Assistance with Contracts

1. Complete the INTAKE questionnaire in Qualtrics. (A preview is available to help with planning.)
2. Email the following documentation to ORSP (orsp@uwlax.edu):
   1. Itemized budget - See the UWL budget template for an optional format.
   2. Contract
   3. Any supplementary documents (if applicable)
3. After all materials are received, ORSP will initiate the review and approval process in RAMP to document approvals from your department chair/unit director, dean/division director, and ORSP. Additional consultation or approvals may be required (e.g., Compliance Specialist, research compliance committees).
4. For agreements that may or must be signed by the ORSP Director:
   1. ORSP will review the contract, budget, and supplementary documents. After approval, the contract is signed by the ORSP Director.
   2. ORSP will send the signed contract to the outside entity and provide a copy of the fully signed contract to the PI/PD and Grant Accountant. 
5. For agreements that must be signed by the Vice Chancellor for Administration & Finance: 
   1. ORSP reviews and approves the budget and research compliance components. Chair/dean/director approvals are documented in RAMP.
   2. After ORSP and chair/dean/director approvals are finalized, ORSP will send your contract to the Contract Administrator for contract review.
   3. After the Contract Administrator's approval, it is signed by the Vice Chancellor for Administration & Finance.
   4. The contract will be returned to you to send to the outside entity. You may want to keep a copy for your own records.
   5. Upon receipt of the fully signed contract, make a copy/scan for yourself, and send the original back to Business Services.

MTAs often do not have associated budgetary components, and so ORSP budget review typically is not required. However, MTAs must be reviewed for adherence to all research compliance requirements (e.g., chemical & physical safety, export controls, IBC, IP, IRB, IACUC, subrecipient risk assessment & monitoring). All protocols and other compliance requirements must be finalized before an MTA can be approved. Multiple MTA resources and templates can be on found on the AUTM website.

Below is the MTA review and approval process:

1. Gather the following documents:
   1. Completed MTA Compliance Screening Form
   2. MTA (See the AUTM website if a template is needed.)
2. Send the documents to ORSP (orsp@uwlax.edu).
3. ORSP completes initial review and signature of the MTA screening form. Depending on the research compliance screening, you may receive a request from ORSP or Business Services for additional project information.
4. After review, ORSP will send the MTA materials to the Contract Administrator for further review.
5. After the Contract Administrator’s approval, it is signed by the Vice Chancellor for Administration & Finance.
6. The MTA will be returned to you to send to the outside entity; you may want to keep a copy for your own records.
7. Upon receipt of the fully signed contract, make a copy/scan for yourself, and send the original back to ORSP and Business Services.

1. Gather the following documents:
   1. Award letter
   2. Budget
      1. If revisions to the proposed budget are required, provide a revised budget and budget justification that align with the awarded funding. Revised budgets may require approval from the PI's chair/dean/director (e.g., changes to salary, course reassignment).
   3. Contract
2. Send documents to ORSP (orsp@uwlax.edu).
3. ORSP completes review of materials and enters information into RAMP.
4. After ORSP and other approvals (if applicable) are completed, the ORSP Director reviews and signs the agreement. Additional consultation or approvals may be required (e.g., Compliance Specialist, research compliance committees).
5. ORSP will send a copy of the signed agreement back to the sponsor. 
6. Upon receipt of the fully signed contract from the sponsor, ORSP will send a copy to the PI/PD and Grant Accountant.

1. Complete the INTAKE questionnaire in Qualtrics. (A preview is available to help with planning.)
2. Email the following documentation to ORSP (orsp@uwlax.edu):
   1. Explanation of the requested/negotiated changes and any supporting documentation that can clarify the modifications for those reviewing the changes, such as:
      • Revised itemized budget - indicate and explain the changes
      • Revised budget justification
      • Revised project description or scope
   2. Revised contract or contract addendum/amendment
3. ORSP will initiate the review and approval process in RAMP to document approvals from your department chair/unit director, dean/division director, and ORSP. Additional consultation or approvals may be required (e.g., Compliance Specialist, research compliance committees).
4. For modifications that may or must be signed by the ORSP Director:
   1. ORSP will review the modification. After approval, it is signed by the ORSP Director.
   2. ORSP will send the signed modification to the outside entity and provide a copy of the fully signed contract to the PI/PD and Grant Accountant.
5. For modifications that must be signed by the Vice Chancellor for Administration & Finance:
   1. After ORSP and other approvals are completed, ORSP will send your contract to the Contract Administrator for review.
   2. After the Contract Administrator's approval, it is signed by the Vice Chancellor for Administration & Finance.
   3. The contract will be returned to you to send to the outside entity. You may want to keep a copy for your own records.
   4. Upon receipt of the fully signed contract, make a copy/scan for yourself, and send the original back to Business Services.

Note: Modifications to existing grants, agreement amendments, or supplements related to extramural funding require the signature of the ORSP Director. Agreements/modifications related to federal funding or compliance often also require the signature of the ORSP Director. In these cases, after ORSP review and approval, ORSP will send a copy of the signed agreement back to the sponsor, the PI/PD, and the Grant Accountant.

Contracts, for the purposes of this webpage, are agreements negotiated with governmental agencies, nonprofit organizations, businesses, and individuals to provide a specific product or service. This might include research, testing, or other services provided to an outside entity, or research materials received from or provided to an outside entity. 

You must seek approval from the Office of Research & Sponsored Programs (ORSP) and/or Business Services when entering into a contract, which may or may not involve monetary compensation, if one or more of the following conditions are met:

• the work will take place on campus
• university or other state resources will be used to complete the work
• the funds for the work will flow through UWL (Business Services will be administering the funds)
• any individuals involved in the agreement are acting in their capacity as a university employee or as a university representative
• research materials will be received from or provided to an outside entity (e.g., via MTA)

Both the Contract Administrator and ORSP can assist you in making those determinations.

That would be beyond the scope of the services that ORSP provides. Contact the Contract Administrator for assistance. You can also find additional information on the Contracting for Personal Services page.

• Have a clear internal budget. Use your own template or the UWL budget template.
• Include a note to explain anything not clearly covered in the contract. If the contract lists only total funding with few budgetary details, a budget justification can provide needed clarity.
• Fringe benefits are REQUIRED to be included in your budget. If the other party is asking for waived or reduced fringe benefits, contact ORSP for assistance.
• Indirect costs are REQUIRED to be included in your budget. If the other party is asking for waived or reduced indirect costs, contact ORSP for assistance. Documentation of the other party's established, uniformly-applied indirect policy will be required before waivers or reductions will be considered. NOTE: MVAC should use their Business Services/ORSP approved rates.

Just as with work you would be engaged in related to a grant or any other project, you are responsible for ensuring that you and any others working on the contract are compliant with federal statutes related to IRB, IACUC, IBC, IP, dual use research of concern (DURC) and pathogens with enhanced pandemic potential (PEPP), export controls, FCOI, nepotism disclosures, RECR, subaward risk assessment & monitoring, etc. Please see the main compliance page for additional information. Listed below are special notes related to federal agreements, some sponsor-specific contracts, and Material Transfer Agreements (MTAs):

• ALL federal contracts are subject to Financial Conflict of Interest (FCOI) compliance regulations and, if subawards are involved, subaward risk assessment & monitoring requirements.
• NSF, USDA NIFA, and some NIH contracts are subject to Responsible & Ethical Conduct of Research compliance regulations.
• MTAs must be reviewed for adherence to all research compliance requirements (e.g., chemical & physical safety, export controls, IBC, IP, IRB, IACUC, subaward risk assessment & monitoring). All protocols and other compliance requirements, including congruence checks, must be finalized before an MTA can be approved. The compliance review process is administered via the MTA Compliance Screening Form.

If you have any questions, please contact ORSP for assistance.

All contracts must contain specific language in the signature block, or they cannot be signed. It is mandatory for the contract to be legal and binding. Sample language is available on the contract signature block information sheet.

• Contracts may require negotiation to comply with state and UW System regulations and policies. Route contracts early to reduce the risk of a delayed contract start date.
• Research compliance requirements may require additional time to address. For example, all protocols and other compliance requirements must be finalized before an MTA can be approved.

At minimum, sponsored research contracts require the approval of a principal investigator's/project director's (PI's/PD's) department chair/unit director, college dean/division director, and the Office of Research & Sponsored Programs (ORSP). Contracts may also require the review and approval of the Contract Administrator and Vice Chancellor for Administration & Finance. In addition, consultation and approval from other offices may be required depending on the content and purpose of the contract (e.g., purchasing, travel, grant accountant). To avoid delays in the review and approval process, it is recommended that you consult with ORSP and the Contract Administrator as early as possible to support agreement planning and development.

Only authorized contracting personnel may sign contracts on the behalf of the university per UW Board of Regents Policy 13-1. Individual faculty/staff are not authorized to sign agreements on behalf of the university, and individuals could assume personal responsibility and liability for the contract and for paying any damages, financial or otherwise, that may result. In addition, the program or activity that the contract was intended to support may be hindered by the lack of authorized signature. Refer to the list of authorized contracting personnel for more information.