Research OSPA:Working with Research Contracts Process

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Working with Research Contracts Process

Effective Date

November 19, 2014; Revised 5/4/15

Statement of the Issue

Processes required when a Specialist receives a contract (either incoming or outgoing) in the Office of Sponsored Projects (OSP).

Applicable Policy/Regulation

The process of establishing a contract begins with the Specialist, who initiates the process by collecting the necessary forms and information. See table in Section A below for specific agreements and the responsible party.

Process

All incoming and outgoing contracts and subcontracts that come into OSP as an award from a proposal submitted by OSP (including amendments or ancillary agreements related to the funded research such as Material Transfer Agreements; Nondisclosure Agreements related to a research project, Interagency Cooperation Contracts, etc.), will be negotiated and processed by the respective Grants & Contracts Specialist (Specialist).

Exception

The only exception to this involves incoming federal or federal flow-through grant or cooperative agreement awards that contain FAR or DFAR clauses. In these cases, the Specialist will review the FAR or DFAR clauses against the current version of the FAR Matrix on the G:drive. The Specialist’s concerns will be noted and all documentation will be forwarded to the Director, Research Contracts, including the file folder, any communication with the PI, and a detailed account of where the agreement stands, what has been done and what needs to be done. If the award mechanism is a contract (from e.g., DOE or DoD), or after initial review of a grant or cooperative agreement that includes FAR or DFAR clauses, the Specialist will notify the PI that the Director of Research Contracts will review the award/cooperative agreement or will be negotiating and processing the incoming contract.

Responsible party table

^ Type of Agreement ^ Responsible Group ^ | Incoming awards resulting from a proposal | Specialist || Grant awards or cooperative agreements with FAR or DFAR clauses | Specialist || Contracts with FAR or DFAR clauses | Research Contracts || SBIR/STTR proposals/awards | Specialist || Sponsored Research Agreement with Industry | Research Contracts || Subaward - Incoming | Specialist || Subaward - Outgoing | Specialist || Collaborative Research Agreements | Research Contracts || Research Consortium Agreement (No special provisions) | Specialist || Research Consortium Agreements with IP or other special provisions | Research Contracts || Service Agreement/Service Center Agreement | Research Contracts || Cleanroom Agreement | Research Contracts || Data Access Agreement – related to sponsored project (e.g., NIH dGap) | Specialist || Data Access Agreement – non-sponsored project related | Research Contracts || Teaming Agreement | Specialist with review by Research Contracts | | Confidential Disclosure Agreement (CDA) – Research-related | Specialist || Nondisclosure Agreement (NDA) – industry-related | Research Contracts || Material Transfer Agreement (MTA) - incoming | Specialist || Material Transfer Agreement (MTA) - outgoing | Specialist with review by OTC and Research Contracts || Memorandum of Understanding (MOU) | Specialist || Interagency Contract (IAC/ICC) | Research Contracts || Allocation of Rights | Research Contracts || Clinical Trial Agreement | Research Contracts |

Definitions

a. //Amendments and Modifications (amend/mod)// - An addition, deletion or change to a legal document which can only be accomplished by mutual agreement of all the parties. Once a contract is amended, the portions of the contract affected by the amendment are superseded and can no longer be given any force or effect. Amendments or modifications may be needed to add or delete work from the scope, extend the contract term, allow for additional time to complete the work, and reflect changes in requirements that arise due to events occurring after execution of the contract.

b. //Incoming// – An incoming amend/mod is issued to UTD from a prime sponsor or a first-tier subcontractor. UTD is performing a service or a portion of a project for which the first-tier subcontractor received an award from a prime sponsor.

c. //Outgoing// -An outgoing amend/mod is issued by UTD to another organization to perform a service or part of the project for which UTD received an award.

d. //First-tier subcontractor// is the entity to which a sponsor makes an award (prime award), who then subcontracts to UTD.

e. //Federal Acquisition Regulation (FAR)// consists of sets of regulations issued by agencies of the federal government of the United States to govern the acquisition process. The purpose of the FAR is to provide uniform policies and procedures for acquisition. FARs contain standard contract clauses and solicitation provisions.

f. //Defense Federal Acquisition Regulation Supplement (DFARS)// is a supplement to the FARS, and used by the Department of Defense.

g. //Subaward//: An award of financial assistance in the form of money, or property in lieu of money, made under an award by a recipient to an eligible subrecipient or by a subrecipient to a lower tier subrecipient. The term includes financial assistance when provided by any legal agreement, even if the agreement is called a contract, but does not include procurement of goods and services.