Agreement Types
This guidance may help you determine which UW office to contact when presented with a draft agreement.
The Office of Sponsored Programs (OSP), reviews agreements that meet one of the following two criteria:
When the agreement is a sponsored program or related to a sponsored program, there are several key principles that drive the terms of the agreement. Please review Agreement Considerations for more details.
For help walking through when to route an agreement to OSP in SAGE use the OSP Agreements Decision Tree.
Review more on:
eGC1s for After-the-Fact Awards and Non-Award Agreements
An After-the-Fact (ATF) eGC1 is an eGC1 that has a draft agreement attached. The term ATF includes both award agreements and non-award agreements. Review more information about agreement types.
ATF eGC1s
An ATF eGC1 must be “IN OSP” status, marked ATF “YES”, and include:
- An award agreement, a scope of work, and a detailed budget with justification; or
- A non-award agreement with
- Complete the Abstract section of eGC1 with the description of the goal(s), specific objectives, deliverables and/or summarize expected outcomes and purpose of the agreement in as much detail as possible.
- Attach documents that include any additional special requirements, contextual information on what is happening, or conditions you think might help us understand your needs.
- Review NAA eGC1 instructions
Once the completed eGC1 is “In OSP”, it will be reviewed for compliance (e.g. University, state, federal and sponsor policies). OSP may provide reviewer comments prior to approval.
GIM 19 deadlines do not apply to ATF eGC1s.
Approval of the ATF eGC1 by OSP does not imply approval or acceptance of the agreement.
The ATF eGC1 must be approved before the attached agreement will be reviewed by OSP.
Incomplete eGC1s will be returned without review and include a request for missing information.
Examples:
- Research involves vertebrate animals and was not routed to OAW
- No agreement documents attached
- Missing scope of work or related budget
Upon eGC1 approval for ATFs, OSP creates the Award Setup Request (ASR) or Non-Award Agreements (NAA) within 2 business days. Upon initiating an ASR, OSP will send the ASR to campus for completion according to ASR steps.
ASRs and NAAs are reviewed and processed in the order received and according to reviewer workload.
Agreement Types
Review some of the common Agreement Types you may come across, along with contact information or routing instructions.
Unsure about whether to route an agreement to OSP? Use the OSP Agreements Decision Tree.
Agreements & OSP
This list represents agreements that may be hard to distinguish where they route and is not meant to be an exhaustive list.
Review information on the specific agreement before routing to OSP.
Use the Agreements Decision Tree for help with items that may route to OSP.
Agreements Decision Tree
- Used when a Covered Entity shares data (Personal Health Information or Limited Data Set) to a Business Associate
- Used when outgoing UW Medicine patient data will be provided to an entity that is considered a business associate under HIPAA or when incoming patient data will be provided to the UW in its capacity as a business associate rather than for research purposes.
OSP does not handle BAAs for outgoing patient data to a business associate. Review BAA guidance from UW Medicine Compliance.
- For BAAs related to VA services, submit non-award agreement (NAA) eGC1 with the agreement attached
- Sometimes, an agreement may be titled BAA but it is really a different type of agreement. If you are receiving Data for research and you were provided a BAA for this, please submit a non-award agreement (NAA) eGC1 with the agreement attached
Used when the UW will be a clinical trial site, and carry out the protocol per the terms of a clinical trial (CT) agreement. Changes to a CT agreement are by amendment.
- For clinical trials route an After-the-Fact eGC1 with the agreement attached
- For changes to an existing clinical trial, create a SAGE Award Modification (OSP/GCA)
These agreements restrict disclosure & use of proprietary or protected info.
Examples:
- You are receiving confidential information from an outside party to consider entering into a research agreement relationship
- You are receiving protocol information for UW to be considered a clinical trial site
- You are sending confidential information to an outside party for that party to consider sponsoring your research
Other types of similar agreements include Non-Disclosure Agreement (NDA) or Proprietary Information Agreement (PIA).
If the CDA is related to or in anticipation of a sponsored program:
If the CDA is related to an innovation you have disclosed:
Review CoMotion CDA information, or contact CoMotion
Neither? Contact your Chair, Dean, or Director
Cooperative Research and Development Agreement (CRADA) are formal agreements between one or more Federal laboratories and one or more non-Federal parties under which:
- The government, through its laboratories, provides personnel, services, facilities, equipment, intellectual property, or other resources.
- No funds may be provided by the Federal laboratories to the non-Federal parties.
- The non-Federal parties may provide funds, personnel, services, facilities, equipment, intellectual property, or other resources toward the conduct of specified research or development efforts that are consistent with the missions of the bureau.
- Any property and equipment provided under technology transfer mechanisms will be provided in accordance with established property management policies and procedures.
- See more information on CRADA from the U.S. Dept. of Interior
CRADA are generally non-negotiable.
Route a non-award agreement (NAA) eGC1 with the CRADA agreement attached.
Used for the transfer of data collected or developed such as raw data, data sets, student info, personal health info, etc.
Examples:
-
- Mutual disclosure of data between collaborators on a sponsored program
- One-way disclosure of UW data to an outside party as part of a consortium
- When the UW is a data coordinating center
Related to an active or pending sponsored program?
All other DUAs: Contact your Chair, Dean, or Director
Need a DUA template? Use the FDP DTUA Templates
Are you a UW Coordinating Center?
Contact osp@uw.edu for consultation on template approval and management of high volume DUAs/DSAs.
When you are accessing or submitting data to a Federal Repository such as dbGaP, NIAGADS, CMS, and are required to complete a Data Submission Agreement (DSA), Data Access Request (DAR) or Data Use Certification (DUC) you will need to submit an Award Modification Request in SAGE.
Instructions:
- Find the award that is associated with the project that generated the data being submitted, or the project that will use the data in the case of a data access request.
- Create a modification associated with that award.
- Attach the completed Federal Repository form.
- Include a comment on the Modification that indicates what you are requesting.
NOTE: Before submitting human subjects datasets to repositories, consult with the Human Subjects Division hsdinfo@uw.edu
Postdoctoral support in which a portion of the training experience is carried out by an industry sponsor on-site at industry sponsor’s location.
Route an eGC1 in SAGE to OSP.
External party licensing software or equipment for UW use. Review the various situations to determine instructions / contact:
- If for use on a sponsored research agreement, route a non-award agreement (NAA) eGC1.
- Purchasing software or equipment: If software or equipment are being acquired through purchase, normal procurement procedures should be followed. Procurement will advise on terms if needed.
If license agreement rises to the level of an unfunded research agreement, route a non-award agreement (NAA) eGC1.
- If for internally funded research or academic purposes, contact your Chair, Dean, or Director.
Overarching agreement in order to establish the terms and conditions that will be applicable to all projects and funding issued under the agreement. Typically, individual projects will be handled through a task order, work order, project addendum, or other shorter document that is subject to the terms of the overarching agreement.
Route a non-award agreement (NAA) eGC1. Select a representative PI. This is the individual designated by involved schools/colleges who will be responsible for the relationship with the sponsor overall.This PI may differ from PIs for individual work orders/projects.
Transfer tangible (e.g. biological) material from or to the UW from or to an outside entity
- Incoming (to UW) Material and related to an active or pending sponsored program?
- All other MTAs: review CoMotion MTA guidance
- Purchasing materials: If materials are being acquired through purchase, normal procurement procedures should be followed. Procurement will advise on terms if needed.
The formal documentation between the UW and an external entity that memorializes the exchange transaction for a specific scope of work.
Sponsors may provide funding, equipment or other tangible items for organized research, instruction, and other sponsored activity.
The award terms must be followed for the life of the project and include project dates, restrictions and reporting.
All sponsored research agreements require an eGC1. Refer to our Agreement Considerations.
In some cases, the UW’s approved Sponsored Research Agreement (SRA) template may be appropriate.
Agreements that Do NOT Route to OSP
The following agreements do not route to OSP, this is not an exhaustive list.
Funding to support student-led research projects, typically at the undergraduate or graduate program level, in which students earn academic credit.
Capstone program funding is handled by the individual academic department. Contact your department administrator or Capstone Program administrator.
Other attributes of Capstone Courses are set out by the Office of Educational Assessment.
From time to time, an individual at the UW may be asked to provide consultation as a service for a fee, in which the service primarily benefits the customer. Review more indicators of providing services.
Membership agreements between Industry members and the UW for companies to learn about the latest UW research, interact with faculty and students, and network with industry colleagues.
These are not sponsored programs.
Review guidance from Corporate and Foundation Relations
These are not sponsored programs. Use the Membership template endorsed by the University and process membership payments as revenue.
Includes obtaining services of a third party such as production of materials without payment terms.
Contact your Chair, Dean, or Director
Intent to provide a contribution of external support to the University without any requirement for receipt of economic or other tangible benefit beyond what any member of the public would receive.
Memorialize expression of intent, or expressing goals and aspirations or activity without committing to a legally binding agreement implicating legal remedies.
Some examples of what binds the University in agreements:
- Committing resources, such as effort, space, or in-kind support
- Providing rights or benefits to another party such as rights to reports, IP, or data
- Incurring risk, such as indemnification of another party
- Specific deliverables promised
International agreement that does not bind the UW or UW resources? Review the Office of Global Affairs International agreement resources
Others? Contact your Chair, Dean, or Director
The UW is purchasing goods or services.
Review Procurement guidance for How to Buy
Research Affiliation Agreements are between the University of Washington and other non-profit research institutions (not industry). The Research Affiliation Agreement Process and Template covers affiliated appointment criteria, student/scholar requirements, sponsored program administration requirements, IP, and other relevant areas to such an affiliation. Research Affiliation Agreements do not serve as grant proposals, other project-specific research affiliation agreements, corporate affiliate membership and giving programs (CAPS and RAPS), or international affiliations.
Steps:
- UW unit and collaborating institution completes the Research Affiliation Agreement Process and Template [UW-access only]
- UW unit emails the draft agreement to Melissa Cox (mdcox@uw.edu) in the Office of Research
- Melissa Cox routes the draft agreement for review and signature
- The Office of Research retains and distributes the fully-signed agreement to all signatories
Affiliate access to UW services:
- UW Libraries: email libaccts@uw.edu or call 206-543-1174
The best way for the affiliates to receive UW Libraries access would be to set up appointments for them in Workday, the UW’s payroll system. If it’s possible to grant them an Unpaid Academic Workday appointment, this would automatically grant them online library access as well as physical borrowing privileges. See: Web publishing, Ovid, U drive, and restricted UW Library resources.
- UW Information Technologies: ask your home department to Sponsor a UW NetID
The UW is providing goods or services.
Includes when an individual is providing consultation in their capacity as a UW employee. (Consulting Agreement)