Agreement Types

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.
Examples:

• 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.

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.
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: 

• Route a non-award agreement (NAA) eGC1 with the agreement attached
• Review CDA / NDA Guidance
• Review UW Approved Mutual NDA Sample

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 & 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.

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?

• Review DUA guidance
• Route a non-award agreement (NAA) eGC1 with the agreement attached

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.

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.
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

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.

Master Agreement

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.

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?
  • Route a non-award agreement (NAA) eGc1
  • Review Sharing Materials for more info
• 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.

Outgoing Subawards

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.

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.

Teaming Agreement

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

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.

Consulting Agreement

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.

• Contact your Chair, Dean, Chair or Director for information on handling within your unit.
• If this consultation is done outside University duties, please see the Outside Professional Work approval (1460) process.
• Service Activity: Who do I contact?
• Federal Uniform Guidance- 2 CFR Part 200.331

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 gifts@uw.edu 

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 Agreements with Non-Profit Research Institutions

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:

1. UW unit and collaborating institution completes the Research Affiliation Agreement Process and Template [UW-access only]
2. UW unit emails the draft agreement to Melissa Cox (mdcox@uw.edu) in the Office of Research
3. Melissa Cox routes the draft agreement for review and signature
4. 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

Service Agreement

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