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Assistance with Contracts

A page within Research & Sponsored Programs

Processes

  1. Gather the following documents:
    • Completed grant/contract transmittal form with required signatures
    • Internal budget - See the UWL budget template for an optional format.
    • Contract
    • Any supplementary documents (if applicable)
  2. Route documents for review and signatures to your department chair/unit director, dean/division director, and ORSP.
  3. ORSP completes review and approval of budget.
  4. After budget approval, ORSP will send your contract to the Contract Administrator for contract review.
  5. After the Contract Administrator's approval, it is signed by the Controller OR the Vice Chancellor for Administration & Finance.
  6. The contract 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 duly 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 Screening Form (available in DocuSign or Word format)
    2. MTA (See the AUTM website if a template is needed.)
  2. Route documents for review and signatures.
  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 Controller OR the Vice Chancellor for Administration and 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 duly signed contract, make a copy/scan for yourself, and send the original back to Business Services.
  1. Gather the following documents:
    • Award letter
    • Budget
    • Contract
  2. Send to ORSP. There is no need to route for signatures unless the budget has been revised, in which case the materials should be routed with the post award modifications form.
  3. ORSP completes review of budget.
  4. After budget approval, depending on the agreement content and sponsor requirements, the ORSP Director may be the required signatory, or further review and a signature from the Vice Chancellor for Administration & Finance may be required.
  5. If the ORSP Director is the required signatory, ORSP will send a copy of the signed agreement back to the sponsor, the PI/PD, and the Grant Accountant.
  6. If further review or a signature from the Vice Chancellor is required, ORSP will send the contract to the Contract Administrator for review.
    1. After the Contract Administrator's approval, it is signed by the Controller OR the Vice Chancellor for Administration and Finance.
    2. The contract will be returned to the PI/PD to send to the outside entity. You may want to keep a copy for your own records.
    3. Upon receipt of the duly signed contract, make a copy/scan for yourself, and send the original back to Business Services.
  1. Gather the following documents:
    • Post award modification form (in DocuSign or Word format)
    • Explanation of the requested/negotiated changes and any supporting documentation that can clarify the modifications for those reviewing the changes, such as:
      • Revised internal budget - indicate and explain the changes
      • Revised budget justification
      • Revised project description or scope
    • Revised contract or contract addendum/amendment
  2. Route for signatures to your unit director/department chair, dean/division director, and ORSP.
  3. ORSP completes review of budget.
  4. After budget approval, ORSP will send your contract to the Contract Administrator for review.
  5. After the Contract Administrator's approval, it is signed by the Controller OR the Vice Chancellor for Administration and Finance.
  6. The contract 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 duly signed contract, make a copy/scan for yourself, and send the original back to Business Services.

Note: In the case of modifications to existing grants, agreement amendments or supplements may instead 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. Review by the Contract Administrator and signature by the Vice Chancellor may not be required for these types of modifications.

FAQs

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 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)
  • 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 and Student Health Center personnel 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 IRBIACUCIBC, IP, dual use research of concern (DURC), export controls, FCOI, nepotism disclosures, RCR, subaward risk assessment & monitoring, etc. Please see the main compliance page for additional information. Listed below are special notes related to federal, some sponsor-specific contracts, and Material Transfer Agreements (MTAs):

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.

Note: Inter-institutional agreements (UW System IIAs) and GLNF-CESU task agreements are contracts; however, they have pre-approved standardized signature language that UW-La Crosse is permitted to accept. These documents still should be routed for signature per the regular contract approval process.
  • 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, Office of Research & Sponsored Programs (ORSP), 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., purchasingtravel, 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.