7.3. Research Security, Export Control, and Disclosure Training.  An overview of Research Security, Export Control, Disclosure, and Reporting requirements is included within the Core and Ancillary RCR Topics to raise awareness in the research community. For certain federally-funded research projects), there are additional requirements for Affected Individuals to complete Research Security, Export Control, and Disclosure training. Individuals will be notified by OVCRI regarding these training requirements or receive an alert via the OVCRI’s Training Portal.

7.4. Ancillary Topics.  In addition to the sponsor RCR required content and Core Topics described in 7.1, ancillary RCR topics are integrated into the University online RCR training modules. Optional programming, including in-person presentations focused on select topics, is encouraged by individual departments, schools, institutes, and colleges. 

8. Communication of Requirements 

Principal Investigators and Affected Individuals receive email notifications from OVCRI informing them of their specific requirements when grants with such requirements are awarded. Principal Investigators are responsible for ensuring RCR education is completed for individuals involved with their sponsored research projects (CAM RP-06). 

9. Timelines and Tracking 

The OVCRI maintains an online training management system (the OVCRI Training Portal) to track completion of compliance-related education requirements. Unless specified by the research sponsor, RCR training ideally should be completed within 30 days of appointment to the related sponsor funds. Online training to meet NSF and USDA-NIFA requirements should be repeated or refreshed at least once every three years. In-person training to meet the NIH’s requirements should be repeated at least once every four years.

Training requirements for individuals paid on NSF, USDA-NIFA, and NIH funds requiring RCR education are automatically assigned in the OVCRI Training Portal, where completion of training is also recorded. Affected Individuals receive an email notifying them of the specific requirement at the initiation of payments from the sponsored research funds. The notification includes a link to available online training options, if applicable to that funding source. Thereafter, Principal Investigators receive periodic notifications if there are Affected Individuals funded on the sponsored research who have not yet completed the RCR training requirement. 
Principal Investigators should inform the OVCRI (via the email address rcrtraining@illinois.edu) of Affected Individuals involved in sponsored research and scholarly activities but who are not appointed on sponsor funds (e.g., students supported on fellowship funds) to ensure compliance with sponsor training requirements.  Principal Investigators or their delegates can view the RCR training completion status and manually document training provided or completed via the OVCRI RCR Reporting System.  

10. Subawards Received and Disseminated

The RCR education requirements flow down from prime recipient institutions to subrecipient institutions. Subrecipient institutions are required to complete agency RCR requirements as part of the terms and conditions of the award. The University and Principal Investigator remain responsible for subrecipient compliance with award terms, including completion of RCR education requirements (University of Illinois System, Sponsored Programs Subawards).

11. Plan Review and Revision

This plan will be reviewed no less frequently than once each academic year by the Institutional RCR Coordinator and revised as necessary to ensure it meets current federal sponsor requirements.

12.  Exceptions 

Federal agencies do not specify allowable exceptions to RCR education requirements. The Institutional RCR Coordinator may consider limited instances when the requirements may not be applicable to an individual on a case-by-case basis in specific circumstances. Such circumstances should be documented, including the reason the individual would not be required to complete the RCR education requirement.

13. Non-compliance

Affected Individuals who are non-compliant with federal RCR education requirements may be subject to one or more of the following actions:

  • Informing the Unit Executive Officer,
  • Informing the Office of University Audits, and/or,
  • Withholding or revocation of federal salary funds for Affected Individuals.

14. Review and Revision History

  • 2024-10-28  Interim Document
  • 2025-08-27  Interim Document
  • 2025-11-25 Approved by Susan Martinis, Vice Chancellor for Research & Innovation