Research Checklist

The following list can be used as a research policy "roadmap" for one's research. If a statement applies to the research you are conducting, it is likely that your project will require review by one or more offices/committees at Harvard. The instructions with each statement will direct you to the relevant policy section of this website or to the appropriate office you will need to contact.

My Research Involves:

Applying for a grant or contract from a federal or other government agency, or from a public foundation.

Please refer to the Grants Management page of this website or contact the Office of Sponsored Programs.

 

Applying for a gift or grant from a private or family foundation

Please contact your School's development office or Sarah Jackson in the University Development Office.

 

Collaborating with or seeking sponsored research support from a company or other for-profit entity.

Please refer to the Outside & Commercial Activities section of this website or contact the Office of Technology Development.

 

Seeking a gift from a corporation.

Please contact your School's development office or Merril Meadow or Lisa Schwarz in the University Development Office.

 

Seeking philanthropic support from harvard alumni, Harvard parents or non-Harvard individuals.

Please contact your School's development office or Merril Meadow or Lisa Schwarz in the University Development Office.

 

Living individuals about whom I (or my team) plan to obtain

(1) Data through interaction or intervention with the individual (including surveys), or
(2) Identifiable private information.

You must consult your School's Institutional Review Board (IRB) to determine if your research requires review. Please refer to the Human Subjects & IRBs page of this website, which includes a list of contacts for Harvard's three IRBs.

 

The use of information that may be used to identify individuals, including data collected from or about human subjects, or data sets that may permit "re-identification" of individuals by cross referencing data fields or other publicly available data, or information that is subject to any data use agreement, such as a promise to maintain confidentiality.

You must comply with federal, state, and university data protection policies and practices. Please refer to the Information Privacy page of this website, which includes contact information for School Chief Information Officers (CIO), School Information Security Officers, and the University CIO.

 

The use of the Harvard name, Harvard insignia, or a Harvard School or Department name or insignia/logo to describe my research project, or in research materials or on research equipment or a research website.

You must comply with Harvard's Policy on the Use of Harvard Names and Insignia. Please contact the Harvard Trademark Program.

 

The receipt of consulting fees or other payments from outside organizations for work related to my professional expertise.

You must ensure that you are in compliance with the Harvard University Policy on Financial Conflicts of Interest and with your School's implementation of that Policy. Refer to the Conflicts of Interest & Commitment page, which includes a list of School-designated COI officials, or contact the Office of the Vice Provost for Research.

 

The use of living or dead non-human vertebrate animals.

You must consult your School's Institutional Animal Care and Use Committee (IACUC) to determine if your research requires review. Refer to the Animal Research & IACUCs which includes contact information for Harvard's two IACUC's.

 

The use of any items in the following groups: Group 1= recombinant DNA, including human gene transfer studies, Group 2= infectious agents or pathogens, Group 3= primate (human or non-human) tissues or fluids (including organs, blood, fluids, cell lines…), Group 4= xenotransplantation (only animal tissue into humans), Group 5= substances controlled by the Drug Enforcement Agency, the US Department of Homeland Security, the Center for Disease Control, the Occupational Safety and Health Administration, or the US Department of Agriculture, Group 6= dual use agents (chemical or biological materials used for legitimate research purposes that may also be subject to restrictions for security purposes).

If using Groups 1, 2, or 3, your research may require Committee on Microbiological Safety (COMS) review. Refer to the Lab Safety page of this website, which includes the contact information for COMS.
If using Groups 4 or 5, your research will require review by Environmental Health & Safety. Refer to the Lab Safety page of this website, which includes contact information for EH&S.
If using Group 6, you are required to comply with US Export Control regulations. Refer to the Export Controls & Bio-security page of this website.

 

The export of items, services, or technologies to another country, or allows potential access to such items by a foreign national (i.e. "deemed export").

You are required to comply with United States Export Control regulations. Please seek advice from your School's Dean of Research and refer to the Export Controls page or contact the Office of the Vice Provost for Research.

 

The receipt of tangible research materials (e.g., solid tissue or bodily fluids, "cell lines, cultures, nucleic acid molecules, proteins, bacteria, transgenic animals, pharmaceuticals, chemicals, or other proprietary physical materials").

An incoming Material Transfer Agreement (MTA) may be required. For assistance, refer to the Office of Technology Development (OTD) website.

 

The sharing of tangible research materials (e.g., solid tissue or bodily fluids, "cell lines, cultures, nucleic acid molecules, proteins, bacteria, transgenic animals, pharmaceuticals, chemicals, or other proprietary physical materials").

An outgoing Material Transfer Agreement (MTA) is required in some instances and recommended in others.. For assistance, refer to the Office of Technology Development (OTD) website.

 

Human embryonic stem cells, induced pluripotent stem cells, or derivatives obtained from such cells.

Please refer to the Stem Cells & ESCRO section of this website, or contact the Harvard Embryonic Stem Cell Research Oversight (ESCRO) Committee Administrator to determine if your research requires ESCRO review.

 

The creation of inventions, such as novel materials, methods or computer software/databases that are or may be protected/protectable by a patent or copyright.

If your invention will be protected by a patent, you are required to comply with the university's intellectual property policy. Refer to the Intellectual Property page of this website or contact the Office of Technology Development (OTD).

 

Establishing a Harvard program, project, or site in a foreign country.

Please refer to the International Research page of this site or contact the Office of the Vice Provost for International Affairs.

 

Seeking a gift from a person or entity in a foreign country

Please contact Ellen Sullivan, Director of International Advancement, in the University Development Office.

 

A supervisor/colleague/subordinate about whom I have concerns that he/she may not be complying with regulations or policies relating to the conduct of research.

Please visit the Report Non-Compliance page of this website.

 



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