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KSG Dev FD – DOE

DOE Guidance

March 9, 2022

Faculty Disclosure Guidance for DOE submissions

 

Sponsor-specific tools and resources for submissions to the Department of Energy (DOE)

NSF Proposals & Awards Policies & Procedures Guide (PAPPG)

NSF released its new PAPPG (NSF 22-1) in June 2021. Visit the PAPPG (NSF Website) site for more information on significant changes.

 

NSF Uniform Guidance and Prior Approvals

Refer to Federal Research Terms and Conditions (NSF Website).

Harvard Submission Process

Submissions of proposals and progress reports are due to your School’s submitting office according to their deadline policy for review and authorization.  Submission deadlines vary by the submitting office; for Harvard Chan SPA submit 7 business days before the sponsor’s due date; for OSP and HMS ORA submit 5 business days before the sponsor’s due date.  Please use the links listed below for more information on each submitting office’s deadline policies:

 

Disclosure Guidelines for DOE submissions

On February 1, 2019, DOE issued a new policy mandating that “DOE federal and contractor personnel fully disclose and, as necessary, terminate affiliations with foreign government-supported talent recruitment programs.” Further, as reported in its recent notices, the DOE requires that additional information be included in contractors’ and grantees’ quarterly reports. The following is a summary of the DOE’s new reporting requirements for senior or key personnel.

NSF Pre-award and Post-award Disclosures Summary Chart
Biosketch (at proposal stage)
NIH Biographical Sketch (Biosketch)

 

 General Information Resources

Background

A biosketch is a streamlined version of your CV (curriculum vitae) requested by most funding agencies and institutions. NIH requires them in both competing applications and progress reports. Find instructions, blank format pages, and sample biosketches below.

Instructions

The biosketch format page (NIH Website) has been updated for application and RPPR submissions due dates on/after January 25, 2022 (See NOT-OD-21-073 (NIH Website) / NOT-OD-21-110 (NIH Website) for specific changes and details)

    1. All positions, scientific appointments, and affiliations with both domestic and foreign entities or governments must be included.
    2. Use of SciENcv (NIH website) is strongly encouraged for Biosketch preparation and updates.  For assistance with SciENcv refer to the instructional videos available on HTP (SciENcv course bundle on HTP) that includes:
    1. Changes to Biosketch include revisions to Section A, B, and D.  Details on changes to the Biosketch format (rev 12/2020 (NIH provided DOC)) can be found on the Biosketch NIH Format pages, Instructions, and Sample (NIH Website).

Templates

FAQs

SciENcv

Additional Information

 Section A: Personal Statement

 

    1. Provide a brief description of why the investigator is well-suited for the role on the proposed project.
    2. This section may include ongoing and completed projects from the past three years that the applicant wishes to highlight (previously in Section D).
 
Section B: Positions, Scientific Appointments, and Honors

 

The NIH specifies that the list must include the following, whether or not remuneration is received and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).  List in reverse chronological order:

  • All positions, both domestic and foreign
  • All scientific appointments, both domestic and foreign
  • All affiliations with foreign entities or governments
  • All titled academic, professional, or institutional appointments
  • Any relevant academic and professional achievements and honors.
 
Section C: Contributions to Science

 

    1. Briefly describe up to five of your most significant contributions to science. The description of each contribution should be no longer than one half page, including citations.
    2. While all applicants may describe up to five contributions, graduate students, and postdoctorates may wish to consider highlighting two or three they consider most significant.
 
Section D:  Scholastic Performance (only present on the fellowship version of the Biosketch)

 

With the reorganization of Research Support to Section A, Section D has been reduced to Scholastic Performance and is solely present on the fellowship version of the Biosketch.

 
Current and Pending
DOE disclosure

 

 General Information Resources

Background

Other Support includes all resources made available to a researcher in support of and/or related to all of their research endeavors, regardless of whether or not they have monetary value and regardless of whether they are based at Harvard.  This includes resources and/or financial support from all foreign and domestic entities, including but not limited to, financial support for laboratory personnel, and provision of high-value materials that are not freely available (e.g. biologics, chemical, model systems, technology, etc.).  Such as:

    1. All active and pending grants, whether or not they are based at Harvard
    2. Internal awards in direct support of a research project
    3. In-kind resources (e.g. office/lab space, equipment, personnel, materials not freely available, etc.).  In-kind resources may not necessarily have a readily ascertainable monetary value
    4. Foreign support made to a trainee or fellow working in the lab (e.g. “sponsored fellow” supporting your laboratory’s research efforts)
    5. Positions, affiliations, and appointments that are related to a foreign talent (or similar type) program
    6. All other resources (domestic or foreign) available in direct support of your research endeavors

Additional details may be found in the 2019 Notice: NOT-OD-19-114 Reminders of NIH Policies on Other Support and on Policies related to Financial Conflicts of Interest and Foreign Components (NIH Website) and the supporting FAQs (NIH Website).  Notice: NOT-OD-21-073 Upcoming Changes to the Biographical Sketch and Other Support Format Page for Due Dates on or after May 25, 2021 (NIH Website).

Instructions

The NIH Other Support website (NIH Website) has been updated for application and RPPR submissions due dates on/after January 25, 2022 (See NOT-OD-21-073 (NIH Website) / NOT-OD-21-110 (NIH Website) for specific changes and details)

    1. Changes to Other Support include reorganization of the format page, electronic signatures, and supporting documentation for foreign activities and resources.  Additional details can be found on the NIH Other Support website (NIH Website) including changes to the Other Support form (rev 12/2020 (NIH provided DOC)), as well as instructions and FAQs.
    2. Use of SciENcv (NIH Website) is strongly encouraged for Biosketch preparation and updates.  For assistance with SciENcv refer to the instructional videos available on HTP (SciENcv course bundle on HTP) that includes:

Templates

Guides

FAQs

SciENcv

Job Aids

Additional Information

What individuals have worked on the project?

 

Provide the following information for:

    1. Project director(s)/Principal investigator(s) (PDs/PIs); and
    2. each person who has worked at least 160 hours on the project during the reporting period, regardless of the source of compensation. Please note that such reporting does not constitute a formal institutional report of effort on the project, but rather is used by agency program staff to evaluate the progress of the project during a given reporting period.
 
Provide the name and identify the role the person played in this project.

 

Indicate the total number of months (including partial months) (Calendar, Academic, Summer) that the individual worked on this project. Using the project roles identified below, select the most senior role in which the person worked on the project for any significant length of time. For example, if an undergraduate student graduated, entered graduate school, and continued to work on the project, show that person as a graduate student, preferably explaining the change in involvement.

Project Roles:

    • PD/PI
    • Co PD/PI
    • Faculty
    • Community College Faculty Technical School Faculty
    • K-12 Teacher
    • Postdoctoral (scholar, fellow or other postdoctoral position) Other Professional
    • Technician​​​​​​​
 
Identify the person’s state, U.S. territory, and/or country of residence

 

State whether this person collaborated internationally.

If the participant was U.S.-based, state whether this person collaborated internationally with an individual located in a foreign country and specify whether the person traveled to the foreign country as part of the collaboration, and, if so, what the duration of stay was. The foreign country(ies) should be identified.

If the participant was not U.S.-based, state whether this person traveled to the U.S. or another country as part of a collaboration, and, if so, what the duration of stay was. The destination country should be identified.

Example:

    • Name: Mary Smith
    • Total Number of Months: 5.5
    • Project Role: Graduate Student
    • Researcher Identifier: 1234567
    • Contribution to Project: Ms. Smith has performed work in the area of combined error-control and constrained coding.
    • State, U.S. territory, and/or country of residence: Michigan, U.S.A.
    • Collaborated with individual in foreign country: Yes
    • Country(ies) of foreign collaborator: China
    • Travelled to foreign country: Yes
    • If traveled to foreign country(ies), duration of stay: 5 months

 

 
What other organizations have been involved as partners?

 

Describe partner organizations- academic institutions, other nonprofits, industrial or commercial firms, state or local governments, schools or school systems, or other organizations (foreign or domestic) – that have been involved with the project. Partner organizations may provide financial or in-kind support, supply facilities or equipment, collaborate in the research, exchange personnel, or otherwise contribute.  
Have other collaborators or contacts been involved?

 

Some significant collaborators or contacts within the recipient’s organization may not be covered by “What people have worked on the project?”. Likewise, some significant collaborators or contacts outside the recipients’ organization may not-be-covered under “What other organizations-have been involved as partners?

For example, describe any significant:

    • collaborations with others within the recipient’s organization, especially interdepartmental or interdisciplinary collaborations;
    • collaborations or contact with others outside the organization; and
    • collaborations or contacts with others outside the United States or with an international organization.”
 
Undisclosed Other Support

 

Immediately notify your Research Administrator of undisclosed Other Support (i.e., information that was missing from a proposal at Just-In-Time (JIT) or a Research Performance Progress Report (RPPR)).

 
Roles and Responsibilities Pertaining to NIH Grant Disclosure
Principal Investigators and Key Personnel

Principal Investigators and Key Personnel are expected to be forthright and transparent about relationships, resources, and activities.  Investigators and Key Personnel will provide a complete and accurate disclosure on their Biosketch and Other Support.  This includes:

    1. Collecting their disclosure information from GMAS.
    1. For NIH Other Support disclosures: providing any required unredacted agreements, with English translation if the original is in a foreign language
    2. Working with their Grant Manager to complete your submission
    3. Certifying with their electronic signature the completeness and accuracy of the final Other Support document with your electronic signature prior to submission to NIH
Grant Managers

Grant Managers will assist PIs and Key Personnel in organizing, formatting, and completing their submission.  This may include:

    1. Creating JIT/Continuation Request in GMAS
    2. Obtaining the disclosure information from the PI or Key Personnel.
    3. Working with the PI or Key Personnel to complete their Biosketch and Other Support.
    4. Uploading documents to the JIT/Continuation Request
      • Assisting the PI with uploading, as needed, foreign agreements for review
      • For NIH Other Support disclosures:  ensuring required supporting documentation, including original agreements and English translations, is attached
    1. Formatting and reviewing for completeness and accuracy.
School or Central Reviewers

School or Central Reviewers will coordinate with Grant Managers and PIs or Key Personnel to ensure the accuracy and completeness of the submission.  This includes:

    1. Reviewing Biosketch and Other Support for completeness and accuracy.
    2. Reviewing Contracts/Agreements submitted by the PIs and other Key Personnel for inclusion on Other Support.
    3. For NIH Other Support disclosures: Ensuring required supporting documentation, including original agreements and English translations, is attached.
    4. Maintaining original signed (certified) copies of Other Support.
    5. Submitting finalized Biosketch and Other Support to NIH.
School Contacts

Use the links below to contact your Research Administrator:

 

Foreign Contract and Agreement Review

School Main Contact Email Address
FAS Lauren Ferrell Outsideactivities@fas.harvard.edu
GSE Tiffany Blackman tiffany_blackman@harvard.edu
HMS Lindsay Monahan international_collaborations@hms.harvard.edu
HSDM
SPH Angela Brazeau oscontracts@hsph.harvard.edu
HKS Carrie Kachoria carrie_kachoria@hks.harvard.edu
SEAS Lauren Ferrell Outsideactivities@fas.harvard.edu
HLS Katie McGrath kmcgrath@law.harvard.edu
Wyss Katrin Duevel katrin.duevel@wyss.harvard.edu
Other Schools Contact your OSP Rep with Questions

 

General Other Support (Current and Pending) and Biosketch

School Main Contact Email Address
FAS Lauren Ferrell Outsideactivities@fas.harvard.edu
GSE Tiffany Blackman tiffany_blackman@harvard.edu
HMS Kelly Evans Kelly_Evans@hms.harvard.edu
HSDM
SPH Melissa Francis mjfrancis@hsph.harvard.edu
HKS Carrie Kachoria carrie_kachoria@hks.harvard.edu
SEAS Pam Baker-Weber bakerwebber@fas.harvard.edu
HLS Katie McGrath kmcgrath@law.harvard.edu
Wyss Katrin Duevel katrin.duevel@wyss.harvard.edu
Other Schools Contact your OSP Rep with Questions

 

*Note:  The Research Administration contact for a specific project can be found in the Administrative Team section for the project in GMAS.
Definitions

NIH and NSF Definition of Research:

A systematic study directed toward fuller scientific knowledge or understanding of the subject studied.

Harvard University Definition of Scientific Appointment:

Any academic or research appointment, including visiting, adjunct or temporary academic appointments, with a university, college, governmental or non-profit research institution and any fiduciary or executive level appointment with a for-profit entity engaged in commercial or research activities of a biomedical nature.

Harvard University Definition of Research:

Adheres to the Federal Policy for the Protection of Human Subjects (known as the “Common Rule” as defined in HHS regulation 45CFR46).  Teaching/training in research methods may also constitute Research for the purposes of NIH’s definition.

The Common Rule defines research as a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. (45CFR46.102(l))

Harvard University Definition of Conducting Research:

To be a Project Director, Principal Investigator or to otherwise be responsible for the design, conduct or reporting of research regardless of title or position (e.g., an Investigator). This definition does not normally include service on scientific or clinical advisory boards or more general scientific consulting unless it is anticipated that the individual will make a direct and significant intellectual contribution to a specific research project for the entity.

Harvard University Definition of Research as Part of Consulting:

To be responsible for the design, conduct or reporting of Research regardless of title or position.  This does not normally include service on scientific or clinical advisory boards or more general scientific consulting, unless the Principle Investigator or Senior/Key Personnel is anticipated to make a direct and significant intellectual contribution to a specific Research project for the entity.  Such an activity may result in earning authorship on a publication describing or supporting a research activity, or any consulting activity that otherwise meets the definition of Research.

Harvard University Definition of Support:

Any resources (i.e., financial, in-kind, personnel, provision of high-value materials that are not freely available) made available to a Principle Investigator or Key Personnel for use by this individual to pursue their Research. This includes in-kind resources directly provided to the individual (e.g., office/laboratory space, equipment, supplies or employees or students funded by outside sources). This does not include institutional resources, such as core facilities or shared equipment, that are made broadly available.

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