external use of core facilities philip hockberger director of core facilities office for research

External Use of Core Facilities

Philip HockbergerDirector of Core Facilities

Office for Research

FY10 Survey of CFs on External Customers Federal Compliance Issues Meetings with Stakeholders Policies and Procedures Processing a “Service” Request Pre-Approved “Service” Agreements Annual Reporting of Unrelated Business Income

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External Use of Core Facilities – P. Hockberger


14 CFs responded “Yes”

74 For-Profit Organizations

27 Non-Profit Organizations

FY10 Survey of CFs on External Customers

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DND-CAT IMSERC

Instrument Shop IBNAM-Equipment Facility

NUANCE Magnet & Low Temperature Facility

Genomics Core Biological Imaging Facility

X-Ray Diffraction Facility RHLCC Flow Cytometry Facility

High Throughput Analysis Lab

Materials Processing & Microfabrication Facility

Human Embryonic and iPS Cell Facility

Optical Microscopy & Metallography Facility

Core Facilities with External Customers – FY10

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Dow Chemical American Semiconductor DuPont

ThermoFisher GlaxcoSmithKline Wrigley

General Electric Metagenomix Kraft Foods Global

Monsanto Cabot Microelectronics Applied Thin Films

SP Industries Advanced Abrasives Arcmelt

Atlas Materials Testing Baxter Healthcare Battelle

Engis Corp. Fenwal Inc.Functional Coating Tech.

Microlink Devices QuesTec Astera

NanoInk NanosonixNanosphere

SPS NanoCeramics Viamet Pharmaceuticals Immpheron Inc.

For-Profit Organizations using CFs - FY10 (partial listing)

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Purdue University Washington Univ. Colorado State Univ.

Wayne State University Florida Atlantic Univ. Howard University

University of Chicago Michigan State Univ. University of Georgia

Loyola University, Chicago Northshore Univ. Health University of Kansas

DePaul University Rosalind Franklin Univ. University of Kentucky

Illinois Institute of Technology Southern Illinois Univ. University of Illinois, Urbana

Lake Forest College Uni. Texas San Antonio Virginia Commonwealth Univ.

DuPont Hospital for Chidren Oklahoma Health Sciences

Univ. of Illinois, Chicago Univ. of Wisconsin, Milwaukee

Art Institute of Chicago Univ. of Wollongong, Australia

Non-Profit Organizations using CFs - FY10

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OMB Regulations

A21 – Cost Principles for Educational Institutes (1998, 2004)

A122 – Cost Principles for Non-Profit Organizations (2004)

IRS Regulations for Tax-Exempt Organizations

Unrelated Business Income (UBI) Tax

Federal Compliance Issues

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Office for ResearchVice President for Research

Office for Sponsored ProjectsInnovation & New Ventures Office

Office for Research Safety

Office for Risk Management

Controller’s OfficeOffice for Cost Studies

Office of General Counsel

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Meetings with Stakeholders


McCormick School of Engineering

Associate Dean for ResearchCorporate Relations

Weinberg School of Arts & Sciences

Associate Dean for Research

Feinberg School of MedicineVice Dean of Sci. Affairs

Director for Research Core Planning

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Policies and Procedures

Preparing for Doing External Work * Northwestern University requires a cost study to establish pricing for services or instrument usage by external customers. The Office of Cost Studies isAvailable to help you establish appropriate pricing.

[Note: External pricing should be the calculated without any university subsidies and should include 60% overhead rate. Higher rates are possibleif the market rate is higher or additional fees are necessary to covernon-standard administrative costs, e.g., lawyer fees. Lower rates are possible but must be approved by all internal organizations providing subsidies.] * For a non-profit or for-profit organization outside of NU

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Question 1: Will NU faculty, staff (including post-docs), or students be contributing intellectually to the project or data collection? Will any NU intellectual property be used in the provision of services? Will there be any NU claim to intellectual property resulting from the use of services or instruments? No (to all 3 questions) – Continue to question 2. Yes (to any question) – Please contact the Office for Sponsored Research and determine whether this work requires a research agreement, contract or grant proposal. If OSR determines it to be non-research, continue to question 2.

Processing a “Service” Request for an External Customer (non-research activity)

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Question 2: Is the customer’s employer a U.S. organization? No – Please contact the Office for Sponsored Research and determine whether import or export controls are involved. If approved by OSR, continue to question 3. Yes – Continue to question 3.


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Question 3: Will the work involve non-NU personnel working in your facility?Will the customer be bringing data and/or materials (software, chemicals, monoclonal antibodies, cell lines, transgenic animals, etc.) to campus to analyze and/or test? No (to both questions) – Continue to question 4. Yes (to either question) – Please contact the Office for Research Safety and determine whether visitors working in your facility, and/or the materials they plan to bring, need to be enrolled in ISIS. Visitors will also need to provide a Certificate of Insurance from their organization to the Office for Risk Management. Once completed, continue to question 4.


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Question 4: Will the customer be sending you data and/or materials (software, chemicals, monoclonal antibodies, cell lines, transgenic animals, etc.) to analyze and/or test? No – Continue to question 5. Yes – If data and/or materials are sent to you, please contact the Office forResearch Safety and/or the Institutional Animal Care and Use Committee to determine whether this transfer of materials requires their approval. [Please note: external customers are not allowed to send NU any materialsthat are toxic, contagious, hazardous in nature or which are regulated by the FDA, EPA, or other federal agencies with the authority to control regulatedsubstances and materials.] Once approved, continue to question 5.


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Question 5: Does the customer require a legal agreement from the University (even if NU does not)? No – Continue to question 6. Yes – Please discuss the Laboratory Service Agreement (on OR corefacilities website: External Customers) with the customer to determine whether this will satisfy their requirements. If so, then contact the Director of Core Facilities to expedite the Agreement. After approval, continue to question 6. If this will not satisfy their requirements, please contact the Director of Core Facilities to discuss your customer’s needs.


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Question 6: Does the customer plan to pay with a purchase order (which typically has conditions that are not acceptable to NU including warranties, quality assurances, etc.)? No - You are now ready to perform work for the external customer. Provide the customer with a quote consisting of a Statement of Work and associated pricing schedule. Yes – Please contact the Office for Sponsored Research for approval of the purchase order. Once approved, then you are ready to perform work for the external customer.


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http://www.research.northwestern.edu/facilities/customers.html

http://invo.northwestern.edu/agreements

Office for Research Website Instructions

http://www.it.northwestern.edu/policies/nda.html

NUIT Website Instructions

Pre-Approved “Service” Agreements







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To be included in Annual Report starting in FY12:

Name of Customer Name of Customer’s Organization For-Profit or Non-Profit Status of Organization Total Income Received for Services during

previous Fiscal Year (Sept – Aug)

Annual Reporting of Unrelated Business Income

external use of core facilities philip hockberger director of core facilities office for research

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