For Researcher

#1. Communication is Key

Early communication is the key to a successful collaboration! Ensure that your associate dean for research, divisional dean, and/or department chair and administrator are well informed about your conversations with Industry regarding your project early in the process. The sooner they know your plan, the sooner they can help you navigate the process. It will be helpful to inform the appropriate UW central support office if you know early, for instance, that the funding will be a gift (CFR) or a Sponsored Research Agreement (OSP). [Add link to contact page]

#2. Signature Authority

Researchers are not authorized to negotiate and sign on behalf of the UW. UW faculty and staff are not authorized to sign any agreement (agreements may include budgets and/or pricing for financial support) on behalf of the UW and cannot commit UW resources. Although faculty researchers take the lead related to development of the scope of work of their projects (including budget development), faculty are not authorized by the University to negotiate terms and conditions of, nor sign to execute agreements between Industry and the University. This includes confidential disclosure agreements (CDAs), non-disclosure agreements (NDAs), and material transfer agreements (MTAs). Review our Agreement Considerations page early in the Setup stage. If a UW researcher or divisional, departmental, or school/college chair or dean sign an agreement it will not be a valid agreement.

#3. Academic Freedom

Agreements need to adhere to principles for Acceptance at the UW. In some cases, companies want intellectual property negotiated during an initial agreement with the UW. The overarching principle to address here is that Industry sponsors cannot restrict a researcher’s freedom to publish. For sponsored research, the UW may agree to give the sponsor the opportunity to review publications or presentations before they are made public. The sponsor may request redaction of its confidential information or request protection of intellectual property but does not otherwise have editorial oversight.

It is important to note that guidance will differ if this is a gift or sponsored research. Discussions of intellectual property can be negotiated in a couple of ways in sponsored research with the Office of Sponsored Programs (OSP), and/or through a license with CoMotion.

#4. Multiple Agreements

There can be more than one agreement associated with your industry-funded research project. The UW uses a wide range of agreement types to conduct business in support of the UW mission. Depending on the appropriate funding mechanism that the company is funding UW, there can be multiple agreements. This could include confidential disclosure agreements (CDAs), non-disclosure agreements (NDAs), and material transfer agreements (MTAs), in addition to a Sponsored Research Agreement or Gift Agreement. The principles and practices on the Agreement Types webpage apply to most sponsored research agreements at the UW.

#5. Funding Mechanism

There are several ways funding can come to the UW to support collaborative research projects with Industry. Make sure you know early in project planning. Most external support received from companies is clearly identifiable as either a gift, a sponsored program (grant/contract), or service revenue (terms of the engagement must address which of these is applicable). Knowing this up front can guide how a project is budgeted for and handled.

Research Gifts

A gift is the voluntary contribution of external support by a donor to the University, without any requirement for receipt of any economic or other tangible benefits in return beyond what any general member of the public would receive. As such, there cannot be contractual deliverables or intellectual property access. For your project to come into the UW as a gift and not be subject to Facilities & Administrative (F&A) costs it must meet required standards including clear public interest, limitations of sponsor control, and no privileged access to resulting IP to the sponsor. Payments cannot be based on deliverables or tied to a specific scope of work. Gifts can benefit a specific lab or research project and are irrevocable. Gifts are not subject to indirect costs, but there is a 5% assessment on gifts between $1,000 and $5M. The funding mechanism of “gift” should not be used to avoid the appropriate F&A rate for the project.

For more information:

• Plan/Propose, Select Funding Source (full definition of Gift)
• GIM 34 – Classification of External Support
• Gift Funded Research: Compliance Checklist
• APS 36.2 – Institutional Gift Assessment
• Distinguishing Between Gifts and Sponsored Programs

Sponsored Research Agreement

A sponsored program is a transaction between the UW and the sponsor in which the sponsor supports a specific scope of work carried out by the UW for organized research, instruction, or other sponsored activity in exchange for something of value such as data, results, intellectual property rights, and/or technical reporting.

Sponsored programs typically include a scope of work and one or more of the following:

• Budget information and payment terms tied to receipt of reports or other milestones
• A requirement for regular technical reporting
• Risk management, such as liability, indemnification, insurance or other contractual terms that establish acceptance of risk by the parties
• Intellectual property (IP) is defined, and ownership and related rights are set out, consistent with GIM 40
• Review more Sponsored Program Indicators

The Office of Sponsored Programs reviews and processes sponsored program proposals and awards. Sponsored Programs must be routed to OSP via an eGC1.For more information:

• GIM 34: Classification of External Support as Either a Sponsored Program or a Gift
• Sponsored Program or Services?

#6. Intellectual Property

Intellectual Property Guidance differs if gift or sponsored research. In some cases, companies want intellectual property negotiated during an initial agreement with the UW. It can be negotiated a couple of ways in sponsored research with OSP, or through a license with CoMotion. It is important to note that guidance will differ if this is a gift or sponsored research.

#7. Budget Considerations

The way industry funding comes to the UW to support your project affects how you will put together your proposal and budget. Knowing the way that funds will be handled upfront (including indirect costs) will help the process move smoother. Work with your associate or division dean to help you as you develop your project plan. Accurate classification of funding not only determines which office handles the proposal/award, it also ensures appropriate management, compliance, and streamlines review and approval.

For more information:

• GIM 34: Classification of External Support as Either a Sponsored Program or a Gift
• Sponsored Program or Service Activity?
• Gift Funded Research: Compliance Checklist

#8. Facilities and Administrative (F&A), Overhead or Indirect Costs

There are facilities and administrative (F&A, overhead or indirect) costs associated with all funding to the UW. The F&A Rate is the mechanism used to reimburse the UW for the facilities (operation and maintenance primarily) and administrative costs associated with sponsored research projects. These are real and true costs that the UW incurs for all projects and activities and are required to be assessed via the appropriate rate to the project budget. Note that if your project being funded is determined to be gift, it does not avoid having F&A costs assessed against it.  The UW will assess a gift assessment cost. The funding mechanism of “gift” should not be used to avoid the appropriate F&A rate for the project.  For your project come into the UW as a gift and be subject to Facilities & Administrative (F&A) costs rather than indirect costs, it must meet required standards including clear public interest, limitations of sponsor control, and no privileged access to resulting IP to the sponsor.

For more information:

• MAA F&A Rates and Costs
• GIM 23: Sponsored Programs Costing Policy
• GIM 13: Facilities & Administrative Rates
• F&A Rate Table
• F&A Rates and Costs

#9. In-Kind Gift Support

In-Kind Gifts. Companies may also provide gift support through in-kind donations of equipment or software or through below-market discounts on its products. All in-kind gifts are reviewed, accepted, and officially acknowledged. The UW reserves the right to decline any gift that does not further the University’s goals or may involve special maintenance or other conditions the University would be unable to satisfy. In-kind donations may be tax-deductible; the company is responsible for determining the value of an accepted gift. For more information: Giving to UW: In-kind gifts.

#10. Faculty Consulting

Faculty Consulting. UW researchers may be engaged by companies as paid consultants. Companies engage directly with the faculty member to discuss a consulting project. If there is mutual interest in working together, the faculty member must request formal approval for outside professional work. This approval process screens for any conflicts of interest and makes sure that intellectual property will be properly managed. As for the cost of a consulting engagement, faculty set their own rates, usually hourly, and work for the outside organization as a private contractor, not as an employee of the University. Consulting rates are based on the fair market value of the services provided.  UW faculty are required to report these consulting arrangements to the UW via the Outside Professional Work Policy.

For more information:

• CFR Faculty Consulting
• Outside Professional Work Policy