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:
- It is a sponsored program
- Agreement is related to a sponsored program
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:
- Agreements & OSP
- Agreements that Do Not Route to OSP
- If you have an outgoing subaward, please review outgoing subawards.
- When do I need to use an eGC1?
- After-the-fact eGC1 guidance for agreements that require OSP review that do not already have an eGC1 associated.
ATF eGC1 Review
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 ATF eGC1s
Incomplete eGC1s will be returned without review and include a request for missing information.
- Research involves vertebrate animals and was not routed to OAW
- No agreement documents attached
- Missing scope of work or related budget
Set Up & Processing
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.
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.
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.
Business Associate Agreement or BAA
- 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
Clinical Trial Agreement or Amendment
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)
Confidential Disclosure Agreement (CDA)
These agreements restrict disclosure & use of proprietary or protected info.
- 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:
- Route a non-award agreement (NAA) eGC1 with the agreement attached
- Review CDA / NDA Guidance
- Review UW Approved Mutual NDA Sample
Neither? Contact your Chair, Dean, or Director
Cooperative Research & Development Agreements - CRADA
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.
Data Use Agreement - DUA | Data Transfer Agreement - DTUA
Used for the transfer of data collected or developed such as raw data, data sets, student info, personal health info, etc.
- 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 firstname.lastname@example.org for consultation on template approval and management of high volume DUAs/DSAs.
Federal Data Repositories
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.
- 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 email@example.com
Fellowship Agreement – Industry and Onsite
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.
Licensing or Loan Agreement – Third Party Software, Equipment, other
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 who serves to endorse the master agreement relationship (e.g. divisional head, chair, dean).
Material Transfer Agreements (MTA)
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.
Review guidance for outgoing subawards.
Sponsored Research Agreement – Funded or Unfunded
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.
In some cases, the UW’s approved Sponsored Research Agreement (SRA) template may be appropriate.
Express a general intent to cooperate with the UW to pursue an application for funding to a third party.
Route a non-award agreement (NAA) eGC1
The following agreements do not route to OSP, this is not an exhaustive list.
Capstone Program funding agreement - student led projects
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.
Corporate Affiliate Program - CAP
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.
Donation of Services from an Outside Party
Includes obtaining services of a third party such as production of materials without payment terms.
Contact your Chair, Dean, or Director
Gift Letter or Agreement
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.
- Review guidance on Distinguishing between a Sponsored Program, Gift, or Service Activity
- For assessment on whether qualifies as a gift, please contact firstname.lastname@example.org
Memorandum of Understanding (MOU)
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
Procure or Obtain Outside Goods or Services
The UW is purchasing goods or services.
Review Procurement guidance for How to Buy
Research Affiliation Agreement – Nonprofit research institutions
Institutional level research collaboration agreements between the UW and other research institutions. Covers affiliated appointment criteria, student/scholar requirements, sponsored program administration requirements, IP, and other relevant areas to such an affiliation. Not for use with industry. Not intended for grant proposals or other project specific research affiliation agreements, corporate affiliate membership and giving programs (CAPS and RAPS), or international affiliations.
Review Research Affiliation Agreement (RAA) Template Process. Access via UW NetID. Complete the template with the relevant information, and then contact email@example.com to initiate the review and approval of the RAA.
For affiliation agreements with private entities, please contact the Office of Research (firstname.lastname@example.org) for consultation. Obtain this consultation prior to involving OSP.
The UW is providing goods or services.
Includes when an individual is providing consultation in their capacity as a UW employee. (Consulting Agreement)
- Service Activity: Who do I contact?
- Review guidance on Distinguishing between a Sponsored Program, Gift, or Service Activity
- Federal Uniform Guidance- 2 CFR Part 200.331
Forms, Tools, and Resources
- Human Subjects Division (HSD)
- UW Corporate & Foundation Relations
- CoMotion: Material Transfer Agreements (MTA)
- Non-Exclusive Commercial License & Option to Negotiate Exclusive License (WIAP…
- Exclusive Commercial License (WIAP 2)
- Option for IP License (WIAP 3)
- Office of Sponsored Programs
- Non-Award Agreement eGC1 Instructions
- Subrecipient, Contractor/Vendor, Consultant?
- UW Corporate & Foundation Relations: Faculty Resources
- Step-byStep Proposal Submission Quick Guide
- UW Approved Sponsored Research Agreement (SRA) Template
Policy, Regulation, and Guidance
- GIM 01 – Review and Submission Requirements for Proposals
- GIM 34 – Classification of External Support as Either a…
- GIM 10 – Financial Conflict of Interest Policy
- Executive Order 8: Classified, Proprietary, and Restricted Research
- Executive Order 36: Patent, Invention, and Copyright Policy
- Agreement Considerations
- GIM 40: Disposition of University of Washington Intellectual Property in…