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Office of Sponsored Programs (OSP)

Guidelines for UW and FHCRC Staff Assignments

Guidelines for UW and FHCRC Staff Assignments

Guidelines for Submission of Applications and Establishment of Interinstuitutional Agreements for Research under the Affiliation Agreement between the University of Washington and Fred Hutchinson Cancer Research Center

It is the intention of the University of Washington (UW) and the Fred Hutchinson Cancer Research Center (FHCRC) to collaborate on cancer and cancer-related research and education. As specified in the Affiliation Agreement between the University of Washington and the Fred Hutchinson Cancer Research Center there will be joint FHCRC and UW school approval of applications for grant and contract awards that involve UW regular or research faculty based at FHCRC or FHCRC scientific staff based at the UW. In addition appropriate mechanisms will be established to support the costs of research and educational activities conducted under the auspices of the Affiliation Agreement. In accordance with the Affiliation Agreement the following guidelines have been established to

  • standardize the procedures used for application signoff and maximize the efficiency of this process and
  • to establish appropriate mechanisms for sharing costs of activities performed under the Affiliation Agreement.

Determination of Grantee Institution

FHCRC and UW shall jointly determine which institution shall be the recipient of grants or contracts on which regular research UW faculty and FHCRC scientific staff are principal or co-principal investigators. The usual facilities and resources are to be utilized to the greatest extent shall normally be the primary recipient of the award.

Use of Subcontract, Staff Assignments and Other Similar Agreements:

Where applicable, appropriate subcontracts, staff assignments or similar agreements shall be used to provide compensation to the secondary institution (e.g. the institution with the lesser involvement).

  1. Staff Assignment will be used to compensate for salary, benefits and related personnel expenses for individuals who are considered joint employees. Staff assignments should not be used for non-personnel expenses (excluding tuition & other training fees) which are handled under a subcontract or other appropriate mechanism. Use of a staff assignment will be limited to the following types of individuals:
    1. Non-resident graduate students. Normally non-resident graduate students will remain on the University's payroll system only until they have established Washington State residency at which time they should be moved to the Center's payroll system.
    2. First year students enrolled in the joint UW-FHCRC Molecular and Cellular Biology training program for which both institutions contribute direct support for the operational and administrative costs of the program through a subcontract or other appropriate mechanism.
    3. Other employees who fulfill the following criteria must meet the following criteria:
      1. Hold joint faculty appointments at both University and the Center
      2. In the case of individuals who do not hold a faculty appointment at each institution, the following criteria must be met: (i) the individual was jointly recruited by the UW and FHCRC; (ii) the individual has responsibilities which are critical to the mission of the institution to which they are assigned and (iii) the assignment of the individual will result in the sharing of unusual or special expertise that would be inefficient to duplicate at both institutions.
      3. Have been given a significant commitment of resources or support by the institution to which they are assigned.
      4. Have been approved for staff assignments by the appropriate University Dean and Center Division Director
  2. A subcontract will be used to compensate for salary, benefits, related personnel expenses and other expenses (as applicable) for costs deemed to be solely those of the secondary institution.
  3. For either a staff assignment or subcontract the following guiding principals will apply:
    1. Both the UW and FHCRC will use a "standard" subcontract or staff assignment form of their respective choice, subject to acceptability of conditions to the other
    2. Both UW and FHCRC will anticipate subcontracts and staff assignments, including appropriate budgetary provision in the proposal for the prime award and have these budgets reviewed by the secondary institution prior to submission of the application.
    3. Where the prime award is held by the FHCRC and a subcontract is issued to the UW, indirect costs will be included at the UW on-campus rate if 50% or more of the work covered by the subcontract will be in UW facilities or at the appropriate UW off-campus rate if less than 50% of the work is to be in UW facilities.
    4. Where the prime award is held by UW and the subcontract is issued to the FHCRC indirect costs will be included at the full FHCRC or more of the work supported by the subcontract will be in the FHCRC facilities or at the appropriate FHCRC off-campus rate if less than 50% of the work is to be in FHCRC facilities.
    5. Staff assignments for joint employees will include provisions for compensation of salary, benefits and other personnel expenses relating to the individual's activities at the institution to which they have been assigned. In addition an administrative fee (indirect costs) will be paid to compensate the institution responsible for generating the individual's paycheck and administer the employee's benefits. This fee will be calculated at 10% of TDC up to a maximum of $2,500 per year and will be applied to all staff assignments except:
      1. Staff assignments for non-resident graduate students (section 2.1)
      2. Staff assignments for first year students enrolled in the joint UW-FHCRC Molecular and Cellular Biology raining program for which operational and administrative expenses are paid directly by each institution. (Section 2.2)
  4. general interpretation of these guidelines is outlined below:
    • Funding at the FHCRC, UW faculty participating, work done at FHCRC. Staff assignment to UW for faculty salary, benefits and 10% fee.
    • Funding at the FHCRC, UW faculty participating, work done at the UW. Subcontract issued to the UW.
    • Funding at the UW, FHCRC faculty participating, work done at UW. Staff assignment to the FHCRC for faculty salary, benefits and 10% fee.
    • Funding at UW, FHCRC faculty participating, work done at FHCRC. Subcontract issued to the FHCRC.

Signoff of applications

  1. Types of Signoff
    1. Full Signoff will include review by the following:
      1. University of Washington: Department Chair Dean of the School UW Office of Sponsored Programs
      2. Fred Hutchinson Cancer Research Center: Program Head (FHCRC Division of Public Health Sciences only) Division Director Grant & Contract Administration
      3. Sections required for full signoff
        All sections of the application relating to the secondary institution's participation and other forms normally required as a part of that institution's normal signoff process will be needed to complete full signoff at the secondary institution. A copy of the application package will be provided to each reviewer by the program requesting approval. Staff within the approving department, school or program will facilitate the review by forwarding the application on to the next reviewer. The secondary institution will indicate its approval by providing a letter of intent to the applicant institution noting its willingness to participate in the study.
    2. Expedited signoff will include review by the following
      1. University of Washington: Department Chair Dean of the School UW Office of Sponsored Programs
      2. Fred Hutchinson Cancer Research Center: Program Head (FHCRC Division of Public Health Sciences only) Division Director Grant & Contract Administration
      3. Sections required for non-applicant signoff
        Form "Expedited Review for Approval of Administration of Grant/Contract by Affiliated Institution" as well as copies of the application face page, abstract, budget, other support summaries and resources/ facilities statement will be sent for expedited review. Each reviewer should be provided a copy of the material by the program requesting approval of the faculty participation. Although fax submission may be provided for information purposes, requests for approval should normally be mailed to the applicable departments/programs. Staff within the approving department, school or program will facilitate the review by forwarding the application on the next reviewer.
    B. Determination of Whether Full or Expedited Signoff is Required
    Applications under which less than 50% of the work will be conducted in facilities belonging to the applicant institution: Full signoff will be required from the institution in which the majority of work will be conducted,
    1. Aplications involving transfer of funds between institutions of the commitment of cost sharing: In the case of (1) subcontracts, staff assignments or similar agreements where funds will be transferred between the institutions or (2) applications that will require cost sharing on the party of the secondary institution, Full signoff at the secondary institution will be required prior to submission of the application by the institution determined to be the recipient of the grant or contract.
    2. 2. UW as awardee institution: Expedited signoff will be used in the case of proposals and application for grant and contract awards where the UW is the grantee institution and FHCRC-based personnel are listed to provide time on the project, but where no FHCRC cost sharing will be required or funds transferred to FHCRC. FHCRC shall review and give its written approval or disapproval for the person to be so engaged. FHCRC will be notified of such participation no later than 14 calendar days after the submission of the application. FHCRC is obligated to respond promptly, and in any event within 14 days after the receipt of a request for approval from the UW. Should FHCRC disapprove participation of FHCRC-based personnel the UW shall withdraw the application from consideration or amend the application to exclude participation of those FHCRC-based staff in dispute.
    3. 3. FHCRC as awardee institution: Expedited signoff will be used in the case of proposals and applications for grant and contract awards where the FHCRC is the grantee institution and UW-based personnel are listed to provide time on the project, but it has been determined that no UW cost sharing will be required or funds transferred to UW. UW shall review and give its written approval or disapproval for the person(s) to be so engaged. UW will be notified of such participation no later than 14 calendar days after the submission of the application. UW is obligated to respond promptly, and in any event within 14 days after the receipt of a request for approval from the FHCRC. Should the UW disapprove participation of UW-based personnel the FHCRC shall withdraw the application from consideration or amend the application to exclude participation of those UW-based staff in dispute.

These Guidelines are effective November 1, 1998 until terminated or amended by mutual agreement. It is agreed that these Guidelines will be reviewed by both parties at the conclusion of the first year. Agreed to:

Pamela Johnson, Acting Director Grant & Contract Administration, Fred Hutchinson Cancer Research Center

Donald Allen (10/15/98), Director Office of Sponsored Programs, University of Washington