Field Engagement / Harvard as a Service Provider

In certain circumstances, HGSE seeks to deliver defined services, such as a workshop series or a training program along with support and consulting, to an outside organization in exchange for payment. ORA guides all such engagements from first conversation to signed agreement.

No work may begin until the engagement has been approved by every required office and the agreement is fully executed.

A consulting and related service agreement is used when HGSE, through its faculty members, staff, and other resources, commits to provide specified services or deliverables to an outside party for an at-cost fee. These agreements are distinct from grants, gifts, and sponsored research. Because Harvard is a non-profit entity, Harvard may be the contracting party only when the activity advances a core academic mission of HGSE and provides a significant institutional benefit or a public benefit consistent with the University's charitable status.

The university has recognized this kind of work as consistent with HGSE's academic mission because it disseminates HGSE's work to the field and expands the breadth and depth of its impact. The core of the engagement usually is the professional development offering itself, but may also be more generalized advising and consulting. In the performance of the professional development, limited advising or coaching before and after is acceptable, but the preponderance of the effort and the budget costs should go to the offering.

These engagements are governed by the Harvard Policy on Consulting or Related Service Agreements. They receive extra review because Harvard carries the risk for a variety of reasons, including but not limited to the following: 

• Implications if deliverables fall short
• Clients seeking to direct the work
• Students needing protection. 

At all times, income-generating activity must stay within Harvard's tax-exempt status. In order to ensure this, HGSE follows the review sequence below.

1. Early consultation
   Talk with ORA and your portfolio manager before you commit to anything with the organization. Engagements that look like professional development may also need coordination with HGSE Programs in Professional Education (PPE).
2. Prepare the proposal
   Include a description of the work and the project dates; a budget of all costs, including 15% indirect costs; the reason the work cannot be funded as a grant or gift and how it supports HGSE's mission; and the organization's legal name, address, contact, and a short description.
3. Internal HGSE review
   The HGSE Financial Dean and the ORA Director review the proposal for fit, risk, and cost recovery.
4. International review (if applicable)
   Work with an organization outside the U.S. requires review by the Committee for International Projects and Sites (HGSE CIPS). That includes restricted party screening and a background review of the organization's ties to foreign governments and export central review. Submit the CIPS request form to cips@gse.harvard.edu. CIPS routes the request for decanal review, which also counts as the Dean's approval in the next step.
5. Decanal review
   ORA sends the proposal to the Dean, unless CIPS has already done so.
6. Provostial review
   In certain cases, the Office of the Vice Provost for Research then reviews the engagement against the Provost review criteria, including reputational risk, feasibility, and any restrictive terms.
7. Contracting
   ORA drafts the agreement, negotiates terms with the organization, and signs once terms are acceptable.
8. Work begins
   Only after the agreement is fully executed.

When ORA negotiates with the organization receiving the services, these Harvard positions come up most often. Sharing them with the organization early helps avoid delays. Exceptions are rare.

• Full cost recovery
  The fee must cover the full cost of doing the work, typically HGSE salaries and fringe: direct costs plus HGSE's 15% rate.
• Harvard directs the work
  While deliverables can be set with the organization, Harvard keeps control over how the work is done, who does it, and the project's goals. The client defines the deliverables, not the methods
• Publication
  Faculty cannot accept restrictions that would prevent scholarly publication.
• Intellectual property and publication
  Harvard or its authors, in accordance with the IP policy, seeks to own the resulting IP, but can grant a broad non-commercial license to the organization to the work product. In all cases, Harvard holds the right to publish on the work.
• Confidentiality
  Harvard can protect the organization's clearly defined sensitive information, such as financial data.
• Students and postdocs
  Participation should ideally be a learning experience. If the work involves HGSE students, students may use and discuss the work in their academic and career pursuits.
• No warranties or indemnity
  Harvard gives no indemnity and no warranties about the work product.
• Key personnel
  Harvard may end the agreement without liability if the faculty member leading the work becomes unavailable. Additionally, Harvard remains in control of determining which personnel will work under the agreement.
• Use of Harvard's name
  The organization may not use Harvard or HGSE names or marks without permission, in line with Harvard's name-use policies.
• Payment terms
  Payment follows a schedule set in the agreement, in U.S. dollars where possible and preferably by ACH or wire.

Income from these agreements is not sponsored funding. It is booked to a non-sponsored UD account tied to the faculty member and unit. Once the agreement is signed, the HGSE unit or center running the engagement handles invoicing, with HGSE Finance.

1. Set up the UD account
   Contact the Finance Office to open a UD account associated with the faculty member, if one does not already exist. Agree on how payment will arrive (ACH, wire, or the client's online portal). IT may join if the client has special requirements.
2. Issue invoices on schedule
   Use the HGSE invoice template and follow the payment schedule in the agreement. Each invoice shows an invoice number, date, amount, and description of services. Send Harvard's W-9 if the client needs it to set Harvard up as a vendor.
3. Confirm payment
   Make sure the client pays and the funds reach the UD account. Electronic payment by ACH or wire is strongly preferred over paper checks.
4. Manage spending and deliverables
   Charge expenses to the UD account in line with the approved budget, using data change forms or journals to move charges where needed. The faculty member and unit are responsible for every deliverable and reporting deadline in the agreement, such as a training date or a final report.
5. Close out
   When performance has ended at least 90 days earlier and all income has been received and booked, HGSE Finance moves the 15% indirect cost amount from the UD account to the HGSE Core, and the account can be closed.

• Consulting or Related Service Agreements Policy (PDF)
• Provost review criteria
• Outside Activities of Holders of Academic Appointments
• Financial Conflicts of Interest Policy
• Intellectual Property Policy