Chapter Three: SPONSORED RESEARCH
Harvard is a research-based university, and the GSD places strong emphasis on the scholarly production of the faculty. A broad range of activities constitutes “scholarly,” such as design explorations, professional studies, research, and scholarly discourse. In design, this may include entering competitions; conducting prototypical design or planning studies; testing policies through design, planning, or simulating models, or preparing case studies. More typical research may include empirical investigations, as well as speculative essays setting forth hypotheses and positions. Faculty are expected to present their scholarship for peer review and discussion through exhibitions and/or publications.
Full-time faculty are expected to initiate research or scholarly study under the auspices of the School. The focus of individual research is determined in consultation with the department chair and the dean of the faculty. Where appropriate, the responsibility for active scholarship includes writing proposals and seeking external funds, as well as leading and supervising investigations and preparing exhibitions or publications. Research funded by outside agencies is subject to the review, approval and budget procedures of the GSD and the University.
SPONSORED RESEARCH
Sponsored research is defined as university-based research, instruction, or training, and other forms of scholarship, including design or professional studies, funded by an external source, such as a corporation, foundation, or government agency. Projects can be funded by either grants or contracts and are normally subject to overhead charges by Harvard University and the GSD. Proposals for sponsored research must be discussed with the appropriate department chair and the Associate Dean for Administration and External Relations before being submitted.
APPEALS TO FOUNDATIONS, CORPORATIONS, OR OTHER DONORS BY INDIVIDUAL FACULTY MEMBERS
Faculty may not accept grants or contracts on behalf of the GSD or Harvard University without prior written approval of the dean and the associate dean for administration and external relations. The GSD is not a legally incorporated entity and only the Office of Sponsored Research (OSR), acting for Harvard University, can commit the GSD to the terms and conditions of a grant or contract. The Office of Sponsored Research will assist faculty members who wish to seek grants or contracts for support of their work. Faculty members should first seek assistance from the GSD development officer responsible for corporation and foundation relations.
ROLE OF PRINCIPAL INVESTIGATOR
A principal investigator is the project director of a research grant or contract responsible for seeing that the work is carried out according to the terms, conditions, and policies of both the sponsor and the university. The principal investigator is solely responsible for the intellectual integrity of the work. Normally, a principal investigator must hold a full-time academic ladder appointment. Students and persons holding non-academic ladder positions normally may not be principal investigators.
Ordinarily, there must be one principal investigator. In the event of two equal leaders, one must be designated as the principal investigator responsible for administration of the award, so that there is one person legally responsible for satisfactory performance.
When preparing a proposal, the principal investigator is responsible for the following:
• drafting proposal narrative and budget;
• collecting letters of support and other requested supplementary
materials;
• exploring additional funding possibilities when the sponsor
specifies a matching or cost-sharing requirement; and
• arranging for final typing and copying of the proposal and its
delivery to OSR.
Once an award is made, the principal investigator’s responsibilities include:
• selecting personnel to work on the project and securing their
appointment;
• performing the work subject to the terms and conditions stated
in the award letter;
• supervising all work delegated or assigned to others;
• monitoring award-related expenditures and checking the accuracy
of monthly financial statements; and
• completing any interim or final reports required by the funder.
HARVARD UNIVERSITY’S OFFICE OF SPONSORED RESEARCH
The Office of Sponsored Research is the University’s central administrative office responsible for sponsored projects in all faculties. It serves as the communication link between the University’s research community and external sponsors. As such, it is the only official signatory for sponsored research proposals and awards on behalf of all faculties and departments in the University.
The Office of Sponsored Research distributes two publications: the bimonthly publication entitled OSR Bulletin, which contains brief descriptions of current funding sources and deadlines to all interested faculty; and the Principal Investigator’s Handbook, which covers Harvard’s policies relating to sponsored research, indirect costs, and proposal and budget preparation.
The Office of Sponsored Research is located in Holyoke Center, Room 440. This office also maintains a library of fundraising resources open to the Harvard community.
STEPS IN THE DESIGN SCHOOL'S PROPOSAL PROCESS
• Discuss proposed research with department chair.
• Notify the associate dean for administration and finance at
the GSD.
• Identify funding source(s).
• Draft narrative and proposed budget.
• Secure department chair’s approval.
• Complete proposal and submit with required transmittal form
(see Appendix).
BUDGETS: DIRECT AND INDIRECT COSTS
All project budgets for sponsored research must reflect both direct and indirect costs. Direct costs are all salaries and benefits (including support staff), equipment, publication costs, supplies, services, space, telephone, travel, etc. Indirect costs are those expenses related to the performance of research that cannot be directly or easily assigned to specific projects, such as:
• building and equipment operation and maintenance (when direct
costs for space are not included);
• university and departmental administration;
• library services; and
• use of existing equipment, software, data, etc.
The office of the associate dean for administration and finance will assist in the computation of indirect costs and the preparation of project budgets.
BUDGETS: SALARIES
Current university policy permits faculty members to receive summer salaries equal to one-ninth of a faculty member’s academic salary for each month worked, up to a maximum of three months, provided that the full costs are paid by external funding and the work has been approved by the University and the GSD. Full costs also include the percentage of the salaries appropriate for paying the University’s fringe benefit rate. Current policy does not permit payments beyond a faculty member’s base salary for research performed during the two academic terms.
For additional information, contact the GSD’s associate dean for administration and finance or the GSD development officer responsible for corporation and foundation relations.
JUNIOR FACULTY COMBINED TEACHING AND RESEARCH APPOINTMENTS
An appointment to an assistant or associate professor position may include a provision in which the faculty member dedicates a certain percentage of time to conducting research, normally under the auspices of one of the school’s research centers. Annually, the percentage of time spent on teaching and on research activities will be clearly delineated. A memorandum of understanding will either be included in the initial appointment letter or added as an addendum any time after the appointment begins.
UNIVERSITY POLICIES
Information on university policies (see also section on "Other
Policies"), including inventions, patents, trademarks, conflict
of interest and materials transfer can be found at the Office of Technology Development website: www.otd.harvard.edu.