Dartmouth College HANOVER NEW HAMPSHIRE

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1 Dartmouth College HANOVER NEW HAMPSHIRE Office of the Provost 6004 Parkhurst Hall, Rm. 204 Tel (603) Fax (603) Martin N. Wybourne Vice Provost for Research Francis and Mildred Sears Professor of Physics Annual Report of the Council on Sponsored Activities Fiscal Year 2007 The Council on Sponsored Activities (CSA) is responsible for proposing and endorsing internal polices regulating activities sponsored by agencies outside the College. In addition, the CSA proposes and endorses institutional positions in response to policies of external sponsoring agencies as they affect the College. On a periodic basis, the CSA reviews the scope and impact of sponsored activities in the relation to institutional purpose. The membership of the committee shall consist of the Provost, the Treasurer, the General Counsel (OGC), the Director of Office of Sponsored Projects (OSP), the Deans of the Faculty of Arts & Sciences, Dartmouth Medical School (DMS), Thayer School of Engineering, Tuck Business School, two faculty members appointed by the Steering Committee of the General Faculty (SCGF) and two members from the Faculty of Arts & Sciences delegated from the voting membership of the Committee on the Faculty (COF). During the 2007 academic year, the CSA met four times: October 4, 2006; January 10, 2007; March 7, 2006; and June 6, The members were: Joyce DeLeo (SCGF); Robert Donin (OGC); Tillman Gerngross (SCGF); Robert Hansen (representing the Tuck School Dean); William Hickey (representing the Medical School Dean); Adam Keller (Executive Vice- President); Lee Lynd (representing the Thayer School Dean); Robertson McClung (representing the Dean of the Faculty); Jeffrey Taube (COF); Peter Winkler (COF); Nancy Wray (OSP); and Martin Wybourne (Vice Provost for Research), chair. The CSA had several ongoing activities from the 2006 academic year. Some concluded during this academic year, and others will continue into The main activities during the 2007 academic year were the following: Conflict of Interest Increasingly, federal agencies are focusing attention on conflict of interest (COI) issues related to research. The CSA discussed this topic, and the College s policy and procedures, extensively. Dartmouth has two policies and processes one for non-human subjects research, the other for human subjects research. It was agreed that these policies need revision, but that it would be prudent to wait until a federal-wide policy is published so that any revisions align with federal policy. The COI process is paper intensive and has experienced some backlog in recent years. Through the CSA sub-committee on COI, the administration was advised to streamline the process, to add temporary help, and to take advantage of new software tools. This advice

2 has been acted on by the Provost s office and OSP, and will be reported to the CSA in the coming year. Authorship Guidelines The CSA took up the issue of authorship guidelines that could provide a framework for the resolution of authorship disputes. The CSA recognized that the criteria for authorship are highly discipline, even sub-discipline, specific. Primarily, the criteria should be based on the accepted practice in a particular discipline and the guidelines of the specific publisher / journal. Using this guiding principle the CSA came to consensus on the set of guidelines not policy appended to this report. The guidelines were submitted to the academic deans for comment over the summer. Office of Sponsored Projects (OSP) During academic year 2007 the handling of grant applications underwent a number of significant changes following the federal requirement that many proposals be submitted electronically through the Grants.Gov portal and the implementation of a new grant management tool COEUS. In addition, as part of the OASIS project a new Oracle grants accounting system has been implemented that involved significant extra work by OSP staff. Nancy Wray kept the CSA informed of progress and challenges with the new processes, which for the most part went smoothly. CSA Website A website for general compliance information was established last year: Part of this site is a new CSA page that has membership, meeting dates, approved minutes and annual reports. The site may be accessed through the OSP website, which has become the site of record for Dartmouth research policies. Sponsored Awards and Proposals for FY 2007 The summary of the Annual Sponsored Awards and Proposals for FY2007 is attached to this report and the complete report will be located at the Sponsored Projects website ( During the year the CSA also had presentations from Dean Stephen Spielberg on the Clinical and Translational Science Award grant being prepared by the medical school, from Vice President Ellen Waite-Franzen on how Computing Services is addressing network security and regulatory issues, and from Dean of the Libraries Jeffrey Horrell on the Dartmouth Digital Information initiative. Operationally, Nancy Wray has agreed that going forward administrative staff in the Provost s office rather than in OSP will organize CSA meetings, transcribe minutes, and update the CSA webpage. This arrangement will help relieve the increasing workload in OSP. Attendance at meetings was better than in the previous year, although the fact that membership to the council is not finalized until early in the fall term remains an organizational challenge.

3 I trust this information provides a helpful summary of the CSA activities during FY I would be pleased to provide more information or clarification as needed. Respectfully submitted, Martin Wybourne Chair, Council on Sponsored Activities 17 September, 2007

4 AUTHORSHIP GUIDELINES Authorship is important to the reputation, professional advancement, and financial support of individuals, and to the reputation of Dartmouth College. The following guidelines are offered to help authors be aware of their responsibilities. General Principles of Authorship 1. Principles of authorship should apply to all scholarly work. 2. Authorship assigns responsibility and accountability for the content of scholarly work and intellectual products. 3. Authorship gives credit for intellectual work. 4. Authorship assumes independence from any agreements that could limit, or be perceived to limit, the analysis, interpretation and/or publication of data 5. Information and data should be reported truthfully and completely. Plagiarism, fabrication, and falsification are unacceptable practices subject to Dartmouth Research Misconduct Policy and Procedures: Criteria for Authorship Note: Criteria for authorship should be based on the accepted practice in the particular discipline and the guidelines of the specific publisher / journal. The following information is provided for guidance. 1. An author should have made substantial contributions to the scholarly work and intellectual process. Examples of activities considered to be a substantial contribution may include one or more of the following: creating the original idea, project planning, experimental work, data collection, analysis, interpretation. 2. An author should be able to articulate and defend their contribution to the scholarly work. They should know and be able to explain how their contribution relates to the overall project. 3. As single contributions, the acquisition of funding, the provision of technical services and/or materials, the collection of data, or the general supervision of a research group are generally not adequate to justify authorship. 4. Honorary (named author who has not met authorship criteria), planted (author named without his/her knowledge or consent), guest (individual not named as author but who has contributed substantially to the work), and relinquished (person meeting the criteria v

5 for authorship but ceding authorship to co-workers who may or may not have met the criteria) authorships are not acceptable. Implementation of Authorship 1. The primary author should carefully review the policies and procedures of the journal prior to submission in order to adhere to all applicable requirements. 2. Authorship should be discussed early and reviewed periodically in every collaborative relationship. 3. One author (primary/senior/submitting/responsible) should assure the following: a. Each author meets criteria for authorship; b. Each author has reviewed the whole scholarly work, c. Each author has consented to authorship prior to the submission of the product. 4. One author should assume responsibility for coordinating the completion and submission of the work, for assuring adherence to the rules of submission, and for coordinating responses to inquiries or future challenges. 5. Junior researchers and students meeting the criteria for authorship must be included as authors. 6. The order of authorship may not necessarily indicate the magnitude of the contributions of the individual authors. Authors should adhere to the norm of their discipline and the publisher s guidelines. The following are suggestions for determining order: a. The person who has made the major contribution to the product and/or taken the lead in writing should be first author; b. The person who has general responsibility for the project is frequently listed last; c. Authors who have made major contributions to analysis, interpretation, or writing may be listed immediately following the first author; d. Individuals who fulfil the criteria for authorship may be listed in alphabetical order. 7. Authors should attempt to resolve authorship disputes themselves. If disputes cannot be settled they should be referred to a third party (department chair, Dean, or Provost) for resolution. Conflict of Interest 1. Authors should be careful to avoid conflicts of interest; where a relationship that presents an actual or potential conflict cannot reasonably be avoided, it should be disclosed. Obvious examples of conflicts include situations where an author, or the v

6 author s spouse or dependent children, has a significant financial relationship that could affect or be affected by the scholarly work. Less obvious examples include: situations where the author is related to, or involved in an academic dispute with, a person whose work the author is critiquing; and situations where the author has taken a public advocacy position on a matter of policy relevant to the research. For further information on conflicts of interest in research, see: The Vice Provost for Research, the Office for Sponsored Projects, and the Office of the General Counsel are also available to advise on conflict questions. 2. Many journals have their own conflict disclosure policies. Authors submitting manuscripts to journals should consult the journals policies, as they vary. 3. Authors should clearly describe the role of the study sponsor in study design, in the collection, analysis and interpretation of data, in the writing, review, or approval of the report, and in the decision to submit the report for publication. v

7 9/13/ of 12 THREE YEAR COMPARISON BY MONTH AWARDS RECEIVED BY BY 6/30/2007 JULY ARTSCI 21 5,821, ,821, ,626, ,626, ,932, ,932,241 DEAN DMS 53 7,783, ,783, ,414, ,414, ,174, ,174,136 FAID , , PROVST 1 3, , , , , ,914 THAY 4 2,130, ,130, , , , ,929 TUCK sum 79 15,740, ,740, ,768, ,768, ,813, ,813,220 AUGUST ARTSCI 38 9,787, ,966, ,077, ,450, ,120, ,188,036 DEAN DMS ,673, ,889, ,996, ,581, ,129, ,955,235 FAID 2 78, , , , ,086 PROVST 1 3, , , , ,739 THAY 15 4,528, ,397, ,932, ,222, ,271, ,269 TUCK 1 105, , sum ,177, ,437, ,224, ,455, ,226, ,413,365

8 9/13/ of 12 THREE YEAR COMPARISON BY MONTH AWARDS RECEIVED BY BY 6/30/2007 SEPTEMBER ARTSCI 51 9,911, , ,655, ,578, ,674, ,553,811 DEAN 1 20, , DMS ,385, ,712, ,263, ,267, ,493, ,364,472 FAID 2 78, , , PROVST 1 3, ,143, ,933, , THAY 21 5,465, , ,359, ,427, ,891, ,620,001 TUCK 2 142, , sum ,007, ,830, ,431, ,206, ,764, ,538,284 OCTOBER ARTSCI 64 11,001, ,089, ,829, , ,177, ,023 DEAN 1 20, DMS ,469, ,083, ,760, ,496, ,982, ,488,433 FAID 2 78, , , PROVST 1 3, ,188, , , THAY 23 5,573, , ,224, , ,223, ,253 TUCK 3 1,031, , ,367, ,367,838 sum ,178, ,170, ,010, ,579, ,456, ,691,547

9 9/13/ of 12 THREE YEAR COMPARISON BY MONTH AWARDS RECEIVED BY BY 6/30/2007 NOVEMBER ARTSCI 74 12,141, ,140, ,174, , ,268, ,091,428 DEAN 1 20, DMS ,303, ,834, ,178, ,418, ,900, ,918,721 FAID 2 78, , , PROVST 3 1,133, ,130, ,188, , ,200 THAY 28 6,138, , ,541, , ,938, ,314 TUCK 3 1,031, , , ,367, sum ,847, ,669, ,078, ,067, ,185, ,728,663 DECEMBER ARTSCI 79 12,362, , ,188, ,013, ,878, ,609,760 DEAN 1 20, DMS ,793, ,489, ,550, ,371, ,232, ,331,876 FAID 2 78, , , PROVST 3 1,133, ,192, , , THAY 32 6,504, , ,683, , ,904, ,428 TUCK 2 1,007, , , ,367, sum ,900, ,052, ,609, ,531, ,092, ,907,064

10 9/13/ of 12 THREE YEAR COMPARISON BY MONTH AWARDS RECEIVED BY BY 6/30/2007 JANUARY ARTSCI 82 12,715, , ,526, ,338, ,593, ,715,130 DEAN 1 20, DMS ,703, ,909, ,975, ,425, ,355, ,122,256 FAID 2 78, , ,086 0 PROVST 5 1,188, , ,244, , , ,808 THAY 40 7,716, ,212, ,098, ,415, ,267, ,681 TUCK 2 1,007, , ,367,838 0 VPF sum ,430, ,530, ,841, ,231, ,498, ,405,875 FEBRUARY ARTSCI 95 13,972, ,256, ,653, ,126, ,941, ,347,624 DEAN 1 20, DMS ,457, ,753, ,246, ,270, ,899, ,544,194 FAID 4 197, , , , ,073 PROVST 5 1,188, ,244, , ,300 THAY 48 8,550, , ,852, , ,994, ,365 TUCK 2 1,007, , ,367, sum ,393, ,963, ,991, ,150, ,557, ,059,556

11 9/13/ of 12 THREE YEAR COMPARISON BY MONTH AWARDS RECEIVED BY BY 6/30/2007 MARCH ARTSCI ,391, ,418, ,704, ,050, ,436, ,495,573 DEAN 1 20, DMS ,579, ,122, ,739, ,493, ,540, ,641,166 FAID 6 208, , , , PROVST 5 1,188, ,245, , ,065, ,000 THAY 51 8,787, , ,790, , ,662, ,953 TUCK 2 1,007, , ,367, sum ,183, ,789, ,475, ,483, ,437, ,879,692 APRIL ARTSCI ,381, ,990, ,848, ,144, ,426, ,208 DEAN 1 20, DMS ,618, ,039, ,420, ,681, ,294, ,753,585 FAID 6 208, , , ,795 PROVST 10 12,954, ,765, ,260, , ,423, ,482 THAY 58 10,220, ,432, ,168, , ,605, ,638 TUCK 2 1,007, , ,367, sum ,410, ,227, ,693, ,217, ,884, ,447,708

12 9/13/ of 12 THREE YEAR COMPARISON BY MONTH AWARDS RECEIVED BY BY 6/30/2007 MAY ARTSCI ,296, ,915, ,949, ,101, ,422, ,353 DEAN 1 20, DMS ,725, ,106, ,277, ,856, ,852, ,558,481 FAID 6 208, , ,484, ,717,590 PROVST 10 12,954, ,260, ,453, ,500 THAY 62 12,063, ,842, ,786, ,617, ,729, ,123,809 TUCK 2 1,007, , ,367, sum ,275, ,865, ,268, ,575, ,310, ,425,733 JUNE ARTSCI ,682, ,385, ,895, ,946, ,375, ,953,424 DEAN 1 20, DMS ,788, ,063, ,820, ,543, ,396, ,543,624 FAID 11 3,136, ,927, ,834, ,825, ,484, PROVST 15 16,377, ,423, ,264, , ,460, ,500 THAY 69 12,998, , ,422, ,636, ,457, ,002 TUCK 2 1,007, , ,582, ,000 sum ,010, ,735, ,224, ,955, ,757, ,446,550

13 9/13/ of 12 DARTMOUTH COLLEGE OFFICE OF SPONSORED PROJECTS AWARDS/PROPOSALS: THREE YEAR COMPARISON BY MONTH PROPOSALS SUBMITTED BY 6/30/2007 JULY ARTSCI 17 4,788, ,788, ,836, ,836, ,236, ,236,234 DEAN DMS 34 9,643, ,643, ,156, ,156, ,341, ,341,587 FAID PRES PROVST , , THAY 3 1,317, ,317, , , ,435, ,435,117 TUCK , , sum 54 15,750, ,750, ,879, ,879, ,012, ,012,938 AUGUST ARTSCI 33 7,355, ,567, ,501, ,664, ,256, ,020,512 DEAN DMS 76 20,848, ,205, ,368, ,212, ,756, ,415,176 FAID 2 78, , PRES PROVST 1 24,300, ,300, , , , ,888 THAY 13 3,757, ,439, ,349, ,573, ,951, ,168 TUCK , sum ,340, ,590, ,929, ,050, ,924, ,911,744

14 9/13/ of 12 DARTMOUTH COLLEGE OFFICE OF SPONSORED PROJECTS AWARDS/PROPOSALS: THREE YEAR COMPARISON BY MONTH PROPOSALS SUBMITTED BY 6/30/2007 SEPTEMBER ARTSCI 59 20,484, ,128, ,353, ,851, ,368, ,112,234 DEAN DMS ,846, ,998, ,751, ,382, ,245, ,489,189 FAID 2 78, PRES PROVST 2 24,350, , , ,342, ,176 THAY 20 5,012, ,255, ,534, ,185, ,538, ,587,357 TUCK 1 36, , , , sum ,809, ,469, ,480, ,550, ,495, ,570,956 OCTOBER ARTSCI 75 29,064, ,579, ,024, ,670, ,002, ,633,081 DEAN 0 20, , DMS ,304, ,457, ,847, ,096, ,896, ,650,405 FAID 2 78, PRES PROVST 2 24,350, , ,382, ,000 THAY 31 13,884, ,871, ,003, ,468, ,080, ,541,523 TUCK 1 36, , sum ,739, ,929, ,716, ,235, ,360, ,865,009

15 9/13/ of 12 DARTMOUTH COLLEGE OFFICE OF SPONSORED PROJECTS AWARDS/PROPOSALS: THREE YEAR COMPARISON BY MONTH PROPOSALS SUBMITTED BY 6/30/2007 NOVEMBER ARTSCI 97 38,276, ,212, ,751, ,727, ,718, ,716,904 DEAN 0 20, DMS ,595, ,291, ,786, ,938, ,244, ,348,589 FAID 2 78, PRES PROVST 3 24,470, , , , ,531, ,871 THAY 36 23,750, ,865, ,493, ,489, ,493, ,412,994 TUCK 1 36, , sum ,228, ,489, ,875, ,158, ,989, ,628,358 DECEMBER ARTSCI ,724, ,447, ,762, ,011, ,548, ,829,686 DEAN 0 20, DMS ,076, ,480, ,890, ,104, ,945, ,700,722 FAID 2 78, PRES PROVST 3 24,495, , , ,543, ,540 THAY 43 24,751, ,000, ,246, , ,346, ,628 TUCK 1 36, , sum ,182, ,953, ,744, ,869, ,384, ,395,576

16 9/13/ of 12 DARTMOUTH COLLEGE OFFICE OF SPONSORED PROJECTS AWARDS/PROPOSALS: THREE YEAR COMPARISON BY MONTH PROPOSALS SUBMITTED BY 6/30/2007 JANUARY ARTSCI ,602, ,878, ,584, ,821, ,939, ,390,789 DEAN 0 20, DMS ,285, ,208, ,658, ,768, ,941, ,995,655 FAID 2 78, PRES PROVST 4 24,495, , , ,677, ,772 THAY 53 40,660, ,909, ,521, ,274, ,546, ,199,615 TUCK 1 36, , sum ,179, ,997, ,671, ,927, ,104, ,719,831 FEBRUARY ARTSCI ,051, ,449, ,574, ,990, ,099, ,159,576 DEAN 0 20, , ,000 DMS ,930, ,645, ,020, ,361, ,721, ,779,978 FAID 2 78, PRES PROVST 9 24,697, , , , ,677, THAY 58 42,974, ,313, ,796, ,274, ,319, ,772,837 TUCK 1 36, , sum ,788, ,609, ,320, ,649, ,819, ,715,391

17 9/13/ of 12 DARTMOUTH COLLEGE OFFICE OF SPONSORED PROJECTS AWARDS/PROPOSALS: THREE YEAR COMPARISON BY MONTH PROPOSALS SUBMITTED BY 6/30/2007 MARCH ARTSCI ,983, ,931, ,874, ,299, ,654, ,555,162 DEAN 0 20, , DMS ,057, ,127, ,074, ,054, ,490, ,769,635 FAID 2 78, PRES PROVST 14 29,048, ,351, ,034, , ,150, ,473,716 THAY 75 48,129, ,155, ,146, ,350, ,294, ,974,902 TUCK 1 36, , sum ,354, ,565, ,269, ,949, ,593, ,773,415 APRIL ARTSCI ,378, , ,451, ,576, ,782, ,128,118 DEAN 0 20, , DMS ,144, ,087, ,110, ,036, ,838, ,347,375 FAID 2 78, PRES 1 50, , PROVST 14 29,048, ,163, , ,180, ,000 THAY 78 48,878, , ,993, ,847, ,744, ,449,902 TUCK 1 36, , ,140, ,140,355 sum ,635, ,280, ,859, ,589, ,688, ,095,750

18 9/13/ of 12 DARTMOUTH COLLEGE OFFICE OF SPONSORED PROJECTS AWARDS/PROPOSALS: THREE YEAR COMPARISON BY MONTH PROPOSALS SUBMITTED BY 6/30/2007 MAY ARTSCI ,694, ,315, ,784, ,333, ,774, ,991,861 DEAN 0 20, , DMS ,522, ,377, ,092, ,981, ,028, ,190,616 FAID 2 78, ,706, ,706,872 PRES 1 50, PROVST 15 29,135, , ,228, , ,183, ,500 THAY 88 53,489, ,611, ,984, ,990, ,297, ,553,766 TUCK 1 36, , ,140, sum ,027, ,391, ,230, ,371, ,134, ,445,615 JUNE ARTSCI ,278, ,583, ,465, ,681, ,929, ,155,142 DEAN 0 20, , DMS ,312, ,789, ,326, ,233, ,338, ,309,628 FAID 2 3,006, ,927, ,825, ,825, ,706, PRES 1 50, PROVST 17 29,149, , ,383, , ,188, ,000 THAY 96 55,837, ,347, ,358, , ,727, ,429,743 TUCK 1 36, ,029, , ,340, ,600 sum ,690, ,662,761 1, ,389, ,158, ,234, ,100,113