Incoming Award Matrix (Draft Version 7/25/14)
Type of Agreement / Agreement Type Definition / Type of Mechanism / Mechanism Type Definition / Examples / Overhead Considerations / UA Policy / Signature Authority / Account Designation /Sponsored Agreement / Funds received from Federal, State or other governmental agencies or private organizations that are provided on a contractual or grant basis with the restriction that the funds be used for a specific purpose. A project may be considered a "sponsored project" if:
· project requires separate accounting procedures, progress, technical, or final reports or other deliverables
· unexpended funds may need to be returned to the sponsor at the end of the project
· project involves the disposition of property, whether tangible or intangible, that may result from the project (equipment, inventions, copyrights, rights to data, etc.)
· project has budgeted indirect costs
· project involves protocol or compliance review and oversight
· project contains intellectual property terms
· project may result in publication
· award contains audit provisions
· award activity is research (gifts are an exception)
· project has a specific performance period or completion date
A sponsored project involves programmatic decision making/creative effort, analysis, or interpretation to carry out the objectives of the project. The product or service is customized. / · Grant
· Sub-Grant / An award of financial assistance for research, instruction, or other sponsored activity. Sponsors award grants on a competitive basis to recipients responding to a sponsor's program announcement. A grant award instrument is used when the principal objective is to accomplish a public purpose. The scope of work and expected outcomes are less defined than a contract. / · NIH Research Grants
· Sub-Federal Grant from UCSF
· Registry Study
· Program Income
· Public Service Grant from AZDHS
· Instruction Grant US ED
· American Heart Association of other related organization / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· Sponsored Projects PI Handbook
· Non-federal Sponsor Payment Policy / Contracting & Research Services / Sponsored Projects
Cooperative Agreement / A cooperative agreement is similar to a grant in that the principal purpose of the transaction is to accomplish a public purpose. A cooperative agreement includes substantial involvement and collaboration between the sponsor and the University when carrying out the activity contemplated in the agreement. / · NIH Cooperative Agreement
· USDA Cooperative Agreement / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
· Contract
· Sub-Contract / An award for a prescribed or defined project with a designated period for a specific amount with defined deliverables.
In a cost-reimbursement contract, the sponsor agrees to pay for all allowable costs incurred by the University in the process of doing the work or research up to an agreed upon maximum.
A fixed-price contract commits the principal investigator(s) to a defined scope of work for a set sum; that is, the sponsor pays the University a fixed sum to complete a specific job, regardless of actual cost. / · NASA Contract
· Sub-Federal Contract from UCLA
· Small Business Technology Transfer Program (STTR) agreement between UA and Industry funded with federal funds
· Small Business Innovation Research Program (SBIR) agreement between UA and Industry funded with federal funds
· Industry contracts / · Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained.
· OTT component may apply if project contains intellectual property terms. Contact the Office of Technology Transfer. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
· Inter-Agency Personnel Agreement (IPA)
· Joint Personnel Agreement (JPA) / A standardized agreement between the UA and an outside agency that enables a UA employee to work for a limited period of time at the outside agency.
Individuals remain UA employees for the assignment period and are not placed on leave of absence or terminated from the UA. / VA IPA / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
Funded Intergovernmental Agreements (IGA) / Agreement with a political subdivision of the State of Arizona and the UA. Similar to a cooperative agreement, there is substantial involvement and collaboration between the subdivision of the State of Arizona and the University when carrying out the activity contemplated in the agreement. / Signal timing project between Maricopa County and the College of Engineering. / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services (CRS will coordinate OGC signature on these agreements) / Sponsored Projects
Funded Interagency Service Agreement (ISA) / Agreement with a political subdivision of the State of Arizona and the UA for services performed by the UA. / Agreement with Arizona Department of Health Services for child fatality team services in Cochise County / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
Industry Clinical Trial (CT) / Primary sponsor is a for-profit entity.
Award for the testing of a drug and/or device on a human or animal subject / Contract with Pfizer to test experimental drug on human subjects or animals / Industry Clinical Trial Facilities & Administrative Rate / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
Non Industry Clinical Trial (CT) / Primary sponsor is a government or non-profit entity.
Award for the testing of a drug and/or device on a human or animal subject. / Grant with NIA to test experimental device on human subjects or animals / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
· Fellowships
· Training Grants / An agreement that supports the research, training, or dissertation preparation of a registered student or post doc at the UA. / · Fellowship from American Heart
· Institutional Training Grants / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
· Service Agreement
· Purchase Order (PO)
· Research & Option Agreement / Mechanisms used by vendors buying goods and services from the UA. / · Specialized Fabrication of Space Equipment
· AZ DHS purchase for the Mobile Health Clinic
· Faculty Compensation and other project costs paid to UA for specific research work performed at the UA
· Faculty Support not tied to specific project performed at the UA / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
Funded Research Agreement /Collaboration / A contract agreement for a research collaboration between a UA employee and outside parties where funding is involved. / Research collaboration between the UA and Stanford to study geological materials. / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
Funded International Memorandum of Agreement / An agreement with an international entity for the exchange of students, faculty, research collaboration, or other resources. / · Research collaboration between a UA faculty member and a faculty member at Oxford University in the UK where funds are being received
· Funded agreement between a foreign institution of higher education to train their doctoral students at the UA. / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
· Funded Letter of Understanding (LOU) / A mechanism for funded collaborative work between the UA and another Arizona Board of Regents Agency. / LOU with ASU for a sponsored project. / Federally Negotiated Facilities & Administrative Rate applies unless published Federal or Non-Profit stipulation or VPR waiver obtained. / · OMB Circular A-21
· FAR
· Sponsored Projects PI Handbook / Contracting & Research Services / Sponsored Projects
Material and /or Information Agreements without an exchange of funds / No funding involved.
Agreements that specifies the rights, obligations, and restrictions pertaining to materials and or information. / · Confidentiality Agreement
· Confidential Disclosure Agreement (CDA)
· Non-Disclosure Agreement (NDA)
· Proprietary Information Agreement (PIA) / A written agreement whereby the recipient of information agrees to keep confidential specifically identified information given by the provider for a specific period of time. / · Company provides an investigator with a protocol so the investigator can evaluate whether they want to participate in a clinical trial.
· Agreement with Raytheon that covers the proprietary information of Raytheon for students interning at Raytheon. / N/A / · Sponsored Projects PI Handbook
· CRS Standard Incoming Agreements / Contracting & Research Services / N/A
· Material Transfer Agreement (MTA)
· Biological Materials Transfer Agreement (BMTA) / A material agreement entered into by a provider and a recipient of tangible research material, including biological materials while protecting the intellectual and other proprietary rights of the provider, so that the research with the material may proceed. / Agreement covering receipt of cell lines, chemicals, etc. / N/A / · Sponsored Projects PI Handbook
· CRS Standard Incoming Agreements / Contracting & Research Services / N/A
· Property/Equipment Loan Agreement / An agreement where equipment is loaned to the UA, with a return date. Title of equipment does not vest with the University / Loan of a piece of equipment (and/or peripherals) for a stated amount of time / N/A / · Property Management Manual / Contracting & Research Services / N/A
Unfunded Research Collaboration / An agreement for a research collaboration between a UA employee and outside parties where funding is not involved. / Scientific Collaboration between UA and UCLA to study regional climate change with no funding involved. / N/A / · Sponsored Projects PI Handbook
· CRS Standard Incoming Agreements / Contracting & Research Services / N/A
Data Use Agreement / An agreement that outlines the rights and obligations pertaining to the use, handling, protection, and safeguarding of data. / Agreement that enables an investigator to use data from a project at the investigators previous institution. / N/A / · Sponsored Projects PI Handbook
· CRS Standard Incoming Agreements / Office of Research and Contract / N/A
Unfunded Business Associate Agreement / An agreement that outlines who are covered and non-covered entities in a relationship. This agreement is usually used in conjunction with other state agencies, data use agreements, and basic research agreements with outside entities. / Agreement used in addition to a registry study award that outlines which entities are covered and non-covered in relation to HIPPA. / N/A / · Sponsored Projects PI Handbook
· CRS Standard Incoming Agreements / Contracting & Research Services / N/A
· Unfunded Intergovernmental Agreement (IGA) / Agreement with a political subdivision of the State of Arizona and the UA. Similar to a cooperative agreement, there is substantial involvement and collaboration between the subdivision of the State of Arizona and the University when carrying out the activity contemplated in the agreement. / Agreement between Tucson Unified School District and the UA for TUSD high school students to take UA courses with the UA releasing the student’s grades to TUSD. / N/A / · Sponsored Projects PI Handbook
· CRS Standard Incoming Agreements / Contracting & Research Services (CRS will coordinate OGC signature on these agreements) / N/A
· Unfunded Memorandum of Agreement (MOA)
· Unfunded Memorandum of Understanding (MOU) / A mechanism for unfunded scientific or clinical collaborative work between the UA and another party or parties. / Scientific Collaboration between UA and ASU to study cancer cells with no funding involved. / N/A / · Sponsored Projects PI Handbook
· CRS Standard Incoming Agreements / Contracting & Research Services / N/A
Technology Licensing Agreements / Agreement whereby an owner of a technological intellectual property (the licensor (UA)) allows another party (the licensee(outside party)) to use, modify, and/or resell that property in exchange for a compensation. / Copyright License Agreements / Agreements for the licensing of copyrighted materials having commercial value. / Agreement for the use of teacher training materials developed at the UA. / N/A / · Tech Launch Arizona / Office of Technology Transfer / Sponsored Projects
Software License Agreements (Not tied to a specific sponsored project) / Agreements for the licensing of copyrighted software having commercial value. / Agreement for the use of facial recognition software developed at the UA. / N/A / · Tech Launch Arizona / Office of Technology Transfer / Sponsored Projects
Trademark Agreement / Agreement for the use of a name or other symbol used to identify a good or service of a particular entity. (These are not trademark agreements for the UA university mark.) / The UA licenses software to a distributor along with the trademark for the software. / N/A / · Tech Launch Arizona / Office of Technology Transfer / Sponsored Projects
Patent License Agreements (PLA) / Agreements for the licensing of patent rights in UA inventions to other parties, usually commercial entities for the development, manufacture and sale of a product or service. / Patent license on Electro-Optic Polymer Spatial Light Modulator. / N/A / · Tech Launch Arizona / Office of Technology Transfer / Sponsored Projects