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Appendices

Introduction

Appendices in the proposal should be clearly labeled and provide supportive information that relates directly to the proposed project. In general appendices will include any supportive data, curriculum vitas for key personnel, and relevant certifications. Consult the sponsor's proposal guidelines when putting together the proposal appendices. Many sponsors have limits on the number of appendices that may be attached or the overall number of pages the total proposal may include. Total page count may or may not include appendices.

Curriculum Vitae, Biosketch, or Resume

Current curriculum vitae are included for all key project personnel. Follow the sponsor guidelines on format and length of vitae.

Letters of Support

Letters of support for the project are frequently requested by a sponsor. Select colleagues who will be able to write a strong and persuasive letter about the project's expected benefits to the research community and the applicant's ability to carry out the project. Three to five letters are usually considered sufficient. Again, follow the sponsor's guidelines regarding letters of support. Remember to request letters of support far enough in advance, usually one month is sufficient lead time. Letters of support should be sent directly to the Principal Investigator or the appropriate administrative assistant.

Certifications

By signing a certification the College , through the Institutional Official, has assured the sponsor that certain levels of behavior or ways of conducting research are guaranteed. Certifications listed may imply Dartmouth College or the Principal Investigator as the grantee, depending on the type of certification. The following presents an overview of the information contained in the most commonly required certifications. Complying with required certifications may involve a complex and lengthy review process. Principal Investigators are encouraged to contact the OSP staff regarding compliance with specific certifications.

Conflict of Interest

The purpose of this disclosure statement is to give the College the information needed to identify potential conflicts of interest for investigators and other key personnel involved in sponsored activities, and to ensure that no unresolved conflict exists between their sponsored activities and their outside interests and activities. This statement conforms with current federal and College guidelines requiring disclosure of professional activities and financial holdings of investigators and other key personnel.

Under Dartmouth College's Conflict of Interest Policy all investigators and other key personnel involved in a sponsored project must complete this form on an annual basis and any time new circumstances would create a potential or actual conflict of interest. The form should be submitted to the Director of Sponsored Projects. Each time a proposal is submitted by the PI, the PI must sign the routing form indicating compliance with Dartmouth College's Conflict of Interest policy.

Drug-free Workplace

By signing this certification Dartmouth College has agreed to a certain set of actions related to the handling of situations involving illegal drugs in the workplace.

Lobbying

By signing this certification Dartmouth College has agreed to refrain from attempting to influence any Federal, State or local election, referendum, initiative, or similar procedure, through in kind or cash contributions, endorsements, publicity or similar activity.

Intellectual Property Rights

Intellectual property protection may include copyrights, patents, protection of trade secrets, and trademarks. The Dartmouth College Copyright Policy governs copyright ownership of works created by Dartmouth faculty and other classes of employees. A trade secret is any invention, or other valuable business information that is not protected by a patent and is not known or accessible to others. To be protected as a trade secret, the information or invention must be used in a business, and positive measures must be employed to keep it secret. Since a university's task is exactly the opposite - the dissemination of technical information - universities are seldom involved with trade secrets. Trademarks are defined as "any word, name, symbol, or device or any combination therefore adopted and used by a manufacturer or merchant to identify his goods and distinguish them from those manufactured or sold by others." The Technology Transfer Office staff can assist researchers with questions related to intellectual property rights.

Misconduct in Science Policy

Misconduct means fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research. It does not include honest error or honest differences in interpretations or judgments of data. The National Science Foundation additionally includes a "material failure to comply with Federal requirements for protection of researchers, human subjects or the public or for ensuring the welfare of laboratory animals; or a failure to meet other material legal requirements governing research" in the definition of misconduct.

Use of Human Subjects

All research involving human participation must be reviewed by the Committee for the Protection of Human Subjects (CPHS) under the administrative direction of the Institutional Review Board Administrator (IRB). The primary role of the CPHS is to protect the rights and welfare of research participants. The CPHS office is a source of information for students, faculty and study coordinators. Although it is ultimately the responsibility of the Principal Investigator to follow appropriate procedural requirements, it is an objective of the Assistant Director, CPHS to assist the PI in that process. While use of human subjects is usually thought of as medically related research, it must be stressed that ANY research proposal that involves human subject participation should be referred to the Assistant Director, CPHS in the OSP.

Use of Animal Subjects

All research involving the use of animals must be reviewed by the Institutional Animal Care and Use Committee (IACUC). An Animal Subjects Review form should be obtained from the Animal Resource Center and completed for consideration at a meeting of the IACUC.

Use of Radioisotopes

All research involving the use of radioisotopes must be reviewed by the Radiation Safety Office. PIs should contact the Radiation Safety Office before submitting a proposal if they intend to use radioactive materials in their sponsored research project.

Recombinant DNA and Carcinogens

All research involving the use of recombinant DNA or carcinogens must be reviewed by the Environmental Health and Safety Office. PIs should contact the Biosafety Committee of the Environmental Health and Safety Office for recombinant DNA or Environmental Health and Safety Office before submitting a proposal that includes the use of these materials.

Grant History

Many sponsors request applicants to supply information on both active and pending external support. This information will either be requested on a form supplied by the sponsor, or should be included as an appendix in the proposal. An administrative area or an individual faculty member will be asked to include a complete list of current sponsored and pending projects including:

  • Project titles
  • Funding sources
  • Duration of projects
  • Total approved budgets

Position Descriptions

Position descriptions should be included as part of the appendices for all project staff. The Department of Human Resources can provide sample position descriptions and assist the researcher in classifying the position. The tasks, responsibilities, and qualifications outlined in the position description should accurately reflect responsibilities as described in the text of the proposal.

Suggested Reviewers

Principal Investigators may suggest appropriate reviewers for government sponsored proposals. As with letters of support, the PI should suggest colleagues who will understand the nature of the research proposed, be able to accurately evaluate the methodology to be employed, and the appropriateness of the level of funding sought. PI's may also designate persons they would prefer not review the proposal, indicating why. All suggestions should be submitted in a cover letter or separate sheet included in the proposal package.

Last Updated: 7/27/12