Revised August 2004

JOHN F. KENNEDY SCHOOL OF GOVERNMENT

DEAN’S APPROVAL FORM FOR SPONSORED PROJECTS

Date Due at Sponsor Check if NA : /
Is this a firm sponsor deadline?
/ Yes / No
Has this proposal been sent to the sponsor directly by the principal investigator? / Yes / No
Is this approval for an award that has been received? / Yes / No
Principal Investigator(s): / Phone:
Phone:
KSG Staff Contact: / Phone:
Research Center Affiliation (if applicable):
Org Number: / Root:
Title of Proposal:
Project Dates: / Amount Requested: $
Facilities & Administrative Costs Rate: %
If the title of this proposal includes the use of the Harvard or Kennedy School name, has approval been received
from the Provost (Harvard name) or Academic Dean (Kennedy School name)? / Yes / No / N/A
Sponsor:
Contact Person:
Title:
Mailing Address:
Phone and e-mail:

Subcontracts

If this is a subcontract proposal, please list the prime sponsor:
Do you intend to subcontract any of this research to another institution? / Yes / No
If you intend to subcontract any of this research, please include the subcontractor’s institutional approval, a statement of work, and budget.

Please check only one for each of the following questions. Both Type of Proposal and Location are determined by preponderance of effort.

Proposal Status: / NewContinuation / Supplement / Fund Number:
Revised Budget / Continuation / Fund Number:
Transfer / Renewal / Fund Number:
Type of Proposal: / Research / Instruction / Other Sponsored Activity / Financial Aid
Location: / On-Campus Off-Campus
FRINGE BENEFIT RATES / FY05 / FY06* / FY07* / FACILITIES AND ADMINISTRATIVE COST RATES
Faculty (object codes 6010-6040) / 25.4% / 27.0% / 27.0% / Federally-sponsored organized research: 64%
Exempt (object code 6050) / 32.0% / 33.0% / 32.0% / Federally-sponsored other sponsored activity: 29%
Union (object code 6070) / 40.4% / 43.0% / 42.0% / (Primary activity not research)
Temporary (object code 6120) / 9.4% / 10.0% / 9.0% / Federally-sponsored off-campus rate: 26%
Research Fellow (object code 6150) / 21.3% / 27.0% / 27.0% / (Preponderance of effort takes place off-site)

*Fringe benefit rates for FY06 and FY07 are latest projections, as of May 2004.

KSG Faculty Salaries in Proposal Budget

/
Percent of Academic Year Salary
/

Number of Months of Summer Salary

Name

/

AY04

/

AY05

/

AY06

/

AY07

/

2005

/

2006

/

2007

/

2008

If KSG faculty academic year time is not included in budget, please explain. This is particularly important where AY time is not budgeted, but where summer salary is requested. (Attach additional sheets as necessary).

Please complete as applicable:

KSG Core Fixed Costs Funded in Proposal Budget / Amount
a) Academic year salaries and fringe benefits for PI and other KSG faculty investigators / $
b) KSG Faculty office rent / $
c) KSG Faculty assistant salaries and fringe benefits / $
d) KSG Faculty assistant rent / $
e) Total KSG Core Fixed Costs (total of a-d) / $
f) Total Direct Costs of Proposal Budget / $
g) Overhead rate allowed by sponsor / %
h) “Existing Cost Rate”: Percentage of direct costs offsetting KSG core fixed expenses (e/f) / %

If the overhead rate allowed by the sponsor (g, above) is less than 20%, please address the overhead shortfall by completing the following checklist. For details on KSG overhead policy, please see the Research Administration FAQ:

Center/Program unrestricted funds offset by grant direct costs will subsidize the overhead shortfall / Yes / No / N/A
Other Center/Program funds will directly subsidize the overhead shortfall / Yes / No / N/A
Direct costs will directly credit KSG (faculty academic year salary/rent, faculty assistant salary/rent. / Yes / No / N/A
A waiver from the KSG Sponsored Research Overhead Support Fund has been approved/is pending / Yes / No / N/A
Overhead support fund waiver requests should be submitted via email to Matthew Alper; attach budget and proposal summary if available.

In reviewing sponsored overhead shortfalls, the Academic Dean will give due consideration to a variety of factors, including the Existing Cost Rate (h, above). Other factors include:

The degree of direct engagement of the project PI and of other KSG faculty members;

The specific connection of the new proposal to other KSG research, teaching and outreach activities;

The degree to which the new proposal would impose incremental costs (financial and otherwise) on KSG infrastructure services.

Is additional space required for new or existing personnel? / Yes / No

Requests for additional space will be considered and prioritized alongside all such requests at the time the new award is made. The Dean’s (or his designee’s) signature on this form does not guarantee that additional space will be made available. If additional space cannot be identified, it is the PI's responsibility to ensure that the project can proceed as the funder expects within existing space constraints.

Participation of non-KSG Harvard faculty

/ Yes / No
Does this proposal include compensated participation of non-KSG Harvard faculty?
If yes, is written approval from the relevant school(s) attached?

Conflict of Interest

If the answer to any of these questions is yes, please attach a completed Conflict of Interest Disclosure Form. / Yes / No
1) Is this a National Science Foundation or Public Health Service proposal?
2) Do you or any of your research staff have any financial interests that might be affected by the results of this proposal?
3) Does your funder have any financial interests that might be affected by the results of your work?
4) Can you identify anything in this proposal or in the relationship with the sponsor that might give the appearance of a
conflict of interest?

Human Subjects

/ Yes / No

Does this proposal involve collecting or usingdata from or about individuals?

If yes, please consult the KSG Research Administration Office to determine the need for further review by completing the

Revised August 2004

RAO Preliminary Questionnaire on theUse of Human Subjects or Human Subjects Data OR

Revised August 2004

if an application has been submitted to the University’s Committee on the Use of Human Subjects (CUHS) please attach a copy of CUHS

approval, or if approval is pending please attach copy of request.

Cost Sharing

/ Yes / No
Does this project include costs that will be borne by other current sponsored accounts or pending proposals?
If current sponsored account(s), please list sponsor name(s) and fund number(s):
If pending sponsored proposal(s), please list name(s) of funder(s) and submission date(s).
Yes / No
Does this project include costs that will be borne by KSG (or other Harvard) unrestricted, endowment, or
gift accounts?
If yes, please complete and attach the Cost Sharing Identification and Approval Form.

Charging Administrative Salaries and Other Office Costs to Federal Grants

/ Yes / No
Does this proposal include direct charges of administrative salaries to federal grants?
If yes, please complete and attach the Checklist for Direct Charging of Administrative Salaries.
Office costs such as supplies, postage, copying, telephone (other than long distance), and equipment up to $5000 are considered indirect costs and cannot be charged as direct costs unless they qualify as a special circumstance.

Please submit the original and three copies of proposal for KSG and OSR files, plus any additional copies required by the sponsor.

APPROVALS:

Principal Investigator(s)Date

Center/Program Financial Officer Initials (if applicable) ______

Center/Program Director (if applicable)Date

______

Office of Financial Services Date

For the DeanDate

FOR RAO USE ONLY
Does this project require full or expedited review by the Faculty Committee on Projects and Proposals?
Yes No Pending
If yes, type and date of review: