A research contract is a formal agreement that defines the terms and conditions under which the University of Iowa conducts research in collaboration with external entities. These agreements can involve corporations, government agencies, nonprofit organizations, or other academic institutions. The agreement has specific deliverables and milestones to be met through a detailed statement of work and dictates the level of contribution of each party. 

The University of Iowa, rather than the UI project director or the department/college, is considered the contracting party in relation to formal contracts. This means all contracts must be reviewed, negotiated, and accepted by DSP rather than the individual project director. 

The UI has delegated contracting authority -- the authority to accept contract terms and conditions on the institution's behalf -- to various UI offices, allowing each a limited authority to accept and sign certain types of contracts. Please note that, while the Division of Sponsored Programs handles many types of contracts involving investigators and outside parties, other UI offices are responsible for certain types of contracts. While UI policy and State law give general direction regarding acceptable contract terms, the nature of the proposed project and sponsor type will ultimately determine how the contract is written and which office can review it. 

Types of contracts and corresponding offices are listed in this table.

Once DSP is determined as the appropriate office to review your contract, those contracts must be routed to the DSP to begin review, negotiation and signature. If you have questions about the routing process, please email dsp-contracts@uiowa.edu.

DSP cannot proceed with review, negotiation or signature of your contract without, at minimum, a Routing Form, copy of the Contract, Statement of Work or Protocol, and Budget (for funded agreements). 

(a) Routing Form

Any contract handled by the Division of Sponsored Programs must be associated with a UI Routing Form for departmental and collegiate approval before DSP can begin its review and negotiation or sign the contract. The required forms and procedures vary somewhat depending on the type of contract you are routing. In general, the following are required:

• Agreement to review (Word or another editable format)
• Statement of work/protocol
• Sponsor contact information (including email)
• Compliance considerations (IRB, IACUC, EHS, Export Control, etc.)
• Budget/budget justification (if funded)

(b) Written Contract (preferably in Word or another electronic format)

Every contract must be formally outlined in writing. Some agreements may only be provided or accessible via an online portal after an application is submitted and signed by an authorized representative of The University of Iowa.  In those instances, UI Departments should route the application or link to the portal to complete the process to receive the written agreement. The Routing Form provides a comment box to detail special instructions.

(c) Statement of Work or Protocol

A clear description of the actual work to be performed by The University of Iowa and outlining any specifications, performance dates, deadlines, regulatory requirements, licenses/certifications required to perform the work, and reporting requirements to be incorporated into the final contract. Here is a sample framework for a statement of work. 

(d) Budget/Budget Justification

Every contract involving funding must include a budget and budget justification. If you have not yet developed a budget for the project, please refer to the information included on our Budget Preparation Information and be sure to use the correct Facilities and Administrative (F&A) cost rate and follow the required format. Revisions to the budget may still continue while the Division of Sponsored Programs (DSP) is negotiating other contract terms, provided that you notify your DSP Contract Administrator if you are revising the budget that originally accompanied the contract submitted to DSP. 

(e) Corporate-Funded Clinical Trial Agreements (CTAs)

If your contract is for a CTA you will need to submit the agreement in Word, protocol, draft internal budget, and sponsor contact information. See Corporate Funded Clinical Trial Agreement (CTA) page for more information.

Some of these issues, if unresolved, could delay signature of the contract or establishment of a Master File Key (MFK.)  Below are some of the more common issues found in contracts. The Contract Administrator reviewing the contract will inform the department of these and other required steps when/if they occur. 

(a) Conflict of Interest in Research: as defined in Section II. Division II. Chapter 18 of the UI Policy Manual.  If there is a conflict of interest in research, DSP will conduct contract negotiations, but cannot sign the contract until an approved management plan is in place. Contact the Conflict of Interest in Research Office with questions.

(b) Human Subjects: Complete and submit the required human subject Institutional Review Board (IRB) form or Human Subjects Research Determination Form (HSRD).  Contact the Human Subjects Office with questions.  DSP will conduct contract negotiations without IRB approval, but an MFK cannot be assigned until the project has received IRB approval. DSP may not be permitted to sign the contract until an IRB or HSRD has been approved. IRB approval is needed before work can begin.

(c) Vertebrate Animal Research: Complete and submit the required vertebrate animal Institutional Animal Care and Use Committee (IACUC) forms. Contact the Office of Animal Research with questions. DSP will conduct contract negotiations without IACUC approval, but an MFK cannot be assigned until the project has received IACUC approval. IACUC approval is needed before work can begin. 

(d) E-Verify: A clause within some award notices requiring the University to verify that employees directly working on the project are eligible to work in the United States. Since September 2009, some projects have required the contracting party to verify that employees directly working on the project are eligible to work in the United States, confirming employee status through the federal government's online E-Verify system. The University of Iowa has implemented measures to comply with this regulation. Notice of E-Verify will be provided during the contract negotiation stage. Contact University Human Resources with questions. 

(e) Export Controls: If required, Export Control Review must occur prior to contract signature.  Any time there is a question about the application of export controls to any stage of a specific research project, contact the UI Export Control Coordinator.

The Researcher Handbook serves as a roadmap for researchers as they navigate the complex research environment at the University of Iowa. This guide provides instructions for getting started, applying for the appropriate approvals, and conducting research that is compliant with relevant government laws and regulations and UI policies and procedures.

Helpful Links

• Frequently Needed Information
• UI Routing Policy, Procedure
• Budget Preparation Information
• Facilities & Administrative (F&A) Costs
• Types of Contracts and Model Contracts

Who Can Answer My Questions?

Please e-mail dsp-contracts@uiowa.edu for assistance.