Procedure M12 - 2700 Joint Appointment Overview

                                                Procedure M12-2700 |Joint Appointment Overview

PART – KB0015943

1.   Parent Policy and Related Policies/Procedures

Fermilab Policy on Joint Appointments

See Section 5 (below) for a complete listing of related policies and procedures.

2.   Purpose

The M12-2700 Series encompasses the procedures for establishing Joint Appointments between Fermilab and academic institutions. Joint Appointments are implemented via a legally binding Joint Appointment Agreement (JA Agreement) which contains two additional forms. This overview procedure includes the roles and responsibilities, policies, reference documents, and acronyms and definitions that are common to all of the M12-2700 Series procedures and provides a roadmap to  procedures, instructions, and deployment tools that are available to implement a Joint Appointment. 

3.   Applicability

This procedure applies to all Fermi Forward Discovery Group, LLC (FermiForward) employees and university personnel who hold formal Joint Appointments at the laboratory.

4.   Effective Date and Date Reviewed/Updated

This procedure went into effect on January 1, 2025. Updates and revisions are reflected in the Revision History below.

5.   Procedure

a. Roles and Responsibilities

b.  General Guidance

The Joint Appointee remains an employee of the Joint Appointee’s home institution while contributing to the mission of both institutions. Joint Appointments must not be established for an identified specific research project when other arrangements are more appropriate (e.g., a subcontract, CRADA, SPP, or user agreement).

While at the host institution campus, Joint Appointees are required to conform to the rules and regulations of the host institution, including those for security, health, professional conduct, and safety.

When purchasing materials, equipment, or travel on behalf of Fermilab, Joint Appointees are required to utilize Fermilab travel and procurement processes.  The expenditures are required to follow Fermilab policy and procedures and be processed within the relevant Fermilab systems. Any invoices submitted to Fermilab for reimbursement of travel expenses or other purchases (such as scientific equipment, computing hardware, etc.)  that were processed through the Joint Appointee's home institution, rather than through the required Fermilab systems, will be rejected and considered unauthorized financial commitments.

i.    Type, Funding Status and Duration of Appointment

(1)   Type: There are two basic types of Joint Appointments that may be established between Fermilab and academic institutions (“University” or “Universities”):

(a)  University employee awarded a Joint Appointment at Fermilab (i.e., Fermilab is the host institution, also referred to as “inbound”)

(b)  FermiForward employee awarded a Joint Appointment at a University (i.e., Fermilab is the home institution, also referred to as “outbound”).

(2)   Funded vs. Unfunded: Joint Appointments can be structured as either funded or unfunded (also referred to as "zero-cost") depending on the nature of the Joint Appointee’s activities and whether financial reimbursement is involved.        

(a)  A “funded” Joint Appointment is established when the Joint Appointee is expected to expend effort on behalf of the host institution, and that effort requires financial reimbursement. In this arrangement, the host institution reimburses the home institution, the employer of the Joint Appointee, for the Joint Appointee’s effort. The specific terms of reimbursement are determined during the Joint Appointment approval process and are formally documented in the JA Summary (Form M12-2700-B) and the EDCR (Form M12-2700-C). Activities that require a funded appointment include:

(i) Participate as a contributor on a research project or perform technical work on behalf of the host institution.

(ii)  Participate on a research project as a principal investigator (PI) or a co-PI.

(iii)       Teach part-time during work hours (requires effort reimbursement and University department approval in advance).

 (b) An “unfunded” Joint Appointment is restricted to outbound Joint Appointments and is established when the Joint Appointee does not expend research or teaching effort that requires reimbursement by the host institution. Common reasons for requesting an unfunded appointment include:
(i) Establish a professional network and a productive relationship with the partner institution, facilitating collaboration and mutual engagement.
(ii) Participate on committees including academic advisory boards or workshops. 
(iii) Mentor graduate students.

(c)  It’s important to note that Joint Appointments can be modified at any time to accommodate a change in funding status (e.g., unfunded to funded), if mutually agreed upon by both parties.

      NOTE: Joint Appointees are not allowed to perform any work in support of the other entity unless a funding mechanism is established.

(3)  Duration: The duration of a Joint Appointment is determined by mutual concurrence prior to the execution of the JA Agreement. It is common practice to set up JA Agreements for a three (3) year period with the option to extend if mutually agreed upon by both parties.

c.     List of Procedures, Supporting Instructions, and Deployment Tools

d.    Tools and Training

i.    Deployment Tools

(1) EDCR Calculator Spreadsheet

(2) Current FNAL Provisional Rates

ii.     Training

Online training programs are required for all employees for sensitive technology, export control, conflicts of interest, counterintelligence, controlled unclassified information (CUI), and other topics that are related to Partnerships risk areas.

The current approach to training for personnel directly engaged in developing a Partnership Agreement is through individual briefings, on-the-job training, and the automated workflows embedded in the Partnership Agreements Tracking System (PATS).

iii.    Systems

(1)   Partnership Agreements Tracking System (PATS)

(2)   Joint Appointment view in Partnerships Agreement Dashboard in Service Now (SNOW)

e.      Performance Measurement, Reporting, Reviews and Audits

i.      Performance Measures

(1)   Number of Joint Appointments inbound & outbound

(2)   Effective money management accounts payable and accounts receivable

(3)   JA Effort Certification reports completed on time

ii.     Reporting

(1)   Annual report from Appendix A requirements

iii.    Reviews and Audits

Joint Appointments are tracked in the Partnership Agreements Tracking System (PATS) and copies of fully executed agreements are maintained in a secure file location with limited access.

Internally, OPTT hosts a bi-weekly meeting with the Office of General Counsel (OGC) and members of the Finance Division to review all pending activities, identify issues, and determine corrective actions.

On a monthly basis, OPTT meets with the Fermi Site Office for a formal discussion on various topics, including Joint Appointments.

6.   Definitions

Affiliate refers to any individual who is not employed by FermiForward but has access to Fermilab facilities and resources for the purpose of advancing the scientific mission of the Laboratory and whose work generally requires unescorted and/or after-hours access to non-public access areas and is not designated a user (see definition below) of a DOE national scientific user facility.

Applicant refers to the individual applying for a Joint Appointment, inbound or outbound.

ALD refers to Associate Laboratory Director.

CFO refers to the Chief Financial Officer for the Laboratory.

COI refers to personal or financial Conflict of Interest (COI) that could create bias or preferential treatment towards a Partner, for the personal benefit of the individual.

COO refers to the Chief Operating Officer for the Laboratory

Cooperative Research and Development Agreement (CRADA) refers to the Partnering Agreement that is used to perform cost-shared, collaborative research. CRADA is defined in DOE Order 483.1 Admin Chg 1.

CRO refers to Chief Research Officer for the Laboratory.

CSO refers to the Cognizant Secretarial Officer at the U.S. Department of Energy.

Directorate refers to the executive leadership of the laboratory including the Laboratory Director, Associate Laboratory Directors, Chief Operations Officer and any other individual authorized by one of these executives to act on their behalf.

DSO is the Division Safety Officer who is responsible to work with projects in their division and the NEPA Program Manager in the ES&H Section to complete required NEPA documentation.

ECCM refers to the Export/Import Control Compliance Manager, who has the assigned responsibility for the organization making Export Control and Visual Compliance determinations for Fermilab.

EITD refers to equipment, information, technology, or data, which includes, but is not limited to, documentation, photographs, videos, software, diagrams, blueprints, material, devices, apparatus, equipment, hardware, and data storage devices.

Export Control refers to the regulatory controls that limit the transfer of information, commodities, technology, and software that is considered strategically important to the U.S. in the interest of national security, economic, and/or foreign policy concerns. The regulatory controls include the Export Administration Regulations (EAR), the International Traffic in Arms Regulations (ITAR), and DOE policies, orders, and any other export control laws.

Export Control Verification refers to  the review, screening, obtaining of any necessary U.S. export authorizations, and approval of exports or releases of information or technology subject to U.S. export control laws and regulations, including export controls administered by the Department of Commerce via the EAR, the Department of State via the International Traffic in Arms Regulations (ITAR), the Office of Foreign Assets Control (OFAC) via its regulations, and DOE via its policies, orders, and other regulations.

Export is the actual shipment or transmission of items out of the U.S. or the release of technology or software subject to export control to a foreign national in the U.S.

Export/Import Control Compliance Manager refers to a FermiForward-designated employee responsible for implementing, maintaining, and communicating Export Control-related policies, procedures, and processes and for completing Export Control Verifications for exports and releases of information or technology subject to U.S. export control laws and regulations. This includes Export Control Verification of non-U.S. persons invited to or requesting access to Fermilab sites or its technology. For additional detail, reference the Policy on Export Control.

Fermi Forward Discovery Group, LLC (FermiForward) is the operator and manager of Fermi National Accelerator Laboratory.

Fermilab is the physical site and property that is Fermi National Accelerator Laboratory.  Fermi Forward Discovery Group, LLC is the operator and manager of the Fermi National Accelerator Laboratory under Department of Energy Prime Contract No. 89243024CSC000002 and is the principal employer of employees working at Fermilab.

FFM refers to the Field Financial Manager, who is the finance person assigned to support a specific line organization.

FNAL refers to Fermi National Accelerator Laboratory, also known as Fermilab.

Foreign National refers to an individual without U.S citizenship

FSO refers to the Fermi Site Office of DOE.

HEP refers to the Office of High Energy Physics, which is the Cognizant Secretarial Officer for Fermilab.

Home Institution refers to the institution that employs the Joint Appointee (i.e., FermiForward is the home institution for FermiForward employees who have outbound Joint Appointments).

Host Institution refers to the institution that is not the employer of the Joint Appointee (i.e., FermiForward is the host institution for University employees).

Inbound Joint Appointment refers to a University employee awarded a Joint Appointment at Fermilab.

IP refers to Intellectual Property. Intellectual Property means patents, trademarks, copyrights, mask works, Protected CRADA Information, Energy Policy Act (EPAct) Protected Data, and other forms of comparable property rights protected by Federal law and foreign counterparts, except trade secrets.

Joint Appointee refers to the individual who holds the Joint Appointment.

Joint Appointment Specialist (JA Specialist) refers to the Partnership Coordinator in the Office of Partnerships and Technology Transfer who is assigned responsibility for coordinating all Joint Appointment documents and maintaining the system of records for Joint Appointments, in cooperation with internal and external stakeholders.

Master Agreement refers to an agreement between Fermilab and an academic institution that permits multiple Joint Appointments under a single agreement, such as the CASE Joint Appointment Master Agreement between Fermilab and the University of Chicago.

OCI refers to Organizational Conflict of Interest, which may occur when a proposed Partner has a legal relationship for managing Fermilab (i.e., the University of Chicago as contractor), which could create bias or preferential treatment for the benefit of the Partner organization.

Organizational Liaison (OL) refers to the person designated by the ALD to assist with establishing and renewing Joint Appointments in cooperation with JA Specialist.

Organizational Unit Head (OUH) refers to the head of the organization within Fermilab who will directly oversee the work activities of the Joint Appointee at a Fermilab site.

Outbound Joint Appointment refers to a FermiForward employee awarded a Joint Appointment at a University.

Partnering Agreement refers to all forms of legally binding agreements with external entities, including but not limited to CRADAs, User Facility Agreements, Affiliate Research Agreements, Joint Appointment Agreements, and Strategic Partnership Project (SPP) agreements.

Proprietary Information means information, including data, which is developed at private expense outside a Partnering Agreement, is marked as Proprietary Information, and embodies (i) trade secrets or (ii) commercial or financial information which is privileged or confidential under the Freedom of Information Act (5 U.S.C. 552 (b)(4)).

Senior Leader (SL) is defined as a member of Fermilab’s senior leadership team and includes the Associate Lab Directors, Senior Directors, Project Directors, Center Directors, Chief Research Officer, Chief Operating Officer, Laboratory Director, and any other organizational head reporting directly to the Lab Director.

Strategic Partnership Project (SPP) refers to the Partnering Agreement that is used to perform work for other entities, domestic or foreign, on a fully reimbursable basis.

University refers to the academic institution that is eligible to enter into a formal JA Agreement with Fermilab.  Joint Appointments can be managed by specific academic or research units within a university, such as a college, school, or department,

User Facility Agreement refers to the Partnering Agreement that is used to support research collaborations and externally funded experiments that are performed on-site at Fermilab at a designated Scientific User Facility.

User refers to an individual who is granted access to participate in experiments and collaborations associated with a DOE-approved national scientific user facility at Fermilab (i.e., Fermilab Accelerator Complex) and associated resources for the purpose of advancing the scientific mission of the laboratory and who requires unescorted access.

7.   Owner and Subject Matter Experts

The Office of Partnerships and Technology Transfer is the owner of this procedure and responsible for reviewing, updating, and communicating any changes that may occur.

8.   Review Cycle

This procedure shall be reviewed every three years.

9.   Communication Plan

This procedure's requirements must be communicated to all employees and university personnel who hold formal Joint Appointments at the laboratory. Periodic training will be provided to Senior Leaders and other personnel directly involved in the Joint Appointment process. The procedure will be available online in the Fermilab policy database. The Head of the Office of Partnerships and Technology Transfer is responsible for communicating it.

10. References

Code of Business Ethics and Conduct

Fermilab Policy on Joint Appointments

Policy on Access to Fermilab Batavia, IL, and Lead, SD, Sites

Policy on Engineering Promotions

Procedure Engineering Promotions

                   Revision History