Chapter 4

GRANT AND CONTRACT SUPPORT OF UNIVERSITY ACTIVITIES

Section 1. Grant and Contract Research Policy

A. The responsibility of the faculty for making recommendations to the administration on all matters touching grant and contract research is exercised through the Faculty Council on Grants and Contract Research. It is the duty of this council to maintain a continuous review of experience in the application of the policies set forth in the following paragraphs and to inform itself concerning grant and contract research practices at other institutions, and to recommend such changes in University policies as it finds to be in the best interests of the University.

B. Research is undertaken by the University under grants from or contracts with outside agencies, public or private, only when one or both of the following conditions are satisfied:

1. The research involved is in the public interest, and the University's facilities are peculiarly suited to its successful prosecution.
2. The nature of the research problem is such that if University funds were available, the department and/or staff member concerned might undertake the investigation on their own initiative without outside financial assistance.

C. Grants and contracts for support of research shall be accepted by the University only if recommended favorably by the dean of the college and the department chairperson under whose jurisdiction the research is to be done. Copies of all proposals for grant and contract support of research shall be available to the Faculty Council on Grants and Contract Research on request at any time.

D. Assignments to grant and contract research shall be on a wholly voluntary basis, and members of the faculty shall be considered "available" only at their own expressed desire.

E. Assignments to grant and contract research are treated as part of the regular academic load of the faculty members involved. When such research is undertaken during the academic year, overload is to be avoided by appropriate adjustments in their teaching or other duties. No assignment shall involve responsibilities over and above the regular load which might impair the effectiveness of faculty teaching or otherwise jeopardize the professional advancement of faculty or diminish their usefulness to the University.

F.

1. Compensation to participating faculty shall take account of three factors:
   a. The academic salary scale.
   b. Special value, skill, knowledge, or hazard involved in the service.
   c. Current practice among universities and competing institutions in compensating for similar services.
   
2. The general practice is to grant compensation at the same monthly rate as that determined in the regular salary scale. No grant or contract shall be accepted by the University which commits faculty members to a twelve-month period of service except as provision is made for full compensation during such period. In the event of national emergency, the salary limitation may be waived should it become imperative to hold or secure staff for services designated by the administration as "essential."
3. If consistent with funding agency policy, faculty on nine-month academic year appointments may accept grant/contract appointments during the summer for periods normally not to exceed 2.5 months in any one summer. A faculty member requesting appointment for greater than 2.5 months in any one summer must submit a written statement through the dean to the Provost indicating the intent to devote full-time effort during the summer employment period.

The same policy applies to faculty on appointments greater than nine months (i.e., 9 1/2- or ten-month appointments). Those periods of the appointment which are in excess of nine months shall be included in the calculation of the summer appointment entitlement outlined above.

G.

1. A retired faculty member must submit applications for grant or contract support of research in the manner as indicated in paragraph C of this section. Such applications will be reviewed in terms of criteria applicable to other requests for approval of grant or contract research.
2. A retired faculty member may be reemployed under and receive compensation from a research grant or contract in accordance with Volume Four, Part V, Chapter 18, Section 9. The University Retirement Officer should be consulted to determine the possible effect of such employment upon the retired faculty member's University retirement income.

Section 2. Grants and Contracts from Non-University Funds

A. All proposals to outside agencies for support of research and research facilities, University-administered traineeships and fellowships, institutes and special teaching programs, and other University activities which are to be supported wholly or partially with non-University funds shall be submitted with the Form GC-1, "Request for Approval of Application for Grant or Contract," through the Vice Provost for Research (or his or her designee), who is the person officially designated to approve, sign, and transmit such proposals. The University will not honor any obligations, expressed or implied, which have not been properly authorized. The usual procedures are as follows:

1. A proposal for a grant or contract (or the renewal thereof) which is made by or to a department of the University or members of its staff, and which involves agencies or sources outside the University, is submitted for approval through the department chairperson. Budgetary information and statements concerning the use of personnel, space, and facilities for the contemplated activity must accompany the proposal, as specified in the Form GC-1. The chairperson's review relates to the substance and merit of the proposal as well as to budgetary and administrative considerations, and approval by the chairperson constitutes an endorsement of all aspects of the proposal.
2. The proposal is submitted by the department chairperson to the dean of the school or college for review and approval. The dean's review should relate to the substance and merit of the proposal as well as to the budget, to the salary and employment of present personnel or proposed new personnel, and to any other aspect of the proposal which may affect the teaching, the research, and the use of space and facilities of the department and the college.
3. Following approval and endorsement by the department chairperson and the dean of the school or college, the proposal is transmitted to Grant and Contract Services (a unit under the Vice Provost for Research) for review of the proposal and determination of its conformity to the University's policies. If appropriate, it is referred to other University officers for review of financial or legal questions, commitments of University space, facilities, or services, and other considerations. Prior consultation of faculty members with Grant and Contract Services during the preparation of a grant or contract proposal is encouraged, especially with regard to budgetary provisions. Final approval for the University and transmittal to the prospective sponsor are the responsibility of the Vice Provost for Research, or his or her designee.
4. There is no desire to limit or restrict reliance on personal acquaintanceship in developing agreements for outside support. It is strongly urged, however, that the department chair and college dean be consulted and kept informed at all stages and that copies of correspondence--even of a preliminary nature--be sent to Grant and Contract Services. Special care should be taken to see that every "preliminary" proposal or every letter which might become a proposal is submitted to Grant and Contract Services, preferably in advance.
5. Negotiation of a grant or contract is the responsibility of the Director, Grant and Contract Services. Where appropriate in the course of the negotiations, the Director will consult the principal investigator and the administrative officers of the University who reviewed the original proposal or who are otherwise concerned.
6. Notice of the award of a grant or contract to the University may be received by the President, Vice Provost for Research, Grant and Contract Services, the principal investigator, or through some other channel. Such notice should be communicated at once to the Director, Grant and Contract Services, who will make certain that those concerned are notified and that the terms of the award--including departures from the original proposal (e.g., reduced level of support or change in grant period) are acceptable. The Vice Provost for Research will then recommend to the President that formal acceptance be carried out by the Board of Regents or by the appropriate University officer; only after such acceptance is the University committed to the activity proposed.
7. In the event of the termination of a contract or grant prior to the end of the period for which it has been planned, Grant and Contract Services will notify the Vice Provost for Research of such termination. The Vice Provost for Research, in consultation with the dean of the college concerned, the chair of the department, and the principal investigator, will formulate the steps the University should take under such circumstances to secure the best results from the work which has been done.

Section 3. Institutional Costs Associated with Grants and Contracts

It is University policy to seek full reimbursement of indirect costs in connection with all externally supported grant and contract programs unless precluded by agency policy or exceptional circumstances.

Proposed grant and contract budgets should provide for indirect costs on the basis of the University's actual indirect costs. In those cases where it is impractical to specify a budget in advance, indirect costs will be charged against the grant or contract account on an after-the-fact basis.

Grants and contracts in support of scholarships and fellowships are not subject to indirect cost charges. Gifts are not subject to indirect costs.

See Grants Information Memorandum No. 13 for current indirect cost rates, and Grants Information Memorandum No. 22 for an explanation of what indirect costs are, and how the rates are calculated.

Executive Order No. 34 of the President, June 1, 1972; revised April 17, 1975; November 20, 1975; October 3, 1977; April 25, 1978; June 25, 1979; October 1, 1982; September 21, 1992

Section 4. Allocation of Institutional Allowances Associated with Graduate Fellowships

The cost to the University of Washington of providing the graduate and postdoctoral training and research undertaken by fellows and trainees is always substantially greater than the amount paid by supporting agencies to the University for tuition and fees. In recognition of this fact, several agencies of the Federal Government, as well as certain other granting organizations, provide institutional allowances to assist in the support of the fellows' and trainees' programs and for related purposes. These allowances are variously designated as "cost-of-education allowances," "fellowship allowances," "subvention to the University," "administrative allowance," and the like. The precise terms governing the disposition of such allowances vary, but the University is generally given considerable freedom in the administration of the allowance in recognition of the need for flexibility in University-wide support of advanced training and research.

Experience at the University under the existing procedures for disposition of institutional allowances has indicated the desirability of allocating an explicit amount to departments in support of each fellow and trainee currently enrolled and in support of related departmental needs. However, the allocation of such funds must be made in the light of all of the resources available to the University and the needs and requirements of all of the eligible departments. The Dean of the Graduate School has been given responsibility for administering these funds. In view of the above considerations, the following policies and procedures are established:

A. Institutional allowance funds from a particular source will be deposited in an appropriate "Source Account" which will acknowledge the source of the funds, e.g., National Science Foundation Graduate Fellowship Institutional Allowance.

B. Allocations from a particular institutional allowance will be made in the order given below provided that such disposition is consistent with the terms of the fellowship or traineeship award. The terms of the award will be honored, and, where the agency providing the allowance requires special accountability or allocation, or restricts the type of expenditure which may be made, the University will maintain separate expenditure accounts.

1. Tuition, fees, and other University charges expressly covered in the terms of the award.
2. An allocation of $500 per year for each fellow or trainee (or a smaller amount if less is available) to the fellow's or trainee's academic department. Except where special requirements or restrictions apply, all allocations to a particular department, regardless of source, will be placed in a single departmental account. Expenditures from such accounts will be made at the discretion of the chairperson of the department for purposes permitted under the terms of the fellowship or traineeship award. Departments will receive monthly reports on the status of the accounts prepared by Grant and Contract Accounting. No expenditure may be made from a departmental allowance account in anticipation of income.
3. The remainder of the allowance to be transferred to the Graduate School Research Fund. The above arrangements are intended to provide a useful measure of discretionary departmental support related to the number of fellows or trainees enrolled in the department, and, at the same time, to make relatively unrestricted funds available on a broader basis to support advanced training and research.

Executive Order No. 25 of the President, June 1, 1972; revised October 3, 1977; October 1, 1982 (Supersedes former Executive Order No. 29 of the President.)