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.

Effective November 2020, DoD contracts will begin to include a requirement for Cybersecurity Maturity Model Certification. Review DoD Preparing for CMMC Requirements and DoD CMMC FAQs.

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.

American Heart Association (AHA)

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

Bill and Melinda Gates Foundation (BMGF)

All BMGF grants are made to the UW Foundation (UWF). eGC1s route to OSP, which coordinates the review, submission, and award set up with the UWF.

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.

BMGF Facilities & Administration (F&A):

• The UWF 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.

BMGF Proposal

• Find BMGF Funding Opportunities
• Complete BMGF proposal
• List Dan Peterson, 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

BMGF eGC1 Submission

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’

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.

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 Institutions

• Fred Hutchinson Cancer Research Center (FHCRC)
• 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)

Fred Hutchinson Cancer Research Center (FHCRC)

FHCRC 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.

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-FHCRC Molecular and Cellular Biology training program
• Faculty with joint appointments at both UW and FHCRC
• Individuals jointly recruited and who have:
  • A faculty appointment at only one institution
  • Responsibilities critical to the mission of both institutions
  • Specialized expertise

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

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-FHCRC Molecular and Cellular Biology training program

Seattle Children’s Research Institute (SCRI)

UW Faculty and staff may be assigned to SCRI.  In order to compensate for salary, fringe, and associated costs, SCRI issues staff assignments (SAAs) to UW.

Staff Assignment Approval Process

• Staff Assignment forms are approved by UW Department Administrators and SCRI Center Business Managers (not SCRI Office of Sponsored Research).
• The UW Office of Sponsored Programs (OSP) processes the master biennium eGC1 and sends the Funding Action (FA) to Grant and Contract Accounting (GCA) for budget set up.

SCRI pays salary & benefits automatically based on the SAA.  UW department invoices for tuition and supplemental salary.

SCRI SAA Best Practices:

Help reduce incorrect payments and time-consuming back-and-forth invoicing, follow these recommendations when setting up staff assignments.

1. Set up staff assignments with an end date of 6/30 or earlier.
2. Ensure promotions are completely processed in the UW payroll system before submitting a staff assignment.
3. Faculty and staff with merit increases expected in September:
   • Set up a 2-month staff assignment for 7/01-8/31
   • After merit increases are completely processed in the UW payroll system, complete and submit a new SAA with a 9/1 start date.

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.

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.