The University of Arizona

Types of Agreements

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Sponsored Projects/Sponsored Agreements
Prizes
Professional Sales and Services Agreements
Gifts
Affiliation Agreements
Material Transfer Agreement /Biological Materials Transfer Agreement 
Confidentiality Agreement/Non-Disclosure Agreement
Collaboration Agreements
Clinical Trial Agreements

Sponsored Projects/Sponsored Agreements

Sponsored Agreements/Projects are agreements for funds received from federal, state or other governmental agencies, or private organization provided on a contractual or grant basis. The funds must be used for a specific purpose.

A project may be considered a "Sponsored Project" if it:

  • Requires separate accounting procedures, progress, technical, or final reports or other deliverables
  • Contains a requirement that unexpended funds must be returned to the sponsor at the end of the project
  • Involves the disposition of property, whether tangible or intangible, that may result from the project (equipment, inventions, copyrights, rights to data, etc.)
  • Contains budgeted Facilities & Administrative (indirect) costs
  • Involves protocol or compliance requirements and oversight
  • Contains intellectual property terms
  • May result in publication
  • Contains audit provisions
  • Requires 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.

Sponsored projects usually require negotiation between the University and the sponsor and always require the signature of an officially designated University signatory.  The Contract & Research Support Program conducts the negotiation on behalf of the University, often in consultation with other university departments, such as Tech Launch Arizona, Office of the General Counsel, Risk Management, and the Research, Discovery & Innovation.

Prizes

Prizes are awarded as a result of a competition. The competition may be by an individual or a team. Contact Sponsored Projects Services (SPS) and the Contracting & Research Support Program (CRSP) as soon as you plan to apply for a competition. SPS and CRSP can assist with interpreting eligibility requirements, terms and conditions, and other issues that may impact receiving funds if the prize is awarded.

Prizes require a proposal, and are deposited in the Sponsored Projects fund group. Prizes may be for research, instruction, or other sponsored activities. Prizes are not charitable contributions, so they cannot be considered gifts. Prizes are not payment for services, so they cannot be deposited in designated accounts.

Types of Sponsored Agreements include:

Grant or Sub-Grant: A grant or sub-grant is 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. Examples include:

  • Research Grants from federal agencies such as the NSF, NIH, or NASA
  • Sub-Federal Grant from another institution
  • Public Service Grant
  • Instruction/Training Grants from the American Heart Association of other related organization

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. Examples include:

  • NIH Cooperative Agreement
  • USDA Cooperative Agreement

Contract or Subaward: A contract or subaward is an award for a prescribed or defined project with a designated period for a specific amount with defined deliverables. There are two types of contracts - Cost-Reimbursement and Fixed Price. 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. If project costs exceed the contracted amount, the principal investigator must arrange with the department head, dean, and or Research, Discovery & Innovation to cover the cost overrun. Examples of contracts include:

For additional information on sponsored agreements/projects, see Uniform Guidance 200, Appendix III.

Professional Sales and Service Agreements

Professional Sales and Service Agreements are for routine, regularly performed standardized work without significant interpretative analysis or creation of new knowledge. Federal funds may be accepted under Sales and Service Agreements if payment is for standardized work provided by an established service center with published rates for services. A product or service is considered "professional sales and service" if

  • The product or service is associated with a core University mission
  • It is offered to multiple external clients on a recurring basis 
  • The product or service is a by-product of the operation of a sponsored or instructional program
  • Payment basis is per unit or per service
  • Satisfactory facilities for product or service do not exist elsewhere (single source)
  • It is non-competing/must not charge less than total cost.

Examples of Professional Sales and Service Agreements include: 

  • Sales and Service Agreement
  • Purchase Order
  • Auxiliary Enterprise Revenue
  • Service Centers
  • Recharge Centers

When working with outside entities, it is often expedient to provide a copy of a standard University of Arizona services agreement to avoid agreements that contain terms and conditions that the University cannot accept. Contact the Contract & Research Support Program for assistance with these agreements.

For additional information on Sponsored Projects/Agreements, see Uniform Guidance 200, Appendix III, and the University of Arizona Financial Services Manual, Section 18.10, Service Center Policy

Gifts

Gifts are a voluntary transfer of items of value from a person or organization where no material amount of goods or services are expected. A gift will generally be motivated by charitable intent and is irrevocable. Gifts, sometimes called charitable grants, share many features with sponsored projects/agreements, including requirements for progress and financial reports or deliverables, and a clear scope of work. Types of gifts include:

  • Gift of funds given with a charitable intent
  • Non-Named Fellowships or Scholarships
  • Donor-issued agreements

Restricted gifts are donations of money and/or property that must be used for a specific purpose, such as faculty recruitment, equipment purchases, student financial assistance, or research (other than project research). Restricted gifts are administered by the University of Arizona Foundation and Sponsored Projects Services.

For more information on gifts, see the University of Arizona Financial Services Manual, Section 8.12, Gifts and the University of Arizona Foundation website.

Affiliation Agreements

Affiliation agreements occur between the University and another entity or entities to accomplish a joint mission such as instruction or research training. Types of affiliation agreements include:

  • Clinical Training Affiliation Agreements
  • Organization Affiliation Agreements
  • Site Preceptor Agreements
  • International Memoranda of Agreement

Materials Transfer Agreement (MTA)/Biological Materials Transfer Agreement (BMTA)

A Material Transfer Agreement is a contract that governs the transfer of tangible research materials between two organizations. They specify the rights, obligations and restrictions of both the providing party and the receiving party with respect to issues such as ownership, publication, intellectual property and permitted use and liability. Three types of MTAs are most common at academic institutions: transfer between academic or research institutions, transfer from academia to industry, and transfer from industry to academia.  Each calls for different terms and conditions. At the University of Arizona, the Contract & Research Support Program reviews and approves these agreements.

Confidentiality Agreement/Non-Disclosure Agreement

Confidentiality Agreements, Non-Disclosure Agreements (NDAs), Proprietary Information Agreements (PIAs) and Confidentiality Disclosure Agreement(s) are written agreements whereby the recipient of information agrees to keep confidential specifically identified information given by the provider for a specific period of time. Confidentiality agreements must indicate that confidential information be reduced to writing and marked as "Confidential." The agreement must specify a time limit, usually three years.  The Contract & Research Support Program negotiates, reviews, and signs confidentiality agreements.

Collaboration Agreements

Collaboration agreements involving investigators employed by more than one organization may develop informally at the beginning stage of proposal preparation, or they may be formally required by a funding agency as part of a proposal. If the collaboration is with an employee of a commercial company, a collaboration agreement must be formalized with the University and intellectual property rights addressed. Collaboration agreements with a commercial company must be reviewed by the Contract & Research Support Program (CRSP). If the collaboration is between a University of Arizona investigator and a non-University of Arizona, non-company investigator, a letter of intent is considered a best practice. The letter of intent should include a statement agreeing to collaborate, the identification of the scientists responsible for the respective activities, and a sentence or two describing what each collaborator will contribute. This letter need be between the investigators only, unless the sponsor requires University signature, in which case CRSP must be involved.

Clinical Trial Agreements

A Clinical Trial Agreement is an agreement that allows the University to administer a drug or device at no cost to the University, in order to follow a protocol provided by a sponsor. The sponsor can be either a for-profit entity, such as a pharmaceutical company, or a non-profit entity, such as the government. The University principal investigator records data from these studies, which is then provided to the sponsor. The Contract & Research Support Program is the signature authority for these agreements.