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 (1) standardize
the procedures used for application
signoff and maximize the efficiency
of this process and (2) to establish
appropriate mechanisms for sharing
costs of activities performed
under the Affiliation Agreement.
1. 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.
2. 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).
A. A 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:
a. Hold joint faculty appointments
at both University and the Center
b. 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.
c. Have been given a significant
commitment of resources or support
by the institution to which
they are assigned.
d. Have been approved for staff
assignments by the appropriate
University Dean and Center Division
Director
B. 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.
C. 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:
a) Staff assignments for
non-resident graduate students
(section 2.1)
b) 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)
D. A 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.
3. Signoff of applications
A. Types of Signoff
1. Full Signoff will include review by the following:
a. University of Washington
b. Fred Hutchinson Cancer Research Center
Program Head (FHCRC Division of Public Health Sciences
only) Division Director
Grant & Contract Administration
c. 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
a. University of Washington
b. Fred Hutchinson Cancer Research Center
c. 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. Applications 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. 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. 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
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