PrintPreface
These guidelines were last updated in March 2008. Changes from previous versions are highlighted in yellow.
These guidelines are intended to clarify the information requested on the Dean's Approval Form that accompanies all sponsored project proposals. If you have questions, please check with Dawn Elliott Patton at 495-9840 (depatton@fas.harvard.edu ) or Dean Gallant at 495-2628 (drg@fas.harvard.edu).
Please answer all questions on page 1 of the Dean's Approval Form, even if only to say "not applicable," and ensure that the necessary signatures have been provided on page 3.
In certain science departments, approval on behalf of the Dean of the Faculty of Arts and Sciences will ordinarily be provided by Laboratory Directors except in the following circumstances:
- there is cost sharing other than faculty contributed effort;
- the proposal includes a subcontract or subaward;
- there is a non-standard facilities and administrative (indirect cost) rate;
- the Principal Investigator's appointment ends before the project ends;
- the proposal involves research on human subjects, vertebrate animals, or human embryonic stem cells;
- the proposal is being submitted to an industrial (or other for-profit) sponsor; or
- the total project budget exceeds $1 million.
1. DEADLINE. Please state the date the proposal must be received at the funding agency. Note that proposals to federal sponsors must be submitted for OSP and FAS approval at least five business days prior to the deadline, and proposals to non-federal sponsors must be submitted for approval at least three business days prior to the deadline, to allow time for review and any changes that must be made. Please indicate whether the deadline is a "postmark" deadline, a "receipt" deadline, or an "electronic" deadline. Also note that proposals to industrial or other for-profit sponsors will be reviewed by the Office for Technology Development (OTD), rather than by OSP.
2. PRINCIPAL INVESTIGATOR. Please specify whether the Principal Investigator is Professor, Associate Professor, Assistant Professor, Senior Lecturer, Senior Research Fellow, or Research Fellow. It is customary to name only one person as "Principal Investigator," with that person assuming ultimate authority for making academic decisions on the project as well as financial responsibility. Others with significant involvement may be listed as "Co-Investigators." Persons holding Research Associate appointments may be named as "Co-Principal Investigator" on proposals submitted by a qualified Principal Investigator. If the application is for a Fellowship, please supply both the name of the Fellow (in the space indicated) and the faculty sponsor (in the space for Principal Investigator). (Note that, as an exception to the PI rule, NSF requests that graduate students applying for doctoral dissertation support be listed on the proposal itself as "Additional PI/PD" with their faculty sponsor listed as "Project Director.")
3. DEPARTMENT NAME. Please supply the name of the PI's primary academic department or center.
4. TUB AND ORG. Indicate the coding for the tub and org to which this award will be assigned.
5. PROGRAM ANNOUNCEMENT or RFP: If the application is being submitted in response to a sponsor or agency program announcement or request for proposals, please cite the announcement or RFP number (if any) and indicate the URL for the announcement if it is available online. If the announcement or RFP is not available online, please attach a paper copy.
6. P.I. APPOINTMENT . If the PI is not a tenured faculty member, please either (1) indicate that the Principal Investigator's appointment continues through the entire time of the proposed project, or (2) explain at note #1 on page 2 of the Dean's Approval Form how the obligation to the sponsor will be discharged once the PI's appointment terminates. (Typically, either the project will be transferred with the PI to the new institution, or the PI responsibility will be transferred to another member of the department.)
7. TITLE OF PROPOSAL. Please provide the full name of the project.
8. PROJECT PERIOD. Please provide the start and end dates for the entire project period, including day, month, and year.
9. AMOUNT. Please supply the total amount requested (direct plus indirect) for all years of the project.
10. SPONSOR. Please fill in the full name of the sponsor, and the specific program, if applicable.
11. AWARD NUMBER. If an award number has already been assigned by the agency, please indicate it here.
12. PRIME SPONSOR . If this proposal is for a subcontract that will be issued by another institution, indicate the prime sponsor of that institution's award.
13. NUMBER OF COPIES: Indicate the number of copies of the proposal (including the original) that should be sent to the sponsor.
14. STATUS OF PROPOSAL . Please indicate whether the proposal is new, a renewal, a supplement , a non-competing continuation, a no-cost extension, a revision of a previous proposal, a resubmission, or other (such as change of PI). If the proposal is a revised budget for an NSF award, with a budget reduction of 10% or more, please include a budget impact statement that describes the corresponding reduction in the scope of work for the project.
15. PROJECT TYPE. Indicate the appropriate type for this proposal. Examples of "Other Sponsored Activity" are listed on page 2 of the Approval Form. Note that "Research" and "Instruction" are separate categories.
16. LOCATION. Please specify whether the proposed research will be conducted on-campus or off-campus. This is particularly important in cases where a sponsor places a limit on indirect cost recovery and the stated rate does not necessarily imply where the research is taking place. The off-campus rate must be justified on page 2 of the Dean's Approval Form at note #4, by proving that most of the effort (i.e. at least 50%) will take place off-campus.
17. FRINGE BENEFIT RATE. Please check all rates used to calculate fringe benefits in the project proposal budget for all applicable years. For fellowship grants that do not cover fringe benefits, please include a cost sharing form (if Harvard funds) or memorandum (if another sponsor's funds) indicating the source of support for fringe benefits. The approved fringe and vacation assessment rates for Harvard FY 2008 and FY 2009 are indicated on the form. The FY08 and 09 detailed fringe rates and vacation assessments are also broken out in the tables below. The FY 2009 estimated rates should be used for all years beyond 2009.If a project spans fiscal years with different rates, the fringe rates should be pro-rated.
| Harvard Fiscal Year 2008: 7/1/07-6/30/08 | Fringe | Vacation Assessment | Total |
|---|---|---|---|
| Faculty & Other Academic | 24.6% | N/A | 24.6% |
| Exempt | 30.8% | 10.5% | 41.3% |
| Enrolled Students (Undergraduate and Graduate) | N/A | N/A | N/A |
| Non-Exempt | 42.3% | 9.8% | 52.1% |
| Temporary, Unenrolled | 7.7% | N/A | 7.7% |
| Graduate Student “Research Assistants” | N/A | N/A | N/A |
| HU Post-Docs | 22.6% | N/A | 22.6% |
| Harvard Fiscal Year 2009: 7/1/08-6/30/09 (and all years beyond FY 2009) |
Fringe | Vacation Assessment | Total |
|---|---|---|---|
| Faculty & Other Academic | 25.0% | N/A | 25.0% |
| Exempt | 31.1% | 10.5% | 41.6% |
| Enrolled Students (Undergraduate and Graduate) | N/A | N/A | N/A |
| Non-Exempt | 43.6% | 9.9% | 53.5% |
| Temporary, Unenrolled | 7.9% | N/A | 7.9% |
| Graduate Student “Research Assistants” | N/A | N/A | N/A |
| HU Post-Docs | 23.3% | N/A | 23.3% |
18. FACILITIES AND ADMINISTRATIVE (INDIRECT COST) RATE. Please indicate the indirect cost rate reflected in the proposal. Note that indirect cost rates are negotiated with the Department of Health and Human Services (DHHS). The date of the most recent agreement is February 20, 2008.
The current indirect cost rates are as follows:
| Harvard Fiscal Years: | FY08: 7/1/07-6/30/08 | FY09: 7/1/08-6/30/09 | FY10: 7/1/09-6/30/10 |
|---|---|---|---|
| Research | 67.0% | 67.0% | 68.0% |
| Other Sponsored Activity | 32.0% | 32.0% | 32.0% |
| Off-Campus Activity | 26.0% | 26.0% | 26.0% |
Indirect cost rates should be pro-rated if a project spans fiscal years with different rates. The FY 2010 rate should be used for all “out” years.
If you check “Other,” please elaborate on page 2 of the Dean's Approval Form at note #5 and attach documentation or indicate the online source of information to show that the rate requested is the highest that the written policy of the sponsor will allow. You should also use page 2 of the Dean's Approval Form to indicate if the proposal is a doctoral dissertation improvement grant, which carries no overhead.
Note that sponsored awards from industrial or other for-profit sponsors must be at the full federal rate. Some information about indirect cost rates of many non-federal sponsors (foundations and not-for-profits) can be found on the OSP web site at:
http://vpf-web.harvard.edu/osr/proposal/prop_bud_cr_nonfed.shtml.
19. ADMINISTRATIVE/CLERICAL STAFF. If the proposal includes any administrative or clerical salary expenses, indicate that by checking the appropriate box. If the proposal includes admin/clerical salaries and is being submitted to a federal sponsor, the FAS Administrative Checklist must be completed for each administrative/clerical position listed on the proposal.
20. BIOHAZARDS or rDNA: If the research involves the use of biohazardous materials or recombinant DNA, documentation of approval from the University Biosafety Office must be attached.
21. HUMAN SUBJECTS. If the project requires the use of human subjects, the relevant approval date should be supplied and the appropriate approval attached. New proposals or competing continuation proposals may indicate that review is "pending," but approval must be granted before any human subjects involvement, including recruitment, can begin. ("Pending review" is not appropriate for non-competing continuation proposals.) Note that Laboratory Directors will not provide FAS Dean's approval for proposals involving human subjects; such proposals must be submitted through the FAS Research & Sponsored Programs office.
22. VERTEBRATE ANIMALS: If the project requires the use of vertebrate animals, the box indicating that approval will be provided "just in time" should be checked. The only exception to this is for non-competing continuation projects, which must have a current IACUC approval. Check with Ellyn Lane, 495-1510, lane@fas.harvard.edu, for details on IACUC approval dates. Note that Laboratory Directors will not provide FAS Dean's approval for proposals involving vertebrate animals; such proposals must be submitted through the FAS Research & Sponsored Programs office.
When proposals are submitted with IACUC approval status of "just in time," approval must be received from the IACUC office before any funds can be expended, or orders placed, for animals to be used in research. In addition, animal per diem charges must be included in the proposal budget or an explanation provided for how they will be covered at note #7 on page 2 of the Dean's Approval Form. Per diem charges are available from the Office of Animal Resources, 496-9989.
23. HUMAN EMBRYONIC STEM CELLS. If the research involves the derivation or use of human embryonic stem cells, whether or not they are included on the NIH registry, approval must be obtained from the Embryonic Stem Cell Research Oversight Committee (ESCRO). Check with the Associate Dean for Research Administration, Patrick Fitzgerald (pwf@fas.harvard.edu), for details on obtaining ESCRO approval. Note that Laboratory Directors will not provide FAS Dean's approval for proposals involving human embryonic stem cells; such proposals must be submitted through the FAS Research Administration Services office.
24. SUBAWARD OR SUBCONTRACT. If the proposed work includes a subcontract or subaward from Harvard to another institution or individual, the proposal must include a written description of the work to be performed at the other institution, a budget, justification for selection of the subcontractor, and correspondence from the subcontracting institution confirming their intent to perform the work. Each subrecipient institution, subrecipient PI, and subcontract period of performance must be listed on page 3 of the Dean's Approval Form. Attach additional pages if necessary.
Do not check this box if the proposal is itself a subcontract from another institution. In this case; indicate the institution that will be issuing the subaward to Harvard in the "Sponsor" section on page one of the form. The “Prime Sponsor” is the sponsor that the full proposal is submitted to, and should be indicated in the appropriate space.
25. NSF/PHS CONFLICT OF INTEREST. All investigators applying for NSF or PHS funding must declare any potential financial conflicts of interest to the appropriate University officials before a proposal is submitted to the agency. In FAS, this is indicated on the Disclosure Form Required for Federal Support, which is part of the online Affirmation of Awareness process. (Paper forms may also be printed from that site for investigators who do not have a PIN number. See https://asperin.fas.harvard.edu/disclosure/web) FAS faculty must complete the Affirmation of Awareness at regular intervals and update their information as relevant circumstances change.
To confirm that all investigators have filed as appropriate, the PI Certification Form must be completed by the PI and attached to the Dean's Approval Form for each proposal submitted to NSF or one of the PHS agencies. If there is a question about whether an investigator has a current Disclosure Form Required for Federal Support on file, check with Dean Gallant, 495-2628, or Dawn Elliott Patton, 495-9840.
If the proposal involves a subcontract and is funded by a PHS agency, all non-Harvard investigators performing on the subcontract must either (a) comply with Harvard's rules for disclosure of potential conflicts of interest, or (b) comply with their home institution's rules for disclosure. In the latter case, certification that the home institution has a written and enforced policy on conflicts of interest will typically be indicated on the "checklist" page of the subcontract.
Further information about the FAS Affirmation of Awareness and FAS and University policies on financial conflict of interest can be found on the FAS Research web site at http://www.fas.harvard.edu/~research/policy/coi.html.
26. NIH SIGNATURE PAGE. If the proposal is being submitted to the NIH, a separate page must be signed by the Principal Investigator and attached to the Dean's Approval Form, indicating that the PI understands and accepts his or her obligations regarding the proposal and the award. Copies of the form are available at:
http://www.fas.harvard.edu/~research/NIHsignature.doc
27. COST SHARING. If the proposal involves cost sharing in the form of quantifiable effort by the PI or other faculty working on the project, uncompensated by the sponsor, please explain at note #9 on Page 2 of the Dean's Approval Form why this cost sharing must be offered in the proposal (e.g., it is a requirement in the attached RFP) and include a cost sharing form. The cost sharing form should indicate only the faculty member's name and percentage of effort, not the charge coding or salary amount.
If cost sharing other than faculty contributed effort is involved (i.e., other project costs to be paid from 000001 - 054999 or 300000 - 699999 funds), the cost sharing form must indicate the source and amount of funds to be offered as cost sharing. The cost sharing form and instructions are available at http://www.fas.harvard.edu/~research/policy/costshare.html.
28. OTHER SPONSORED MATCHING FUNDS: If the proposal will be supported in part by other sponsored funds, please indicate the source and amount of such funds on page 2 of the Dean's Approval Form at note #10.
29. MULTIPLE SCHOOLS, DEPARTMENTS, or CENTERS. When a project involves investigators, staff, facilities, or resources from other FAS departments or centers, or other schools or entities at Harvard University, appropriate approval from each other school or entity must be obtained. Details about the other center(s), department(s), or school(s), including administrative contact information, should be indicated on page 3 of the Dean's Approval Form. If another school, department, or center will be administering a part-of account, or will be contributing resources (cost sharing, matching funds, contributed effort, etc.), the Dean's Approval Form should include the signature of the additional PI and the appropriate departmental authority, or a copy of an email acknowledging responsibility for the proposed arrangements should be attached.
30. UDO NOTIFICATION. Proposals submitted to certain private foundations and corporate sponsors require prior notification of the University Development Office; the Coordinated Prospect List—extensively revised—is available at:
http://vpf-web.harvard.edu/osr/funding/fund_gr_relations.shtml.
An email summary of the proposal should be sent to Ellen Sullivan, Director, University Corporate and Foundation Relations (ellen_sullivan@harvard.edu) with the following information: name of foundation/corporation, principal investigator, title and brief description of the project or proposal, specific program (if any) at the foundation/corporation from which funding is sought, and amount of funding requested.
31. INCREMENTAL OR RENOVATED SPACE: If the proposed project will require additional space, or renovations to existing space, a separate explanation should be attached to the copies of the proposal submitted to FAS Research Administration Services and to OSP. Renovations or alterations requiring significant incremental resources must also be approved by Mike Lichten (mlichten@fas.harvard.edu , 495-4216) before the proposal is submitted to the sponsor.
32. DEPARTMENT CONTACT INFORMATION. Please indicate the name, telephone number, and email address of a person who can answer questions about the proposal -- usually this will be the laboratory or grants administrator.
33. COMMENTS. Please indicate any other issues that may be relevant to the particular proposal, using additional pages if necessary. If there are special mailing or deadline requirements for the proposal, they should be indicated here.
34. SIGNATURES: Three signatures are required on the Dean's Approval Form, plus any additional signatures or confirming email(s) if the proposal involves other schools, departments, or centers.
Although the Dean's Approval Form does not specify each of the following items, it is understood that the individual who signs on behalf of the department is certifying that:
- There is no apparent reason why the faculty member could not conduct the research if the funds were awarded.
- There is no apparent conflict of interest for the PI or other investigators on the project. It is understood that the signer may not even be aware of reported or obvious conflict, since the FAS policy is to inform the Committee on Professional Conduct directly.
- The timing and extent of the PI's commitment to the project will not interfere with departmental obligations.
- Space, equipment, and facilities needed that will not be provided by the sponsor can and will be provided by the department from its existing resources, unless specific other arrangements have been made and approved by appropriate FAS authorities.
- The budget reflects the full cost of the project, is reasonable, and is mathematically correct.
Several competitive sponsored fellowships, grants, and prizes specify that only a limited number of proposals may be submitted by the University as a whole. In these cases, the Provost will coordinate the selection process on behalf of the University in an effort to ensure equity within the University on the allocation of opportunities. The Provost will appoint ad hoc committees to review applications and assist in the selection of Harvard's nominee(s). Please note that it will be necessary to set internal deadlines well in advance of official deadlines set by sponsors to allow adequate time for a review and selection of final candidates.
FAS has outlined the following procedures to be followed in the unlikely event of extended PI inactivity: Laboratory Directors, or other designated individuals in Departments that have no Laboratory Directors, in consultation with the Chairs of their departments, are responsible for general oversight of the activity of PIs. In cases where there is evidence of extended inactivity or other oversight problems exist, these designated individuals are required to bring the matter to the attention of Steven C. Wofsy, the Chairman of the Committee on Research Policy, or Patrick Fitzgerald, FAS Associate Dean for Research Administration.
For further clarification of the information requested on the Dean's Approval Form, please call Dawn Elliott Patton at 495-9840, Dean Gallant at 495- 2628, or your OSP departmental contact at 495-5501. A list of OSP contacts is available at:
http://vpf-web.harvard.edu/osr/contacts.shtml
