Introduction
While the process of managing sponsored research awards is a shared
responsibility between the Principal Investigator and the staff of the Office
of Sponsored Projects, both have unique areas of primary responsibility. The
purpose of this section of the Manual is to outline those specific
responsibilities, present an overview of project management with special
emphasis on the Principal Investigator's role in sponsored projects management,
and provide Principal Investigator's with the Dartmouth College documentation
and forms needed to manage successfully a sponsored research award.
The Principal Investigator has primary responsibility for achieving the
technical success of the project, while also complying with the financial and
administrative policies and regulations associated with the award. Although
Principal Investigator's may have administrative staff to assist them with the
management of project funds, the ultimate responsibility for the management of
the sponsored research award rests with the Principal Investigator. These
fundamental responsibilities of the Principal Investigator during the
post-award phase of a sponsored research award include:
- Execute the project as outlined in the funded proposal, using sound
management techniques.
- Carry out the project's financial plan as presented in the funded proposal,
or make changes to the plan following a prescribed set of policies and
procedures.
- Report project progress to the sponsor as outlined in the terms of
award.
- Maintain an accurate record of project related expenses.
- Comply with all Dartmouth College and DHMC policies and procedures related
to project management and personnel practices.
- Comply with all applicable sponsor rules, regulations and/or terms and
conditions of the award.
The Principal Investigator's responsibilities may be divided into two
related but distinctly different sets of activities: those activities involving
the management of the work of the project, and responsible spending of project
funds. While the work of the project should drive the financial activities,
sound management practices in both arenas are required. The financial
stewardship of sponsored research funds is a shared responsibility with other
areas of the College, among them the OSP.
Once a project has been funded, there is the expectation by both the
Sponsoring Agency and OSP that the Principal Investigator will responsibly
spend the award. Sound fiscal management of sponsored research funds requires
knowledge of and adherence to a prescribed set of federal and locally developed
financial guidelines. Over the life of a sponsored research award, a researcher
may initiate changes to a project that impact on the management of these
awarded funds. A Principal Investigator must have a good understanding of the
procedures associated with initiating financial transactions or changes to a
sponsored research award's financial plan.
To facilitate Principal Investigators' fulfillment of these
responsibilities, the OSP is committed to assisting Principal Investigators in
the administration of research and other sponsored activities. In addition to
offering workshops and training sessions, the OSP has prepared a number of
training and procedural documents aimed at acquainting a Principal Investigator
with the policies and procedures that affect the management of a sponsored
research award.
Definition of a Project: A project is the allocation of
resources directed toward a specific set of goals that follows a planned
organized approach to meeting those goals. Sponsored research awards have an
added explicit dimension of time that sets them apart from many internally
funded and managed projects. Most sponsors expect the Principal Investigator to
meet the budget and timeframe that were outlined in the proposal. This
expectation puts special emphasis on a Principal Investigator's ability to
carefully plan and manage the work of the award.
The most basic project-operating document is the project plan. All resource
allocation, including funding and staffing, must support the objectives
outlined in the project plan. As project manager, the Principal Investigator
has three primary responsibilities:
- Managing the resources of the project.
- Planning and controlling the work of the project.
- Communicating with individuals and groups about the project.
While management of project resources may appear to take the bulk of the
project manager's time, it is the planning, controlling, and communicating
tasks that will prove most time consuming.
Principal Investigators, particularly if they manage multiple awards or
complex projects, may find a public domain or commercially available software
package to assist in the management of their projects extremely helpful. Use of
project management software, such as Microsoft Excel, can assist the Principal
Investigator in reporting project progress, tracking work, analyzing project
generated data, fund management, and time keeping. Although sponsored research
funds are managed by the Dartmouth College accounting system, Principal
Investigator's are encouraged to develop means by which they or their
administrative assistants, can also track expenditures and reconcile expenses
with various online accounting reports, such as OGA (Oracle Grant
Accounting) Reports. Similarly, the College payroll system will handle the
production and distribution of salaries, but the Principal Investigator is
still responsible for the day-to-day recordkeeping related to the hours and
tasks worked on by each member of the project's team.
Adherence to Certifications: At the time a proposal is
submitted, the Principal Investigator will have signed and agreed to a specific
set of obligations covering the management of a project's work. Particularly in
the case of use of human and animal subjects, these certifications must be
thoroughly followed. Failure to follow certification guidelines may result in
sanctions imposed by the Dartmouth College Council on Sponsored Activities
under the Misconduct in Science Policy.
Project Staff: The Principal Investigator has
responsibilities and prerogatives in the selection, training, and evaluation of
project staff, subject to the policies and procedures of Dartmouth College's
Office of Human Resources. These College personnel policies and procedures
conform to federal and state laws, and reflect Dartmouth College's approach to
the management of human resources. Consistent with these policies and
procedures, a Principal Investigator may select staff to carry out the work of
the project. Principal Investigator's unfamiliar with Dartmouth College
personnel policies and procedures are encouraged to contact staff in the Office
of Human Resources.
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