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For Sponsored Research at Dartmouth College
and the Dartmouth Hitchcock Medical Center
Introduction
There are a number of administrative areas that support the sponsored
research effort at Dartmouth College and the Dartmouth-Hitchcock Medical
Center. The purpose of this section of the Manual is to outline the general
administrative responsibilities existing at the College and DHMC for
administering sponsored research projects. This section also outlines the
responsibilities of and services offered by the Office of Sponsored Projects
(OSP).
The section concludes with a workflow diagram and narrative illustrating the
sequence of events typical grant s travel as it moves from a research idea
through the grants administration process.
Mission Statement and Goals
The OSP contributes directly to the academic mission of Dartmouth College by
providing support for obtaining sponsored research funds and managing sponsored
research activity. Sponsored research enriches the Dartmouth community by
providing revenue to establish new programs, conduct faculty research, and
provide instructional and other services. In addition, sponsored funds support
professional growth for faculty, postdoctoral fellows, graduate and
undergraduate students, and staff.
The OSP is comprehensive in its scope and mission, handling both pre-award
and post-award services. The Office has primary responsibility for assuring
Dartmouth's compliance with the regulations of a range of funding agencies, for
negotiating Dartmouth's indirect cost rate, and for monitoring college-wide
implications of these negotiations on a regular basis. In 1992, the OSP assumed
administrative responsibility for the Dartmouth Medical School's sponsored
research activities. Under this reorganization the Office also assumed
responsibility for overseeing the administrative work of the Committee for
Protection of Human Subjects.
Sponsored projects fall within several general functional categories,
including research, training, curriculum development, public services,
fellowships, art exhibitions, and equipment awards. This support extends from a
proposal's conception through to the completion of a sponsored research
project. The OSP has identified the following goals in support of its
mission:
Provide individual and/or small group assistance to encourage effective use
grantsmanship services (i.e. assists in identifying sources of research support
and proposal preparation, maintains a current Sponsored Research Manual
Organize and participate in workshops and presentations related to grant
activities. These have included presentations from agency representatives,
proposal writing workshops, and annual orientations for new faculty.
Serve as contact point for information and interaction with faculty, deans,
administrators and sponsor representatives on sponsored research matters.
Develop, organize, and oversee various current awareness services providing
grants-related information to faculty and administrators.
Monitor trends in sponsored research and respond to changes in the field
While sponsored funds are actively sought and are a financial blessing to
most institutions, the administration of those funds also presents challenges.
The OSP has institutional responsibility for protecting the College's interests
related to the seeking and management of sponsored research opportunities. The
Office is empowered by the Trustees to make commitments on behalf of the
institution, and in doing so must be aware of and comply with all current
College and agency regulations. To insure both protection of the College's
interests and continued and varied sponsor support, the OSP routinely engages
in the following activities:
Serves as the College's focal point for activities from federal,
international, state, and private sources.
Initiates policies and procedures and certifies compliance with federally
mandated regulations that effect many areas of the institution.
Reviews College and DHMC grant and contract proposals and responds as
institutional officials authorized to commit the institution to external
agreements.
Negotiates agreements with regard to budget, terms and conditions, while
coordinating with the PI that the scope of research is in line with the funds
available.
Maintains the College's official database for proposals and awards, in order
to project future funding trends, provide data for tenure decisions and analyze
financial impacts on the institution.
Acts as a permanent member of the Council on Sponsored Activities, the
institutional committee responsible for research policy, and coordinates the
agenda for the Council.
Represents Dartmouth College at national and regional meetings concerned
with improving the research environment locally and nationally.
Services Offered by the Office of Sponsored Projects
Introduction
The Office of Sponsored Projects is responsible for institutional review of
all applications for sponsored funding, reviewing awards prior to acceptance,
accepting awards officially on behalf of the College and DHMC, and assisting
members of those communities in identifying and applying for sponsored support.
Sponsors of research activities include the Federal government, state and local
governments, foundations, international organizations, research institutes, and
corporations. These organizations fund sponsored projects through a variety of
mechanisms such as contracts, grants, letter agreements, purchase orders,
cooperative agreements, and a variety of awards that fall under the general
rubric of subcontracts. The OSP also provides a full spectrum of services that
address individual researcher's proposal preparation needs and routinely offers
workshops on grants administration.
The OSP does not routinely handle gifts or other unrestricted funds that
fall within the purview of the College's central Development Office. Awards to
faculty members directly, as opposed to Dartmouth College or the DHMC, are not
normally managed by the OSP. Individual situations should be discussed with
Office of Sponsored Projects staff.
Identifying Funding Sources
A first step in successful proposal development is to match the research
idea with an appropriate funding source. Funding sources may be government
agencies, corporations, or private foundations. While they each share the
commonality of providing funds for research, approaches to these institutions
and the institutional rules governing such approaches are very different.
How a researcher identifies funding for a potential project is rapidly
changing. In the past the Office of Sponsored Projects provided access to
current funding sources via paper formatted announcements, the public file
server, and SPIN searches. With the advent of the Internet, funding source
information is accessible in a timely manner to anyone with the skills and
equipment to access the Internet.
To better meet the needs of researchers and to make use of new technologies,
the Office of Sponsored Projects has developed a web site as part of the
Dartmouth College web site. Among the services offered on the site are pointers
to funding information that can be found on the Internet. Staff from the OSP
also offer workshops on identifying potential funding sources for projects, and
encourage researchers to contact staff in the Office for individual
assistance.
Budget Preparation Assistance
The Office of Sponsored Projects will assist a researcher in preparing a
budget and budget justification. Government sponsors and many corporation and
foundation sponsors provide budget forms. If a budget form is not provided or a
format is not suggested by the potential funding agency, the Office of
Sponsored Projects will offer a budget format to be followed that conforms to
the College's accounting categories.
Project budgets are generally broken down into budget categories that
identify groups of expenditures related to each project, and when taken
together account for the total project cost. Each budget category has its own
set of guidelines and restrictions, defined by the potential sponsor and
Dartmouth College. A benefit to having OSP staff assist a researcher with
preparing the budget is that OSP staff are familiar with these guidelines and
restrictions. When assisting a researcher in creating a budget, OSP staff will
provide guidance in outlining the College's policies and procedures related to
developing appropriate budget categories such as salary levels for project
staff, fringe benefit rates, reasonable equipment and supplies costs,
consultant fees, travel policies, and calculating indirect costs.
Proposal Review
Each proposal submitted under the auspices of Dartmouth College and DHMC
flows through the Office of Sponsored Projects. Before the proposal is
submitted, it is reviewed by a staff member of the Office of Sponsored
Projects. While the text of most proposals is not reviewed, the budget and
certain attachments are given a comprehensive examination. In order for the
Office of Grants & Contract to complete this necessary step in proposal
submission, the Office requests, at a minimum, two days to complete this
review. PI's should take into consideration this turn-around time when
submitting proposals for review. In an administrative review of a proposal, the
staff member takes into consideration the following:
The Dartmouth College Proposal Routing Form has been completed. All
necessary signatures and internally required documentation or clearances have
been obtained.
Certifications are signed and attached.
Budget expenses are reasonable and allowable.
Indirect cost rate has been calculated correctly. Should the reviewer
identify changes needed or missing information, they complete a blue review
sheet noting those changes. The review sheet is returned to the PI with the
understanding that changes will be made before the proposal is submitted to the
funding agency.
Financial Management of Sponsored Research Funds
Providing financial stewardship over sponsored research funds demands a
close working relationship between the Office of Sponsored Projects, the
Principal Investigator, and staff in the Controller's Office. The Senior
Associate Director of Sponsored Projects has a "dotted line"
reporting relationship to the Controller, which ensures communication in
developing policies and procedures affecting the costs incurred on grants or
contracts. This relationship also ensures a consistent comprehensive approach
to maintaining auditable record. Annual financial statements for sponsored
research are incorporated into the College's financial statements.
All financial reports and close-out responsibilities reside in the OSP. The
specific financial responsibilities of the OSP include:
Maintains official auditable files of all sponsored awards.
Oversees the accounting and cash management of all sponsored activities.
Reviews expenses for allowability, allocation, and reasonableness.
Prepares annual federal property management reports.
Serves as the College's liaison office with government auditors and site
review teams.
Prepares financial close-out documentation for all awards.
Oversees the calculation and negotiation of the College indirect cost
rates.
Projects direct and indirect costs for budgeting purposes.
Maintains responsibility for accountability of all licensing and royalty
income and the appropriate distribution of income.
Information garnered from the accounting system is used not only to manage
sponsored research funds, but is also used throughout the College. Budget and
expenditure data recorded in the accounting system is used in the following
ways:
Becomes part of the yearly financial statements for the College.
Provides financial information used in departmental-level planning and
reporting.
Provides financial information used in project specific planning and
reporting.
Provides background data for preparing direct cost proposals and rate
calculations.
Provides supporting data for audit reviews.
Workshops on Grants and Project Administration
The staff of the OSP regularly conduct workshops on grant seeking and
project administration through the College's Human Resource Training and
Development Office. Staff members are also available to make presentations to
any College unit or group on topics related to development and administration
of research and other sponsored activities.
Community of Science and the database of research expertise
Dartmouth College participates in the Community of Science consortium of
major research universities and national laboratories in the United States and
Canada. The database contains profiles of researchers, their expertise, and
their research interests. A subset database listing the research interests of
the Dartmouth faculty, as contributed to the Community of Science (COS)
database is provided via DCIS. The file provides a description of the
individual's area of expertise, a list of their publications and a key word
classification of their work. Most recently, the COS has added a funding alert
service that links funding opportunities with individual COS participants'
research interests. While the name "Community of Science" may imply a
database of researchers in the sciences, the COS is designed for researchers in
all subject areas. Faculty from throughout the Dartmouth community are strongly
encouraged to add their individual faculty profiles to the COS.
Current Awareness
A major responsibility for the OSP is to keep current on governmental
funding sources, policies and regulations affecting the award and management of
sponsored research funds, and the dissemination of this information to the
Dartmouth College research community.
Office of Technology Transfer
Under the administrative Office of Sponsored Projects is the Office of
Technology Transfer (OTT). Federal legislation gives colleges and universities
title to inventions resulting from government sponsored research. This
legislation further requires that institutions receiving these federal funds
for research make serious efforts to bring technology to the marketplace in
order for it to be available for the public good. The TTO maintains a web-site
that includes up-to-date information on the OTT's policies and procedures.
Administrative Support for Sponsored Research at Dartmouth College
Department Administrators
Administrators located in academic departments assist faculty in the process
of submitting proposals. They are the prime locus of responsibility for
day-to-day administrative support for sponsored projects. Included in the
latter are such functions as purchasing supplies and materials and coordinating
personnel matters to ensure that faculty and graduate students' efforts are
properly recorded and allocated to sponsored project accounts.
Biosafety Committee
This committee oversees the use of hazardous biological agents in research
and approves the use of such materials in specific projects. It is composed of
faculty representatives, a member of the Environmental Health and Safety
Office, and representatives from the surrounding community. The Senior
Associate Director for the OSP attends each meeting of the Biosafety Committee
in an advisory capacity.
Institutional Animal Care and Use Committee (IACUC)
All activities using animals for teaching or research must be reviewed by
the IACUC. This committee includes as its members representatives from the
academic departments in which research on animals is performed, a consulting
veterinarian, and a representative member of the surrounding community. It
reviews and approves protocols submitted by faculty who wish to use animals in
their research, conducts inspections of the animal care facility, and makes
recommendations to the College administration on changes and improvements that
may be necessary in order to provide optimal and humane care of the animals in
the facility. An Assistant Director in the OSP serves on the IACUC.
Environmental Health and Safety Office
The OSP interacts with this office to the extent necessary to implement
policies and procedures related to sponsored projects and the requirements
sponsors may place on awards they fund at Dartmouth College.
Institutional Review Board (IRB)
This body is also known as the "Committee for the Protection of Human
Subjects (CPHS). " The committee is composed of faculty members and
administrators from various departments as well as members of the community.
Its prime responsibility is to review protocols submitted by faculty who intend
to use humans as subjects in their research. The CPHS Office is responsible for
overseeing and implementing policies (institutional and Federal) related to the
use of humans in research projects.
The IRB at Dartmouth College is committed to the following principles:
- That the rights and welfare of human subjects will be adequately
protected.
- That the risks to subjects will be reasonable in relation to anticipated
benefits.
- That selection of subjects will be equitable.
- That informed consent will be sought from each prospective subject and
appropriately documented in accordance with and to the extent required by
federal regulations.
- That conduct of the activity will be reviewed at timely intervals.
All proposals involving human subjects (whether sponsored by federal
agencies, non federal agencies, or not funded)must be reviewed by the Committee
prior to initiation of the proposal. Researchers planning projects involving
human subjects are encouraged to contact the CPHS Administrator.
Radiation Safety Committee
This committee oversees the use of radioactive materials in the conduct of
research at the College and DHMC. It also approves research protocols submitted
by faculty members who wish to use radioactive materials in their work. Its
members include faculty representatives, a member of the Environmental Health
and Safety Office, and the Senior Associate Director of the OSP.
Council of Sponsored Activities
The Council on Sponsored Activities functions as the chief College advisory
body on both general and specific matters related to misconduct in research,
research training, and other related activities. The Council provides advice to
the College administration on research and other project issues, assists in the
interpretation of sponsored project policies, and is generally concerned with
issues revolving around the role research plays at the College. This body is
composed of a faculty representative selected from the academic departments in
the Arts and Sciences and each professional school. The Director of the OSP is
an ex-officio member of the Council.
Role of the Principal Investigator in Sponsored Research
The Principal Investigator (PI) holds a number of responsibilities related
to sponsored projects, the core of which is conducting the work for which
external funding has been received. The PI also has administrative
responsibilities such as assuring that expenditures are made for the intended
purpose of the project and in accordance with sponsor requirements and College
policy and procedures. Other PI responsibilities include writing proposals for
funding and complying with the technical requirements of awards. The latter
involves submitting periodic and final narrative reports on the progress of the
project and overseeing others who may contribute to the project, including
College employees, consultants, and subcontractors, on a timely basis. The PI
must ensure that all of the above are in compliance with the College's time and
effort reporting system.
Life of a Sponsored Research Project
Introduction
The purpose of this section is to provide a broad overview of the life of a
typical grant, from its conception as a research idea through to final closeout
of the grant. This life cycle is presented here in two parts. The first is the
workflow diagram, designed to present the normal sequence of events in a visual
manner, and a workflow narrative. The workflow narrative is the textual
accompaniment to the diagram and includes references to who might best be able
to assist the researcher in completing the outlined steps. It is not a
prescription for how to write or manage a grant, but rather a concise way of
describing the usual sequence of events.
Workflow Narrative
Pre-Award Activities
1. & 2. Research Idea is Conceived :All proposals start with an idea.
The idea is frequently discussed with one's colleagues and may develop into a
proposal for submission to a potential sponsor for funding. Researchers are
encouraged to discuss ideas for proposals with their department chair, academic
dean, or the administrator to whom they report. The OSP staff may also be able
to assist the researcher in this early stage of project development.
3. Project Outline is Developed :The project outline is helpful in the early
stages of proposal development. It focuses the researcher on 1) the overall
goal of the project, 2) the specific tasks that must be undertaken in meeting
that goal, and 3) the general idea of the resources needed to complete
tasks.
4. Potential Funding Sources Identified : Matching the proposal outline with
a potential sponsor may require use of the various funding identification tools
available on campus. One's colleagues and professional relationships may also
prove to be effective means for identifying good matches between potential
sponsors and research projects. Researchers will find help in identifying
likely sponsors from staff in the Foundations and Corporate Relations
Development Office, the OSP, and the Dean of Faculty Office.
5. Approaches to Foundations and Corporations : Researchers are required to
obtain clearance before contacting any foundations or corporations about
possible funding for their research projects. Approval to approach a foundation
or corporation is made by a development representative for the administrative
area to which the researcher reports.
6. Get Application Materials : Once a potential sponsor is identified and
clearance to approach the sponsor is approved (where applicable), the
researcher will request application materials. The OSP keeps a supply of
current NSF, NIH, and other funding application packets in the Office.
Increasingly, information and forms are available on the World Wide Web. A
researcher may also write or phone an agency for an application packet. Read
the directions carefully, noting special requirements and submission
deadlines.
7. Write the Proposal : Proposals benefit from wide review. Take the time to
have the proposal read by colleagues, development staff, and staff in the OSP.
Leave sufficient time for rewrites and proofreading.
8. Develop the Budget : Based on the goals of the project develop a
realistic budget, one that requests sufficient funding to complete the project,
yet is not inflated. If there are questions about staffing needs, level of
expertise required to complete tasks outlined in the project, and appropriate
salary level, the Dartmouth College Department of Human Resources can offer
assistance. Questions related to how to put the budget together, fringe benefit
rates, indirect cost rates, matching funds, etc. should be referred to the
OSP.
9. Complete the Proposal : Do a final proofreading of the text, review the
budget, attach supporting documentation in appendices, gather appropriate
certifications, and complete the cover sheet or face page, and internal routing
form. The most commonly needed information for the cover and routing forms is
available in the Sponsored Projects Web site under 'Institutional Profile', or
in Appendix C of the Sponsored Research Manual.
Obtain Necessary Signatures: Typically, the researcher's department chair or
administrative head and dean must sign off on the proposal.
10.-12 . As indicated on the OSP Checklist, submit the required documents to
the OSP : The proposal is reviewed and signed off on within two days of receipt
by an administrative officer in the OSP. Needed changes to the budget or cover
sheet are noted. The signed packet is returned to the Principal Investigator
who is responsible for making those changes before the proposal is
submitted.
13. Submit Proposal : The Principal Investigator is responsible for
submitting the proposal to the designated funding agency. Note deadlines and
copies of proposal required, as outlined in the application packet.
14.-16. Notification from the Designated Funding Agency : There are three
potential outcomes. The project will be funded at the level requested and as
submitted, the PI could be asked to revise the methodology or funding sought,
or the project could be rejected for funding.
PIs are encouraged to read all proposal review documents regardless of the
funding outcome. In some cases the PI may have to request the review
documentation. NIH and NSF [others] automatically send critiques to the PI.
A PI may need to make to changes as outlined by the funding agency before
funds are awarded. Office of Sponsored Projects staff can assist the PI in
reworking a budget, if changes to the budget are requested.
If a project is rejected for funding, the PI has the option of revising the
proposal and re-submitting it at a later date or abandoning the project. Staff
and colleagues who assisted the PI in developing the initial proposal may be of
help in rewriting a rejected proposal.
17.-18. Submit Complete Proposal (minus appendices) to the Office of
Sponsored Projects : PIs are responsible for submitting a complete proposal,
minus the appendices, to the Office of Sponsored Projects within ten (10)
working days after they have submitted the proposal. Information about the
proposal, budget, and PI is added to the Office of Sponsored Projects internal
management database.
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