Table of Contents

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 Alumnae Affairs and works very closely with the Offices of the President, Provost, and Controller. Originally established to obtain funding for institutional needs and projects, Institutional Support has expanded to involve increasing support for faculty research. These services now include help with locating funding sources, through workshops, the faculty newsletter, Barnard’s grants website, and e-mail to individual faculty members; maintaining a library of most federal guidelines and applications; and reviewing and clearing all aspects of proposals before submission.

Institutional Support includes the Director, the Associate Director, and the Grants Manager. The directors work primarily on obtaining, and subsequently reporting on, institutional grants; the Grants Manager is primarily dedicated to supporting faculty who are seeking sponsored research grants.

Institutional grants are targeted to institutional needs, priorities, and special projects. Such grants are usually programmatic and seldom provide endowment funds. Foundations, corporations, and government agencies tend to prefer innovative proposals, rather than ongoing support of established programs. Grants to develop or revise specific courses 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. Faculty members are encouraged 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 Director or Associate Director will approach relevant faculty members to form an ad hoc group to “brainstorm” about an initiative, then 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 on awarded grants are usually written by the Director or 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 Office Director, the President, and the Provost (for academic projects).

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 Institutional Support staff and the Controller’s Office). 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.

B. Sponsored Faculty Research Proposal Development and Funding Sources
Faculty members who wish to seek funding for their individual projects should contact the Grants Manager or Director. All sponsored research proposals must be approved by the appropriate Institutional Support staff member as well as Provost Elizabeth S. Boylan. 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 Development Office 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 usually 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. Institutional Support maintains a library of reference materials that can be viewed at any time. In addition, the Grants Manager specializes in sponsored research grants and will perform a personalized search of targeted funding sources.

The Foundation Center, located at 79 Fifth Avenue, maintains a library of reference materials related to grants (see also their Web site at www.fdncenter.org). Many of these materials are aimed at institutional fundraising. But there are numerous books, newspapers and proposal writing workshops that would be of interest to the individual researcher. Before using Center resources, please consult an Institutional Support staff member as they are well informed on the topics covered and may already be able to answer your questions. Institutional Support also has the Center CD-ROM and access to the Center web-based materials that provide a shortcut to Center information. Please contact Institutional Support for more information.

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 page 19 or 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.

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 Grants 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 mounts workshops on proposal writing. 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, representatives from government funding agencies, and the General Counsel.

The story of faculty-sponsored research grants at Barnard over the last several years is one of progress and success. While the total amount awarded for this type of grant 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 2002 with awards totaling $3,075,452, a dramatic increase over the previous year’s total of $1,747,920. In 2004, new awards totaled $3,850,866, breaking all previous records and improving significantly on the $2,034,524 awarded in 2003. In all, 80 applications were submitted in 2004, just shy of the record total of 83 posted last year, representing consistent growth since 1996 when the number was 48. In addition, 32% of dollars requested in 2004 were awarded (41% last year, 31% in 2002 and 27% in 1996). This is comparable to 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 include: the CIES/Fulbright Scholar Program, the German Marshall Fund, the Harriman Institute, the National Aeronautics and Space Administration, the National Endowment for the Humanities, the National Institutes of Health, the National Science Foundation, the Petroleum Research Council, the Russell Sage Foundation, and the Wenner-Gren 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?
• Why are you the best researcher for the project?
• How much will it cost?
• How long will it take to do the research?
• How does the proposed project fit within the sponsor’s interests?
• 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 specified 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: 7/1/05 (69.2%)

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. If this is the case, the PI should write the abstract as requested.

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 more 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.

Recent guidelines at government funding agencies are beginning to 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, student outcome statistics, 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 5% annual increase in costs for all goods and services. Propose a modest budget and 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 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 students, must be obtained from Human Resources Manager. The current Barnard student rates must be obtained from the Grants Manager. Faculty may request reimbursement for academic year release time, summer salary and academic year additional compensation:

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 5.5% 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.

Most government agencies, notably the National Science Foundation, limit summer salary reimbursement to two months. Government agencies prohibit faculty from receiving more than twelve months of salary per year and are very suspicious if a PI asks for more than two months of summer salary. Most funders assume that the PI will need a summer vacation. Thus, requesting three months summer salary can significantly decrease the PI’s chances of getting funded.

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. 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 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. Rates are subject to change and should be verified with the Grants Manager.

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.

Please note that the National Science Foundation requires that the consultant rate not exceed the daily equivalent of the maximum rate paid to an Executive Schedule Level IV Federal employee (exclusive of indirect costs, travel, per diem, clerical services, fringe benefits and supplies). As of 8/04, the daily rate was $524.00. The most current rate can be located on-line at the NSF Policy Office website at http://www.nsf.gov/bfa/dias/policy/start.htm or can be requested by sending an email to policy@nsf.gov. Institutional Support staff members can also provide this information.


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 standard federal per diem rates, which are posted on the Internet at www.govexec.com.

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. Review the NSF Grant General Conditions (GC-1) or contact Assistant Controller for more detailed information. If he is unavailable, contact Associate Controller.

f. Permanent Equipment
Permanent equipment is generally defined as an item of property that has an acquisition cost of $500 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 Purchases 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 may be based on previous experience and can include paper, copying, staples, etc. Telephone and postage are usually separate items.

h. Miscellaneous
This 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 69.2% that is applied to base salaries and wages. 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. 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.

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 should be approved by the Provost. Any waiving of indirect costs must be approved by the Controller or Assistant Controller.

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.

A. External Funding

• A resource library of private and public funding sources is maintained by Institutional Support.
  
• Applications and guidelines 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.
  
• Limited 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 regarding funding opportunities that are particularly suited to their specific research interests.
  
• The Institutional Support assists faculty to prepare proposals and budgets based on program guidelines, policies of government and private sponsors, and College policies.
  
• Recommendations by the appropriate College official and administrative signatures are obtained by the Grants Manager.
  
• NSF Applications must be submitted electronically via Fastlane. The Grants Manager is available to assist the PI with uploading files.

The Institutional Support 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.

Before applying for an in-house grant, it is necessary to consult with Institutional Support about the possibility of obtaining outside funding. If a project is deemed eligible for external support, a faculty member may apply for College funds so long as s/he agrees to apply to the appropriate external agencies as well. An Intent to File Form, which can be obtained from the Manager of Academic Administration in the Provost’s Office, must be reviewed and signed by the Grants Manager.

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. Under normal circumstances, 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 Assistant Controller. Please note that if the proposal is awarded, the Assistant 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 Grants 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.

D. Transmittal
Under normal circumstances, the Grants Manager is responsible for submitting the proposal to the funding agency.

The Internet is increasingly used as a vehicle for proposal submission. The National Science Foundation is leading this trend through their online proposal submission process, FastLane (www.fastlane.nsf.gov). NSF now requires that proposals and reports be submitted via FastLane. In order to apply online, the PI will need to contact Institutional Support for 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 (Sponsored Research Office) to read, edit and submit the proposal. The Grants Manager will then obtain the appropriate electronic institutional signatures and submit the proposal electronically to NSF.

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

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 rejected.

B. Establishing an Account
Initial post-award administration is accomplished through the Controller’s Office. Grant awardees must meet with the Assistant Controller to set up an account from which grant funds will be drawn. If he is unavailable, contact Associate Controller, Ricky White. At that time, the grant’s account number, budget lines, and expenditure procedures will be discussed. 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 adjustments 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 Assistant Controller. If he is unavailable, contact 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 $100. Forms can be obtained in the Controller's Office. Purchase Requisition Forms, kept in the Office of Purchases and Stores, are used for equipment purchases of $100 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. Exemptions require approval from the Assistant Controller. 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. Current reimbursement rates for gasoline can be obtained from Lance Murdock or Ricky White. Remember to keep all receipts.

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-Sharing
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. At the end of each fiscal year, a Cost-Sharing Form for each grant is generated by Institutional Support and is circulated to the PI, the Provost and the Assistant Controller for signatures.

H. No-Cost Extensions
No-cost extensions on a grant 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. If Assistant Controller is unavailable, please contact the Associate Controller. A notification of a no-cost extension on a NSF grant MUST BE RECEIVED at least ten days before the expiration date specified for the award. If it is not processed by that deadline, NSF will cancel the grant.

I. Reporting Requirements
It is customary to submit a progress report on a grant-funded project 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, contact the Grants Manager. NIH is in the process of developing a similar system.

The Assistant 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 Assistant Controller, or he 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 Assistant 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. Reports should be filed with the Grants Manager.

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 designated IRB Administrator in Institutional Support and 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 Grants Manager for more information.

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 staff member assisting with your application.

C. Subcontracts
A subcontract is a formal agreement with a second party (usually another educational institution) 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. This relationship is less formal and legally binding than a subcontract.

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
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.

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, which is not frequently the case.

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 Benefits and Compensation.

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.

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 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 Grants Manager and 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 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 designated Grants Manager in Institutional Support (224 Milbank Hall). Seven collated copies are required for full board review, and 3 collated copies for expedited review. 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.

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. She will review your proposal to verify that the proposal meets program and College guidelines, secure all signatures from institutional officers, and gain approval for submission of the grant from Provost. Requests for College data necessary for a proposal must be submitted at least TWO weeks before the deadline.

B. Post-Award Procedures

1. Make an appointment with Assistant Controller in the Controller's Office to set up an account for the grant. If unavailable, contact Associate Controller.

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.

3. If hiring personnel, contact HR Manager in Human Resources. She 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 $100, fill out a Check Request Form. Forms are found in the Controller's Office.

6. To make equipment purchases of $100 and over, fill out a Purchase Requisition Form. Forms can be obtained in the Office of Purchases and Stores.

7. Submit bills promptly. Keep all receipts.

8. If any purchases are not made through the Office of Purchases and Stores, notify Assistant Controller before the item is purchased. Provide the store with a copy of Barnard's Tax-Exempt Form. Forms can be obtained in the Controller's Office.

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.

Office of Career Development 4-2033 2nd Floor of Elliott Hall
Jane Celwyn, Director 4-7758
Won Kong, Associate Director for Student Employment 4-7745

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

Office of Institutional Advancement 4-2001 115 Milbank
Cameran Mason, Vice President for Institutional Advancement 4-2001 115 Milbank
Abigail Feder-Kane, Director of Institutional Support 4-1894 224 Milbank
Rhonda Zangwill, Associate Director of Institutional Support 4-6147 224 Milbank
Sharon Cauthen, Manager of Faculty Sponsored Research 4-7705 224 Milbank

Office of the General Counsel 4-2088 1st Floor of Elliott Hall
Michael Feierman, General Counsel and IRB Co-Chair 4-2088

Human Resources 4-2551 6 Milbank
Lori McFarland, Director 4-2600 6 Milbank
Sollette Baker, Manager, Benefits and Compensation 4-7345 6 Milbank

Academic Technologies 4-7172 112 Lehman
Mary Ellen Tucker, Director of Academic Technologies 4-6933 206 Lehman

Office of the Provost and Dean of the Faculty 4-2708 110 Milbank
Elizabeth Boylan, Provost and Dean of Faculty 4-2708 110 Milbank
Flora Davidson, Associate Provost 4- 6181 110 Milbank
Gwendolyn Williams, Manager, Academic Administration 4- 2709 110 Milbank
Robin Beltzer, Manager, Academic Services 4- 7227 110 Milbank
Courtney Weber, Executive Assistant 4-2708 110 Milbank

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

Internal Review Board (IRB) Administration
Michael Feierman, IRB Co-Chair and General Counsel 4-2088 Elliot Hall
Larry Heuer, IRB Co-Chair and Professor of Psychology 4-7507 415K Milbank

X. KEY WEBSITE FOR FACULTY-SPONSORED RESEARCH APPLICATIONS

http://www.barnard.edu/grants/links.html