Joint Appointment Process Northwestern University and Argonne National Laboratory

Glossary ANL Argonne National Laboratory (a government owned contractor operated, DOE-funded national lab) NAISE Northwestern-Argonne Institute of Science and Engineering- a University Research Center NAISE Institute Fellow ANL scientist with unpaid visiting scholar status to act as PI on NU proposal submissions Joint Appointment Institutionally endorsed relationship for scientists between ANL and Northwestern LDRD Laboratory Directed Research and Development- type of internal funding at Argonne Lab Grad Argonne funded Northwestern “fellowship” Guest Grad Argonne term for ALL Northwestern graduate students that are not on ANL payroll. This includes all “flavors” of graduate students at NU, funded on NU sponsored/ non-sponsored chart strings or ANL subcontracts to Northwestern These are for your reference with the matrix.

Advantages of a Joint Appointment Expands funding opportunities Argonne scientists can apply for non-DOE federal grants (NIH, NSF, etc.) as NU PI’s and members of NAISE NU faculty can apply for LDRD’s and internal national lab funding without a subcontract Enables collaboration Scientists can work together as teams on research Mini-sabbatical opportunities enabled for NU faculty at ANL Incorporates an institutionally endorsed intellectual property agreement Signed by Jay Walsh and Mark Peters March, 2014

Who can get a joint appointment? ANL scientists at NU NAISE Institute Fellows Adjunct Faculty NU faculty at ANL NU postdocs at ANL as NAISE Institute Members

58 Joint Appointments have been executed since March, 2014 Home Institution Paid Unpaid Northwestern PI 11 8 Mini-sabbatical 6 Argonne 5 28

Proposals submitted and grants awarded with Joint Appointments – requests totaling $54,821,180 14 individual proposals 8 collaborative proposals 6 grants awarded – total $26,683,500 over several years 2 individual proposals 4 collaborative

Components of a Joint Appointment All below components are facilitated by NAISE Joint Appointment Acknowledgement Form Signed by investigator Establishes the Intellectual Property rights Directorate/Division/Department Approval (D3A) Signed by home/host schools/departments/divisions Establishes appointment, time frame, and initial effort level Revised and rerouted when: change in appointment dates material change in effort Effort Distribution and Salary Reimbursement Form (EDSR) Used to establish invoices for reimbursement when funds flow

Joint Appointment Details Argonne Scientists Joint Unpaid by NU Joint Paid by NU Point of Contact NAISE OSR Involved Yes- at proposal stage Yes- at award stage Research Benefit ANL scientist can submit proposal at NU ANL scientist can be paid on award at NU

Who submits proposals involving ANL Scientists as PI’s through Northwestern? NAISE Department/Center If no subcontract to ANL for ANL scientist salary support If subcontract is used for ANL scientist salary/support Example for McCormick: Igor Aronson can submit a proposal through Engineering Sciences & Applied Math using a subcontract or through NAISE without a subcontract Example for WCAS: Lin Chen can submit a proposal through Chemistry using a subcontract or through NAISE without a subcontract

Joint Appointment Details- Northwestern Faculty Joint Unpaid by ANL Joint Paid by ANL Point of Contact WCAS McCormick NAISE Deans’ Office Department OSR Involvement Notify OSR of intent to submit proposal Department RA works directly with ANL RA for NU submission as ANL PI OSR establishes sponsored project that facilitates salary reimbursement for joint paid appointments Research Benefit NU PI can submit a salary only proposal at ANL (without subcontract) NU PI can be paid on ANL award (without subcontract for salary only) AND facilitates joint paid appointments Example Chris Wolverton Peter Stair and other Chemistry Faculty For cases where NU faculty are submitting as PI’s they need to go through InfoEd. if there is NO SUB, then it goes through NAISE. If there is a sub- it can go through the department.

Other types of Joint Appointments for Northwestern scientists Post Doc Mini-Sabbatical Point of Contact WCAS McCormick NAISE Deans’ Office Department OSR Involvement Establishes sponsored project that facilitates salary reimbursement Establishes $0 subcontract to facilitate exchange Example McCormick: Yifeng Liao WCAS: Lei Fang McCormick: William Miller

Northwestern Graduate Students Funded by ANL Northwestern Type Description Argonne "Classification" Lab Grads US Citizens   ANL pays students directly ANL pays tuition to TGS International student support International Students Guest Grads-Under contract NU pays students Subcontract from ANL NU Graduate Students -LDRD Funded Any NU student -LDRD Funded - Other ANL sources Any NU student- other DOE or ANL funding

Northwestern Graduate Students Funded by Northwestern IMPORTANT DISTINCTION: When subcontracts from ANL are involved, students are NOT required by ANL to sign the "Guest Research Agreement" or “Service Agreement" Northwestern Type Description Argonne "Classification" Guest Grads- unfunded by ANL Guests collaborating at ANL Guest Grads- unfunded   REQUIRES "Service Agreement"

When is OSR not involved? Adjunct Professor appointments Lab Grads- US Citizens Guest Grads- funded by NU (still under discussion but for now, no OSR involvement)

Work in Progress Visa impact of change in work location Student processing- particularly for NU-funded graduate students Process is being developed to route ALL “Service Agreements” for Guest Graduate Students unfunded by ANL to route through NAISE to coordinate Jay Walsh signature Legal agreement currently required by ANL under review by OGC and ANL Standardize use of Joint Appointments for Adjunct Faculty