MCW/VA Joint Appointment Memorandum of Understanding Guidance

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1 PURPOSE: To provide guidance in the area of effort reporting for faculty with research effort that hold joint MCW/VA appointments and to help ensure that there is no possibility of dual compensation for the same work or no actual or apparent conflict of interest. DEFINITIONS: Authorized Department Representatives are individuals designated by the department who are responsible for the financial accounting, budgeting, and administration of the department s Sponsored Awards and the approval of expenditure of department funds. These individuals are responsible for ensuring compliance with external requirements and applicable MCW policies and procedures. Effort Reporting is the act that documents the after the fact reporting of the percent of Effort spent on each MCW professional activity during each Effort Reporting period. It provides a reasonable means to verify that Effort on a Sponsored Award has been performed at the level committed in the Sponsored Award. An individual s Personnel Activity Report also displays the time devoted to other academic activities such as teaching, patient care, administration, etc. Institutional Base Salary (IBS) consists of the annual compensation that MCW pays for an employee s appointment for all activities, whether that individual's time is spent on research, teaching, patient care, or other activities. Base salary excludes non guaranteed bonus or incentive payments, salary paid directly to the employee by another entity including the Zablocki Veterans Affairs Medical Center (VA), and any income that an individual may be permitted to earn outside his or her duties at MCW. MCW VA Memorandum of Understanding (MOU) is an agreement that describes 100% of the total professional responsibilities for a faculty person as it is arranged between the Medical College of Wisconsin (MCW) and the Zablocki VA Medical Center (VAMC). POLICY: MCW individuals who also hold VA appointments must initiate a Memorandum of Understanding (MOU) when applying for NIH funded awards (or are listed as key personnel on a NIH pass through award) and/or have research effort at the VA. The MOU must: Specify the title of the individual s appointment and his or her responsibilities; Reflect total professional responsibilities (time and effort distribution between MCW and the VAMC), which may include teaching, research, community service, administrative, and clinical activities; Comprise 100% of the Individual s total professional responsibilities, with effort based on a reasonable and justifiable work week (e.g., 60 hours) that encompasses all professional responsibilities (MCW and VAMC) of the investigator s appointments; 1

2 Be signed by the individual and appropriate, designated VA and MCW institutional officials; and Be updated annually in January or revised during the year if the terms of the VA or MCW responsibilities change or there are significant changes in research commitments. PROCEDURE: 1. The individual with the joint appointment (or designee) will obtain the current MOU template from the MCW Grants and Contract web site. 2. The individual (or designee) completes the MOU and has the MCW Authorized Department Representative and the VA administrative person confirm the correctness of the time and effort allocations. 3. The individual signs and dates the MOU. 4. The MOU is then routed for signatures to the following (either institution can initiate this process). a. The MCW Department Chair or Division Chief and then the MCW Authorized Organizational Representative (or designee); b. The VA Division Chief, then the Associate Chief of Staff for Research and Development (Institutional Signature); then the Chief of Service; and finally the VA Chief of Staff. 5. Once all required signatures are completed, a final electronic copy of the MOU will be forwarded to the MCW department administrator and VA administrator as well as the individual. 6. The MCW individual will file the MOU or a copy with their MCW department. MOU Percentage Calculation The total effort of an individual may vary and is based on actual effort devoted to professional activities. The allocation of effort between MCW and VA activities is calculated as follows: VA effort is always based on a 40 hour week and is expressed in terms of 8ths. The number of eighths for each individual is determined by the MCW department and the VA. # 8ths 1/8 2/8 3/8 4/8 5/8 6/8 7/8 8/8 # hours per week MCW effort is calculated as total professional effort less VA effort Sample Calculations (Attachment A) Example 1 (Dr. Smith) uses 5/8 as the VA level of support and 60 hours per week as the individual s total professional responsibilities. 2

3 VA hours worked per week can be determined by multiplying the VA appointment in 8ths by 40 or by selecting the # hours per week from the table above. 5/8 x 40 = 25 hours worked per week VA percent effort can be determined by dividing by # VA hours worked per week by the total hours per week that make up professional responsibilities: 25 / 60 total professional hours = 42% VA effort MCW percent effort can be determined by subtracting VA effort from total professional effort 100% 42% VA effort = 58% MCW effort Example 2 (Dr. Jones) uses 6/8 as the VA level of support and 60 hours per week as the individual s total professional responsibilities. VA hours worked per week can be determined by multiplying the VA appointment in 8ths by 40 or by selecting the # Hours per Week from the table above. 6/8 x 40 = 30 hours worked per week VA percent effort can be determined by dividing by # VA hours worked per week by the total hours per week that make up professional responsibilities: 30 / 60 total professional hours = 50% VA effort MCW percent effort can be determined by subtracting VA effort from total professional effort 100% 50% VA effort = 50% MCW effort NIH Detailed Budget Preparation (Attachment B) In accordance with NIH policy, individuals who have joint MCW and VA appointments are required to disclose the nature and extent of their joint appointment when being included as personnel (1) on an application submitted by MCW to the NIH or (2) on an NIH pass through award. This information must also be included in the Budget Justification. On an NIH grant application, the individual requests salary in proportion to the MCW s share of effort that will be devoted to the research project based on their Institutional Base Salary (IBS). It is not based on requesting the individual s salary in proportion to their total professional compensation. Example 1 assumes Dr. Smith s MCW IBS is less than the NIH Salary Cap. Example 2 assumes Dr. Jones MCW IBS is equal to or greater than the NIH Salary Cap. 3

4 Modular Budget Preparation Individuals must disclose a joint MCW/VA appointment in the budget narrative and identify his/her appointment type, the portion of effort carried out at MCW and the portion of effort carried out at VA (if applicable). Other Support Page Completion (when requested by the funding agency, Attachment C) Each appointment should be listed separately, including type of appointment and commitment information (e.g. full time academic or 5/8 VA). The source of each research supported activity within the appointment must then be listed separately in the Other Support required format. MCW Semi annual Personnel Activity Report (Time & Effort Report) Completion MCW Personnel Activity Reports (Time and Effort Reports) include only the effort for which the faculty person is compensated by or performed under their MCW appointment. This is often referred to as their Institution Base Salary (IBS). It does not include VA compensated effort. RESPONSIBILITIES: Department/Individual Initiate new MOUs. Revise existing MOUs with each significant change in the investigator s responsibilities or distribution of effort. Update existing MOUs every January. Verify effort allocation in MCW section of the MOU is correct. The following documents will assist with the verification: o Current Salary Distribution o Latest Personnel Activity Report (Time and Effort Report) o Current Cost Sharing Forms Ensure the individual, Department Chair or Division Chief signs and dates the MOU. Retain a copy of the MOU in department files. Complete an Other Support page when requested by the funding agency. Sponsored Programs Semiannually, include a reminder to update MCW/VAMC MOU (if applicable) in the cover letter sent to the departments with Time and Effort Reports. Grants and Contracts Maintain a current copy of the VA MOU template on GCO website. Provide signatory authority as the Authorized Organizational Representative for completed MCW/VAMC MOUs. Validate the MOU at the time of a request for Just In Time (JIT) information. VAMC Maintain a current template of the MOU. Verify VA eighths. 4

5 Verify VA effort allocations. Provide required signatures. Research Compliance Office Perform reviews of completed MCW/VA MOUs when necessary for a planned audit. 5