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UT System Administration Policy Library -- Policy UTS125 Processing of Sponsored Research Agreements

Responsible Officer: Executive Vice Chancellor for Business Affairs
Sponsoring Office: Office of General Counsel
Effective Date: December 1, 2002
Last Reviewed: April 30 , 2008
Next Scheduled Review: May 1, 2008
Errors or changes to: policyoffice@utsystem.edu

CONTENTS

 

Policy Statement
Rationale
Scope
Website Address For This Policy
Related Statutes, Policies, Requirements Or Standards
Contacts
Definitions
Responsibilities
Procedures

Forms Tools/Online Processes

Appendix

POLICY STATEMENT

 

This policy provides the steps to follow to process sponsored research agreements.

RATIONALE

 

 

SCOPE

 

All institutions and UT System Administration 

WEBSITE ADDRESS FOR THIS POLICY

 

http://www.utsystem.edu/policy/policies/uts125.html

 

RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS

 

 

CONTACTS

 

If you have any questions about UT System Administration Policy UTS 125, Processing of Sponsored Research Agreements, contact the following offices:

 

Subject	Office Name	Telephone Number	Email/URL
	Office of General Counsel	512-499-4462	ogcemail@utsystem.edu http://www.utsystem.edu/ogc/

DEFINITIONS  

 

None

RESPONSIBILITIES 

 

Executive Vice Chancellor or a Designee

• Approves sponsored research agreements when they are for a dollar amount above $1,000,000.

UT Institution

• Sends the original signed sponsored research agreement to the sponsor after OGC approval.

Sponsor

• Considers factors that affect fair value for property rights.

PROCEDURES  

 

Most Sponsored Research Agreements Do Not Require UT System Review Prior to Execution

1. The following types of sponsored research agreements do not need to be sent to the Executive Vice Chancellor (EVC) for Health Affairs or Academic Affairs or to the Office of General Counsel (OGC) prior to execution:
1. Standard sponsored research agreements designated by OGC;
2. Standard sponsored research agreements with specified nonsubstantive modifications, as determined by the chief administrative officer or approved designee;
3. Company universal agreements designated by OGC;
4. Company universal agreements with specified nonsubstantive modifications as determined by the chief administrative officer or an approved designee;
5. Renewal or specified extension of previously approved sponsored research agreements continuing the same or related research with specified nonsubstantive modifications, as determined by the chief administrative officer or an approved designee;
6. Clinical trial agreements, material transfer agreements and laboratory studies that conform to the requirements set forth by OGC in relevant online checklist procedures; and
7. Sponsored research agreements, clinical trial agreements, material transfer agreements and laboratory studies that do not conform to the UT System Intellectual Property Policy or Guidelines, provided that, prior to execution of any such agreement, (a) each such agreement has been approved by the President of the institution or approved designee, and (b) the President, or approved designee, has executed a Form G for that agreement approving the agreement with full knowledge of the scope of the deviations from the UT System Intellectual Property Policy or Guidelines

2. The agreements listed above will require administrative approval by the EVC or designee when they are for a dollar amount above $1,000,000. The request for administrative approval must be accompanied by a letter from the President or designee in a form specific for the type of agreement submitted (i.e., Attachments A-E, G or Q).

Agreements Requiring Office of General Counsel Review and Approval Prior to Execution

1. Prior to execution, an electronic copy of all other proposed sponsored research agreements must be forwarded to the OGC for review and approval pursuant to the Regents’ Rules prior to execution.
2. Each agreement shall be accompanied by a form letter (i.e., Attachment F or F-S) from the President or designee for agreements that conform to UT System Intellectual Property Policy.
3. The agreements listed above will require administrative approval by the EVC or designee when they are for a dollar amount above $1,000,000. The request for administrative approval must be accompanied by a letter from the President or designee in a form specific for the type of agreement submitted (i.e., Attachments F or FS.).
4. The institution may send the original signed sponsored research agreement to the sponsor after OGC approval.

NOTE: Institutions are encouraged to contact OGC directly for legal advice and assistance at any stage of negotiation or contract preparation. Institutions should contact OGC upon identification of all proposed agreements that should be developed as company universal agreements.

 

 

Criteria for OGC Approval of Certain Agreements

 

The following guidelines should be considered in order for sponsored research agreements containing alterations to the Intellectual Property Policy or Guidelines to be approved by OGC in accordance with Board of Regents’ Rules and Regulations, Rule 90105 where the benefits from the level of funding for the proposed research and/or other consideration from the sponsor outweigh any potential disadvantage that may result from the policy deviation (these are usually referred to as "Form G Agreements"):

1. In the event that funding is conditioned on the grant to the sponsor of a royalty-free, non-exclusive license or other substantial intellectual property right, it is important that fair value be received for such rights because the State of Texas cannot subsidize private research. Consequently, consideration from the sponsor should include the following:
1. Funding and/or other consideration (whether received in the form of cash, equipment, services or supplies) should have an estimated value of at least $50,000; and
2. Overhead should be included at the rate normally charged by the institution.
2. Any grant of rights, whether in data, inventions or intellectual property, should be limited to results of research (a) conducted by the identified investigators; (b) directly funded by the sponsor; (c) arising directly from the performance of the agreement; and (d) arising during the term of the agreement.
3. The proposed agreement must indemnify the institution and The University of Texas System and their Regents, officers, agents, representatives and employees (including the principal and other investigators) against any claim, loss or judgment arising from the sponsor’s exercise of rights with respect to or use of the research results.
4. The likelihood of patentable inventions and significant potential commercial benefits arising from the research should be carefully considered.
5. The likelihood of patentable inventions and significant potential commercial benefits arising from the research should be carefully considered.
6. The proposed research should comport with legitimate academic and university research interests, should not incur unrelated business income tax liability, and should not be conducted solely for the proprietary interests of the sponsor.
7. The proposed agreement must conform to the Constitution, applicable laws of the state of Texas, and applicable federal laws and regulations.

FORMS AND TOOLS/ONLINE PROCESSES

 

These forms are located on the Office Of General Counsel’s Intellectual Property page:

 

Forms A-G

Forms A-G for electronic transmission

Form F-Software

Form L

 

Form Q

 

Form Q for Electronic Transmission

 

APPENDIX

 

None