Non-Federal

Non-federal sponsors include nonprofits, industry partners, healthcare institutes and hospitals, international institutions, foreign governments, associations, other institutions of higher education, as well as local and state governmental entities.

Regardless of whether or not it is a sponsor requirement, it is a UW Policy that the Office of Sponsored Programs (OSP) submit proposals to external entities.

Review GIM 1 – Review and Submission Requirements for Proposals.

For industry sponsored clinical studies and trials review industry clinical trials.

Contents

Non-Profit Sponsors

Some sponsor systems are used strictly to submit proposals and others are for pre-award and post-award management of the application and award.

Some industry sponsors have separate foundations that provide grants or fellowships which may have special guidelines. OSP will verify foundation non-profit status.

Many non-profit sponsor applications ask for the UW Technology Transfer Officer contact, the UW’s Tech Transfer Office is CoMotion and our UW Tech Transfer Officer: Bunny Grewal email: innovations@uw.edu

American Heart Association (AHA)

AHA uses ProposalCentral for proposal submission. Review more information including applicant instructions at AHA Applicant Information.

Bill and Melinda Gates Foundation (BMGF)

Most BMGF awards are made by an invitation to submit a proposal with a tight timeline. Proposals resulting from these invitations are made to the UW Foundation (not the UW) and require using a 15% TDC F&A rate. Review instructions for preparing & submitting proposals for these “by invitation” grants to the UWF.

Other BMGF applications such as their Grand Challenges are open competitive calls for proposals. Awards resulting from these are made to the UW. These competitive proposals for BMGF should use a 10% F&A rate and follow the same steps for preparing and submitting a proposal as other competitive proposals.

BMGF has an Open Access policy and Humanitarian License terms that apply to all of its grant agreements. Please work with your OSP reviewer for these agreements.

Applications to UW Foundation for BMGF Invitation Proposals

Budget Preparation for UW Foundation BMGF Invitation Proposals

• The UW Foundation receives 15% F&A on these awards
• BMGF indirect cost policy allows F&A on most direct cost categories
• Prepare your budget using 15% F&A on total direct costs (TDC)
• Flow-through funding from BMGF is made to the UW using a 10% F&A rate on TDC

Proposals to UW Foundation for BMGF Invitations

• List Mary Gresch, President UWF, as the authorized signer
• Contact email is uwfdn@uw.edu
• Use this address: 407 Gerberding Hall, Box 351210, Seattle, WA 98195-1210
• EIN is 94-3079432 and Tax Status is 509(a)(1)
• Attach to an eGC1 in SAGE to route the proposal to OSP
• OSP coordinates with UWF to obtain signatures for submission
• Please provide a named BMGF contact for the cover letter

eGC1 Submission for UW Foundation BMGF Invitation Proposals

Attach the following documentation to the BMGF eGC1 in SAGE.

Reach out to osp@uw.edu to obtain the UW PI Intellectual Property (IP) Questionnaire & the UW IP Disposition Memo needed for all BMGF proposals.

• Attach complete BMGF proposal
• UW PI IP Questionnaire
• UW IP Disposition Memo, signed by PI(s), Chair(s), and Dean(s)
• BMGF IP Report, if applicable per the Grant Proposal Narrative

Failure to submit the IP documentation with the eGC1 will result in delay and possible loss of funds. BMGF typically has a deadline to accept these terms.

Burroughs Wellcome Fund (BWF)

The Burroughs Wellcome Fund only makes awards to degree-granting institutions.

Researchers and Mentor / Sponsor must be employed by the UW, or have an affiliate appointment with the UW and also be a member of an affiliate institution to submit proposals to BWF at the UW.

UW departments submitting proposals on behalf of an affiliate researcher must be willing to provide typical and extensive post award administrative duties with zero cost recovery.

BWF may require a letter of institutional commitment for items such as but not limited to, faculty appointment, salary, laboratory start-up funds, etc. These letters must be provided by the PI’s primary Institution, signed by the official authorized to make the commitment and attached to the eGC1.

BWF reserves the right to terminate a grant if this commitment is judged to be inadequate.

eGC1 Requirements

UW PI:

If required in the application, attach an Institutional letter of commitment.

Affiliate Faculty:

• If required by the application, attach an Institutional letter of commitment provided by the Affiliate institution.
• UW department comment acknowledging: willingness to handle any post award administrative duties with zero cost recovery, including compliance oversight (IRB, IACUC, etc.), budget monitoring & managing, annual reporting, requesting & monitoring subawards, and more.

Non-profit Organizations using proposalCENTRAL

This system is used by many non-profit organizations including:

• Alzheimer’s Association
• American Cancer Society
• American Heart Association
• American Lung Association
• Arthritis Foundation
• Cystic Fibrosis Foundation
• Muscular Dystrophy Association
• Susan G. Komen
• Others

PIs must create their own proposalCENTRAL accounts.

The PI must give OSP access, and OSP submits the application on behalf of the UW.

Steps to give OSP access:

1. Log into proposalCENTRAL and open the proposal
2. Select ‘Enable Other Users to Access this proposal’
3. Enter ‘osp@uw.edu’ in the ‘User Selector’ box, select ‘find user’
4. Carol Rhodes should be listed in  ‘Proposal Access Rights’
5. Type her role into the relevant box – i.e. Business or Signing Official
6. Use ‘Permissions’ drop-down to select ‘Administrator’.
7. Select ‘Auto Notify’ to send OSP auto-notifications for this proposal
8. Select ‘Accept Changes’

Many proposalCentral applications also ask for the UW Technology Transfer Officer contact, the UW’s Tech Transfer Office is CoMotion.

UW Tech Transfer Officer: Bunny Grewal, email: innovations@uw.edu

Patient-Centered Outcomes Research Institute (PCORI)

The Patient-Centered Outcomes Research Institute (PCORI) is an independent, nonprofit organization authorized by Congress in 2010. Its mission is to fund research that will provide patients, their caregivers, and clinicians with the evidence-based information needed to make better-informed healthcare decisions.

PCORI Online is a “one-stop-shop” for all aspects of the award lifecycle: from proposal submission to reporting and management.

• The PI gets access to this sponsor system when initiating a proposal
• OSP is the Administrative Official (AO) in the system
• Use osp@uw.edu when assigning an AO to your proposal
• Ensure that OSP can “View PDF” in the system
• OSP (as the AO) approves the proposal online
• PI submits to the sponsor

PCORI Funding Opportunities

Industry Sponsors

Limit preliminary discussions with prospective funding sources to the scientific aspects of the work. Full proposal documentation requires OSP approval. All industry collaborations must adhere to UW principles.  Looking for guidance on Boeing  project agreements? Review more information on Boeing Research Services.

Many situations may also require a separate agreement between the UW and the collaborators.

Such as:

• Sharing Information
• Sharing Materials and or technology
• Data sharing
• Export Control Considerations

Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Programs

SBIR is a federal program to provide research and development funding to small business concerns to stimulate innovation with a potential for commercialization.  The small business entity partners are encouraged to work with an institution of higher education.

STTR is a federal program to facilitate cooperation between a small business concern and an institution of higher education, with the results having potential commercial value.

Both programs typically have three phases:  Feasibility study, R&D, and commercialization.

Applicants to an SBIR or STTR program are the for-profit entities.  In order for UW to participate, the small business includes the UW proposal within its proposal to the federal agency.  If awarded, the small business issues a subaward to UW.

More information about SBIR and STTR  is available from the U.S. Small Business Association.

Affiliated and Collaborating Institutions

• Outgoing Staff Assignments
• Fred Hutchinson Cancer Center (FHCC)
• Seattle Children’s Research Institute (SCRI)
• Seattle Institute for Biomedical and Clinical Research (SIBCR)
• Veteran Affairs (VA) of Puget Sound (VA)

The UW partners with a number of institutions in the region to accomplish a variety of research and health services. There are special processes in place to facilitate these partnerships.

There may also be sponsor specific proposal requirements for affiliate faculty proposing research through a UW department. For example: Burroughs Wellcome Fund (BWF)

Outgoing Staff Assignments

Staff assignments provide a way to compensate salary, benefits, and related personnel expenses (e.g. tuition) for UW personnel working at another institution. These are not subawards.

Outgoing staff assignment set up is requested through Procurement Services. Submit a Workday Requisition to Procurement (which will then become a Purchase Order after approvals).

Important: if you need a specific contract agreement between the UW and the other entity, please be sure to note that on the Requisition, and Procurement will assist and sign.

Set up for new Incoming Staff Assignments (to the UW from other institutions) are requested via an eGC1 in SAGE. Review specific instructions for requesting incoming staff assignments for Fred Hutchinson Cancer Center and Seattle Children’s Research Institute.

Fred Hutchinson Cancer Center (FHCC)

FHCC and UW jointly determine which institution receives a grant or contract (primary institution).  A staff assignment or subaward is used to compensate for the costs of the secondary institution with personnel involved in the project at the primary institution.

A subaward is used when the secondary institution is carrying out a portion of the prime award, participating in programmatic decision-making, and adhering to program requirements.

FHCC Staff Assignments

Staff assignments provide a way to compensate salary, benefits and related personnel expenses (e.g. tuition) for those working at the primary institution, such as:

• Non-resident graduate students
• First-year students enrolled in the joint UW-FHCC Molecular and Cellular Biology training program
• Faculty with joint appointments at both UW and FHCC
• Individuals jointly recruited and who have:
  • A faculty appointment at only one institution
  • Responsibilities critical to the mission of both institutions
  • Specialized expertise

Outgoing staff assignment set up is requested through Procurement Services. Submit a Workday Requisition to Procurement (which will then become a Purchase Order after approvals).

Set up for new Incoming Staff Assignments (to the UW from other institutions) are requested via an After-the-Fact eGC1 in SAGE.

Initial FHCC Staff Assignment Set-Up at the UW

Route an After-the-Fact eGC1 for each individual with a staff assignment and include the following:

• Attach the signed SAA
• Name of the individual who will be assigned at FHCC
• Set out line item and totals in the eGC1 budget for the total amount as reflected in the SAA
• Prepare a SAGE Budget Worksheet for the totalt
  • If tuition is included, prepare a separate SAGE Budget Worksheet for tuition
• Activity location=Fred Hutchinson Cancer Center
• Project Type=Grant

OSP will create an Award Set-up Request (ASR) per staff assignment eGC1 and ask that you link a SAGE budget worksheet. The UW sets up one award per SAA in Workday Finance. FHCC reimburses the UW based on the SAA.

Renewal FHCC Staff Assignment Approval

A renewal is when FHCC issues the next fiscal year’s funding for the same individual under a Staff Assignment.

Submit an Award Modification in SAGE for each individual Staff Assignment renewal:

• Choose correct subcategory types: Supplement and Extension
• Attach SAA
• Name of the individual who will be assigned at FHCC in Comments
• Set out line item and totals in the connected SAGE budget for the total estimated billable amount as reflected in the SAA
• Prepare a SAGE Budget Worksheet for the total amount

Staff Assignment Administrative Fee:

10% of total direct costs, up to a maximum of $2,500 per year, will be included in the staff assignment budget for administrative costs except:

• Staff assignments for non-resident graduate students
• Staff assignments for first-year students enrolled in the joint UW-FHCC Molecular and Cellular Biology training program

FHCC Subawards & T32 Collaborations

Subawards with associated F&A are used for projects that involve personnel and other expenses (e.g., supplies, equipment, etc.) at the secondary institution.

A subaward will be used for each T32 Trainee to or from FHCC. Review more information on UW and Fred Hutchinson Cancer Research Center (FHCC) T32 Collaborations.

For other T32 post award budget allocation, invoicing, and/or reporting questions please contact GCA at gcahelp@uw.edu.

Seattle Children’s Research Institute (SCRI)

SCRI and UW jointly determine which institution receives a grant or contract (primary institution). A staff assignment or subaward is used to compensate for the costs of the secondary institution with personnel involved in the project at the primary institution. UW Faculty and staff may be assigned to SCRI. To compensate for salary, fringe, and associated costs, SCRI issues staff assignments (SAAs) to UW.

SCRI issues an SAA for the fiscal year that governs the transfer of salary, benefit, and tuition (if applicable) expenses for an individual for the start and end dates on the newly issued SAA. New SCRI SAAs require an After-the-Fact (ATF) eGC1 and new award.

Once an ATF eGC1 is received, an Award Set-up Request is created. As with all Award Set-up Requests, please include a SAGE Budget Worksheet.

Award Modifications in SAGE are used for renewals as well as to request changes to an award that is already set-up, such as an amendment to fund above the current maximum billable amount.

Outgoing staff assignment set up is requested through Procurement Services. Submit a Workday Requisition to Procurement (which will then become a Purchase Order after approvals).

SCRI Staff Assignment Approval Process

• Most Staff Assignment Agreement (SAA) are issued for one fiscal year at a time.
  • Initial set-up of new staff assignments require an ATF eGC1 while renewals & modifications to an SAA will require an Award Modification in SAGE
• For initial staff assignments as well as renewals, you must email the SCRI Center Business Operations  CBOAdmin@seattlechildrens.org for help completing the SCRI Staff Assignment Agreement (SAA) intake spreadsheet according to their instructions.
  • The spreadsheet is then used by the SCRI Center Business Operations (CBO) to populate the SAA form. The SAA is submitted for signature via Docusign.
    • UW units have been delegated authority from UW OSP to sign the Staff Assignment Agreement.
    • An SCRI CBO Director signs the SAA on behalf of SCRI.

SCRI Initial Staff Assignment Set-up at the UW

• Route an After-the-Fact eGC1 for each individual with a staff assignment and include the following:
  • Attach signed SAA
  • Name of the individual who will be assigned at Children’s
  • Set out line item and totals in the eGC1 budget for the total estimated billable amount as reflected in the SAA
  • Prepare a SAGE Budget Worksheet for the maximum estimated billable amount
    • If tuition is included, prepare a separate SAGE Budget Worksheet for tuition
  • Activity location=Seattle Children’s Research Institute
  • Project Type=Grant

OSP will create an Award Set-up Request (ASR) per staff assignment eGC1 and ask that you link a SAGE budget worksheet. The UW sets up one award per SAA in Workday Finance. SCRI reimburses the UW based on the SAA.

Renewals and any amendments to existing SAAs are processed via an Award Modification request in SAG

Renewal SCRI Staff Assignment Process

A renewal is when SCRI issues the next fiscal year’s funding for the same individual under a Staff Assignment. Review the SCRI SAA Approval Process steps to get the signed SAA from SCRI.

Once the SAA is signed, submit an Award Modification in SAGE for each individual fully-executed Staff Assignment renewal:

• Choose correct subcategory types: Supplement and Extension
• Attach Signed SAA
• Name of the individual who will be assigned at Children’s in Comments
• Set out line item and totals in the connected SAGE budget for the total estimated billable amount as reflected in the SAA
• Prepare a SAGE Budget Worksheet for the maximum estimated billable amount
  • If tuition is included, prepare a separate SAGE Budget Worksheet for tuition

Staff Assignment Modification Approval Process

If changes result in exceeding the total estimated billable amount or changes to the start or end dates, you’ll need to request SCRI issue an amendment to the original SAA.

Send an email to SCRI Center Business Operations CBOAdmin@seattlechildrens.org for help completing the SCRI SAA intake spreadsheet to reflect the modification.

• The excel spreadsheet is then used by the SCRI Center Business Operations (CBO) to populate the SAA form and the SAA is submitted for signature via Docusign.
  • UW units have been delegated authority from UW OSP to sign the Staff Assignment Agreement.
  • An SCRI CBO Director signs the SAA on behalf of SCRI.
• Once the SAA is signed, submit an Award Modification in SAGE for each individual fully-executed Staff Assignment Modification.
  • Attach the signed SAA that reflects the modifications.
  • Prepare a SAGE Budget Worksheet for the estimated billable amount, if changed.

SCRI SAA Best Practices:

• Set up staff assignments with an end date of 6/30 or earlier.
• Ensure promotions are completely processed in the UW payroll system before submitting a staff assignment.
• Incorporate anticipated increases in your calculations when working with the SCRI Center Business Manager on SAA amounts.

SCRI Staff Assignment Administrative Fee:

4% of total direct costs will be included in the SCRI staff assignment budget for administrative costs.

SCRI Subawards

Subawards with associated F&A are used for projects that involve personnel and other expenses (e.g., supplies, equipment, etc.) at the secondary institution.

Seattle Institute for Biomedical and Clinical Research (SIBCR)

SIBCR administers non-Veteran’s Administration (VA) funds in support of research affiliated with VAPSHCS. A Joint Personnel Agreement (JPA) or subaward is used to compensate for the costs of the secondary institution which has personnel involved in the project.

The prime recipient of the funding (primary institution) is where 50% or more of the direct costs occur (including value of joint faculty with unfunded effort but excluding equipment and subawards).

Joint Personnel Agreements (JPA) compensate the secondary institution for salary, benefits and related personnel expenses for joint faculty appointments or non-faculty research staff who are working at the primary institution. JPAs cover only up to a one-year period at a time.

A subaward is used to compensate for salary, benefits, related personnel expenses and other expenses (as applicable) for costs at the secondary institution.

JPA Administrative Rate:  To compensate the institution responsible for generating the individual’s paycheck and administer the employee’s benefits, an administrative rate of 10% of total direct costs up to a maximum of $5000 per year and will be included in the JPA budget.

Note, that while the VA follows the Federal Outside Employment and Activities rule:

• The UW can receive funding from a non-Federal source (such as SIBCR) for VA research work.
• If a Federal sponsor awards funds to the UW and a VA researcher performs and receives compensation on that award, the payment is allowed, subject to any separate Federal sponsor limitations.

Veteran Affairs (VA) of Puget Sound

The VA may issue an Intergovernmental Personnel Act (IPA) Agreement to provide cost reimbursement for University staff salary and associated fringe benefits. IPAs do not include Facilities & Administrative costs.

The employee must be a permanent employee of the UW and have been employed for at least 90 days.  An IPA agreement can be made for up to 2 years and may be part-time or full-time. The original or initial assignment may be extended for an additional 2 years less 2 months. IPA assignments of less than 6 months are discouraged.

An employee that has served 4 continuous years without a break cannot be assigned to another IPA without at least a 12-month return to his/her regular employer. Successive assignments without a break in service of at least 60 calendar days are regarded as continuous service.

Review further guidance on IPAs from Federal OPM.

Alternatively, a subaward is used to compensate for salary, benefits, related personnel expenses, and other expenses (as applicable) for costs at the secondary institution when the work is carried out at the secondary institution.

Incoming Subawards

Incoming subawards happen when another institution (pass-through entity) receives funding from a sponsor (aka prime sponsor) and that institution subawards a portion of the work to the UW.

The UW is a participating Federal Demonstration Partnership (FDP) Expanded Clearinghouse entity. Participating organizations agree to use FDP entity profiles to verify institutional information.

Review the UW’s FDP Profile.

eGC1 Proposal Preparation and Routing

• UW’s “sponsor” on the eGC1 is always the institution providing UW funding.
• Prepare documents according to sponsor (pass-through entity) instructions.
• Route on an eGC1 for UW approval, include:
  • the scope of work,
  • budget, budget justification (at a minimum),
  • and any other documents required by our sponsor
• eGC1 Sponsor deadline: Use the date the pass-through entity needs UW documents. (Not the prime sponsor due date).
• OSP attaches a cover letter to eGC1 after review.
• PI/dept. must send documents, including cover letter, to the pass-through entity for their submission to the prime sponsor.