Office of Academic Research

UD has established guidelines for defining and identifying costs that are unallowable for reimbursement from the Federal Government and other sponsors. UD adheres to Cost Accounting Standard 505, Accounting for Unallowable Costs and other applicable government regulations including the Federal Office of Management and Budget Uniform Guidance (OMB Uniform Guidance) as well as sponsor terms and conditions in accounting for unallowable costs.

This Business Ethics and Integrity Code provides a brief summary of the essential standards of business ethics and conduct that UD employees and consultants must follow as required by Federal Acquisition Regulation (FAR) 52.203-13 Contractor Code of Business Ethics and Conduct (Jun 2020).

To promote objectivity in research and other sponsored activities, UDRI employees and UD faculty and graduate students involved with sponsored research must disclose all significant financial interests or potential conflict of interest or commitment (including those of their family of which they are aware) that would reasonably appear to be directly and significantly affected by the research or educational activities funded or proposed for funding.

Export Controls are federal laws and regulations that govern the transfer or disclosure of goods, technology, data, software, services, information, and funds. Export Control laws apply not only to transfers out of the country but also to some transfers to individuals in the U.S. via a deemed export. They apply to all disclosures, including but not limited to electronic, visual, oral, and physical disclosures.

UD faculty, staff and students can view additional information on Porches (UD login required).

The Institutional Animal Care and Use Committee (IACUC) is a standing institutional review board established in compliance with the Public Health Service Policy on Humane Care and Use of Laboratory Animals. The IACUC functions as an agent of the institution to review the institute's program for humane care and use of animals in accordance with the guidelines established in the Guide for the Care and Use of Laboratory Animals, and PHS Policy as outlined in section IV. B of the University of Dayton Animal Welfare Assurance A-3092-01.

Functions of the IACUC

The IACUC is responsible for assessment and oversight of the institution's animal care and use program, which includes the activities conducted by and at UD that have direct impact on the well-being of animals. The IACUC oversees animal and veterinary care, animal care and use policies and procedures, personnel and program management and oversight, occupational health and safety, and animal facility design and management. Among the responsibilities of the IACUC are the review and approval of protocols for the care and use of vertebrate animals in research and/or teaching.

IMPORTANT: Investigators or instructors planning to use vertebrate animals in research and/or teaching should contact the IACUC prior to the start of such activities to determine whether an IACUC-approved animal protocol is needed. Requirements for preparing and submitting an animal protocol are found at “Instructions for UD Researchers”.

IACUC Contact Information

All questions about animal care and use policies, specific reviews, procedures and all other technical matters should be directed to iacuc@udayton.edu.

Reporting the Mistreatment of Animals and Deficiencies in Animal Care and Treatment at UD

The University of Dayton requires that the care, use, and treatment of laboratory animals be of high quality and in compliance with all federal, state, and local regulations. The Public Health Service Policy of Humane Cate and Use of Laboratory Animals requires that all persons involved in or associated with the use of laboratory animals be aware of how to report deficiencies in animal care and treatment. There are no restrictions on who can report an alleged incident.  Anyone who has knowledge of such a deficiency is obligated to report it to the University. 

Procedures for Reporting

DEFINITIONS: Allegations of animal mistreatment or deficiencies in care include the following: 

• The wrongful or abusive physical or psychological treatment of an animal.
• Non-compliance with established procedures, policies or approved animal use protocols.

Any person with knowledge of deficiencies or with reasonable suspicions of deficiencies or mistreatment is obligated to report them directly to the:

• Chair of the University of Dayton Institutional Animal Care and Use Committee (IACUC), the Attending Veterinarian for the University of Dayton, or the Institutional Official. Reports may also be made anonymously through the University of Dayton Privately Speaking Line or 1-855-550-0654 (administered by third party EthicsPoint). Contact information for these individuals and the Privately Speaking Line is posted in all animal facilities. Timely reporting is essential to protect the animals involved and to aid the investigation of the allegations.
• Neither administrative action nor retribution of any kind may be taken against a person making a good faith report of deficiencies. This is in accordance with federal law [9 CFR 2.31(c)(4)] and the University of Dayton Whistleblower Policy.
• Reports of suspected deficiencies should be made in writing whenever possible and should include, but need not be limited to, the nature and the place of the occurrence, the alleged person or persons involved, the date, the time, and any supporting facts.
• If the individual actually witnesses mistreatment or abuse, immediately notify the Attending Veterinarian or the facility Director so that the animal or animals involved can be evaluated and receive medical treatment as necessary. The person should then report the incident through channels as described above.
• The Institutional Animal Care and Use Committee (IACUC) will investigate allegations and report its findings and recommendations to the Institutional Official in a timely fashion.
• Details of any reports or allegations of deficiencies, findings or recommendations of the Institutional Animal Care and Use Committee (IACUC), as well as administrative or legal actions taken by the committee are considered privileged information and may be released only through official channels, or as required by law.
• Willful mistreatment or abuse of animals may be grounds for suspension of all animal use activities or approved protocols involved, or other disciplinary actions. Disciplinary action may be appealed.

Responsibility and procedures for reporting mistreatment or animals and deficiencies in animal care is a component of the required introductory animal care and use training. Principal investigators also bear the responsibility to assure that all personnel involved in research activities under their direction are aware of the above procedures.

Additional Resources

More information on regulations, policies, education, and additional resources for working with animals in research and teaching can be found at the Office of Laboratory Animal Welfare.

The Institutional Review Board (IRB) is a standing committee at the University of Dayton established in compliance with federal policy for the protection of human subjects in research. The University of Dayton operates under Federalwide Assurance No. FWA00015321 (expires October 2025).

Information for Researchers

Information, including how to apply and forms/documents, can be found in Porches.

IRB Mission & Guiding Principles

The IRB ensures that the rights and welfare of research subjects are protected as described in Ethical Principles and Guidelines for the Protection of Human Subjects of Research ( "The Belmont Report "). The IRB is governed by the Department of Health and Human Services (DHHS) federal guidelines for protection of human subjects in research found in 45 CFR 46 and referred to as the "Common Rule. " The purpose of the IRB is to ensure that:

• No research activity sponsored or conducted by University of Dayton researchers unduly endangers the safety, comfort, or privacy of human subjects;
• The rights and privacy of subjects are protected during and after the research;
• Participation in research is voluntary and the right to withdraw at any time is provided;
• The researcher and the University are protected from ethical and/or legal liability;
• Research involving human subject(s) is supervised by qualified persons, including qualified clinicians for all study-related healthcare decisions, and by at least one faculty or staff member in the case of student-led research.
• Non-exempt research projects are subject to continuing IRB review.

All research that involves human subjects must be reviewed by and must receive approval from the IRB prior to subject recruitment and data collection. If you are not sure if your research qualifies as "human subjects research," please contact IRB@udayton.edu.

The IRB cannot review research that has already been performed or is being performed. Data collected prior to IRB approval cannot be used.

All applications should be submitted electronically via the UD IRB submission portal. Hard copies of applications are not accepted. All files should be in Microsoft Word or PDF format.

Contact

For any questions related to human subjects research at the University of Dayton, please contact Danita Nelson at irb@udayton.edu or 937-229-3515.

Notify any findings of sexual harassment, other forms of harassment, or sexual assault against an NSF-funded Principal Investigator or co-Principal Investigator.

Background

On Sept. 21, 2018, the National Science Foundation (NSF) published in final form a new award term and condition regarding sexual harassment, other forms of harassment, and sexual assault, found at Federal Register | NSF | Sexual Harassment Policy Statement. That term and condition requires the University to notify NSF promptly of findings of sexual harassment, other forms of harassment, or sexual assault against an NSF-funded Principal Investigator (PI) or co-Principal Investigator (co-PI), as well as interim administrative actions imposed by the University, such as administrative leave or curtailment of certain University duties.  NSF grants awarded on or after Oct. 22, 2018, are subject to this notification requirement. 

In addition, on Feb. 25, 2019, NSF adopted a requirement that NSF conference proposers have a policy or code-of-conduct that addresses sexual harassment, other forms of harassment, and sexual assault, and that includes clear and accessible means of reporting violations of the policy or code-of-conduct.  This policy or code-of-conduct must be disseminated to NSF conference participants prior to attendance at the conference and made available to the attendees at the conference itself. 

University Response

The University, in full agreement with NSF, considers the PI and any co-PI(s) identified on an award to be in a position of trust.  The PI and any co-PI(s) must comport themselves in a responsible and accountable manner during the award period of performance, whether at the University, on-line, or at locales such as field sites, facilities, or conferences and workshops.  Moreover, this approach is consistent with the University’s own commitment to the dignity of every human being.

The University of Dayton’s Nondiscrimination and Anti-Harassment Policy states:

The Marianist vision of community living embraced by the University of Dayton is based on the conviction that every person has innate dignity because all people are made in the image and likeness of God. ... A primary assertion of both our religious and civil traditions is the inviolable dignity of each person.  Recognition of and respect for the person are central to our life as a Christian and educational community and are what allow us to pursue our common mission while being many diverse persons.  Thus, discrimination, harassment, or any other conduct that diminishes the worth of a person is incompatible with our fundamental commitment as a Catholic university conducted in the Marianist tradition.

Procedures

In support of NSF’s requirements and consistent with the University’s commitment to creating and maintaining an educational, working, and living community free from all forms of discriminatory harassment and sexual misconduct, the University has established this procedure to address the NSF reporting requirement. 

At the outset of a University investigation into allegations of (i) discriminatory harassment (including sexual harassment) or (ii) any unwelcome sexual conduct (including sexual assault), the University of Dayton Title IX / Section 504Coordinator and Equity Compliance Officer (Title IX Coordinator) or that person’s designee will determine whether the individual whose conduct is under review is actively involved in research as an NSF PI or co-PI.  If so, the Title IX Coordinator will confidentially notify the Authorized Organizational Representative (“AOR”) in the University’s Office of Contracts and Grants of (1) any finding/determination regarding the PI or any co-PI that demonstrates a violation of University policies or codes of conduct, or any statutes, regulations, or executive orders relating to sexual harassment, other forms of discriminatory harassment, or sexual assault; and/or (2) if the PI or any co-PI is placed on administrative leave or if any administrative action is imposed on the PI or any co-PI by the University relating to any finding/determination or an investigation of an alleged violation of University policies or codes of conduct, or any statutes, regulations, or executive orders relating to sexual harassment, other forms of harassment, or sexual assault.  Upon receipt of this notice, the AOR will complete the required NSF Organization Notification of Harassment Form and submit it to NSF’s Office of Diversity and Inclusion within ten business days from the date of the finding/determination, or the date of the placement of a PI or co-PI on administrative leave or the imposition of an administrative action, whichever is sooner. 

To ensure additional coordination, the Office of Contracts and Grants will contact the Title IX Coordinator (or designee) when an NSF grant is awarded, thereby giving the Title IX Coordinator an opportunity to verify that there have been no findings or administrative actions imposed with regard to a specific NSF PI or co-PI.

Upon receipt and review of the information provided, and any subsequent updates, NSF is expected to consult with the University of Dayton AOR and may, if necessary, assert its programmatic stewardship responsibilities and oversight authority to either initiate the substitution or removal of the PI or any co-PI or reduce the awarding funding amount, or where neither of those previous options are available or adequate, to suspend or terminate the award.

With regard to NSF conference grants, the Office of Contracts and Grants will work closely with the PIs on those grants to ensure that the University of Dayton’s Nondiscrimination and Anti-Harassment Policy is disseminated to conference participants prior to attendance at the conference and made available to attendees at the conference itself. 

More information on this topic can be found at NSF | Office of the Director | Sexual Harassment.  Any questions regarding this procedure may be directed to the Title IX Coordinator or the Office of Contracts and Grants.

Please note the University may have other legal or contractual obligations to report discrimination, harassment or sexual misconduct to third parties, and this procedure will be expanded and developed as necessary to address the requirements of additional funding agencies or other legal or contractual obligations.  For National Institutes of Health (NIH) funded studies, the community is encouraged to report sexual harassment via its webform.  More information can be found in this statement from NIH leadership.

Responsible Office/Official: Office for Research

Last Updated: July 16, 2019

High ethical standards are expected of all members of the University of Dayton (UD) community who engage in scholarly activities, regardless of position or discipline. As an institution of higher learning, instilling a strong understanding of responsible research practices is especially important for our undergraduate and graduate students, as well as our post-doctoral researchers.  

Due to federal regulations and University policies and guidelines, some individuals are required to participate in specific training with regard to the Responsible Conduct of Research (RCR). Those individuals include:

• All undergraduate students, graduate students, postdoctoral researchers, faculty, and other senior personnel who will be supported in whole or in part by National Science Foundation (NSF) funds.
• All graduate student assistants (GAs) with GA contracts sponsored in whole or in part by external sources (e.g., research contracts, federal grants, etc.).
• Graduate Student Summer Fellowship (GSSF) awardees.
• Dissertation Year Fellowship (DYF) awardees.
• All Biology graduate students (only specific portions in conjunction with BIO-554).

NSF RCR Training Requirements (Updated Requirements Effective July 31, 2023)

Effective July 31, 2023, the NSF requires any undergraduate students, graduate students, postdoctoral researchers, faculty, and other senior personnel who will be supported by NSF funds to complete Responsible Conduct of Research (RCR) training. These expanded requirements apply to new proposals submitted or due on or after July 31, 2023.

Completion of the online “RCR-Basic Course” through CITI described in Element 3 below fulfills this training requirement. (Note: There may be additional RCR requirements associated with Graduate Assistant contracts or specific academic programs.)

CITI Training must be completed within 30 days after proposal submission. PIs are responsible for communicating these RCR training requirements to anyone joining the NSF-funded project. The training must be completed before any personnel can charge to the NSF-funded project.

RCR Training Program

The RCR training program described here meets the National Science Foundation Education Requirements for the Responsible Conduct of Research (RCR Plan), approved by the University of Dayton Office for Research. This plan reflects our corporate vision that all members of our academic community will be properly qualified to address ethical challenges that may arise when conducting scholarly research. Through active engagement in the full range of RCR training program elements described below, participants will fully satisfy the expectations of all four elements of the University of Dayton RCR Plan.

The University of Dayton RCR Training Program will include the following four elements which may be completed in any order.

(1) Introduction to RCR Presentation: An introduction to RCR principles will take place during the new graduate student orientation program(s).

(2) RCR Policy Manual Review and Signoff: All individuals required to complete the RCR training program must read the Responsible Conduct of Research Policy Manual (RCR Manual), published by the UD Office for Research and available in PDF form via the Graduate School tab in Porches. After studying the RCR Manual, trainees will be required to discuss what they have learned, and the implications for their own research, with their research advisor and/or Principle Investigator.

(3) CITI On-line RCR Training Course: The University of Dayton subscribes to the Collaborative Institutional Training Initiative (CITI), a subscription service providing on-line research ethics education to members of the research community. RCR trainees will be required to complete the CITI RCR course.  Typically it will take new RCR trainees 3-6 hours to complete this requirement, though trainees are not required to complete the course in one sitting. Ideally CITI training should be completed prior to matriculation for new incoming graduate students.

To begin an online CITI RCR course, trainees must go to https://www.citiprogram.org, and use the “Log in through my Institution” option, selecting the LOG IN VIA SSO button. On the next screen the trainee should choose the University of Dayton, after which they will select the RCR course. 

(4) RCR Live Training Workshop Series: RCR trainees will be required to participate in a series of live training workshops (total of approximately 6 hours). These workshops will be offered at least once per year, typically following new graduate student orientation. These workshops involve interactive presentations and case studies with professionals from across campus.

Contact

If you require assistance in completing any component of the training, please contact the Office of Academic Research at (937) 229-5527 or ktittle1@udayton.edu.

For compliance questions, please contact the Office for Research at (937) 229-5527 or ktittle1@udayton.edu.

Additional Information

Additional information on RCR Training Policies and Resources can be found on the Graduate Academic Affairs page in Porches.