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Introduction: Dartmouth College, in response to Federal regulations, require a number of internally generated policy certifications and reports. These certifications are the checks and balances imposed on the management of sponsored research awards. They are intended to guarantee that the agreed upon terms of an award, as outlined in the approved proposal and budget, are being met.
Sponsors typically request both periodic financial and technical reports. The schedule for completing and format requested should be outlined in the sponsor's notice of award. The OSP is responsible for completing financial reports, while the Principal Investigator is responsible for the technical reports.
The Principal Investigator is responsible for submitting interim program/progress reports to the sponsor within the specified time frame and format indicated by the sponsor in the award document. The format of progress reports is usually determined by the sponsor. If a sponsor does not indicate a format, the Principal Investigator is advised to use a standard format that addresses the following project management concerns:
- A review of the accomplishments to-date as compared with schedule and objectives as outlined in the original proposal.
- A review of the challenges faced by the award in attempting to meet the schedule and objectives as outlined in the original proposal.
- Supporting statistical data or documentation.
- Management activities, such as documentation or training materials produced, staffing issues, etc.
Budget Review: Comparison of actual expenses against the projected expenses. Expected shortfalls, reasons for them occurring, and what steps the Principal Investigator has taken to remedy or forestall a shortfall should be included in the budget review. Likewise, if a project is under-spending, this should also be discussed.
An interim report does not have to be long, but should thoroughly describe accomplishment and problems. In describing problems it is important to accurately represent the extent of the problem, what is being done to address it, and what effect the problem may have on the long-term success of the project. The Principal Investigator should remember that the interim report can set the stage for initiating new projects, or requesting additional time or supplemental funding to complete the present project.
Frequently, projects change or evolve from how they were first proposed to or funded by a sponsor. Many changes that occur in the conduct of sponsored research awards require prior approval. That is, before the change can take place the Principal Investigator must obtain approval for the change from the sponsor and/or OSP. Some Federal and nonfederal sponsoring agencies have delegated approval rights to the College, under what is frequently termed "expanded authority." The level at which approval may be granted depends upon the type of award and the sponsor's specific policies governing the award. If a sponsor has not granted expanded authority to Dartmouth College, making changes to a project requires written approval by the sponsor before the change may take place.
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