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Faculty Grants Handbook

Following is a web-based version of the 2011 Faculty Grants Handbook.

Table of Contents

I. Introduction

II. Proposal Preparation
    A. Institutional Proposal Development
    B. Sponsored Research Proposal Development
    C. Proposal Content
        1. Title Page
        2. Abstract
        3. Description of Project
        4. Budget
            a. Personnel
            b. Benefits
            c. Consultants
            d. Participant Support Costs
            e. Travel
            f. Permanent Equipment
            g. Supplies
            h. Miscellaneous
            i. Publication
            j. Indirect Costs
            k. Cost-Sharing
        5. Institutional Profile
        6. Bibliography
        7. Appendices
        8. Curriculum Vitae

III. Sources of Research Support
    A. External Funding
    B. In-House Grants

IV. Proposal Submission
     A. Submission Approvals
     B. College Deadline
     C. Special Review
     D. Transmittal
     E. Budget Modifications

V. Post-Award Administration
    A. Award Notification
    B. Establishing an Account
    C. Drawing on the Account
    D. Salary Reimbursement
    E. Non-Student Employees
    F. Barnard Student Employees
        1. Hiring Barnard Students
        2. Paying Barnard Students
    G. Indirect Cost-Sharing
    H. No-Cost Extensions
    I. Reporting Requirements

VI. Special Considerations
     A. Human Subjects
     B. Animal Welfare
     C. Subcontracts
     D. Collaborations
     E. Conflict of Interest Policy
     F. Tax and Pension Implications
         1. Stipend
         2. Fellowship
         3. Other Salary Grants
         4. Leave Without Pay
    G. Grants Administered Outside of the College

VII. Non-Funded Proposals

VIII. Checklist
       A. Submitting the Grant
       B. Post-Award Procedures

IX. Contacts, Phone Numbers and Building Locations

X. Key Websites

 

I. INTRODUCTION
Barnard encourages faculty members to pursue scholarly activities that will contribute to their fields of study. The College expects that these research and scholarly activities will reflect and sustain the academic goals and mission of the College.

Barnard is committed to maintaining an environment that encourages intellectual creativity and inquiry by providing adequate support for faculty research. The College also encourages student participation in sponsored research activities.

The Grants Handbook is designed to assist faculty members in their efforts to obtain and administer funding support. It is a reference guide prepared by Institutional Support and provides guidance in writing sponsored research proposals, submitting them through the College, and managing grant awards. The handbook is also available on-line at http://barnard.edu/grants.

II. PROPOSAL PREPARATION

A. Institutional Proposal Development
Institutional Support is responsible for all grant applications submitted by Barnard College and/or its faculty members to foundation, corporate and government funding agencies. The staff reports to the Vice President for Development and works very closely with the Offices of the President, Provost, and Controller to obtain funding for both institutional needs and projects, and to provide support for faculty sponsored research. These services include help with locating funding sources, through workshops, the faculty newsletter, Barnard’s grants website, and e-mail to individual faculty members; assisting with the development f budgets; and reviewing and clearing all aspects of proposals to ensure compliance with the College and funding agency requirements before submission.

Institutional Support includes the Director, the Senior Associate Director, the Manager for Faculty Sponsored Research Grants, and the Sponsored Research Officer. The directors work primarily on obtaining, and subsequently reporting on, institutional grants; the Grants Manager and Research Officer primarily support faculty who are seeking sponsored research grants.

Institutional grants are targeted to institutional needs, priorities, and special projects. Such grants are usually programmatic. Foundations, corporations, and government agencies tend to prefer innovative proposals, rather than ongoing support of established programs. Grants for curriculum development, for renovation of space, or to acquire necessary instrumentation for a particular curricular or pedagogical project are considered institutional.

Institutional grants and reports can be initiated in a variety of ways: a Request for Proposal (RFP) from the funder (accompanied by guidelines); an approach to a funder by the College (usually preceded by conversations between a College administrator or faculty member and an agency Program Officer); or a tip from a colleague at another institution or alumna to a Barnard administrator or faculty member. The College encourages faculty members to present ideas for institutional grants or fundraising sources to the Director of Institutional Support. After an initial review, the Director will then seek approval from the appropriate Barnard official (usually the President, Provost, and/or a Vice President). No institutional grant application can be made without such approval, which allows for better coordination of proposals and assures that funding requests correspond to the College’s priorities.

In developing an institutional grant, the Directors will approach relevant faculty members to “brainstorm” about an initiative, to develop specific ideas, and to provide necessary information for the request. Follow-up with individual faculty members is often necessary. Some foundations may request further information involving more faculty participants.

Institutional grant proposals and reports are usually written by the Director or Senior Associate Director, who also have the responsibility of developing a suitable budget. Drafts are circulated to involved faculty for comments. Final copy and budget are determined by the Directors, the President, and the Provost.

Each institutional grant is assigned a Principal Investigator (PI) for the proposed project appointed by the Provost or other administrator. The PI is responsible for the administration of financial expenditures of the grant (in conjunction with the Controller’s Office and in consultation with Institutional Support staff). The PI is also responsible for working with Institutional Support staff to submit timely and accurate reports to the funder. If a PI goes on leave over the grant period, s/he must discuss leadership for the grant during the leave period with the Provost or other appropriate administrator. When necessary, the PI’s responsibility will be turned over to a colleague.

Recent funders for Institutional Projects include: the Andrew W. Mellon Foundation, the Gilder Foundation, the Altman Foundation, the Tow Foundation, the American Chemical Society, the National Science Foundation, the Christensen Fund, among others.

B. Sponsored Faculty Research Proposal Development and Funding Sources
Faculty members who wish to seek funding for their individual projects should contact the Manager, the Sponsored Research Officer or one of the Directors. All sponsored research proposals must be submitted to the Office of Institutional Support and approved by Provost Linda A. Bell. This institutional notification has several benefits: 1) it alerts the internal administrative offices that funds may be coming in; administrators can then respond knowledgeably to representatives from grant agencies when they call about financial arrangements; 2) it allows the College to track the total value of the College’s faculty and research proposal efforts; 3) it facilitates the work of the Office of Institutional Support in finding other possible sources of funding for faculty research efforts; 4) it averts potential conflict among fundraising efforts; and 5) it provides a key indicator of faculty initiative and productivity.

Funding is available from government and private sources to support research, travel, equipment, publication, course development, conferences and seminars. The application process is often lengthy and highly competitive. It is, therefore, advisable to start searching early.

Funding agencies generally support projects that are within their specified areas of interest. It is crucial to conduct background research on the funding agencies before preparing the application. The Grants Manager and Research Officer specialize in sponsored research grants and will perform a personalized search of targeted funding sources.

The Internet contains a great deal of grant-related information. Numerous sites provide searching capabilities for fellowship and grant opportunities. Funding agencies are increasingly posting their application materials and research interests on the Web. These sites often include abstracts of recently funded projects and links to related organizations. The Internet addresses of government, foundation, and other sites with grant-related information can be found on the Barnard College grants Web site (www.barnard.edu/grants).

A telephone conversation with the Program Officer of the agency or foundation at an early stage in writing the proposal can be a very good way of gaining valuable tips about shaping the grant proposal. The call can be initiated by the investigator, the Grants Manager or another Institutional Support staff member. Please note that most Program Officers prefer to speak directly to the PI.

It is usually very helpful for an applicant to discuss proposal ideas with other members of her/his department and colleagues in his/her field, particularly those who hold grants from the funding agency to which the faculty member is applying. These investigators may be able to pass on tips for approaching different funders and specific strategies for writing a strong proposal. They may also be willing to read a draft of the proposal and make suggestions. The Manager can let applicants know what members of the faculty have held grants from a particular funder and can also provide tips on grant writing.

Institutional Support presents workshops on the pre and post award processes. Topics include grant writing, budget preparation, grant review processes at government agencies, guidelines for specific funders, hiring grant personnel, financial record-keeping, government guidelines for expenditures, and financial reporting. The workshops will be conducted not only by Institutional Support, but also by experienced grant-getters among the faculty, faculty who have served on review panels at federal or state agencies, and staff from the Offices of Human Resources, the Controller, the Provost, representatives from government funding agencies, and the General Counsel.

The story of faculty-sponsored research and institutional grants at Barnard over the last several years is one of progress and success. While the total amount awarded for these types of grants each year hovered just below $1,000,000 from 1990-97, 1998’s total of $2.8 million was a major leap forward. A new record was set in 2006 with awards totaling $7,126,532. In 2007, new awards totaled $3,185,998 and in 2008, new awards totaled $5,814,227. In 2009, 97 applications were submitted for an awarded total of $6,079,919. In addition, 40% of dollars requested in 2009 were awarded. This is above the National Science Foundation’s and the National Institutes of Health’s 31.2% rate of success, and suggests Barnard faculty members have continued to do well competitively.

Recent funders for sponsored research include: NASA, the National Institutes of Health, the National Science Foundation, and the Guggenheim Foundation, among others.

C. Proposal Content
After determining which funding agency is a good “fit” for the project, the PI will want towrite a proposal that interests the reviewers and sets it apart from others. In general, reviewers want to know the answers to the following questions:

  • What exactly do you want to do?
  • How does the proposed project fit within the sponsor’s interests?
  • Why are you the best researcher for the project?
  • How much will it cost?
  • How long will it take to do the research?
  • What difference will the project make to Barnard, its students, and the discipline concerned?
  • What has already been accomplished in the project’s area? (Preliminary research findings are important.)
  • How will the project do what is proposed?
  • How will the results be evaluated?

The PI should become very familiar with the application and guidelines. It is important to carefully follow all instructions, including such details as font size and page limitations. Unless the PI has spoken with a Program Officer and received special permission for an extension, all proposals must be submitted by the published due date. The main components of a typical proposal are listed below.

1. Title Page
Many funding agencies, particularly government agencies, provide title page forms. The title page usually includes the following information:

  • name of the agency to which the proposal is being submitted
  • name and address of the College
  • name, department affiliation, address, phone number, e-mail address, and signature of the principal investigator
  • title of the project
  • total funds requested
  • proposed starting and ending dates of the project
  • name, title, address, telephone number, e-mail address, and signature of the authorized institutional official (usually the Provost).

Government funding agencies often request the following institutional data on application forms:

Entity Number/Employer ID/Federal ID: 13-1628149
Congressional District: 15
IFP: 1833203
DUNS: 068119601
DHHS Indirect Cost Agreement Date: 7/1/08 (67.5%)

2. Abstract
The abstract is a one-page description of the major objectives of the proposed research and the strategy used to meet these objectives. It should state the significance of the project, how the goals will be accomplished, and the time span of the project. Some funders will request that the abstract be written for a non-technical audience. PIs should always write the abstract according to the funder's specifications.

The abstract is often used to assign the proposal to the appropriate study section for review. Reviewers use the abstract to gain initial insight as to the concept of the study and it may also be used later as a reminder of the proposal’s content. Abstracts of funded research projects are often entered into national databases that can be accessed on the Internet. If the project is approved for funding, the agency will usually allow revisions to the abstract before making it public.

3. Description of Project
The narrative should include a description of the project, including its overall goal and specific objectives. The need for the project should be well justified in terms of its impact on the field and its relationship to the current objectives of the funding agency. The description should delineate how the project objectives will be achieved, how the project will be evaluated, and how the results of the research will be disseminated.

When writing the text of the proposal, it is important to establish a theoretical framework for the research. The investigator should state very clearly what s/he intends to do. Proposals are often dismissed because of vagueness in the research questions posed or jargon that is overused or misused. In the proposal, it is important to persuade the reviewer of the project’s merit and of the investigator’s special ability to carry out the research. If the PI has preliminary research, s/he should make sure to include it.

Guidelines at some government funding agencies require that research be linked to educational activities. In such cases, Barnard’s status as a liberal arts college for women can be significant for an award. The concept of “teaching your research” or of the “teacher scholar” ideal should be stressed. The Grants Manager can provide enrollment numbers, student outcomes, and other statistics and text relevant to this argument, if given sufficient notice.

 

4. Budget
The budget should include any costs associated with the successful completion of the project. It must be as accurate as possible, based on estimated costs. It is typical to use a 3% annual increase in costs for all goods and services. Include a line-by-line justification of major purchases and personnel. Listed below are typical components of the budget:

a. Personnel
If possible, all personnel who will participate in the research project should be identified by name, and by title or category of employment. The following are typical categories of personnel:

  • Principal Investigator and Co-Principal Investigator (s)
  • Research Associates
  • Research Assistants - undergraduate and graduate students
  • Other - clerical

Reimbursement for faculty is usually expressed in terms of percentage of effort and is based on the 9-month academic year. The range of current salaries for Research Associates, including graduate and undergraduate students, must be obtained from the Human Resources Manager. Faculty may request reimbursement for academic year release time and summer salary.

Academic Year Release Time
Release time is time away from the teaching and administrative duties of the College to conduct research during the academic year. In this case, the faculty member is formally excused from instruction. Faculty members must receive the approval of the Chair of his/her department and the Provost when applying for release time.

Summer and Academic Year Compensation
When requesting summer compensation, up to one-ninth of the succeeding year’s academic salary for each summer month of full-time effort may be requested. In multi-year grants, the PI should figure future salaries with a 3% COL increase. It is important to note that some funding agencies limit the percentage used to determine future year escalations, most notably the National Institutes of Health, which allows a 3% annual increase in salary. Please be sure to confirm current rates with Institutional Support prior to submitting your application.

Leave Without Pay
If the award will involve being away for any part of the academic year, a leave without pay (LWOP) must be requested from the Office of the Provost and the Academic Tenure and Promotion Committee (ATPC). The LWOP must have the support of the department with regard to the purpose and timing of the leave before it will be granted.

b. Benefits
Benefits are calculated for all salaries and wages. Rates are subject to change and should be verified with the Grants Manager.

A rate of 32% should be applied to the salaries of full-time faculty members, including salaries they may receive for summer or for release time during the academic year and to full-time administrative personnel.

Full-time research associates or Administrative Support must also receive 32% benefits on their salaries.

A rate of 8% for social security should be applied to the wages of Barnard students working during the summer, and graduate students working during both the summer and the academic year. If a Barnard student is employed during the academic year and attending classes, her wages are not subject to any social security withholdings.

A rate of 8% should be applied to the salaries of part-time administrative personnel. The Human Resources Manager can determine whether an administrator is full-time or part-time.

c. Consultants
Consultants should be used only when College personnel do not have the required qualifications, or when an outside consultant would provide a necessary and unique contribution to the project. Pay rates should be determined with the HR Manager. Consultants do not receive any fringe benefits.

d. Participant Support Costs
These include stipends, travel, tuition, subsistence, and any other necessary costs.

e. Travel
All travel attributable to the project should be itemized. Travel expenses should be subdivided for domestic and foreign travel. List countries to be visited and dates of travel (if known), and justification for travel. Travel rates can be estimated by contacting a travel agent or consulting the Grants Manager. Per diem rates can be estimated by consulting the Purchasing Department's Comphrehensive Purchasing and Expenditure Policy.

Please note that most government agencies require the use of a domestic carrier for travel both in the U.S. and abroad, except under very strict conditions. For more detailed information see the Fly America Act at http://www.gsa.gov/graphics/ogp/Federal_Register_01_15_09a.htm

f. Permanent Equipment
Permanent equipment is generally defined as an item of property that has an acquisition cost of $1000 or more and an expected service life of more than two years. Special purpose equipment is used primarily for scientific or technical applications. General-purpose equipment is used for research purposes but also for nonscientific and nontechnical purposes. Examples include calculators, computers, camcorders, and cameras. Agencies are often reluctant to fund general-purpose equipment unless it is primarily used in the actual conduct of scientific research. Each item of equipment should be justified in terms of its importance to the project and its current unavailability at Barnard. Do not use commercial price estimates. Consult with Academic Technologies for computer equipment prices and the Office of Purchasing and Stores for all other equipment.

Title to equipment purchased with Federal funds rests with the College, subject to certain conditions. Equipment and supplies acquired with Federal funds may not be used to provide services to non-Federal organizations for a fee that is less than what private companies charge for equivalent services, unless specifically authorized by Federal statute, for as long as the Federal government retains an interest in the equipment. For further information about authorized uses and transfer of equipment, please contact the Controller's Office.

g. Supplies
Identify as specifically as possible any and all consumable supplies needed for the project. Supplies are defined as items of expendable equipment that do not meet the definition of permanent equipment. These include laboratory supplies, chemicals, books and computer supplies. Costs for special supplies can be estimated by consulting with Director of Purchasing and Stores. Costs for commonly used supplies (paper, copying, staples, etc.) may be based on previous experience. Telephone and postage are usually separate items.

h. Miscellaneous
This category includes duplication, telephone, mail, equipment maintenance, etc. Items can either be added together under this single category or listed separately.

i. Publication
If publication is one of the expected results of the project, a brief synopsis of the expected publication content and its costs, including subvention, should be detailed.

j. Indirect Costs
Indirect Costs, or overhead, cover commonly used facilities such as heat and light, and general management by, and support of, the College. The College has a negotiated rate of 67.5% that is applied to base salaries and wages on most government grants. Fringe benefits, equipment, consultant fees, or other grant costs should not be included in this calculation. The limitation of indirect costs to salary and wages is typical of liberal arts colleges. The rate is negotiated by the Controller’s Office with DHHS. It is subject to change and should be verified with the Grants Manager or another Institutional Support staff member.

Private foundations and other funding agencies may limit indirect costs or disallow them entirely. Even certain government agencies, e.g. the Department of Education, no longer allow the negotiated rate. Check guidelines carefully for such limitations. Applications that disallow or restrict requests for indirect costs must be approved by the Provost and/or the Controller. If you are not including the College's full indirect cost rate, you must show support from the funding agency that shows the allowable IC rate.

k. Cost-Sharing
Funding agencies sometimes require the institution to demonstrate its participation through the contribution of a portion of the funds required for the overall project. Faculty salary, fringe benefits, and indirect costs are often proposed for cost sharing. Any cost-sharing must be approved by the Provost.

    5. Institutional Profile
    The site of the project should be described, together with all equipment and facilities necessary to the success of the project. If funding is being requested for additional facilities and/or equipment, the need for these items should be described. Sometimes, proposals will require institutional statistics, such as the number of alumnae in a particular field. Institutional Support can provide such details, provided sufficient advance notice is given for the specific data.

    6. Bibliography
    If a reference is mentioned in the text, be sure it is fully cited in the bibliography. Only those discussed in the proposal should be included. Please note that many funders now impose a strict page limit on the bibliography.

    7. Appendices
    Although some guidelines specifically request that no appendices be added to a proposal, when allowed, they are often necessary for a comprehensive understanding of the proposal and to convey adequate information about senior personnel. Additional materials might include letters of support from the institution and peers, copy of a publication, graphs and diagrams, etc.

    Appendices should only be included if they add validity to the proposal. Applications fail when such material overwhelms rather than convinces the reviewer. In letters of recommendation, funders become cautious when the writer is clearly uninformed about the substance of the project or uses “boilerplate” language. The Grants Manager can and should check whether such appendices are allowed.

    8. Curriculum Vitae
    In most instances, funding agencies require or expect curricula vitae of all key personnel to be attached. They should be current, readable, and adhere to any specific requirements, including page limits, made by the funding agency. In many cases the CV must be very short, i.e., 2-3 pages.

    III. SOURCES OF RESEARCH SUPPORT
    The Office of the Provost, Institutional Support and the Controller's Office provide assistance to faculty in obtaining support from internal and external sources and the administration of such awards. The following expertise and services are offered:

    A. External Funding

    • Applications are kept on file at Institutional Support.

    • Manual and electronic searches for potential funding sources in the faculty member's area of interest are performed in Institutional Support.
    • Selected funding information is distributed on a monthly basis through Barnard's faculty NEWSLETTER; a more extensive list is posted on Barnard's Web site; the Grants Manager also sends e-mail to individual faculty members and or departments regarding funding opportunities that are particularly suited to their specific research interests.
    • Institutional Support assists faculty in preparing proposals and budgets based on program guidelines, policies of government and private sponsors, and College policies.

    • Appropriate College official and administrative signatures are obtained by the Grants Manager and Research Officer
    • NSF applications must be submitted electronically via Fastlane. The Grants Manager and Research Officer are available to assist the PI with uploading files.
    • Most applications to the Federal government are now submitted through the grants.gov portal.

    The Institutional Support Office and the Controller's Office also assist faculty once they have received an award. Their roles are discussed fully in Section V, Post-Award Administration.

     
    B. In-House Grants
    The Faculty Grants Committee considers proposals to support Barnard faculty in academic and administrative research, writing, and participation in professional conferences. Grant proposals are considered by the Grants Committee in the fall and spring. Proposal due dates are announced in the faculty NEWSLETTER. For further information regarding the professional activities that are supported by the Faculty Grants Committee, please consult the Faculty Handbook or the Provost's Office Webpage.

    IV. PROPOSAL SUBMISSION

    A. Submission Approvals
    The pre-submission route for all proposals is as follows:

    1. The faculty member’s Department Chair should be notified about all proposals being submitted. This allows for better coordination of research efforts and teaching schedules. Any request for release time or leave without pay must receive prior approval by the Department Chair.

    2. All grant applications require the signatures of the Grants Manager and the Provost before they can be submitted. The Grants Manager will obtain the signature of the Provost, as well as other authorized signatures required by the grant application. If the grant requires the name of the person who will provide financial administration of the award, indicate the Associate Controller. Please note that if the proposal is awarded, the Associate Controller cannot process the paperwork unless the Grants Manager has notified her that the proposal was submitted.

     

    B. College Deadline
    Proposals should be submitted to the Manager or another Institutional Support staff member for institutional signature at least ONE WEEK prior to the funding agency's deadline. Requests for College data necessary for a proposal must be submitted at least TWO WEEKS before the deadline.

    C. Special Review
    Any proposal that involves human or animal subjects must be reviewed by the appropriate campus committee. The PI is responsible for the proposal's submission to the appropriate committee. The website for the IRB is http://barnard.edu/provost/research/irb the website for the IACUC is

    D. Transmittal
    The Grants Manager or Research Officer must submit the proposal to the funding agency.

    The Internet is increasingly used as a vehicle for proposal submission. For example the National Science Foundation requires that both proposals and reports be submitted through FastLane (www.fastlane.nsf.gov). In order to apply online, the PI will need to contact Institutional Support in order to register and to obtain a confidential pin number. The pin number allows the PI to access and fill out the proposal online. Once the proposal is complete, the PI needs to follow the instructions provided by FastLane that allow the Grants Manager to obtain the appropriate electronic institutional signatures and submit the proposal electronically to NSF.

    If the PI is submitting to the National Insitutes of Health, they will have to register with eRA Commons the portal for NIH. The Grants Manager or Research Officer can assist with the registration process.

    if the PI is submitting to a federal agency, they are now required to submit their proposal through grants.gov, the portal to all federal agencies.

    E. Budget Modifications
    Funding agencies may request budget modifications to pending proposals before the award is approved. These modifications must be reviewed by the Manager who will seek the approval of the Provost.

    V. POST-AWARD ADMINISTRATION

    A. Award Notification
    When a proposal has been approved for support by a sponsor, the PI and the institutional official are both notified. In some cases the receipt of notification of the award requires signature by the institutional official. It is necessary to report as soon as possible to the Grants Manager both when a proposal is awarded and when it is declined.

    B. Establishing an Account
    Initial post-award administration is facilitated through the Controller’s Office. It is important to verify that the budget lines set up in the account correspond as closely as possible to the items in the grant’s budget. Approvals for budget changes and adjustmentsin the post award period must be obtained from the funding agency and are processed through the Controller’s Office

    The PI will receive quarterly statements from the Controller’s Office providing the expenditure of the funds to date, on a per-budget-line basis. If the PI has difficulty reading the printout, s/he should consult the Associate Controller. It is important for the PI to reconcile the College’s records with his/her personal records.

    C. Drawing on the Account
    Post-award expenditure reviews and approvals prior to payment are processed through the Controller's Office. Check Request Forms are used to purchase items that are less than $500. Forms can be printed out from the Purchasing Office Website. Purchase Requisition Forms, kept in the Office of Purchases and Stores, are used only for purchases of $500 or more. Instructions for using the forms are written on the back of them. The account number assigned to the grant must be indicated on the forms. These forms should not be used to pay employees. All equipment purchases are processed through the Office of Purchases and Stores. If any purchases are not made through the Office of Purchases and Stores, the store must be provided with a copy of Barnard's Tax-exempt Form. These forms can be obtained in the Controller's Office. Remember to keep all receipts. Travel and Expense Reports are available on Purchasing's website along with all policies and procedures.

     
     

    D. Salary Reimbursement
    In order to receive salary supplement or reimbursement from a grant, an Appointment Form must be completed. The form can be obtained from Manager of Academic Administration. It is then signed by the PI, Assistant Controller and Provost.

    E. Non-Student Employees
    All employees hired through a grant, except Barnard or Columbia undergraduate students, are processed in Human Resources. It is important to notify the HR Manager about any grant-related hires. If the position is open, she will assist in the preparation of a job description. All new employees need to fill out the appropriate paperwork in Human Resources in order to be included on the payroll.

    F. Barnard Student Employees

    1. Hiring Barnard Students
    Student Employment Coordinator should be contacted regarding undergraduate student hires. A Job Request Form can be obtained from the Office of Career Development and must be completed with a brief job description, number of hours per week to be worked, and hourly wage. Current wages can be determined by consulting the Student Rate Guide and are also kept on file with the Grants Manager. The Job Request Form should also include the account/grant number to be charged. For Federal Work Study students, the object code is 4051, for Barnard College Job students the object code is 4050. The form should then be returned to the Office of Career Development.

    Before hiring a Barnard student, verify with the Student Employment Coordinator that she is eligible for the job. Please send eligible students to the Office of Career Development to pick up a student employment contract and related payroll documentation before they begin working. Barnard employers may not hire students, who are not on financial aid, until after the fall priority hiring period ends, which is about three weeks into the semester. Financial aid is not awarded during the summer, so there is no priority-hiring period at that time. The positions are advertised through the Office of Career Development. Job openings can also be publicized in the faculty member’s department and in classes.

     

    2. Paying Barnard Students
    Students complete timesheets every two weeks. The supervisor, who is either the PI or a departmental administrator, signs the timesheet, enters agency/department name and account number, and turns the timesheet in to the Office of Career Development on the payroll due date indicated on the payroll schedule.

    Students who work on campus during the summer may be paid either by stipend or hourly wage. If a student is paid a stipend rather than an hourly wage, she still needs to complete an employment contract. However, instead of filling out timesheets, the supervisor sends a memo to Payroll Supervisor in the Controller's Office and the Student Employment Coordinator in the Office of Career Development listing the names of the employed students, the pay dates, and the amount to be paid on each day.

     

    G. Indirect Cost Allocation
    When a grant includes indirect costs, the College allocates a portion (10%) to be used as cost-sharing. These cost-sharing funds can be used for (1) research costs related to this project; (2) other projects under the PI’s direction; or (3) research conducted by other members of the PI’s department.

    H. No-Cost Extensions
    In some circumstances, a PI may not be able to copmlete the project within the grant term. In those cases, the PI may request a no-cost extension from the funding agency. Requests fro no-cost extensions are processed through the Controller's Office. Usually they require a letter stating the need for an extension signed by the PI and the Assistant Controller. Contact the Assistant Controller for more information. A notification of a no-cost extension on a Federal grant, MUST BE RECEIVED at least ten days before the expiration date specified for the award.

    I. Reporting Requirements
    It is customary to submit progress reports on a grant-funded projects usually at one-year intervals. Reports often include a narrative section describing the progress of the project, as well as supporting financial data. The PI is responsible for preparing the technical section of the report. Federal agencies are increasingly using web-based applications for the submission of proposals and reports. All NSF grant narrative reports must be submitted on Fastlane. There is a report form on Fastlane. Do not write your report without checking the form, as it may alter what you say. If you wish to check the deadline for your report to NSF or NIH, contact the Grants Manager or Research Officer.

    The Associate Controller submits the financial reports on government grants. When approaching the end of the award period, the PI should make sure all of the receipts are submitted promptly to Associate Controller, or she will not be able to complete an accurate financial report. It is important to pay special attention to specific due dates. If an extension is needed on a report deadline, seek the assistance of the Assistant Controller, or the Grants Manager well in advance of the deadline. If they are unavailable, contact Associate Controller. Funders will sometimes call the Director of Institutional Support or the Associate Controller regarding late reports or extensions. A missing report often results in a delay in subsequent grant funds, and if these reports are not filed, many Federal granting agencies will refuse to consider another grant request from the P.I.

    VI. SPECIAL CONSIDERATIONS

    A. Human Subjects
    When a project involves human subjects, the PI must submit a protocol application for human subjects research and receive approval from the Institutional Review Board at Barnard. For most agency submissions, certification of IRB approval must be filed within sixty (60) days of a proposal’s submission date. When submitting a proposal that involves human subjects, notify the IRB Co-chair. The PI needs to provide the Committee with a copy of the proposal, a completed Barnard Application for the Approval of the Use of Human Subjects, a certificate of completion for the on-line human subjects educational module, and the human subjects consent form, along with any other necessary items.

    Online: https://www.rascal.columbia.edu/servlet/edu.columbia.rascal.tc.servlets.TCMainServlet (Morningside Human Subjects Training Course). For Full IRB Review, the PI will need to submit 7 collated copies of the application and consent documents, proposal, and additional information and materials, and for Expedited Review, 3 collated copies. If the PI plans to post flyers on the Columbia campus, or if any part of the study takes place on the Columbia campus, s/he must forward a copy of the protocol, flyer, and Barnard’s IRB Certificate of Approval to the Columbia IRB Office (401B Low Memorial Library) for review. Please contact the IRB Co-Chair for more information. http://barnard.edu/provost/research/irb.

    B. Animal Welfare
    Research projects that include the use of vertebrate animals require the approval of the Institutional Animal Care and Use Committee, a joint Barnard/Columbia group at Columbia University. Application forms must be completed on-line at http://www.rascal.columbia.edu. Please print out a copy of your on-line application and submit it to the Grants Manager. In approximately two months, you will receive an email, notifying you of the IACUC’s decision. Please forward the email to the Grants Manager or Instituntional Support staff assisting with your application.

    C. Subcontracts
    A subcontract is a formal agreement with a second party (usually another educational institution such as Columbia University) that is entered into to obtain services or to delegate some portion of the approved research. Under a cost reimbursement agreement, subcontractors are reimbursed for allowable costs up to the support level agreed to in advance. Under a fixed-price agreement, the subcontractor is reimbursed a fixed price regardless of total expenses. The PI should contact the Grants Manager well in advance if s/he is considering entering into a subcontract agreement.

    D. Collaborations
    A collaborative proposal is developed when two or more investigators at different institutions agree to work on a project together, but receive separate grant awards. When submitting a collaborative proposal, the PIs submit the same proposal but include different budgets, reflecting his/her specific needs.

    E. Conflict of Interest Policy
    The College requires that, prior to the submission of an application for funding to an external funding agency, each investigator disclose to the College any significant financial interests that may present a conflict of interest with respect to the project. The College is responsible for identifying and managing, reducing or eliminating any conflicts of interest prior to the expenditure of any grant award. Policy Guidelines on conflict of interest and Assurance of Compliance Forms are available in the Office of the General Counsel. Other assurances demanded by government grants are provided through the Provost’s signature.

    F. Tax and Pension Implications
    It is important to be knowledgeable about the implications of grants administered through the College. Personal remuneration on College-administered grants generally falls into three categories: stipends, fellowships or other grants/employment. Note the distinctions concerning income taxes, social security and pension contributions:

    1. Stipend/Honorarium
    A stipend generally covers fixed costs of living while away from the College on research trips; the stipend reimburses expenses and is not subject to income tax or social security deductions. No contributions to pension are made. If the stipend is $600 or more you will recieve a 1099.

    2. Fellowship
    A fellowship is awarded for a learning opportunity and is treated like a scholarship for tax purposes. Income tax is deducted; no social security tax is withheld; and no contributions to pensions are made. In the case of some grants that include salary, there are tax implications. Investigators should check with the Controller's Office for such rules.

    3. Other Salary Grants
    Other types of salary grants (release time, summer salary) and employment (visiting professorships) are subject to income tax deductions and social security withholding. Pension payments are made only if the grant includes funding for this purpose.

    4. Leave Without Pay
    Faculty on approved leave without pay will continue to receive all health and other non-salary based benefits offered by the College. If the grant does not include funds for pension payments, the faculty member may elect to enroll in and contribute to a supplemental retirement annuity program. Those interested should contact the Manager of Benefit Programs.

    G. Grants Administered Outside of the College
    Some agencies award grants and fellowships directly to members of the faculty. The College has no fiduciary responsibility for such grants, and all tax and pension consequences are borne completely by the faculty member recipient. Copies of the award letter for such grants should be sent to the PI's Department Chair, the Office of the Provost, and the Grants Manager.

    VII. NON-FUNDED PROPOSALS
    Do not lose hope if a proposal does not receive funding. Most first-time applicants (60-80% of applications to federal agencies) are declined. Competition has increased dramatically in recent years while available funding dollars have diminished. Institutional Support should be notified when a proposal has been declined and, if known why it was declined. Government funders will usually supply a copy of the reviewers’ notes upon request. It is also recommended that the PI seek out the counsel of senior faculty in his/her department, regarding resubmission and how to respond to reviewers’ comments. Many times proposals can be revised to reflect the advice of the reviewers and then resubmitted. Such a revision and resubmission often result in funding for the project.

    VIII. CHECKLIST

    A. Submitting the Grant

    1. Notify your Department Chair that you are submitting a grant application. The Chair's approval is required if release time or leave without pay is requested.

    2. Contact the Grants Manager or Research Officer in Institutional Support to notify that a proposal is being submitted and to discuss budgetary or any other issues related to the application. Approval from the Provost is necessary for all sponsored research proposals.

    3. If you are requesting funds to support a Barnard student or a non-student employee, contact the Grants Manager or Research Officer who will assist you in determining the appropriate pay scale.

    4. If human subjects will be used in the project, submit a protocol application (a copy of the proposal, a completed Barnard Application for the Approval of the Use of Human Subjects, the human subjects consent form, a certificate of completion for the on-line module, and additional materials, as needed) to the IRB Co-Chair. If you plan to post flyers on the Columbia campus, or if any part of the study takes place on the Columbia campus, forward a copy of the protocol, flyer, and Barnard's IRB Certificate of Approval to the Columbia IRB Office (401B Low Memorial Library) for review. Please see the IRB web page for more information: http://barnard.edu/provost/research/irb.

    5. If animals will be used in the project, fill out the on-line application form (www.rascal.columbia.edu). Print out a copy and send it to the Grants Manager. In approximately two months, you will receive an email, notifying you of the IACUC's decision. Please forward the email to the Grants Manager or Institutional Support staff member assisting you.

    6. Submit completed proposal to the Grants Manager in Institutional Support at least a week before the proposal is due. He will review your proposal to verify that the proposal meets program and College guidelines and obtain the Provost's signature.

    B. Post-Award Procedures

    1. Make an appointment with Associate Controller in the Controller's Office after an account for the grant has been set up to fill out a sigature card, in order to begin accessing grant funds

    2. If requesting salary reimbursement or stipend, complete an Appointment Form. These can be obtained from Manager of Academic Administration in the Provost's Office. (see the Provost's website).

    3. If hiring personnel, contact the HR Manager in Human Resources. He will assist you in determining the appropriate salary, prepare job descriptions for vacant positions and ensure that all personnel are on the payroll.

    4. If hiring Barnard students, contact Student Employment Coordinator in the Office of Career Development.

    5. To make purchases under $500, fill out a Check Request Form. Forms are found in the Controller's Office or contact Purchasing about a P-Card.

    6. To make equipment purchases of $500 and over, fill out a Purchase Requisition Form. Forms can be obtained in the Office of Purchasing and Stores.

    7. Submit bills promptly. Keep all receipts.

    8. If any purchases are not made through the Office of Purchases and Stores, provide the store with a copy of Barnard's Tax-Exempt Form. Forms can be obtained in the Controller's Office. If you do not provide the form, you may not be reimbursed for the taxes you paid.

    9. Complete Cost-Sharing Forms on all indirect costs that were received during the fiscal year. Forms are distributed at the end of each fiscal year.

    10. Submit progress reports on the grant. Government grants usually require the reports no later than 90 days after completion of the grant. Some agencies require preliminary reports. Please note: if these reports are not filed, many Federal granting agencies will refuse to consider another grant request from the P.I.

     

    IX. CONTACTS, PHONE NUMBERS AND BUILDING LOCATIONS

    Office of Career Development 4-2033, 2nd Floor of Elliott Hall
    Robert Earl, Director 4-2033
    Won Kang, Associate Director for Student Employment 4-7745

    Controller's Office 4-2010, 15 Milbank
    Eileen Di Benedetto, VP for Finance - Controller 4-7732
    Nancy Hirshan, Associate Controller of Financial Reporting 4-7734
    Ricky White, Associate Controller of Operations 4-7746
    Sumerita Persaud, Payroll Manager 4-7630

    Office of Institutional Support, 224 Milbank
    Abigail Feder-Kane, Director of Institutional Support 4-1894
    Rhonda Zangwill, Sr. Associate Director of Institutional Support 4-6147
    Curtis Harris, Manager of Faculty Sponsored Research Grants 4-7705
    Jennifer Notari, Sponsored Research Officer 1-0438

    Office of the General Counsel 4-2088 1st Floor of Elliott Hall
    Jomysha Stephen, Esq. Associate General Counsel 4-6182

    Human Resources 4-2551 6 Milbank
    Lori McFarland, Director 4-2660
    Sollette Baker, Manager, Benefits and Compensation 4-7345

    Office of the Provost and Dean of the Faculty 4-2708 110 Milbank
    Linda Bell, Provost and Dean of Faculty 4-2708
    Hilary Link, Acting Vice Provost 4-7517   
    Gwendolyn Williams, Manager, Academic Administration 4- 2709

    Office of Purchasing and Stores
    4-5204 107 McIntosh
    Douglas Maget, Director 4-5204 Altschul A114

    Instituional Review Board (IRB) Administration
    Lisa Son, IRB Co-Chair, 4-0114 415F Milbank
    Paige West, IRB Co-Chair, 4-5933, 411 Millbank

    X. KEY WEBSITE FOR FACULTY-SPONSORED RESEARCH APPLICATIONS

    http://barnard.edu/grants/funding-links