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Communications Procedure by Agreement Type

The University of Texas at Arlington

Office of Research Administration

I. Title:

Communication Procedure for Managing Agreements

II Purpose:

The purpose of this procedure is to (1) ensure communication of agreements that have references to other agreements where appropriate (e.g., technology license agreement that includes provisions for Sponsored Research)), and (2) clarify which UTA Research Administration (RA) unit Point of Contact (POC) owns, processes, and stores, agreements by type.

III. Relevant Statutes, UT System and UT Arlington Policies, Requirements or Standards:

UT System Board of Regents Policies Rule 90000 Series: Intellectual Property

UT System Board of Regents Policies Rule 10501: Delegation to Act on Behalf of the Board

UT System Policy UTS125 Processing of Sponsored Research Agreements, Section 4 (“Form G Agreements”): https://www.utsystem.edu/board-of-regents/policy-library/policies/uts12V-processing-intellectual-property-agreements

UTA Policy 5-704

Research Administration Policies http://www.uta.edu/research/administration/policies-procedures/

IV. Rationale for Policy and Procedures:

RA has responsibility for the negotiation and review of a variety of agreements between UTA and outside entities in accordance with internal policies and external obligations, and maintaining copies and records of all such agreements.

Terms imbedded in one agreement or incorporated by reference from other agreements may cover multiple areas of responsibility among UTA RA units. This procedure promotes efficiency and streamlines consistency with prospective and recurring sponsors, and identifies which UTA RA unit is responsible for agreements by type.

V. Scope:

All RA agreements, regardless of source of funds involved, and whether or not money is exchanged between the parties, are subject to this procedure.

VII. Procedure:

All agreements must be approved by an appropriate UTA RA POC and cross-referenced with other UTA RA POCs as needed based on subject matter and the matrices and steps below.

UTA RA POC preferred email contacts by functional group:

GCS: ogcs@uta.edu

OTM: otm@uta.edu

Regulatory Services (RS): regulatoryservices@uta.edu

1. Identify Agreement by type and funding status

a)     UTA RA POC determines if the agreement is one of the following commonly named or types:

  • Collaboration agreements
  • Cooperative Research and Development Agreements (CRADAs)
  • Facility access or use agreements (research only)
  • International agreements (research only)
  • Material Transfer Agreements (MTAs)
  • Memoranda of understanding (MOUs) (research only)
  • Non-Disclosure Agreements (NDAs), confidentiality agreements
  • Prime or Subrecipient Agreement
    • Specialized Services, Testing
    • Sponsored Research or Services
  • Teaming Agreement
  • Technology License, IP Rights or Technology Option Agreement
  • Equipment loan agreements (research only)
  • Visiting researcher agreement (research only)

If the Agreement is not listed above, then the UTA RA POC will use reasonable efforts to identify the proper UTA POC for handling the agreement.  This should be in coordination with the Agreement Manager (AM) and the University Attorney. 

b)     UTA RA POC identifies the prospective or actual funding status (funded or unfunded), and notifies the appropriate UTA RA POC(s) in accordance to the following matrix:

MOST COMMON AGREEMENT TYPES

 

TYPE OF AGREEMENT (Alphabetical)

PRIMARY RA POC

UPON EXECUTION

Material Transfer Agreements (MTAs):

 i) unfunded and for research

 ii) funded (such as with SRA)

 iii) outgoing

 

i) OTM

ii) GCS

iii) OTM

Copy as to IRB - IACUC (topic and protocol specific)                 RS

POC holds, copy to OTM for ii)

 

Non-Disclosure Agreements (NDAs):

 i) unfunded, preliminary to sponsorship

 ii) related to potential UTA technology

 

i) AM, copy to OTM and if export control, RS

ii) OTM, copy to AM and if export control, RS

POC holds, copy to OTM for i) and AM for ii), and if export control, RS

 

Sponsored Research, Services; Government (federal, state, local) awards

GCS (ogcs@uta.edu), if IP Allocation, copy to OTM

POC holds, copy to OTM if IP reporting obligations

Technology License or Option

OTM (otm@uta.edu)

POC holds, copy to AM and GCS if sponsored funding in terms

 

MISCELLANEOUS AGREEMENT TYPES

 

TYPE OF AGREEMENT (Alphabetical)

PRIMARY RA POC

UPON EXECUTION

Collaboration agreements

Funded                                     GCS

Unfunded             AM

POC holds, copy to OTM

 

Cooperative Research and Development Agreements (CRADAs)

Funded                                     GCS

Unfunded             AM

POC holds, copy to OTM

 

Copyright licenses or assignments

OTM

POC holds, copy

Funded                                     GCS

Unfunded             AM

Equipment loan agreements

 

Funded                                     GCS

Unfunded             AM

POC holds, copy to OTM

 

Facility access or use agreements

Funded                                     GCS

Unfunded             AM

POC holds, copy to OTM

 

Federal Lab Use Agreements

 

Funded                                     GCS

Unfunded             AM

POC holds, copy to OTM

 

International agreements

 

Funded                                     GCS

Unfunded             AM

POC holds, copy to OTM

 

Memoranda of understanding (MOUs)

 

Funded                                     GCS

Unfunded             AM

IRB - IACUC           RS (protocol specific)

POC holds, copy to OTM

 

Material or information exchange or services agreements where subject matter is

i)               animal research

ii)              human subject research

iii)            applicable laboratory services

iv)             biological materials

Funded                                     GCS, (i) and (ii) for services, RS, and (iii); Shimadzu Institute

Unfunded             Regulatory Services (RS) (i),(ii) and (iv); Shimadzu Institute (iii)

POC holds, copy to OTM

 

Terms within agreements, POC cc’d as per subject matter

 

i) Funded                                 GCS

ii) Unfunded                          AM

iii) Technology                     OTM

iv) Regulatory Services                    RS

POC holds, and

i) copy to OTM for IP related

ii) copy to OTM

iii) OTM, copy GCS for funded

iv) copy to OTM

Visiting researcher collaboration agreements

Funded                                     GCS

Unfunded             AM

POC holds, copy to OTM

 

 

2. Review for Non-Conforming Terms and Terms involving Intellectual Property (IP)

Primary UTA RA POC reviews terms to identify non-conforming terms (if any) to negotiate, and any that are related to IP, and acts as follows:

a) if there are no non-conforming terms (that is, all terms conform to UTA policy), and no background IP (BIP) listed or requested, the Agreement will be executed in standard process

b) if there are non-conforming IP terms, or BIP listed or requested, negotiation will be coordinated with OTM for input and eventual execution.

c) if there are non-conforming terms, and no IP or BIP, the Agreement wholly negotiated as per process below.

3. Negotiation of Non-Conforming Terms Causing Prolonged Negotiations; Form G.

Primary UTA RA POC will share non-conforming terms and issues regarding prolonged negotiations with the Vice President for Research (VPR) and Assistant VPR. Any Form G Agreements will be processed according to the appropriate policy

4. Execute and file approved agreement.

Authorized UTA signing official executes approved agreement, and Primary UTA RA POC circulates the agreement in accordance to the matrix in step 1 of this procedure.

VIII. Who Should Know

This procedure impacts UT Arlington Research Administration employees.

X. Dates Approved or Amended

November 17, 2015

XI. Contact Information

All questions concerning this policy should be directed to the Agreement Manager at vincenzo@uta.edu or www.uta.edu/uta/research, 817-272-1021.