---

Department
Typically, while constructing a proposal, the PI consults the department head or Laboratory director regarding the availability and use of space and personnel and secures his/her approval. If the research involves human subjects, animal subjects, or hazardous substances, approval of the relevant committees must also be obtained prior to submission to the Dean or his/her designee.

Dean
The Dean or designee reviews and approves the proposal and forwards it to the appropriate pre-award office with the following:

• a signed Dean's approval form
• relevant internal approval forms (human/animal subjects, etc.)
• correct number of copies, including a copy for the pre-award office

Pre-Award Offices
Proposals should be submitted three (non-federal) or five (federal) business days in advance of the sponsor's deadline for the final institutional review for conformance with University and sponsor requirements.

Proposals to federal, state, and the majority of other sponsors must always be signed by an authorized institutional representative. Each pre-award office has individuals so designated.

Some things to remember when assembling and then submitting a proposal ...

• If a proposal is in response to an RFP, please send the RFP (or the URL of applicable Web site) to your pre-award office at least one week prior to the deadline, to allow adequate time for review of the RFP's terms and conditions. On occasion an RFP may include terms and conditions that conflict with Harvard's research policies. Your pre-award representative may need some additional time to secure special approval or strategize on how to proceed.
• If you will be unable to discuss any questions your pre-award office may have about a proposal, please provide the name of an individual who is available to answer questions or make changes as required.
• If the project involves Co-Principal Investigators from different schools, each school should follow its own policies for determining who will act as lead investigator. A Dean's approval is required from both schools. One person should be assigned to coordinate the proposal process to facilitate its processing with the pre-award office.

back to top

---

back to top

---

Last updated: 11/14/2008

The Harvard University Office of Corporate and Foundation Relations generates support for major institutional priorities by building and sustaining partnerships with major corporations and foundations.

The mission of the Office of Corporate and Foundation Relations is to be of service to the Offices of the President and Provost, the leadership of the College and the Harvard graduate and professional Schools, faculty members, senior administrators, and development colleagues, to maximize the breadth and quality of these alliances. They aspire to be a center of expertise at Harvard on private foundation philanthropy and corporate giving.

The following is a list of the coordinated prospects for Harvard University, managed at the University level by the Office of Corporate and Foundation Relations. Of the 66,000+ foundations in the US, the Office of Corporate and Foundation Relations has carefully selected a small number of organizations with whom the University has pre-existing relationships, or has the opportunity to develop a robust institutional relationship, recognizing that many of these entities have multiple points of contact across the landscape of the University. The Provost asks that the Office of Corporate and Foundation Relations be aware of any contact with these entities; in turn, they ask that interested parties alert them before submitting a proposal to these entities.

Please include the following information:

• Name of project/proposal
• Principal Investigator
• Brief description of project/proposal
• Specific program at the foundation/corporation from which funding is sought
• Level of funding requested

Finally, there are a number of foundations and corporations that accept only a single proposal per institution per grant making cycle. The Office of Corporate and Foundation Relations works in conjunction with the office of the Provost on these invitational competitions, and asks that faculty please coordinate the submission of proposals through that process. The number for the Office of Corporate and Foundation Relations is (617) 495-8861.

Email contacts:
April Edrington, Deputy Director,
Beccah Wells, Coordinator,

University Managed Prospects
* indicates proposals must be coordinated through Office of the Provost
**indicates proposals must be coordinated through Office of Corporate and Foundation Relations

Foundations:	Corporations:
Aga Khan Foundation	Agilent Technologies
Atlantic Philanthropies	Apple Computer
Arcadia Trust (Lisbet Rausing)	Bank of America
Barr Foundation	Barclays Bank
Boston Foundation	Bausch & Lomb
Bradley Foundation, Lynde & Harry	BP
Broad Foundation	Chevron
Buffett Early Childhood Fund	Cisco Systems
Cabot Family Trust	Citigroup
Carnegie Corporation Of New York	Corning
Casey Foundation, Annie E.	Dell Corporation
Coca Cola, Inc. & Foundation	Deutsche Bank
Commonwealth Fund	EDAX
Cummings Foundation, Nathan	EISAI
Davis Foundation, Arthur Vining	EMC
Dell Foundation, Michael and Susan	Exxon Mobil
Duke Foundation, Doris	Facebook
**Fidelity Foundation	FAMRI
Ford Foundation	Fedex
Fox Foundation, Michael J.	Genentech
Gates Foundation	General Electric
Goldman Sachs Foundation	Google, Inc.
Google.Org	Hewlett Packard, Inc.
Hearst Foundation	IBM
Hewlett Foundation, William & Flora	Intel
Higgins Trust, Eugene	Lenovo
Humanity United	L’Oreal
IBM International Foundation	Merck
Infosys	Microsoft
Intel Foundation	Novartis
Johnson Foundation, Robert Wood	Nvidia
Juvenile Diabetes Research Foundation	Pfizer
Kaiser Family Foundation, Betty and George	Raytheon
Kavli Foundation	Schlumberger
*Keck Foundation	Siemens
Kellogg Foundation, W.K.	Sun Microsystems
Kresge Foundation	Time Warner
** Levy Foundation, Leon	Toshiba
Li Ka-Shing Foundation	Varian Semiconductor
Luce Foundation, Henry	Yahoo!
MacArthur Foundation, John D. & Catherine T.	Zeiss
McKnight Endowment Fund for Neuroscience
McKnight (Evelyn F.) Brain Research Foundation
McKnight Foundation
Medtronic Foundation
Mellon Foundation
Metlife Foundation
Moore Foundation, Gordon & Betty
Mott Foundation, Charles Stewart
Norlien Foundation
Omidyar Networks
Open Society Institute
Oracle
Packard Foundation, David & Lucile
Petrie Foundation, Carroll & Milton
Prince of Wales
Ramussen Foundation, V. Kann
Rausing Trust, Sigrid
RIKEN
Rockefeller Brothers Fund
Rockefeller Foundation
Sloan Foundation
Smith Family Foundation, Richard & Susan
Starr Foundation
Starr International
Surdna Foundation
Teagle Foundation
Templeton Foundation, John
Wal-Mart Foundation
Walton Family Foundation

back to top

---

Submit the completed proposal three business days for non-federal sponsors and five business days for federal sponsors prior to deadline.

3/5 Day Policy

If a proposal is in response to an RFP or solicitation, please forward the announcement (or URL of the applicable Web site) to your pre-award along with the completed proposal. On occasion an RFP may include terms and conditions that conflict with Harvard's research policies, and additional time may be needed to resolve/negotiate any issues.

back to top

---

Proposal Submission, Minimum Information Requirements
Checklist of data elements required on Dean's cover sheet

	Date submitted to OSP
	Sponsor deadline -- indicate postmark or receipt; please indicate whether already issued to sponsor
	Delivery instructions -- mailing method and number of copies
	PI name/Co-PI/Fellow name/Department
	PI/Co-PI appointment -- where applicable: no time limit or end date
	Administrative contact for PI - with pertinent contact information
	Title of proposal
	Sponsor name/address (including fax and email)/Contact name
	Award/Fund # (if known)
	Subcontract proposal/name of prime
	Project period
	Amount (all years)
	Status indication -- New/Renewal/Continuation/Supplement/Revision/No-cost extension/Other
	Proposal type -- Research/Instruction/Other sponsored activity/Financial Aid/Fellowship
	Location -- On-campus/Off-campus
	Tub and org
	Fringe benefit rates -- please indicate all that apply for each applicable year
	F&A rate -- please indicate which rate applies

Separate Forms and Approvals Attached to Dean's Approval Form - where applicable

	Checklist for administrative/clerical staff directly charged to federal award
	Subcontract (attach scope, budget, basis for selection, and proposal/approval from subcontract institution)
	Human Subjects Approval/Training Certification
	Animal Approval
	Financial Conflict of Interest forms
	Cost-sharing documentation
	University Development Office Approval
	Biohazards Approval
	Multiple Schools

back to top

---

---

• Notice of Grant Awards should be forwarded to your pre-award office for signature and processing.

OSP Review of Terms and Conditions
Before accepting an award on behalf of the University, OSP / HMS-SPA / SPH-OFS reviews all terms and conditions, regardless of the sponsor, and is responsible for negotiating appropriate remedies if an award fits into one of the following categories:

• it contains provisions that are incompatible with the University's policies on sponsored research
• it is inconsistent with government-wide regulations for universities
• it fails to include all elements agreed upon prior to the award
• it requires modification to conform to the PI's needs

In the case of all industry awards or other awards with non-standard patent, copyright or licensing terms, the University Office for Technology Development must also approve the award terms. This approval is coordinated by your pre-award office.

Action Memo
When the Notice of Grant Award and related terms and conditions are accepted by the pre-award office, the account activating the award is set up in the system and an action memo is generated, displaying the account values representing this award.

The PI receives an action memo, detailing the account number and award dates and dollars, when a sponsoring agency grants a new, or renewal, award. This award must

• meet the requests stated in the proposal, and
• contain no unusual terms and conditions

Participation Agreement
The Participation Agreement must be signed before an award becomes effective.

It is the responsibility of the PI to obtain Participation Agreements from anyone else pursing the scientific or technical aspects of the research.

back to top

---

The following approvals and certifications may be or are required with each proposal submission. Please review the details of each before submitting your proposal to the applicable pre-award office for review.

• Human Subjects in Research
• Human Embryonic Stem cells
• Use of Animals in Research
• Biohazardous Materials
• Conflict of Interest Disclosure
• PI NIH certification
• Subcontractor questionnaire
• Cost sharing
• Administrative checklist
• Participation Agreement (PA)

Human Subjects in Research
All research using human subjects must be reviewed or designated as exempt from review by a Harvard Institutional Review Board (IRB). Currently, there are three IRBs: one each in SPH, HMS and FAS, with the FAS IRB providing oversight for human subject research at University area schools and affiliates.

Each IRB has established its own policies and procedures. See below for links to IRB sites.

School/Tub	Policies/Procedures	Location
FAS	Use of Human Subjects in Research	http://www.fas.harvard.edu/~research/ hum_sub/index.html
FAS	Statement of Policies and Procedures Governing the Use of Human Subjects in Research at Harvard University	http://www.fas.harvard.edu/~research/ greybook/humsubs.html
SPH	Human Subjects Committee	http://www.hsph.harvard.edu/hsc/
SPH	Federal wide Assurance of Compliance with DHHS Regulations for Protection of Human Research Subjects	http://www.hhs.gov/ohrp/humansubjects/ assurance/filasurt.htm
HMS	HMS/HSDM Committee on Human Studies	http://www.hms.harvard.edu/orsp /human/human.html
HMS	Guidelines for Investigators in Scientific Research	http://www.hms.harvard.edu/ integrity/scientif.html

Typically, a sponsor requires that proposed studies with human subjects be approved by the requisite IRB at the time the award is made. Some require that this approval be in hand at the time a proposal is submitted or, at a minimum, in process. Prior to submitting a proposal one should review the sponsor's human subject requirements. This information is generally available on the sponsor's web site or in the RFP.

The NIH requires that all key personnel working on human subjects studies complete training. The SPH and HMS extended this requirement to all personnel involved in human subject study design, execution or interpretation, regardless of funding source.

Harvard has created HETHR: Harvard Ethics Training in Human Research, for use in satisfying the training requirement. HETHR, an interactive online training program, is also available to outside collaborators on Harvard projects, as well as to the general public, free of charge.

For more information on the NIH requirement, Harvard policy and access to the University's online training program:

Link to General FAQ about the Human Subject Training Requirement

Link to HETHR Training

Human Embryonic Stem cells

Use of Animals in Research
All use of animals in research or teaching must be reviewed and approved by the appropriate animal committee. Currently there are two committees, one for the University area, and one for the Longwood area.

• Harvard University/Faculty of Arts and Sciences (HU/FAS) Standing Committee on the Use of Animals in Research and Teaching.
  Animal Research Studies Administrator
  Science Center Director's Office
  One Oxford Street
  Cambridge, MA 02138
  
  
• Office for Research Subject Protection - HMS/HSPH/HSDM, NEPRC and Brigham and Women's Hospital.
  Gordon Hall, Suite 411
  25 Shattuck St.
  Boston, MA 02115
  

  Typically, a sponsor requires that proposed studies with animals be approved by the appropriate committee at the time the award is made. However, some may require the approval at the time of proposal submission. Please review the individual sponsor requirement prior to submitting a proposal.

  Use the following links for information on procedures, guidelines, and forms:

  School/Tub	Policy	Location
  University area	Use of Animals in Research and Teaching	http://www.fas.harvard.edu/~research/approvals/iacuc.html
  HMS/HSPH/HSDM	Standing Committee on Animals	http://www.hms.harvard.edu/orsp/animal.html

  
  

  All research using human subjects must be reviewed or designated as exempt from review by a Harvard Institutional Review Board (IRB). Currently, there are three IRBs: one each in SPH, HMS and FAS, with the FAS IRB providing oversight for human subject research at University area schools and affiliates.

Biohazardous Materials
In keeping with Federal regulations, before a scientific project can begin, the laboratory must be "certified" to work with radioactive materials, recombinant DNA, infectious agents and/or select agents. Some sponsors require a copy of an environmental health and safety approval letter signed by an authorized institutional official or head of the University's Environmental Health and Safety Department. Other sponsors may require that the PI complete a checklist.

Please refer to links below for more information.

School/Tub	Policy	Location
University - wide	Use of Hazardous Biological Agents	http://www.hms.harvard.edu/orsp/coms/IBC/COMS-1977-1978.pdf
University - wide	Committee on Microbiological Safety, Office of Research Protection	http://www.hms.harvard.edu/orsp/coms/

Conflict of Interest
Both the NIH and the NSF require that the Principal Investigator and other project staff disclose any significant financial interests (salary, stocks, royalty income, etc.) that could appear to affect their research.

Each school within the University has established a Conflict of Interest disclosure policy and procedure to meet these regulatory requirements, in addition to the University's own Conflict of Interest policies.

At the proposal stage PIs are required to certify that

• disclosure forms are on file for themselves, and where appropriate for other project personnel the
• information is still accurate for the proposal under submission.

For specific school requirements and forms, refer to the links below. If your school /program is not listed, please contact your Dean or Director's office for guidance.

School/Tub	Policy	Location
FAS	Conflict of Interest and Conflict of Commitment FAS and University Policies FAS Affirmation of Awareness Principal Investigator (PI) Certification Form	http://www.fas.harvard.edu/~research/policy/coi.html
KSG	Conflict of Interest Disclosure Form See KSG Office of Research for guidance	http://www.ksg.harvard.edu/research/conflict_of_interest_form.doc
HGSE	Conflict of Interest Disclosure Form(federal proposals) See GSE Office of Sponsored Research and Projects for guidance	Click here to download
HMS/HSDM	Policy of Conflict of Interest and Commitment	http://www.hms.harvard.edu/integrity/conf.html
SPH	HSPH Faculty Handbook	http://www.hsph.harvard.edu/facultyhandbook/

Additional information is available from the Office of Technology Development (OTD):

School/Tub	Policy	Location
OTD	Harvard Policies - Conflict of Interest	http://www.otd.harvard.edu/resources/policies/#conflict

PI NIH Certification

Subcontractor Questionnaire

Cost Sharing

Administrative Checklist

Participation Agreement (PA)

The President and Fellows of Harvard College adopted the Statement of Policy in Regard to Intellectual Property, on February 4, 2008. This Policy, as it may be amended from time to time, applies to all members of the University and visitors who perform research in Harvard facilities. Also, Federal policy requires the University to obtain written agreements from anyone performing research under a federally sponsored program regarding their obligations for reporting and assignment of inventions.

Each person performing research at Harvard should sign either the Harvard University Participation Agreement or the Harvard University Visitor Participation Agreement as applicable.

Go to the Participation Agreement.

Go to the Visitor Participation Agreement.

Go to the Acknowledgement of Risk and Release for Non-Harvard Personnel Using Harvard Research and Instructional Laboratory Facilities.

SPONSOR'S SPECIFIC REQUIREMENTS
Subcontracting Report for Individual Contracts-SF294

• This report is not required from small businesses.
• This report is not required for commercial items for which a commercial plan has been approved, nor from large businesses in the Department of Defense (DOD) Test Program for Negotiation of Comprehensive Subcontracting Plans. The Summary Subcontract Report (SF 295) is required for contractors operating under one of these two conditions and should be submitted to the Government in accordance with the instructions on that form.
• This form collects subcontract award data from prime contractors/subcontractors that:
  • hold one or more contracts over $500,000 (over $1,000,000 for construction of a public facility); and
  • are required to report subcontracts awarded to Small Business (SB), Small Disadvantaged Business (SDB), Women-Owned Small Business

  (WOSB), HUBZone Small Business (HUBZone SB), Veteran-Owned Small Business (VOSB) and Service-Disabled Veteran-Owned Small

  Business concerns under a subcontracting plan. For the Department of Defense (DOD), the National Aeronautics and Space Administration

  (NASA), and the Coast Guard, this form also collects subcontract award data for Historically Black Colleges and Universities (HBCUs) and Minority Institutions (MIs).

• This report is required for each contract containing a subcontracting plan and must be submitted to the administrative contracting officer (ACO) or contracting officer if no ACO is assigned, semi-annually during contract performance for the periods ended March 31st and September 30th. A separate report is required for each contract at contract completion. Reports are due 30 days after the close of each reporting period unless otherwise directed by the contracting officer. Reports are required when due, regardless of whether there has been any subcontracting activity since the inception of the contract or since the previous report.
• Only subcontracts involving performance in the U.S. or its outlying areas should be included in this report.
• Purchases from a corporation, company, or subdivision that is an affiliate of the prime/subcontractor are not included in this report.
• Subcontract award data reported on this form by prime contractors/subcontractors shall be limited to awards made to their immediate subcontractors. Credit cannot be taken for awards made to lower tier subcontractors.

  Minority Business Enterprises/Women-owned Business Enterprises Utilization Report

  MBE/WBE utilization is based on Executive Orders 11625, 12138, 12432, P.L. 102-389 and EPA Regulations Part 30 and 31. EPA Form 5700-52A must be completed by recipients of Federal grants, cooperative agreements, or other Federal financial assistance which involve procurement of supplies, equipment, construction or services to accomplish Federal assistance programs.

  Recipients are required to report 30 days after the end of each federal fiscal quarter or annually, per the terms and conditions of the financial assistance agreement. Submission dates are January 30, April 30, July 30, and October 30. The submission date for annual reports is October 30. MBE/WBE program requirements, including reporting, are material terms and conditions of the financial assistance agreement.

back to top