WTO / Letters and Emails / Appointment / Temporary Appointment Letter Samples (Writing Tips)

Temporary Appointment Letter Samples (Writing Tips)

A temporary appointment letter is a document that offers a person employment status within an organization for a limited period. It is, however, not an employment contract but simply a means of informing the concerned party of their duties under certain terms and conditions. It also leaves the employer with the mandate to terminate this employment at any time that they deem fit, even without prior notice.

As such, it is important when you are looking to bring in some employees or outside help temporarily.

There is nothing better than being in charge of your own business, property, or even enterprise. This gives you the ability to run things as per your specifications. However, everything has a downside, and the head that wears the crown is heavy. There are times when you might need to bring in some employees or outside help temporarily. For this task, you need a letter. This is a document that offers a person employment status within an organization for a limited period. It also leaves the employer with the mandate to terminate this employment at any time that they deem fit, even without prior notice.

This letter is just as binding as an employment contract . Thus, if not done right, it may leave your enterprise open to litigation or lawsuits from disgruntled employees. This is where templates come in handy. They provide you with a collection of samples that will guide you on how to properly deliver the message and ensure that each person gets the right message from the beginning while having all your bases covered.

Temporary Appointment Letter Templates

Free Temporary Appointment Letter Template 01 for Word File

How This Letter Works

But, how exactly do these letters work? A work contract stipulates duties and responsibilities while at the same time specifying a certain duration of employment during which you cannot be terminated from employment without repercussions. However, the letter offers no such job security . This means that you are employed and have a specific set of duties but the employer still reserves the right to terminate your status as an employee at any time without any consequence to them or their organization. He is also not obligated to give you prior notice, discuss the matter with you at length, or give valid reasons.

Appointment Letter For Employee Contract

Suitable for those scenarios when you need to outsource some contract employees to perform specific tasks that are limited to a certain setting

free download temporary appointment letter

Temporary Appointment Letter for Staff

Best suited for employing replacement staff for open vacancies that may require immediate filling. These are low or mid-level positions for which it may take time to find a permanent employee or which can be temporarily filled by new staff while they are being vetted for permanent employment.

print free temporary appointment letter

Temporary Non-Faculty Employee Appointment Letter

Best fit for the educational environment when a department seeks to outsource help with duties within the faculty. The employee does not become a fully-fledged member of the faculty and, as such, does not get the perks of such a position, just the salary, and responsibilities.

editable temporary appointment letter

Temporary Appointment Letter for Teacher Sample

This is a letter sample for the employment of a teaching staff member in a certain capacity and it states all the terms and conditions of their current employment status.

fake temporary appointment letter

Temporary Appointment Letter Format

This template finds the best use when it comes to re-delegation of duties within the company. An employee can be sick, on leave, or indisposed for an unknown period. This letter serves best to appoint another employee within the company who has the skills to carry out their duties and fill their gap while temporarily leaving their position, which they will return to once the absent employee can resume their duties.

free edit temporary appointment letter

Designer Temporary Appointment Letter Sample

download free temporary appointment letter

Temporary Appointment Letter to a Part Time Employee

downloadable temporary appointment letter

Temporary Appointment Letter Example

format of temporary appointment letter

How do I Format a Temporary Appointment Letter?

A good temporary employment letter should contain all the following:

Name of employee

To ensure that it goes to the right person and that qualified personnel get the job.

States the position that they will be filling temporarily.

Date of employment

Defines the date on which their status as a temporary employee begins.

Clearly, it outlines the salary that they will be receiving during their employment. This helps prevent haggling after the position has been accepted by the employee.

Employment period

States the period that the person is expected to fill the previously stated position. This is a courtesy that allows them to prepare for the termination of their status .

Duties and responsibilities

States the roles that the employee is expected to fill within the organization so that they only accept the position if they feel like they can adequately fulfill the expected requirements.

Other necessary terms and conditions of employment

States extra terms and conditions , responsibilities, or conditions that the employee is expected to fulfill while acting in the position that they are about to accept. Extra duties can be detailed here.

Date of termination

States a date during which the employee can expect their employment to end. This is, however, amenable to change at the discretion of the employer.

Details of employer

Details of the employer allow for easy contact and correspondence between the employer and the temporary employee.

The best way to ensure that you capture all of these elements in detail is to opt for one of our freely available templates that will offer you the necessary guidelines, ensuring that you come up with the best possible letter.

Template for Appointment Letter

[Company’s Letterhead]

[Company’s Name]

[Company’s Address]

[City, State, Zip Code]

[Employee’s Name]

[Employee’s Address]

Dear [Employee’s Name],

Subject: Offer of Temporary Employment

We are pleased to extend to you the offer of a temporary position with [Company’s Name], in the capacity of [Position Title]. This position will commence on [Start Date] and is expected to conclude on [End Date], unless earlier termination occurs as outlined in this letter.

Role and Responsibilities:

In your role as [Position Title], you will be expected to undertake the following responsibilities:

  • You will coordinate and manage [specific tasks or projects].
  • You are responsible for ensuring [specific outcomes or deliverables].
  • It will be your duty to communicate effectively with [teams, departments, clients, etc.].

Compensation:

Your compensation for this position will be a gross salary of [Amount], which will be payable [monthly/weekly/etc.] before deductions as per company policy. Additionally, [mention any bonuses, overtime rates, or other compensation details].

Working Hours:

Your standard working hours will be [number of hours] per week, specifically from [start time] to [end time] on [days of the week].

Terms of Employment:

Please be advised that this position is temporary and your employment with us will automatically end on [End Date], without the need for either party to issue notice. Should either party wish to terminate the employment before the end date, [mention any notice period requirements]. Furthermore, you will be expected to adhere to our standard confidentiality and non-compete agreements , which are [briefly describe any legal obligations].

During your temporary employment, you will be eligible for [list any benefits the employee will receive]. Please note that some benefits available to permanent employees may not be available to you due to the temporary nature of your position.

To accept this temporary appointment, please sign and return a copy of this letter by [Reply Deadline]. We are excited about the possibility of you joining our team and believe that you will make a significant contribution to our company.

Should you have any questions or require further details, please feel free to contact [Contact Person’s Name] at [Contact Information].

Warm regards,

[Your Name]

[Your Position Title]

Enclosures:

Copy of the Appointment Letter

[Any other relevant documents]

Sample Temporary Appointment Letter

Dear Alex Rivera,

We are delighted to offer you the temporary position of Software Development Project Manager at Innovative Tech Solutions. This position is scheduled to begin on March 15, 20XX, and will end on September 14, 20XX, unless terminated earlier as per the terms outlined in this letter.

As a Software Development Project Manager, you will have the following responsibilities:

  • You will oversee the development and implementation of software projects, ensuring they meet our quality standards and deadlines.
  • You are required to facilitate communication between the software development team and stakeholders to ensure project objectives are clearly understood and met.

It will be crucial for you to provide regular project updates to senior management and suggest adjustments as needed to achieve project goals.

Your compensation will be a gross salary of $7,000 per month, payable bi-weekly before deductions as per our company policy. This position also includes overtime compensation at 1.5 times your regular hourly rate for any hours worked beyond the standard 40-hour workweek.

You will work 40 hours per week, typically from 9:00 AM to 5:00 PM, Monday through Friday.

This temporary position will conclude automatically on September 14, 20XX, without requiring a notice period from either party. In the event that either party wishes to terminate the employment before this date, a notice period of two weeks will be required. Additionally, you will be bound by our confidentiality and non-compete agreement, which restricts the sharing of proprietary information and engaging in competing activities during and after your employment with us.

You will be eligible for health insurance coverage throughout the duration of your temporary employment. Please be aware that some benefits offered to permanent employees may not be accessible to you.

Please indicate your acceptance of this temporary appointment by signing and returning this letter by March 5, 20XX. We are excited about the prospect of you joining our team and are confident in your ability to contribute to our ongoing projects.

For any questions or further clarification, please do not hesitate to reach out to me directly at [email protected].

Innovative Tech Solutions

This offer of temporary employment is effectively structured and comprehensive. It clearly outlines the terms of the position, including start and end dates, responsibilities, compensation details, and working hours. The inclusion of specific responsibilities for the role enhances clarity and sets clear expectations for the employee. The letter also addresses termination procedures and the confidentiality agreement, ensuring legal compliance and protecting the company’s interests. Offering health insurance coverage demonstrates consideration for the employee’s well-being. 

The tone is professional yet welcoming, conveying enthusiasm for the candidate’s potential contribution to the team. Enclosing a copy of the appointment letter adds transparency and helps the recipient keep a record of the agreement. 

Overall, this letter effectively communicates the terms of the temporary employment offer while fostering a positive impression of the company and its commitment to its employees.

Dos and Don’ts (of Temporary Appointment Letter)

Accuracy and precision are paramount in the drafting of appointment letters to mitigate any confusion and prevent the emergence of any legal actions against you as an employer.

Here are some of the things to watch out for when writing the letter.

  • Make the appointment letter simple and to the point so that no information is lost or mistranslated once the potential employee reads it.
  • Ensure that the temporary’ stipulation of employment is brought out in every element of the letter. Use a readable font and proper formatting to make the letter legible to all and sundry
  • Avoid the use of vague terms, poor sentence structure, or jargon that may be hard for the potential employee to understand, as this is bound to lead to some problems later on.

About This Article

Zhaniece Hill

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Interim Job Assignment Letter to Employee

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This letter is a follow up to our discussion on [DATE], in which you agreed to temporarily assist [Company] by assuming additional responsibilities currently being performed by the [Position Title]. Per our discussions, this arrangement is on an interim basis as we recruit for a long-term incumbent to fill this role.  While in the role of Interim [Position Title], you will report directly to [Supervisor’s Name].

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The Interim Assignment: what do you need to consider?

The Interim Assignment: what do you need to consider?

Interim assignments are often fast paced, full on and challenging, with interim executives frequently being looked to as experts within their field. Zoe Spalding, Resourcer, spoke to several of our interim managers about their top tips for making an interim assignment successful.

Clarify and agree deliverables:

Establish a clear set of objectives required to deliver the brief – what exactly does the client need and how are you able to deliver this?

You may be required to help the client identify and set the objectives upon starting the role and you may need to be prepared for these objectives to evolve as you get further into the assignment. Be confident in communicating any changes, progress or challenges with the hiring manager and team to ensure everyone understands the progress.

Research and understand the requirements:

Researching the client thoroughly prior to starting an assignment can help you build up a picture of any issues, changes or requirements the client may need.

Either prior to, or shortly after commencing the assignment, obtain organisation charts, board reports as well as any other documentation detailing changes or plans implemented to date. You may consider undertaking a preliminary diagnostic detailing your findings upon arrival and then agreeing with the client on their expectations and priorities for your assignment.  Be clear if your findings do not match with what you have been briefed on.

Setting up introductory meetings with the hiring manager, stakeholders and wider team is useful for understanding where a project is at, who leads on which aspects, as well as building a sense of approachability and trust with existing employees. These meetings are an opportunity to acquire knowledge from a diverse range of people within the organisation and will provide details about the challenges and opportunities relating to the assignment, as well as giving an indication on what has or hasn’t worked previously.

Challenge and support:

Interims can often bring both ‘high challenge’ and ‘high support’, using your expertise to make recommendations from an empirical base. Draw insights from prior experiences to identify strengths and opportunities, as well as areas of vulnerability that need to be addressed. 

Trust and rapport:

Central to a successful assignment is building trust and rapport with the hiring manager, stakeholders and wider team - be approachable and non-egotistical. Whilst interims are often brought in for their expertise and guidance, taking the time to meet and actively listen to the team, join meetings and being visible can make for stronger relationships. Whilst many roles may have a hybrid element, and can be delivered remotely, being visible can be beneficial when motivating a team, delivering difficult messages or introducing a sustainable action plan.

During the assignment

Be flexible and manage ambiguity:.

Interim executives may need to adapt quickly to assignment changes, assessing progress and be flexible in working patterns – embracing hybrid working where appropriate. They may also need to continually work with the client to assess what is needed from the role and adapt the deliverables accordingly.

Maintaining an approachable and professional attitude:

Interims often need to integrate into or lead an existing team quickly and effectively – being humble, respectful and empathic to concerns or worries of existing employees is likely to help gain their support and trust quicker – which can help motivate others.

Displaying optimism, drive and enthusiasm can also keep energy high in the team, though it is important to ensure team members are not burnt-out trying to reach goals. See our Top Tips on Management Styles here.

Understand what is being asked and deliver:

Whilst deliverables may evolve through the assignment, it is important to understand what is being asked of you – clarify objectives. Liaise with the hiring manager, stakeholders and wider team, understand the stage of the project, what is going well, what needs amending and be clear on what your understanding is of the deliverables.

Ensure you don’t over promise and underdeliver. Be realistic in what you can achieve in the timeframe you have – if deadlines need amending, communicate this with the executive board and the wider team.

Communicate and listen:

Be clear, concise and professional in all communication, ensuring the team understands what is required of them, communicate progress, changes and next steps clearly. Remaining approachable and promoting an open communication style could help encourage employees to share their views, ideas and suggestions more freely. Clear communication is also key when broaching more difficult conversations or when suggesting changes.

Active listening is also key when building trust and promoting open communication. See our Top Tips on Active Listening and non-verbal communication here.

Each interim assignment provides the opportunity to learn new skills, work with new individuals, experience different industries and organisational cultures. Have fun, learn new ways of doing things that could also help in your next assignment.

Legacy and staying committed:

Interims are often brought in to identify and solve an issue, implement a project or deliver an element of change, transformation or turnaround. Understanding what will/won’t work for an organisation and the strengths and weaknesses of the team can help when assigning project deliverables.

Ask the team what support they need to deliver – and help them to achieve this. Greater engagement and investment from the existing team can help with ensuring that longer term success of the project and that it continues to be successful after the interim has concluded the assignment – ultimately leaving the client in a stronger position.

Word of mouth can be an influential tool when securing the next assignment – and leaving a client well, with a thorough succession plan can contribute to leaving a positive legacy. Despite a nearing end date, it is important that your focus and drive stays with the assignment until the last day, and you do not switch off early.

Towards to the end of the assignment:

Ending an assignment well is an important part of any interim assignment, it can open doors for future opportunities and impact word of mouth. We asked several interim managers what their tops tips are when concluding an assignment.

Succession planning:

Think about the legacy you are leaving behind, not only have you delivered the brief but that you have done so in a way that goes over and beyond what was expected.

During your assignment, it can be important to consider succession planning and knowledge transfer – what does the team / client need to succeed longer term, what infrastructure do they require to achieve stability and how can you help them reach this?

Leaving a thorough handover as well as ensuring documents and records are easily obtained can help the transition when an interim executive leaves. Consider organising meetings with the team, stakeholders and the hiring manager to brief them on the deliverables met, any challenges encountered as well as any potential risks or deadlines to be aware of.

Next steps and availability:

When is the best time to start thinking of your next role and actively approaching the market?

Most interim roles require a quick start date, whilst you are likely to keep semi active on social media platforms, such as LinkedIn throughout your assignment, you may think of increasing this and engaging with executive recruitment firms and your networks as your role ends.

Think about what type of role, client, and deliverables you are looking for next, are you willing to travel, are you looking for a certain number of days per week?

Ensure that your CV and LinkedIn page are up to date and align with each other.

Recommendations/testimonials:

It can be useful to ask for a handful of testimonials / recommendations at the end of the assignment that could be added to your LinkedIn profile. Keeping a copy of these can also be helpful for quick provision to future clients / executive search firms.

Rest and recuperation:

Interim assignments can be full on, with little time for “down time”. Think about and plan for some relaxation between assignments – this could be a short as a week or longer, but it can be important to allow time to decompress after a busy assignment before launching into the next one.

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How to successfully complete an interim assignment

Bringing any interim assignment to a close can be a bittersweet experience.

Sometimes it’s a case of a great job and company, and I wish it could go on a little longer. On other occasions, moving on and looking forward to the next assignment can be a relief.

Irrespective of your feelings and motivations, it’s vital for you as an interim manager (IM) to complete your assignment with your reputation intact. The interim community is relatively small, and word travels fast, so referrals and reputation often determine which IM a client chooses.

Avoiding issues like leaving projects halfway through or burning bridges with client contacts is obvious. Still, some other potholes and hazards may need to be navigated when nearing the end of an assignment.

Experienced IMs will know and plan to avoid many common or recurring problems, but even so, there are still things that can happen beyond the IM’s control. Failure to avoid or manage such issues correctly could tarnish your professional reputation.

So, what can IMs do to ensure that they complete assignments successfully?

Plan for the end of your interim assignment from the start

Every interim assignment will end at some point.

Occasionally, your assignment will finish before it was intended to, but more often than not, it will carry on beyond its anticipated end date.

Whichever it may be, it’s a good idea to plan for your exit from the moment you begin your assignment. Keeping it clear in your mind that you will step away from your client at some point should help you focus on what legacy you leave after you have gone.

Agree on deliverables and timescales

Most assignments will begin with a set of objectives. More importantly, clients will assess almost all assignments for success based on whether deliverables and timescales have been achieved.

Understanding and agreeing to deliverables and timescales at the beginning of the assignment will help you define what you need to do to complete the assignment successfully.

Plan, plan, and plan some more

It may sound a little obvious, but a strong, clear, and agreed project plan will help to keep all stakeholders on track with progress.

With successful completion in mind, it is essential to include a handover element in the plan. The necessity for communications, reviews and knowledge transfer should receive as much planning focus as deliverables and timescales.

In doing so, you’ll give yourself a clear and defined exit pathway whilst reducing the chances of any ambiguity or frustrations remaining with the client after you’ve gone.

Communication is key

Communication is a fundamental and crucial contributing factor to an IM’s success.

You should liaise regularly with your project stakeholders throughout the project, particularly towards the end of an assignment.

Effective communication in the later stages of the project will assist the handover process and give clarity and confidence to the permanent employees that remain once you step away.

A regular and productive communication flow between you and your end client will also give you a clear view of when you need to begin making plans for your next assignment.

Conduct regular reviews

Interim assignments rarely go exactly to plan, so it’s important to keep stakeholders updated on progress.

Regular reviews will enable you to maintain control of the project and manage the project team’s expectations.

A good IM will ensure that reviews take place, are minuted, and communicated to the broader stakeholder audience as required.

The reviews will also allow you to prepare the project team for your eventual exit and give them confidence in the process or system in your absence.

It’s all about the handover

A structured handover should always form part of an IMs plan.

The handover is the most critical point of the project regarding successful completion. It allows you to review the objectives and deliverables of the project with the client.

You should take responsibility for and control the project handover, looking to make the process as seamless as possible. It should include all relevant permanent employees and ensure that they are all fully up to speed and understand how things should work once you have exited.

Supporting information, such as guides, instructions, or videos, should be complete and stored centrally for permanent employees to access.

And finally, the handover should allow you to ensure that nothing is left hanging or unfinished. We always advise our interims to avoid making assumptions. If you’re unsure whether something has been completed, check.

Leaving a legacy

Leaving a client happy and satisfied with a job well done is the aim of every interim assignment. So, when it is time for you to walk away, do so professionally, even if everything hasn’t entirely gone to plan.

As an interim, your client is paying for your experience and knowledge. It’s reasonable, therefore, for them to expect that you will transfer some of that knowledge to permanent employees.

Whatever the project you were there to deliver, should be able to continue running without a hitch when you exit. That’s the real mark of success. You’ve set up the infrastructure, you’ve educated the team and relevant stakeholder and you should have essentially made yourself redundant.

You never know when your client might need your services again or who they might refer you to, so follow the basic principles outlined above and always look to leave a lasting legacy.

Interested in becoming an interim manager? Check out our latest opportunities or get in touch.

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interim assignment letter

Shield

The New Interim Process took effect on April 1, 2024

To view the new interim process power point click here., to view the recorded new interim process power point presentation click here, interim assignments.

An interim assignment refers to a temporary or short-term position that an individual is given within an organization. An interim assignment is used when there is a need for someone to fill a specific role for a limited duration, such as when an employee is on leave, during a period of transition, or when there is a temporary need for extra help or expertise.

Interim assignments can vary in nature and duration. They might involve taking on the responsibilities of a specific job role, managing a project, or providing expertise in a particular area. The key characteristic of an interim assignment is its temporary nature, with a clearly defined start and end date. The individual undertaking the assignment should be aware that the role is not permanent, and the engagement will be for a limited duration.

GENERAL CONSIDERATIONS FOR INTERIM ASSIGNMENTS

  • Candidates who are on track to meet the minimum education and experience requirements during the temporary assignment period of 3 months to a year may be eligible for consideration.
  • The new duties to be performed must be differentiated from the duties normally performed by the employee.
  • The employee being granted the interim appointment must assume all of the duties outlined in the interim position job description.
  • A probationary employee who has been hired in the last 6 months or has been under corrective action within the past 12 months will not be considered for an interim assignment.

DURATION OF AN INTERIM ASSIGNMENT

  • The minimum interim assignment term is three (3) months and not to exceed one (1) year.
  • The initial interim assignment request may not exceed six (6) months.
  • The interim assignment may be extended for an additional six (6) months, for a total duration of one (1) year. To obtain approval for the extension, a plan for filling the position must be submitted or re-evaluated in partnership with the Compensation and Talent Acquisition teams.
  • Interim assignments cannot exceed twelve months maximum, regardless of fiscal year.

INTERIM ASSIGNMENT COMPENSATION

  • Interim assignments are adjustments to an employee's base salary and are not considered additional compensation.
  • Once the interim assignment has been approved, the new base salary will be based on the approved classification’s market value and internal equity, which will be provided by compensation.
  • The employee in the interim role will not switch payroll schedules or exemption status.

Compensation Guidelines for Temporary/ Interim Assignments

Exempt

Less than three (3) months

A less than three months temporary assignment should be paid out as a one-time payment (ICP). This can be between 1-5% of the employee's base pay depending on the significance of the change in work responsibilities and complexity.

Exempt

Three (3) months or greater

Temporary change in the employee’s base pay based on market data and internal equity review.

Non-Exempt

Less than three (3) months

Non-exempt

Greater than three (3) months

Temporary change in the employee’s hourly rate based on market data and internal equity review.

REQUESTING AN INTERIM ASSIGNMENT

  • Interim assignment requests should be made within a minimum of two (2) weeks from the time the incumbent leaves the university, or the position becomes vacant.
  • All interim requests need to be advertised internally for five (5) business days. Waivers will not be considered for interim assignment positions.
  • If the department has an evergreen pooled interim position posted, then candidates can be selected from the pool.
  • Advertising the interim position allows equal opportunity for all Rice employees for consideration.
  • Please be aware that it is essential to submit all interim request documents for approval to compensation before any written communication with employees.
  • Failing to adhere to submission requirements may result in the payroll effective dates being invalidated and can be subject to change.

PROCESSING AN INTERIM ASSIGNMENT

  • The department will submit a job description to [email protected] using the Job Description Template.
  • Next, the compensation team will review or recommend a classification for the interim position.
  • After review the compensation team will set up the position using the following coding structure in Oracle.

Format: Job Code - Org Number

  • Exempt Interim Position Code : 00109 - XXXXX
  • Non-Exempt Interim Position Code : 00108 - XXXXX
  • Evergreen requisitions do not have an end date and are utilized to create a pool of candidates for current or future opportunities.
  • Now the hiring manager can start reviewing and interviewing candidates for final selection.
  • The manager or the HCM can initiate the interim offer letter in Oracle for the Talent Acquisition team to review and send to the finalist for review and approval.

Managers' Role in the Interim Process

  • It is crucial for the hiring manager to have a meeting with the selected employee's current manager about the need for the interim position, including its duration and scope of work. However, the current manager should not share any information regarding the employee's salary.
  • This preliminary discussion can give the interim manager some insight into the employee’s performance, career path, and other pertinent information.
  • Both managers will need to come to an agreement in regards to the duration of the initial interim assignment. Please refer to the Duration of an Interim Assignment section for duration information. Both managers will also need to re-communicate if the employee’s interim assignment duration needs to be extended.
  • There should be clear, direct, and transparent communication between the managers in order to make this process enjoyable for the employee because the interim assignment allows the employee to gain additional skills and showcase their talents for career growth.
  • If the employee’s current manager is not willing to release their employee for the interim assignment this will prompt a discussion from the performance and employee relations team.
  • The employee's current manager can consider using temporary exempt/nonexempt staff to fill in while the employee is in the interim role.
  • The current manager is not allowed to fill the employee’s position without giving the employee the option to revert to their original position.
  • Once the interim assignment has ended the employee can return to their original assignment and pay rate or be promoted/transferred into a permanent budgeted role.

PERFORMANCE

Goal Setting: Performance Management

When assuming the interim role, the manager should work with the new employee to establish goals that are aligned with the new role. You are encouraged to utilize the existing performance management tools and resources.

If you have questions regarding goal setting, contact the Talent Development team at [email protected] .

Managing Performance Concerns: Performance Commitment & Accountability

Once your goals and expectations are established, we encourage you to meet with your new employee regularly to provide feedback regarding their performance. This will allow you to re-evaluate the goals you both defined, provide positive feedback, and re-align your expectations if necessary.

In the event that the staff member is not meeting performance or behavioral expectations, it is the supervisor’s responsibility to employ the appropriate interventions promptly. As a supervisor, you can utilize available resources on the Knowledge Café in the Supervisors Toolkit .

For additional guidance and support, contact the Employee Relations Team at [email protected] .

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How to Step In as an Interim Manager

  • Rebecca Knight

interim assignment letter

What to do if you want the job — or if you don’t.

If you’re asked to take over as manager after your boss moves on from the organization, start by reflecting on what you actually want. Do you want the position permanently or temporarily? Once you know that, be open and honest about that from the start. Take some time to assess the state of the team so you can determine what you need to accomplish. Is the team operating well, or are there issues that need to be resolved? In any case, stick with modest-sized decisions to keep from overplaying your authority. You want to earn trust with your team by working collaboratively while making sure not to get involved in any team drama. If you want the job permanently but ultimately don’t get it, it might be time to look elsewhere for the increased responsibility you’ve found you’re ready for.

Your boss has left the organization and you’re named interim replacement. Congrats! Well, sort of. It’s not a given that you’ll become the permanent replacement. What’s the best way to maximize the chances that you’ll get the full-time job? How should you manage the team so they respect your authority and support your candidacy? And how do you handle the stress of feeling like you’re on a constant job interview?

  • RK Rebecca Knight is a journalist who writes about all things related to the changing nature of careers and the workplace. Her essays and reported stories have been featured in The Boston Globe, Business Insider, The New York Times, BBC, and The Christian Science Monitor. She was shortlisted as a Reuters Institute Fellow at Oxford University in 2023. Earlier in her career, she spent a decade as an editor and reporter at the Financial Times in New York, London, and Boston.

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Interim Offer Letter

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Offer of Employment Letter of Interim Chief Executive Officer, effective as of July 31, 2019

. Effective as of August 1, 2019 or such earlier time as the Company’s current Chief Executive Officer may terminate service in such capacity (the “ ”), you will be appointed as the Company’s Interim Chief Executive Officer (“ ”) reporting to the Company’s Board of Directors (the “ ”). You will have all of the duties, responsibilities and authority commensurate with the position of Chief Executive Officer, including those set forth in the Company’s Bylaws with respect to the Company’s Chief Executive Officer.
. Subject to the terms of this Agreement, this Agreement will remain in effect for a period commencing on the Transition Start Date (as defined below) and ending on the appointment and commencement of service of a permanent Chief Executive Officer, or until such later end of a transition period that may be requested in writing by such permanent Chief Executive Officer (not to exceed sixty days following the commencement of service of such permanent Chief Executive
.
. Commencing July 1, 2019 (inclusive of your transition period to begin the role of Interim CEO) (the “ ”) and during the Interim CEO Service Period you will receive a monthly stipend of forty thousand dollars ($40,000) per month or partial month (the “ ”) in accordance with the Company’s normal payroll practices. Your Stipend will be reduced by the allocable portion of any cash director fees payable to you as a non‑employee director during the Interim CEO Service Period.
. The Company shall pay or reimburse you for all reasonable business expenses, other than any air travel/hotel/rental apartment or other commute‑related expenses for travel from your home in Florida to Palo Alto, California, incurred by you during the Interim CEO Service Period that are submitted in accordance with the Company’s expense reimbursement policies and procedures.
. You will be entitled to participate in all employee retirement, welfare, insurance, benefit and vacation programs of the Company as are in effect from time to time and in which other senior executives of the Company are eligible to participate, on the same terms as such other senior executives. Notwithstanding the foregoing, you will not participate in the Company’s Severance and Change in Control Plan.
. Subject to this Section 5, you will be granted a Time‑Based RSU as follows:
. As soon as reasonably practicable but not later than the Start Date (the “ ”), the Company will grant you a restricted stock unit to acquire such number of 577,035 shares of the Company’s common stock (the “ ”) under the Company’s 2017 Equity Incentive Plan (the “ ”). The Time‑Based RSU will vest quarterly (each a “ ”) on the last day of each of the full three (3) month periods following your Transition Start Date (the “ ”) at the rate of 37.50% for the first Quarterly Vesting Period, 31.50% for the second Quarterly Vesting Period and 15.50% for each of the third and fourth Quarterly Vesting Periods. Notwithstanding the foregoing (i) vesting will be subject to your continued service as Interim Chief Executive Officer of the Company on each of the respective Quarterly Vesting Dates, and in the case of the Quarterly Vesting Period in which your service terminates, for at least one day during such Quarterly Vesting Period (in which event you will be credited for service of such full Quarterly Vesting Period), and will be subject to the terms and conditions of the written agreement governing the grant, the Equity Plan and this Agreement, provided that you shall vest with respect to the full amount of the first Quarterly Vesting Period, irrespective of the length of your service as Interim CEO, and (ii) at such time as the Interim CEO Service Period terminates for any reason, all further vesting shall cease at the end of the Quarterly
. Effective as of immediately prior to a Change in Control (as defined below) occurring during the Interim CEO Service Period, the vesting of any unvested Time‑Based RSU will accelerate in full provided that you (i) will execute a general release (in a form prescribed by the Company and provided to other executives similarly situated) (“ ”) of all known and unknown claims that you may then have against the Company or persons affiliated with the Company and such release has become effective and (ii) have agreed not to prosecute any legal action or other proceeding based upon any of such claims.
. As used in this Agreement, the following terms have the following meanings:
. “Cause” means any or all of the following: (i) your deliberate and repeated failure to perform your duties and/or responsibilities, as assigned or delegated by the Company (ii) your conviction of a felony or crime of moral turpitude, including but not limited to embezzlement or fraud (iii) your material breach of the terms of this Agreement, or the confidentiality and intellectual property agreement between you and the Company (iv) your commission of any act of dishonesty, misconduct or fraud in any way impacting the Company, its clients, or its affiliates; (v) any misconduct by you which brings the Company into disrepute, including conduct that injures or impairs the Company’s business prospects, reputation or standing in the community; or (vi) your violation of written Company policies, including, without limitation, any violation of the Company’s Code of Conduct and Global Workforce Inclusion Policies; provided, however, that the Company shall allow you a reasonable opportunity (but not in excess of 10 calendar days) to cure, to the reasonable satisfaction of the Company, any act or omission applicable to part (i), (iii), or (vi) above, if curable in the Company’s reasonable determination; provided, further, that it is understood that willful or grossly negligent acts or omissions will not be curable.
. “Change in Control” means (i) any person or entity becoming the beneficial owner, directly or indirectly, of securities of the Company representing fifty (50%) percent of the total voting power of all its then outstanding voting securities, (ii) a merger or consolidation of the Company in which its voting securities immediately prior to the merger or consolidation do not represent, or are not converted into securities that represent, a majority of the voting power of all voting securities of the surviving entity immediately after the merger or consolidation, (iii) a sale of substantially all of the assets of the Company or a liquidation or dissolution of the Company, or (iv) individuals who, as of this Agreement, constitute the Board of Directors (this body, the “Board,” and these members constituting, the “Incumbent Board”) cease for any reason to constitute at least a majority of such Board; provided that any individual who becomes a director of the Company subsequent to the date of this Agreement, whose election, or nomination for election by the Company stockholders, was approved by the vote of at least a majority of the directors then in office shall be deemed
. In the event that the severance and other benefits provided for in this Agreement or otherwise payable to you (i) constitute “parachute payments” within the meaning of Section 280G of the Code and (ii) but for this Section 7, would be subject to the excise tax imposed by Section 4999 of the Code, then, at your discretion, your severance and other benefits under this Agreement shall be payable either (i) in full, or (ii) as to such lesser amount which would result in no portion of such severance and other benefits being subject to the excise tax under Section 4999 of the Code, whichever of the foregoing amounts, taking into account the applicable federal, state and local income taxes and the excise tax imposed by Section 4999, results in the receipt by you on an after‑tax basis, of the greatest amount of severance benefits under this Agreement, notwithstanding  that all or some portion of such severance benefits may be taxable under Section 4999 of the Code. 
. To the extent (i) any payments to which you become entitled under this Agreement, or any agreement or plan referenced herein, in connection with your termination of service as Interim CEO with the Company constitute deferred compensation subject to Section 409A of the Code and (ii) you are deemed at the time of such termination of service as Interim CEO to be a “specified” employee under Section 409A of the Code, then such payment or payments shall not be made or commence until the earlier of (i) the expiration of the six (6)‑month period measured from the date of your “separation from service” (as such term is at the time defined in regulations under Section 409A of the Code) with the Company; or (ii) the date of your death following such separation from service; provided, however, that such deferral shall only be effected to the extent required to avoid adverse tax treatment to you, including (without limitation) the additional twenty percent (20%) tax for which you would otherwise be liable under Section 409A(a)(1)(B) of the Code in the absence of such deferral. Upon the expiration of the applicable deferral period, any payments which would have otherwise been made during that period (whether in a single sum or in installments) in the absence of this paragraph shall be paid to you or your beneficiary in one lump sum (without interest).
. Your service with the Company as Interim CEO is for no specific period of time. Your service with the Company will be “at will,” meaning that either you or the Company may terminate your service as Interim CEO at any time and for any reason, with or without cause. Any contrary representations that may have been made to you are superseded by this Agreement. This is the full and complete agreement between you and the Company on this term. Although your compensation and benefits, as well as the Company’s personnel policies and procedures, may change from time to time, the “at will” nature of your service as Interim CEO may only be changed in an express written agreement signed by you and a duly authorized officer of the Company (other than you).
. You will be bound by and comply fully with the Company’s standard confidentiality agreement (a form of which was been provided to you), insider trading policy, code of conduct, and any other policies and programs adopted by the Company regulating the behavior of its employees, as such policies and programs may be amended from time to time to the extent the same are not inconsistent with this Agreement, unless you consent to the same at the time of such amendment.
n.
. All records, files, documents and the like, or abstracts, summaries or copies thereof, relating to the business of the Company or the business of any subsidiary or affiliated companies, which the Company or you prepare or use or come into contact with, will remain the sole property of the Company or the affiliated or subsidiary company, as the case may be, and will be promptly returned upon termination of your service as Interim CEO, subject to your reasonable needs to fulfill your fiduciary duties as a member of the Board of Directors.
. You acknowledge that you have acquired and will acquire knowledge regarding confidential, proprietary and/or trade secret information in the course of performing your responsibilities for the Company, and you further acknowledge that such knowledge and information is the sole and exclusive property of the Company. You recognize that disclosure of such knowledge and information, or use of such knowledge and information, to or by a competitor could cause serious and irreparable harm to the Company.
. You will continue to be named as an insured on the director and officer liability insurance policy currently maintained by the Company, or as may be maintained by the Company from time to time, and will continue to be subject to indemnification as required by the Company’s Bylaws and the Indemnification Agreement between you and the Company.
. You and the Company agree to submit to mandatory binding arbitration, in Santa Clara County, California, before a single neutral arbitrator, any and all claims arising out of or related to
. All amounts payable to you hereunder shall be subject to recoupment pursuant to the Company’s current compensation recoupment policy (as may be adopted during the Interim CEO Service Period), and any additional compensation recoupment policy or amendments to the then‑current policy adopted by the Board as required by law during the term of your service as Interim CEO with the Company that is applicable generally to executive officers of the Company.
. While the compensation you receive for your service as Interim CEO during the Interim CEO Service Period will be offset by your compensation received in your capacity as a member of the Board as set forth in Section 3(a) above, for the avoidance of doubt you will receive compensation under the Board’s compensation policies for non‑employee directors during and following the Interim CEO Service Period; it being understood that you will not be serving on any Board committees requiring director independence during the Interim CEO Service Period (though it is anticipated that you will return to service on such committees following such time).
. This Agreement is binding on and may be enforced by the Company and its successors and permitted assigns and is binding on and may be enforced by you and your heirs and legal representatives. Any successor to the Company or substantially all of its business (whether by purchase, merger, consolidation or otherwise) will in advance assume
. Notices under this Agreement must be in writing and will be deemed to have been given when personally delivered or two days after mailed by U.S. registered or certified mail, return receipt requested and postage prepaid. Mailed notices to you will be addressed to you at the home address which you have most recently communicated to the Company in writing. Notices to the Company will be addressed to the Chairman of the Board at the Company’s corporate headquarters.
. No provision of this Agreement will be modified or waived except in writing signed by you and an officer of the Company duly authorized by its Board. No waiver by either party of any breach of this Agreement by the other party will be considered a waiver of any other breach of this Agreement.
. In the event that any provision hereof becomes or is declared by a court of competent jurisdiction to be illegal, unenforceable or void, this Agreement shall continue in full force and effect without said provision.
. All sums payable to you hereunder shall be reduced by all federal, state, local and other withholding and similar taxes and payments required by applicable law.
. This Agreement represents the entire agreement between the parties concerning the subject matter herein. It may be amended, or any of its provisions waived, only by a written document executed by both parties in the case of an amendment, or by the party against whom the waiver is asserted.
. This Agreement will be governed by the laws of the State of California without reference to conflict of laws provisions.
. The provisions of this Agreement shall survive the termination of your service as Interim CEO for any reason to the extent necessary to enable the parties to enforce their respective rights under this Agreement.
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Temporary Position Job Offer

[Candidate Name] [Street Address] [City, State, Zip code]

Dear [Candidate Name]:

On behalf of [Company Name], I am pleased to offer you a temporary short-term position as [job title], expected to last from [beginning date] to [end date].

As we discussed, in this position your compensation will be $[amount] per hour. This position is considered a nonexempt position for purposes of federal wage and hour law, which means that you will be eligible for overtime time pay for hours worked in excess of 40 in a given workweek.

This position is regularly scheduled to work approximately [number] hours per week. Your work hours are from [time] to [time], Monday through Friday.

Under the terms of [Company Name]’s benefits plan and policies, you are eligible for [insert information on available benefits].

This offer of temporary short-term employment, if not previously accepted by you, will expire seven days from the date of this letter. If additional time for consideration is necessary, please make this request as soon as possible. If you wish to accept the offer, please sign below and return the letter to me within the prescribed time.

We recognize that you retain the option, as does [Company Name], of ending your employment with [Company Name] at any time, with or without notice and with or without cause. As such, your employment with [Company Name] is at will, and neither this letter nor any other oral or written representations may be considered a contract.

Should you have any questions, please do not hesitate to contact me at [contact information].

[Name] [Job title]

I accept the offer of temporary employment set forth above.

_________________________                              __________ Signature                                                                    Date

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Employees who are filling a position as an Acting or Interim Appointment pursuant to UAP 3210 Section 5.6 may be eligible for a temporary salary increase pursuant to the Salary Determination and Internal Equity for Staff Employees . Internal equity review does not apply.

Upon commencement of an interim or acting appointment, the employee's interim salary must be established at a level not less than the minimum of the new pay grade. If the salary is above minimum, the interim salary should be based on qualifications in relation to the minimum requirements of the new position.

An employee who is on an interim assignment at the time of a Mass Salary Update, see Mass Salary Update Increases , may receive an increase as per the general MSU guidelines by using the following procedure:

  • Identify the pay rate in place prior to the interim appointment (the "Base Rate")
  • Apply the intended MSU percentage to the identified Base Rate to determine a new Base Rate
  • Re-apply the original percentage value of the interim increase to the new Base Rate to find the new Interim Rate.

Upon return to normal duties the employee's new Base Rate should reflect the value of the original Base Rate plus the cumulative percentage value of all standard pay increases that have been awarded during the interim assignment.

In cases where duties and responsibilities have been temporarily added to an employee's current position, but not to the extent that an interim assignment is warranted, a temporary in-range adjustment may be awarded within the employee's current classification. For more details on in-range adjustments, please see Compensation Guidelines for In-Range Adjustments.

For bargaining unit employees please refer to the appropriate union bargaining agreement.

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Interim Agreement: Definition & Sample

Jump to section, what is an interim agreement.

An interim agreement is a legal contract between two parties that allows for continued business operations during the transition of one owner to another. This type of agreement helps ensure continuity in the business while also making it easier for both parties to negotiate without having any pressure from deadlines or changeover periods.

An interim agreement can help with continuity in a company when transitions are happening. A contract of this type may include termination fees, expense sharing, and pre-closing details.

Common Sections in Interim Agreements

Below is a list of common sections included in Interim Agreements. These sections are linked to the below sample agreement for you to explore.

Interim Agreement Sample

Reference : Security Exchange Commission - Edgar Database, EX-99.E 5 d343138dex99e.htm INTERIM AGREEMENT , Viewed January 25, 2022, View Source on SEC .

Who Helps With Interim Agreements?

Lawyers with backgrounds working on interim agreements work with clients to help. Do you need help with an interim agreement?

Post a project  in ContractsCounsel's marketplace to get free bids from lawyers to draft, review, or negotiate interim agreements. All lawyers are vetted by our team and peer reviewed by our customers for you to explore before hiring.

ContractsCounsel is not a law firm, and this post should not be considered and does not contain legal advice. To ensure the information and advice in this post are correct, sufficient, and appropriate for your situation, please consult a licensed attorney. Also, using or accessing ContractsCounsel's site does not create an attorney-client relationship between you and ContractsCounsel.

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Christina M.

I am a regulatory transactional attorney with 16 years of in-house experience, largely in the gaming/gambling industry. I have negotiated various types and sizes of contracts from janitorial services for a small commercial building to multi-million dollar technology transactions. I also have a strong regulatory background that strengthens my ability to navigate contracts that are subject to stringent regulations.

Bobby H. on ContractsCounsel

Bobby E. Hill, Jr. is a native of Tuscaloosa, Alabama and holds undergraduate degrees in music and business administration from Xavier University of Louisiana. He received his Juris Doctor from the University of Miami School of Law where he was a staff and articles editor for the school’s Race & Social Justice Law Review and a student attorney in the institution’s Immigration Clinic. In addition to freelancing, Bobby is currently a litigation associate at Johnson & Freeman, LLC, a boutique litigation firm in Atlanta, Georgia, where he practices in the firm's Condemnation, Probate, Real Estate Litigation, Real Estate Transactions, E-Discovery and Business and General Civil Litigation Practice areas. In this role, Bobby has acquired appreciable experience in drafting memoranda of law for partners and senior counsel, and all litigation related pleadings including pleadings related to dispositive motions, discovery, appeals, and other post-judgment relief.

Peter L. on ContractsCounsel

Experienced in house counsel with expertise in contracting, labor and employment, regulatory and compliance and healthcare

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For the last 25 years I've focused on representing businesses and entrepreneurs in transactional law deals, including LLC creation, operation and sale of businesses; real estate sales and leasing; and general contract negotiation and drafting. While I've helped all manner of businesses work out a variety of contract and business matters, I am an expert at helping clients with buying and selling commercial properties including multi-family and office projects and buildings, subdivisions, and retail shopping centers. I am also a recognized expert negotiating leases for retail and office tenants and landlords. Over 25 years I've honed my skills a lawyer at one of the largest law firms in the world, an elite real estate boutique in Aspen, Colorado and a highly regarded firm based in Denver, Colorado, before starting my own practice in 2016. Since 2016 I've been helping my clients with real estate and business deals. I'm a commercial real estate and business expert with a passion for helping clients forge successful ventures in an efficient and understandable manner.

Jessica M. on ContractsCounsel

Jessica Molligan is an attorney with twenty years of experience in family law, bankruptcy, and litigation.

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Christine T.

Christine E. Taylor focuses her practice in the areas of Hospitality Law, Business Law, Labor and Employment Law, Real Estate Law, Administrative Law, Estate Law and Litigation. Ms. Taylor grew up within the campground industry, working at parks in both the Yogi Bear’s Jellystone Park Franchise and the Kampgrounds of America Franchise. Armed with two decades of experience, Ms. Taylor is quick to point out the legal issues that apply to outdoor hospitality business owners. She has provided a wide variety of services to campgrounds, RV Parks, and glamping venues, including seasonal licenses, waivers, employment contracts, real estate services and even litigation services as needed.

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Redirect Notice

Nih welcome wagon letter – information for new recipient organizations.

     
     
 
Terms of Award  The National Institutes of Health Grants Policy Statement 
Administrative Regulations (including Cost Principles) Reporting Requirements Transparency Act Subaward and Executive Compensation Reporting Progress Reporting (Annual, Interim and Final) Financial Reporting on the Federal Financial Report (FFR or SF 425) Inventions Report SBIR/STTR Reporting Requirements Audit Reporting Requirements
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Dear Institutional Official:

This letter provides important information that is critical to the successful administration and fiscal management of your grant award or cooperative agreement (hereinafter referred to as a “grant” or “award”) from the National Institutes of Health (NIH). Key requirements, referrals to important sources of information, and identification of NIH and other Department of Health and Human Services (HHS) offices with responsibility for certain administrative functions are included. While this letter highlights or summarizes important issues, it does not serve as a substitute for the NIH Grants Policy Statement (NIHGPS) or any other federal requirements, provisions or terms of award.

I. Requirements and Provisions

A. terms of award.

Acceptance of an award from NIH obligates the recipient to be aware of and comply with the terms and conditions of award. Each Notice of Award  (NoA) states: "...This award is based on the application submitted to, and as approved by, NIH . . . and is subject to the terms and conditions incorporated either directly or by reference in the following:

  • The grant program legislation and program regulation cited in this Notice of Award.
  • Conditions on activities and expenditure of funds in other statutory requirements, such as those included in appropriation acts .
  • 45 CFR Part 75.
  • The National Policy Requirements and all other requirements described in the National Institutes of Health Grants Policy Statement including addenda in effect at the beginning date of the budget period.
  • Federal Award Performance Goals: As required by the periodic report in the Research Performance Progress Report (RPPR) or in the Final RPPR when applicable.
  • This award notice, INCLUDING THE TERMS AND CONDITIONS CITED BELOW.

See the Award Conditions and Information for NIH Grants page on the NIH Grants & Funding website for references cited above.

A.1. The National Institutes of Health Grants Policy Statement

The NIHGPS is a term and condition for all NIH awards; Part II, Terms and Conditions of NIH Grant Awards contains the legally binding requirements for all grant recipients. By drawing funds from the designated payment system, the recipient agrees to the terms and conditions of an award. The NIHGPS covers policy topics including, but not limited to, modular applications, SNAP (streamlined non-competing award process), prior approval requirements, and awards to foreign entities. A search mechanism is provided to facilitate easy access to the information that is contained within the NIHGPS. See NIH Grants Policy Statement page for PDF and HTML versions of the NIHGPS.

A. 2. Administrative Regulations (including Cost Principles)

The HHS rules and requirements that govern the administration of grants are found at Title 2 Code of Federal Regulations (CFR) Part 200 (codified by HHS at 45 CFR Part 75 ). Part 75 applies to all recipients of NIH awards. These regulations (in addition to the NIHGPS) are a term and condition of award. Grant recipients must be aware of and comply with these regulations. The Uniform regulations include reference to the applicable cost principles. The costs of a grant-supported activity are comprised of allowable direct costs, plus the allocable portion of the organization's associated facilities and administrative (F&A) costs. Direct costs are costs that can be specifically identified with a particular project or program, while F&A costs are incurred for common or joint objectives and which therefore cannot be identified specifically with a particular project or program. The allowability, reasonableness, and necessity of direct and F&A costs that may be charged to NIH grants are currently outlined in the following three areas where recipients can locate the applicable set of cost principles:

Institutions of Higher Education, State and Local Governments and Indian Tribes and Nonprofit Organizations
, Appendix IXHospitals
48 CFR Subpart 31.2 ( )For-profit Organizations

B. Reporting Requirements

There are reporting requirements associated with every NIH grant. This section includes information on reports required by the Transparency Act, financial reports, progress reports, invention reports, and audit reports. Recipients are reminded that these reports are due at specific times during the life cycle of a grant. It is important that all reports are accurate, complete, and submitted on time. See also the following section on Public Policy Requirements for highlighted requirements that include ongoing reporting.

B. 1. Transparency Act Subaward and Executive Compensation Reporting

The Federal Funding Accountability and Transparency Act of 2006, as amended ("Transparency Act"), required the establishment of a single searchable database, accessible to the public, with information on financial assistance awards made by Federal agencies. Recipients of Federal grants are also required to report subaward and executive compensation (e.g., names and total compensation of the five most highly compensated officers) information in regards to first-tier subawards greater than or equal to $25,000 into the Federal Subaward Reporting System (FSRS)  no later than the end of the month following the month in which the obligation was made. 

In addition to those requirements, once fully implemented The Digital Accountability and Transparency Act of 2014, (DATA Act) will amend the Transparency Act, to require full disclosure of all Federal agency expenditures. Full implementation of the DATA Act will require the development of Government-wide data standards which will simplify financial reporting and improve the quality of spending data made available on USAspending.gov .

Additional information on these reporting requirements can be found on the NIH FFATA website.

B. 2. Progress Reporting (Annual, Interim and Final)

Progress reports are required annually to document NIH recipient accomplishments and compliance with the terms and conditions of award. They describe scientific progress, identify significant changes, report on personnel, and describe plans for the subsequent budget period or year. NIH requires all recipients of NIH awards to submit annual progress reports using the Research Performance Progress Report (RPPR) module within eRA Commons. Reports submitted in any other format will not be processed and will require resubmission in the RPPR format.

A Final RPPR is due no later than 120 days from the period of performance end date.

However, if the recipient organization has submitted a renewal application on or before the date that the Final RPPR would be required for the most recent competitive segment, then the recipient must submit an "Interim RPPR" to document the progress of that competitive segment. 

The Final and Interim RPPR follow the same general format as the current annual RPPR with one exception. Recipients are required to report on Project Outcomes, which should be in plain language because they will be made publicly available.

B. 3. Financial Reporting on the Federal Financial Report (FFR or SF 425)

Reports of expenditures are required as documentation of the financial status of grants according to the official accounting records of the recipient organization. Expenditure reporting is accomplished using the Standard Form 425 (SF425). Except for awards under the Streamlined Non-Competing Award Process (SNAP) and awards that require more frequent reporting, the FFR expenditure data is required annually and must be submitted within 90 days following the calendar quarter in which the budget period ended. A final expenditure report for all grants, including those subject to SNAP, is due 120 days after the close of the competitive segment. Institutions must submit expenditure reports electronically in the HHS Payment Management System.

B. 4. Inventions Report

The Bayh-Dole Act (P.L. 96-517) grants recipients the right to elect title and retain ownership to inventions they develop with funding under an NIH funding award ("subject inventions"). In accepting an award, the recipient agrees to comply with applicable NIH policies, the Bayh-Dole Act, and its Government-wide implementing regulations found at Title 37, Code of Federal Regulations (CFR) Part 401. A significant part of the regulations require that the recipient report all subject inventions to the awarding agency (see NIH Grants Policy Statement, Section 8.4.1.6 Invention Reporting ), as well as include an acknowledgement of federal support in any U.S. patent applications and issued patents thereon (see 37 CFR 401.14(a)(f)(4) for specific language). NIH participates in the trans-government electronic Interagency Edison system and requires recipients to use this system to comply with Bayh-Dole and related intellectual property reporting requirements. In addition, the invention must be reported in renewal and non-competing continuation applications. Invention reporting policy questions should be directed as follows:

Division of Extramural Inventions and Technology Resources (DEITR), Office of Policy for Extramural Research Administration (OPERA), OER, NIH 6705 Rockledge Drive, MSC 7980 Bethesda, MD 20892-7980 (301) 435-1986 [email protected]

Invention reporting documents or questions pertaining to renewal and non-competing continuation applications should be directed to the NIH awarding Institute or Center, as specified on the NoA.

All subject inventions also must be included on the Final Invention Statement and Certification (HHS 568), which is required within 120 days following the expiration or termination of the project (see NIH Grants Policy Statement, Section 8.6.3 Final Invention Statement and Certification ). The Final Invention Statement and Certification should be submitted through the eRA Commons using the Closeout feature. 

B. 5. SBIR/STTR Reporting Requirements

The Small Business Act requires agencies to collect meaningful information from Small Business Concerns (SBC) and ensure that reporting requirements are streamlined to minimize the burden on small businesses. For information regarding reporting requirements, see the SBIR/STTR Policy Directive .

B. 6. Audit Reporting Requirements

NIH recipients or subrecipients (other than Federal institutions) that expend $750,000 or more in Federal awards (grants, cooperative agreements, and/or procurement contracts) during their fiscal year are subject to an audit requirement. Organizations expending less than $750,000 during their fiscal year are not required to have an annual audit for that year but must make their grant related records available to NIH or other designated officials for review or audit.

Audit requirements for State and local governments, and non-profit organizations (including institutions of higher education) receiving Federal awards or subawards, are defined in  45 CFR Part 75, Subpart F, Audit Requirements . A completed data collection form and the Single Audit reporting package (see Single Audit Checklist, Instructions, and Form ) must be submitted on line using the Federal Audit Clearinghouse's Internet Data Entry System (IDES) .

Audit requirements for for-profit (commercial) organizations, including for-profit hospitals, are defined in 45 CFR Part 75.501 (h)-(k).  A for-profit organization is required to have a non-Federal audit if, during its fiscal year, it expended a total of $750,000 or more under one or more HHS awards (as a direct recipient or consortium participant). Foreign organizations must follow the same requirements as for-profit organizations as stated in the NIH GPS. For-profit and foreign organizations are provided with two options to satisfy the audit requirements: either (1) a financial-related audit of all HHS awards as defined in, and in accordance with, the Government Auditing Standards (commonly known as the  Yellow Book ); or (2) an audit that meets the requirements of 45 CFR Part 75, Subpart F- Audit Requirements . The SF-SAC data collection form is not required to accompany the audit report. Audit reports of for-profit and foreign organizations should be electronically submitted by email to:

Department of Health and Human Services Audit Resolution Division (833) 524-0169 [email protected]

Additional information relating to audit requirements for for-profit organizations is available on the Division of Financial Advisory Services Frequently Asked Questions website. It is imperative that recipients submit required audit within the specified time limits.

C. Public Policy Requirements

NIH grants are subject to requirements intended to ensure that recipient organizations handle their Federal awards responsibly. The term "public policy" indicates that the requirement is based on social, economic, or other objectives or considerations that may be attached to the expenditure of Federal funds by recipients, consortium participants, and contractors, in general, or may relate to the expenditure of Federal funds for research or other specified activities. Refer to Exhibit 4 in NIH Grants Policy Statement, Section 4.1 Public Policy Requirements and Objectives . 

Upon signing an application requesting Federal financial assistance, applicants certify compliance with public policy requirements, some of which are established or originate in legislative or regulatory provisions. These policies govern such areas as objectivity in research, civil rights, environmental impact, biosafety, drug-free workplace, debarment and suspension, Federal debt, and lobbying with Federal funds, and are intended to ensure fairness and equity, as well as physical and other protections in activities which receive PHS financial assistance. The public policy requirements and objectives governing NIH awards are fully presented in the NIHGPS; recipients must understand their compliance responsibilities with these public policy requirements. Public policy requirements concerning civil rights, handicapped individuals, sex discrimination, and age discrimination require the one-time submission of Assurance Form HHS 690 prior to award. In all subsequent applications, the recipient certifies that the form has been filed. To inquire as to whether your organization has previously filed the HHS 690, contact the HHS Office for Civil Rights  ( OCR Contact Us ). Selected Public Policy Requirements are described below; some of these requirements include ongoing reporting. See NIH Grants Policy Statement, Section 4 Public Policy Requirements, Objectives and Other Appropriation Mandates  for a full list of requirements applicable to NIH grants.

C. 1. Protection of Human Subjects in Research

Every institution proposing to "engage" in human subjects research is required to obtain from the HHS Office for Human Research Protections (OHRP) a Federal-wide Assurance (FWA) that indicates that the institution will comply with the regulations pertaining to the protection of human subjects in research ( 45 CFR Part 46 ), unless the research is exempt under 45 CFR 46.101(b). An institution becomes engaged in human subjects research when its employees or agents plan to (i) intervene or interact with living individuals for research purposes; or (ii) obtain individually identifiable private information for research purposes (45 CFR 46.102(d)(f)). An institution is automatically considered to be engaged in human subject’s research whenever it receives a direct HHS award to support such research. NIH awards permitting research involving human subjects will be made only after OHRP has issued an FWA to the institution. In addition, the recipient must provide certification to NIH that the research has been reviewed and approved by an Institutional Review Board (IRB) within 12 months of the budget period start date, and that the research will be subject to continuing review by the IRB. Instructions for obtaining FWA s and registering IRBs are found on the OHRP website . Obtaining FWAs and providing certification of IRB review and approval are "just-in-time" procedures (i.e., may be provided to NIH after peer review but prior to funding) as specified in NIH Grants Policy Statement, Section 2.5.1 Just-in-time Procedures . The recipient institution bears ultimate responsibility for protecting human subjects under the award, including human subjects at all collaborating sites, and for ensuring that collaborating sites have FWAs and certification of IRB review and approval before human subjects research is conducted. Additional information is available on NIH websites regarding human subjects research , data safety and monitoring for clinical trials, required education for the protection of human research participants,  inclusion of women and minorities , and inclusion across the lifespan .

C. 2. Registering Clinical Trials

Public Law 110-85 , also known as the Food and Drug Administration Amendments Act (FDAAA), which was enacted on September 27, 2007 amends the Public Health Service Act to expand the scope of clinical trials that must be registered in ClinicalTrials.gov . It also increases the number of registration fields that must be submitted, requires certain results information to be included and sets penalties for noncompliance. FDAAA includes the requirement that if an “applicable clinical trial” is funded in whole or in part by a grant from any agency of the Department of Health and Human Services, any grant or progress report forms required under such grant shall include a certification that the “responsible party” has made all required submissions for the applicable clinical trial to ClinicalTrials.gov. For those awards that support an applicable clinical trial, applicants and recipients are required to certify compliance with FDAAA. See Requirements for Registering & Reporting NIH-funded Clinical Trials in ClinicalTrials.gov .

NIH issued a policy on the Dissemination of NIH-Funded Clinical Trial Information. The policy is complementary to the requirements of FDAAA and establishes the expectation that all investigators conducting clinical trials funded in whole or in part by NIH will ensure that these trials are registered at and results information is reported in ClinicalTrials.gov. The policy applies to all NIH-funded clinical trials regardless of the study phase, type of intervention, or whether they are subject to FDAAA. However, the policy does not apply to a clinical trial that uses NIH-supported infrastructure but does not receive NIH funds to support its content.

C. 3. Care and Use of Laboratory Animals in Research

The Public Health Service Policy on Humane Care and Use of Laboratory Animals (PHS Policy) governs the use of all live vertebrate animals in activities supported by NIH. This policy provides for institutional oversight of the humane use of animal research subjects and requires that domestic institutions follow the Guide for the Care and Use of Laboratory Animals . Foreign recipients are required to follow the International Guiding Principles for Biomedical Research Involving Animals . Awards involving the use of animals will not be made unless the NIH Office of Laboratory Animal Welfare (OLAW) has approved an Animal Welfare Assurance and the Institutional Animal Care and Use Committee (IACUC) has approved those components of the application related to the care and use of animals. Collaborating institutions and performance sites where animal work will be conducted under the award must also obtain the necessary Assurances. Except in exceptional circumstances, awards are not made until the institution provides verification of IACUC review and approval in accord with the NIHGPS. Obtaining Assurances and providing verification of IACUC approval are also just-in-time procedures as specified in NIH Grants Policy Statement, Section 2.5.1 Just-in-Time Procedures .

Additional resources are available on the OLAW website , including a sample Animal Welfare Assurance , sample Foreign Assurance , PHS Policy Tutorial , IACUC Guidebook , Guide for the Care and Use of Laboratory Animals , and Frequently Asked Questions . To obtain information regarding animal welfare assurance requirements contact:

Office of Laboratory Animal Welfare (OLAW) National Institutes of Health 6700B Rockledge Drive, Suite 2500, MSC 6910 Bethesda, MD 20892 Bethesda, MD 20817 (non-USPS mail) (301) 496-7163 [email protected]

C. 4. Recombinant DNA

Organizations planning to conduct research involving recombinant DNA, including human gene transfer, are required to comply with the  NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines)  found on the Biosafety and Biosecurity Policy website. The NIH Office of Science Policy oversees the implementation of the NIH Guidelines.

Institutions subject to the NIH Guidelines must establish a standing Institutional Biosafety Committee. The requirements for the composition of this committee can be found in Section IV-B-2-a of the NIH Guidelines.

Office of Science Policy National Institutes of Health 6705 Rockledge Drive, Suite 750, MSC 7985 Bethesda, MD 20892-7985 (regular or US Postal Service Express mail) Bethesda, MD 20817 (non-USPS mail) (301) 496-9838 [email protected]  

C. 5. Research Integrity and Research Misconduct

The HHS Office of Research Integrity (ORI) is responsible for implementing the assurance system related to procedures on scientific misconduct. An organization receiving NIH grant support for research is required to certify compliance with 42 CFR Part 93 , Subpart A "PHS Policies on Research Misconduct". By signing the application, the Authorized Organizational Representative certifies that the organization has established administrative policies as required by the regulation. ORI requires an annual report (PHS Form 6349) detailing aggregate information on allegations, inquiries and investigations that were handled by a recipient organization. The annual report confirms that the organization has established internal policies and procedures and will comply with PHS regulations for reviewing, investigating and reporting allegations of misconduct in science conducted at, or sponsored by, the organization.

To obtain the above referenced forms, or for additional information regarding scientific misconduct and research integrity, contact:

Office of Research Integrity Assurance Program 1101 Wootton Parkway, Suite 240 Rockville, MD 20852 (240) 453-8407 [email protected] ORI Assurance Program

C. 6. Objectivity in Research (Financial Conflict of Interest [FCOI])

NIH requires recipients and investigators (except Phase I SBIR/STTR applicants and recipients) to comply with the requirements of  42 CFR Part 50, Subpart F , "Promoting Objectivity in Research” (see NIH Grants Policy Statement, Section 4.1.10 Financial Conflict of Interest )  and the companion regulation at 45 CFR Part 94 , "Responsible Prospective Contractors."

The requirements under the FCOI regulation promote objectivity in research by establishing standards that provide a reasonable expectation that the design, conduct, or reporting of research funded under NIH grants or cooperative agreements will be free from bias resulting from Investigator FCOIs. An "Investigator" is defined by the regulation as the Project Director or Principal Investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by NIH, or proposed for such funding, which may include, for example, collaborators or consultants.

Although institutions must comply with all provisions of the FCOI regulation, the following are some of the key requirements:

  • The Institution must maintain an up-to-date written and enforced policy on financial conflict of interest that complies with the regulation ( see 42 CFR 50.604(a)).   The Institution must (1) make its FCOI policy accessible on a public website, (2) post certain information concerning significant financial interests (SFIs) disclosed to the Institution that are identified as a financial conflict of interest and held by senior/key personnel, and (3) submit  a PDF copy of the policy to NIH via the eRA Commons Institution Profile Module (see NIH Grants Policy Statement, Section 4.1.10 Financial Conflict of Interest  for more information).  
  •  Institution's FCOI policy
  •  Investigator's disclosure responsibilities
  •  The FCOI regulations  
  • Investigator training must be completed before they engage in research related to any NIH-funded grant or cooperative agreement, at least every four years, and immediately under certain circumstances (see   42 CFR Part 50.604(b)).  
  • If the Institution carries out NIH-funded research through subrecipients (e.g., consortium, subrecipients, contractors, or collaborators), the Institution must take reasonable steps to ensure that any subrecipient Investigator complies with the regulation. The Institution must incorporate as part of a written agreement with the subrecipient terms that establish whether the FCOI policy of the  Institution or that of the subrecipient will apply to subrecipient Investigators and address disclosure  and reporting requirements (see   42 CFR Part 50.604(c)(1) ).  
  • Investigators are required to disclose all domestic and foreign Significant Financial Interests (SFIs ) (Including those of their spouse and dependent children) that are related to the Investigator’s institutional responsibilities (i.e., professional responsibilities the Investigator performs on behalf of the organization such as research, research consultation, teaching, clinical, etc.) that are received from or held in an entity outside the Institution.  It is important to note that disclosure of foreign financial interests differs from disclosure of domestic financial interests.  Investigators, including subrecipient Investigators, must disclose all foreign financial interests (which includes income from seminars, lectures, or teaching engagements, income from service on advisory committees or review panels, and reimbursed for sponsored travel) received from any foreign entity, including Institutions of higher education or the government of another country (which includes local, provincial, or equivalent governments of another country) when such income meets the threshold for disclosure (e.g., income in excess of $5,000).  
  • Investigators must disclose their SFIs by the time an application is submitted to NIH for funding, within thirty days of discovering or acquiring a new SFI, and on an annual basis at intervals determined by the organization.  
  • Investigators must update all financial disclosures related to their institutional responsibilities during the period of award at least annually (in accordance with the specific period of time prescribed by the Institution) and within 30 days of discovering or acquiring (e.g., through purchase, marriage, or inheritance) a new SFI.  
  • Institutions are responsible for determining if an Investigator's SFI is related to their NIH-funded research, and, if so, whether the Investigator's SFI is an FCOI (i.e., a SFI that could directly and significantly affect the design, conduct, or reporting of NIH-funded research). Institutions must provide initial and annual (i.e., ongoing) FCOI reports to NIH through the  eRA Commons FCOI Module , and comply with all of the reporting requirements .  
  • Failure by the Investigator to disclose a SFI that is determined by the Institution to constitute a FCOI
  • Failure by the Institution to review or manage such a FCOI
  • Failure by the Investigator to comply with a FCOI management plan  
  • If the retrospective review finds that there is bias in the design, conduct or reporting of NIH-funded research, the Institution must complete and submit a mitigation report to NIH.

Additional information is available on the NIH Financial Conflict of Interest website which includes many resources including, a tutorial on the requirements of the revised Final Rule, which fulfills that portion of the training requirement for Investigators related to the Federal regulation, and  Frequently Asked Questions . General inquiries about the FCOI regulation for grants and cooperative agreements may be directed to:  [email protected] . General inquiries about the FCOI regulation for research contracts may be directed to:  [email protected] .

II. Other Information

Payments for NIH recipients, except for grants or cooperative agreements to Federal Institutions (see NIH Grants Policy Statement, Section 17.5 Payment ), are made through the Payment Management System (PMS). PMS is administered by the HHS Program Support Center. Applicant organizations are assigned a 12-digit Entity Identification Number (EIN) for payment and accounting purposes; this number is provided on the NoA. The EIN number is an expansion of the 9-digit Employer or Tax Identification Number assigned to an organization by the Internal Revenue Service. Inquiries regarding payments and requests for downloadable forms should be directed to PMS ( PMS Help Desk ). Inquiries regarding payments to Federal recipients should be sent to your Grants Management Specialist.

B. Rate Negotiations

Facilities and Administrative Rates: The payment of facilities & administrative (F&A) costs is generally based upon rates established through a formal agreement between the recipient organization and the cognizant agency for indirect costs. The negotiated rate is applied to the applicable direct cost base to determine the amount of F&A costs to be awarded. HHS’s Cost Allocation Services Regional Offices negotiate F&A rates for educational institutions, hospitals and non-profit organizations.

The NIH Division of Financial Advisory Services will negotiate an F&A rate for commercial (for-profit) organizations. HHS/NIH recognizes F&A cost rates applicable to research activities negotiated by other Federal agencies adjusted for the HHS treatment of independent (self-sponsored) research and development (IR&D) costs.

Exceptions to reimbursement of F&A costs on certain NIH grants are described in NIH Grants Policy Statement, Section 7.4 Reimbursement of Facilities and Administrative Costs .

Patient Care Costs Rates: In instances where the proposed project represents a clinical research study, funds may be requested in a grant application for Patient Care Costs . Due to the special nature of these costs, a detailed explanation is required in the application as to how the total amount requested was determined. In situations where the amount requested for patient care results in an award that exceeds $100,000 in that category for a single budget period, the recipient organization must either have in place or take steps to develop a negotiated patient care rate agreement with HHS.

Hospitals and nonprofit organizations with questions concerning the negotiation of F&A cost rate agreements or patient care rate agreements should contact the appropriate office listed in NIH Grants Policy Statement, Part III Points of Contact .

C. eRA Commons

The eRA Commons provides recipients with the ability to conduct extramural research business electronically with NIH. All recipient institutions, Program Directors/Principal Investigators (PD/PIs), and individuals in a postdoctoral role who participate in a project for at least one person month or more, must be registered in the eRA Commons. The Commons is the only place where PD/PIs can review assignment information, peer review outcomes, summary statements, and other related grant documents such as submitted applications and NoAs. Institutional officials can: 1) check the status of grant applications; 2) submit Just-In-Time information; 3) submit Progress Reports using the RPPR format; 4) review applications and NoAs; 5) access the face page for paper Progress Reports; and, 6) submit electronic FFRs, no-cost extension notifications, closeout documents and appointment forms and termination notices associated with NIH institutional training grants, institutional career development awards, individual fellowships, and research education grants. eRA Commons login:    https://public.era.nih.gov/commons/ General Information:  eRA Help & Tutorials eRA Service Desk:  https://www.era.nih.gov/need-help

D. OER Resources 

The Office of Extramural Research (OER) is the hub for grants policy, grants administration, and the coordination of NIH's extramural programs and activities. The OER provides comprehensive information about NIH grants on the NIH Grants & Funding website. You can receive updates on NIH policies and activities, and gain a better understanding of the operation of NIH extramural programs, by reading the NIH Extramural Nexus , an electronic monthly update. Subscriptions are available from the Subscription Center .

The NIH Guide for Grants and Contracts (NIH Guide), published daily and indexed weekly, provides information to the research community regarding new or changed NIH grants policy, NIH funding opportunities, Requests for (contract) Proposals (RFPs), and Requests for Information (RFI). funding opportunities can also be found at Grants.gov .

A listserv subscription to the weekly Table of Contents of the NIH Guide is highly recommended as the best means of keeping up-to-date with NIH announcements, policy changes and clarifications, and funding opportunities.

Extramural award data is available from NIH's Research Portfolio Online Reporting Tool (RePORT). RePORT includes a variety of frequently requested reports including a link to the RePORT Expenditures and Results ( RePORTER ) tool where expanded information on funded scientific programs is available. If you have questions about statistics and award data, contact RePORT . For comments on RePORT, or suggestions for additional content, please use the Contact Us button found at the bottom of each RePORT page.

We wish you great success in our partnership to improve the health of the Nation.

Sincerely, Office of Policy for Extramural Research Administration Office of Extramural Research Office of the Director National Institutes of Health

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