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Research Policies

Research Funding Guidelines

The College of Arts and Science provides faculty research funding to support and facilitate faculty professional activities (research and teaching). These guidelines outline the categories and procedures for research expenditures.

  • Guidelines

    Policy overview

    Research funds provided by the College of Arts and Science may be used to support reasonable expenses that advance faculty scholarship. Funds may not be used for personal, nonprofessional purposes. If reimbursement is being paid for by an external funding source, such as an agency, sponsor, or foundation, it is the responsibility of the individual faculty member to determine if expenses are allowed by the funder. If a faculty member has any questions about the appropriateness of an expense, s/he should consult with their department or program administrator prior to incurring the expense. The department or program administrator should consult with their SAO, when necessary.

    Research funds are Vanderbilt University funds, and materials purchased with these funds are the property of Vanderbilt University. Upon leaving the university, a faculty member will be required to return all equipment purchased with his/her research funds and may be required to return materials purchased with such funds. Unexpended funds at the time of a faculty member's departure from the university will revert to the college.

    Examples of potential uses

    This list is not exhaustive:

    • Research materials (books, media, journal subscriptions)
    • Equipment (computers, printers, lab equipment) used for research
    • Services related to research (lab construction/renovation, clerical, technical, research assistance)
    • Research-related travel for the faculty member
    • Expenses related to visiting scholars (travel, lodging, food, honoraria)
    • Expenses incurred in connection with the recruitment of graduate students (travel, lodging, food)

    Appropriate personnel procedures must be followed for any salary expenditures and A&S reimbursement procedures must be followed for other expenditures (see below).

    Examples of prohibited uses

    This list is not exhaustive:

    • Furniture or furnishings not used for research
    • Gifts of any type
    • Home internet service
    • Personal websites hosted externally
    • Clothing and/or luggage (including briefcases)
    • Travel expenses for family who accompany the faculty member on research-related travel
    • Salary for the faculty member or to a family member
    • Personal vehicle equipment or fuel (though mileage allowance for research usage or travel to professional meetings is permissible)
    • Cell phones or personal electronics

    Research funding sources

    The College of Arts and Science makes research funding available to faculty in various ways, including the provision of startup packages. Faculty may request information at any time about remaining balances of research funds available to them by contacting their department or program administrators.

    Research funding is made available on an annual basis to some faculty through their departments or programs. Full-status tenured and tenure-track faculty who are research active1 and do not have access to sufficient research funds are eligible to receive reimbursements for research expenses up to $5,000 annually. Unspent funds are not carried over from year to year. A faculty member whose available research funds fall below $5,000 in a given fiscal year will be provided with “top up” funds to bring the amount of available funds to $5,000 at the beginning of the next fiscal year.

    Before committing funds or requesting reimbursement for research expenses, faculty members should review the College of Arts and Science Travel and Expense Reimbursement Policy and the Vanderbilt University Reimbursement Policy. In cases where college guidelines differ from university policy, the more restrictive policy takes precedence.

    Funds are disbursed in several different ways. Large expenses should be directly billed to Vanderbilt through normal university purchasing methods. For smaller expenses, a faculty member normally turns in receipts to receive reimbursement, indicating the purpose of the expenditure along with each receipt. Requests for research expense reimbursements will be approved by departments and programs before being sent to the Dean’s Office.

    Purchases of equipment made with university funds must be delivered to a faculty member’s office or laboratory, not his/her home.

    When a faculty member resigns, they should consult with their department chair/program director about appropriate uses of research funds during the remainder of the contract period and to arrange return of equipment and material purchased with research funds at the end of the employment period.

    Research-related travel

    For reimbursement of research-related travel, A&S faculty must follow guidelines and use procedures outlined in the College of Arts and Science Travel and Expense Reimbursement Policy, which adheres to the Vanderbilt University Reimbursement Policy.

    1 A faculty member is automatically considered research active unless they have received an annual rating of 5 for two consecutive years. If that occurs, the faculty member will need to gain approval to receive research funds from the department chair/program director and the dean.

Bridge Funding Guidelines

The College of Arts and Science offers fiscal support for grant-related activities when there is an imminent lapse, expiration, or delay in non-competing renewal notifications of externally sponsored research funding. Funding is for transitional support only, aiming to mitigate risks and manage uncertainty. This program is designed to maintain the continuity of a research program, to mitigate the need to terminate project personnel during a grant lapse, and to provide adequate notice to personnel for reduction in force (if needed).

  • Policy

    Principles

    • These funds will not fully replace lost or delayed funds and will not provide long-term support.
    • For imminent lapse or expiration of funding, bridge funding will be evaluated for a six-month duration. Concurrent submission of proposals to support research activities is required. This category is considered the “conventional” bridge.
    • For delay in notification of non-competing renewals, bridge funding will be evaluated for a two-to-three-month duration while awaiting notification. These requests may only be made to maintain research continuity and not to expand research activities.
    • For premature termination of a grant (e.g., “stop-work” orders), with no subsequent funding available, a period of up to 6 months of wind-down support will be considered. This category of bridge funding is designed to assist in the wind-down phase of the project and to comply with federal and state regulations. Initial review of these requests will consider whether a wind-down or a conventional bridge is more appropriate.
    • Any support provided will be a 75%/25% match from the college and the unit or department, respectively serving as the primary unit of the faculty member requesting the bridge.

    Eligibility

    • Full-time tenured, tenure-track, and research faculty whose primary appointment is in the College of Arts and Science.
    • Awards that are in no-cost-extension (NCE) are not eligible for bridge funding of any kind.
    • Requests must be for specific costs currently supported by externally sponsored research contracts, grants, or sponsored research agreements (SRA’s).
    • Initial requests should be made from the PI to their respective chair/director via this REDCap form. If the chair/director approves the request, then the A&S Office of Research will review it.
    • When possible, all requests for bridge funding must be submitted at least two months prior to the expiration of the externally sponsored award. For premature termination of a grant, the request should be made within two weeks of the termination of the grant.

    Guidelines

    The college’s resources for bridging sponsored research funding are limited and need to be used as strategically as possible. Bridge requests will be evaluated considering the following factors: (i) career stage of the faculty member, with highest priority for tenure-track faculty; (ii) recent record of success in securing external funding; (iii) recent record of applying for external funding; (iv) prospects for continued external funding; (v) impact of loss of funding on the scholarly research of the faculty member; and (vi) strategic importance of the research program to the College of Arts and Science. Should a request also be eligible for the Provost Discovery Bridge Funding Program, it will be submitted to that program  first before being considered for A&S bridge funding.

    Requests for bridge funding should include:

    • A proposed budget and estimated duration of bridge support.
    • If the PI has unrestricted funds available or there are carry-over funds from the grant for which renewal is being sought, these must be declared, and the sum of said funds must be subtracted from the proposed budget request.
    • A list of the individual A&S personnel who will need to be supported by the bridge funds, along with their effort percentages currently charged to the expiring sponsored funding.
    • A description and justification of other expenses (for example, supplies) that need to be supported by bridge funds to maintain the basic continuity of the research project/program.
    • A list of active grants, pending proposals, and planned submissions.

    Requests for bridge funding should not include:

    • Salary of any kind (e.g., summer or academic year, course buyouts) for tenured or tenure-track faculty.
    • Personnel (faculty, staff, or students) whose home department is not within A&S.
    • Capital equipment or leases.
    • Sub awards to another institution or organization (such as VUMC) external to Vanderbilt.

    If your grant proposal is funded during mid-bridge support, we will sunset the approved bridge funding with a one-month transition overlap of support.

    If your project remains unfunded after the approved bridge amount or time limit, we ask that the PI reach out to the Senior Associate Dean of Research to schedule a resolution meeting.

Cost Share and Indirect Cost Guidelines

These guidelines detail the College of Arts and Science's philosophy and evaluation criteria for cost share expenditures (often referred to as “matching funds”) and indirect cost recovery associated with sponsored research activities.

  • Policy and Procedure

    The college’s resources for cost sharing are limited and need to be used as strategically as possible. As a general rule, A&S does not offer cost sharing where not required or provide extra cost sharing above the published required minimum in hopes that it will make proposals more competitive. The college typically assumes a direct cost sharing commitment only when required by the sponsor and provides cost share only to the extent necessary to meet the explicit requirements mandated by the sponsoring agency in the written program guidelines.

    Typical criteria for judging requests:

    • Project is significant in scope and strongly linked to the college's research priorities.
    • Cost share is mandatory.
    • Cost share is seed money for future, enhanced funding.
    • Project is selected as a Vanderbilt proposal in limited-submission competition.
    • Project will lead to new areas of significant research.
    • Project includes significant support from department(s), and there are specific benefits to the department(s) submitting the proposal.

    Requests for cost sharing should:

    • Include a proposed cost share budget.
    • Describe the resources available for funding the proposed cost sharing.
    • Provide a justification that addresses the relevant criteria above for judging requests.
    • If you propose to cost share academic-year effort, describe any impact to your teaching assignments or ability to charge effort to other sponsored projects.
    • Include the sections from the program announcement that detail the agency’s requirement for cost sharing.
    • Be in writing and endorsed/approved by your department chair.
    • Be submitted to the A&S Senior Associate Dean of Research and Graduate Education, with a copy to the Senior Administrative Officer for Sponsored Research, at least three weeks before the agency or internal deadline.

    Considerations for proposals to agencies that do not pay our negotiated indirect cost rate

    Indirect cost recovery is an important component of the college’s operating budget. Proposals to agencies that do not pay Vanderbilt University’s negotiated indirect cost rate should be carefully considered.1 At the time of proposal submission, please include a copy of the agency’s guidelines specifying their policy concerning reimbursement of indirect costs. Briefly describe the importance of the proposal to your research program.

    1 All externally sponsored research awards should receive the maximum indirect costs allowed by the sponsor. Any exception (to receiving the maximum IDC allowed by sponsor) must be approved by both the A&S Senior Associate Dean of Research and Graduate Education and the Chief Business Officer.

    Cost sharing of indirect cost revenue associated with fellowship opportunities

    The College of Arts and Science strongly supports fellowship opportunities for graduate student training. It is understood that these awards usually return minimal indirect costs to the college.

Sponsored Research Incentive Program

The College of Arts and Science Sponsored Research Incentive Program (SRIP) aims to maximize support for faculty research. The policy establishes the criteria by which an equivalent return will be calculated and credited to each Principal Investigator and their department based upon a ratio of total direct expenditures to total project expenditures funded by the external sponsor.

  • Details

    Eligibility and procedures

    • Full-time tenured, tenure-track, or continuing-track research faculty whose primary appointment is in the College of Arts and Science.
    • Must qualify as “Principal Investigator” or “Co-Investigator” of an Arts and Science externally sponsored contract or grant.
    • Only research awards (grants, contracts, and sub-awards) assigned to the college will be included in the calculation.
    • Training grants as well as other sponsored (non-research) projects are excluded from the calculation.

    Guidelines

    Over the course of each fiscal year, the A&S SRIP program is based on an equivalent return of twelve percent (12%) of indirect cost (IDC) revenue received from externally sponsored award activity. IDC revenue is defined as indirect cost booked (charged) to each externally sponsored project number in Oracle during the most recent Vanderbilt fiscal year (July-June).

    When the annual calculation above yields an amount of $1,000 or more, eight percent (8%) will be credited to the Principal Investigator’s research funds, while four percent (4%) will be credited to the Principal Investigator’s department to be used at the discretion of the chair.

    • SRIP funds allocated to the PI and his/her department shall be designated as internally designated funds, for which the unspent balance at the end of the fiscal year may carry forward to the following fiscal year.
    • Expenditures of SRIP funds allocated to the PI are subject to the current A&S Research Funding Guidelines.
    • The College of Arts and Science reserves the right to suspend the Sponsored Research Incentive Program in the event that external sponsors, such as the federal government, alter their funding parameters to affect total direct expenditures and/or total expenditures in a manner deemed significant by the college or university.

Data Management and Databases

  • Guidelines

    Data Collection and Databases

    Collecting, managing, preserving, and sharing research data efficiently and effectively are essential capabilities for most researchers. There are many technologies available to assist in these tasks.

    Vanderbilt has developed an online database system—REDCap, or Research Electronic Data Capture—that is now used by thousands of scholars around the world. Though initially designed for medical research, REDCap is highly flexible and can be adapted to many research environments. The REDCap team is available to assist faculty, staff, and students in creating, developing, and managing secure data collection instruments. REDCap staff offer both introductory and advanced training sessions and are available for one-on-one consultations and online guidance.

    Contact the REDCap team.

    Data Management Plans

    Once data have been collected, additional steps should be taken to store, protect, and, in many instances, make the data available to other researchers, scholars, and the general public.

    Vanderbilt has resources to assist you in creating a data management plan, which many funding agencies require as part of the application and grant management process.

    Heard Libraries Data Management and Publication Resources

    Contact the Office of Digital and Scholarly Communications

    External Resources

    Frequently searched questions about data management plans (National Science Foundation)

    Managing and sustaining project assets (National Endowment for the Humanities)

Human Subjects Research

  • Institutional Review Board

    What is an Institutional Review Board?

    In any research project, including research funded by grants, human subjects must be treated according to ethical and legal guidelines, and potentially sensitive data collected through intervention or interaction with human subjects must be managed appropriately to ensure that their rights and welfare are protected.

    An Institutional Review Board (IRB) is a committee charged with reviewing proposed undergraduate, graduate, staff, and faculty research that involves human subjects. The IRB offers those pursuing human subject research a variety of services, including guidance, training, FAQs, personal consultations, and an online application process for project review.

    Vanderbilt’s IRB

    The Vanderbilt Social, Behavioral, and Educational Research (SBER) Institutional Review Board oversees the majority of human research conducted at the university, offering tailored support for SBER studies. (Note: VUMC-led studies must be submitted to the VUMC IRB for review and determination.)

    IRB approval is required for any research that involves humans, including the collection of interview data. The IRB can determine whether a project is exempt or not, and only the IRB can make this determination. Please contact the IRB in the early phase of your project planning, even if you believe that IRB approval may not be required.

    Contact

    irb@vanderbilt.edu
    Baker Building, Suite 800

Maximum Effort that Can be Charged During Summer

Faculty with academic-year appointments are expected to charge no more than 85% of three months effort to federal grants and contracts during a summer. This leaves the equivalent of two summer weeks for vacation and/or other activities.

An exception to this general rule may be granted if the faculty member certifies that they will take no vacation and will devote the proper level of institutional effort exclusively to the grant-supported or contract-supported work during all three summer months. To receive permission to exceed the 85%-of-three-months limit in a given summer, the faculty member must submit to the Dean’s Office a form requesting permission and certifying that no vacation will be taken that summer.

Form Requesting to Exceed 85% of Three Months Summer Salary

Summer Research Consortium Students

Visiting summer students participating in a research program or arriving at Vanderbilt prior to entering a Vanderbilt graduate program will be classified as consortium students. As Vanderbilt students, these consortium students will not be subjected to background checks, unless they are working with minors.

  • Details

    Eligibility

    • Enrolled non-Vanderbilt undergrads and post-baccalaureate accepted graduate school students with verification from the home school of enrollment and good academic standing.
    • Students accepted into a structured 8-10 week summer Vanderbilt Undergraduate Research Program, with an application (in addition to the quick admit/Slate form) and acceptance process.
    • Students being paid a stipend from Vanderbilt related to a research project.

    All others that do not meet the criteria will not be considered consortium students. Some examples include:

    • High school students (or pre-baccalaureate)
    • Students not in a structured program
    • Individuals not currently enrolled in a higher education institution and who are not defined above
    • Individuals who are currently undergraduate/graduate students at another college/university (not Vanderbilt), who do not meet the criteria above, but who will be working with an individual faculty member in a lab or on a research project
    • Individuals with unpaid internships
    • Individuals undertaking experiences which are short (e.g., less than a summer program) in duration and are not full summer programs

    Students whom do not meet this eligibility will be classified under the university's Intern/Observer Policy.

    If you have questions, please contact Zoe Canales.

    Coordination with the Registrar’s Office

    The University Registrar’s Office requests the following information on summer research consortium students:

    • If students used Slate for their application, please email Carol Dunne at the University Registrar’s Office a roster of the admitted students, specifying the program into which the students were admitted.
    • Please do not work with the students or VUIT to set up VUNet IDs. The Registrar's Office process to get them set up includes VUNet ID creation, and it is much easier to process students without fear of duplicating VUNet IDs.