Funding Agreement

Overview

A Sponsored Research Agreement (SRA) between ULRF and an industry sponsor establishes the contractual terms and conditions for conducting a specific research project. To establish an SRA, please forward the following documents to OIE. We will use these documents to negotiate an agreement with the sponsor to meet each party’s needs and in accordance with applicable policies. After the SRA is executed, OIE will also establish a chartfield (account) within the UofL financial management and tracking systems as you begin work on your project.

Projects in which UofL provides/performs standard technical services/testing to industry sponsors’ specifications, often utilizing specialized University facilities which aren’t readily available in the commercial marketplace, are handled contractually through Service Agreements. To establish a Service Agreement, please forward the following documents to OIE. We will use these documents to negotiate an agreement with sponsor and bring the contract to execution. At that point OIE will also establish a chartfield (account) within the UofL financial management and tracking systems as you begin work on your project.

Change an Agreement

Amendments or modifications to the terms and conditions of existing agreements must be vetted and executed, much as the original agreements were. To amend an existing agreement, please forward the following document to OIE.

  • Amendment or Modified Notice of Award (if provided by sponsor), or
  • Request for OIE to draft an amendment

Change a Chartfield (Account)

Principal Investigators (PIs) may request changes to existing chartfields. Commonly requested changes include Investigator changes, Budget revisions, and End Date extensions; thus, the IBED Revision Form. Email requests on which PI and department head are copied are also acceptable. If revisions fall within existing agreement terms and conditions, no amendment is needed.

A signed IBED Form provides the PI’s and department head’s approval not only to revise a chartfield, but also to commit resources to a project beyond what was committed previously (via PCF or MIRA). OIE staff will determine if an amendment is required in such a case.

To revise an existing chartfield, please forward the following document to OIE.

IBED (Investigator, Budget, End Date) Revision Form (Excel), and IBED Instructions
(Note: Emailed PI and department head approvals for revisions may be substituted for the IBED Form)

University team members in our Office of Technology Transfer work regularly with private industry to bring materials into University laboratories.  Often, the material transfer agreements (MTAs) provided by private companies contain more restrictive language than MTAs negotiated between universities and nonprofit institutions.  Apart from more legal concerns, such as governing law and indemnification matters, the MTAs may contain terms that directly impact university researchers.  These may include (but are not limited to) terms related to ownership of resulting data or products; terms that conflict with researchers’ funding agreements; and terms that may inhibit a researcher’s ability to publish data derived from his or her studies.

They understand that each researcher has individual needs and interests related to these types of research agreements.  Agreements are worked through on a case-by-case basis: individual research goals and expectations are identified, as are conflicting terms in funding or other agreements (such as other MTAs, when materials are used in conjunction).  They strive to negotiate fair, tailored terms for use of private industry materials.

MTA terms can be part of an SRA or Service Agreement. The UofL SOW should identify any planned exchange of biological or chemical compounds as part of a project.

Go to the OTT site to learn more about MTAs.

University projects funded directly by federal, state or local governments or by nonprofit organizations are handled by Sponsored Programs Administration (SPA).  The SPA office can be contacted by email

Clinical projects funded by industry or by nonprofit organizations are handled by Clinical Contracts Division (CCD). The CCD office can be contacted by email.

The OIE Contracting unit negotiates legal agreements between the University of Louisville Research Foundation, Inc. (ULRF) and the corporate entities who support our nonclinical activities. Your contract specialist negotiates the agreement terms and conditions, then obtains the signatures of authorized representatives of ULRF and the sponsor.  Although not a party to the agreement, the Principal Investigator often is asked to sign to acknowledge his/her understanding and acceptance of the agreement terms, including ensuring that all members of the project team also are aware of an comply with the contractual provisions.

Many research and technical service activities are subject to a number of federal and state laws and regulations, and related UofL Policies. In addition, sponsors may have their own requirements through contracts. The failure to achieve compliance can have many consequences, including federal exclusions or debarment of individual investigators, civil monetary penalties, and, in some instances, the application of criminal law.

When the fully executed funding agreement is in place, and when all applicable institutional approvals (e.g., IACUC, IBC, Export Control, Conflict of Interest Compliance) have been obtained, the chartfield will be set up and the project may begin.

Questions?

OIE staff are happy to answer any questions you may have concerning any process, form, document or policy. You may contact us by email or by phone at 502-852-7253.