A Principles and Policies Guide for Sponsored Activity

THE UNIVERSITY OF TEXAS AT AUSTIN

INTRODUCTION

The University of Texas at Austin has prepared this Guide as a summary of selected fundamental principles and policies which govern the manner in which sponsored activity is conducted at The University and to facilitate and expedite the negotiation of sponsored activity agreements between The University and sponsors.

LEGAL IDENTITY

The University of Texas at Austin is an agency of the State of Texas and a component institution of The University of Texas System, governed by the UT Board of Regents. All sponsored activity agreements and related contractual agreements such as visiting scientist agreements, nondisclosure agreements, teaming agreements, material transfer agreements, etc. must be executed by an authorized official of The University and in The University's legal name: "The University of Texas at Austin." Individuals, Departments or Organized Sponsored Research Units may not directly enter into sponsored activity agreements or legally bind The University.

SELECTED PRINCIPLES AND POLICIES
GOVERNING SPONSORED ACTIVITY AT THE UNIVERSITY OF TEXAS AT AUSTIN

PURPOSE

Routine tasks of a commonplace type that do not contribute to the advancement of knowledge or The University's mission will not be undertaken. The University will not place its facilities or services in competition with services performed by the private sector. Therefore, tests, studies, and investigations of a purely commercial character are undertaken only when University facilities are unique for those services and no satisfactory facilities for such services exist elsewhere or are not reasonably available to the sponsor.

PUBLICATION POLICY

The University retains the right to publish and disseminate all work done under sponsored activity projects and cannot accept or undertake any sponsored project that provides for sponsor approval or undue control over the timing or content of University publications, or which prohibits the publication of the results of the project, except with limited restrictions.

PATENTS AND OTHER INTELLECTUAL PROPERTY

Title to inventions and discoveries, including copyrightable software, made or conceived by The University under a sponsored project is retained by The University. The University will grant to the sponsor a time-limited first right to negotiate an exclusive or nonexclusive royalty-bearing license, whose terms will include the requirement that the sponsor shall bear the expense of securing and maintaining patent protection for any licensed invention or discovery. Two exceptions to this policy would be: 1) Federally funded research or sponsored activity which would be governed by appropriate federal regulations regarding data rights and patent rights and 2) Sponsored activity funded by nonprofit organizations, Universities, or State Agencies in which the University would normally grant the sponsor a nonexclusive royalty free license to use such inventions and discoveries for internal purposes only.

As a State of Texas educational institution, The University is unable to enter into "works-for-hire" agreements in which the results of the sponsored activity are owned by the sponsor.

BEST-EFFORTS NATURE OF SPONSORED ACTIVITY

Because research or sponsored activity results are unpredictable, The University performs its sponsored activities on a "best efforts basis" with no stated warranties or guarantees. The University will not accept contract provisions that require a warranty or guarantee of the results, provide for penalties due to failure to make progress by firm deadlines, or provide for withholding of payment if the sponsor is not satisfied with the results. Any resulting contract or agreement is expected to be on a cost reimbursable basis as opposed to fixed price or time and materials/labor hour basis.

USE OF THE UNIVERSITY'S NAME

It is a long-standing University policy that under no circumstances shall a sponsor be permitted to use its name in any publication or other published announcement to state or imply that The University approves or endorses any product or service of the sponsor. The University also requires that its name not be used in connection with any advertisement, press release, or other form of business promotion or publicity, or refer to a sponsored activity agreement, without its prior written approval.

INSURANCE AND INDEMNIFICATION

The University of Texas at Austin is self-insured for Worker's Compensation Insurance. The University is unable under Texas law to obtain Employer's Liability, Comprehensive General or Public Liability, and Comprehensive Automobile Insurance. The Texas Tort Claims Act provides for remedies against the State for legal proceedings for claimants in these areas.

The University, to the extent permitted by the Constitution and laws of the State of Texas, will agree to indemnify the sponsored activity sponsor for The University's own negligent acts or omissions in the performance of the sponsored activity project. The sponsor will be expected to indemnify The University and The University of Texas System from any liability arising out of the activities carried out pursuant to the obligations of the sponsored program and for the sponsor's use of the sponsored activity results obtained from the activities performed by The University under the sponsored program.

TERMINATION

In the event a funding agreement is terminated for any reason, the sponsor will be expected to reimburse the University for all costs incurred to the date of termination and for all noncancellable obligations.

GOVERNING LAW

As an agency and institution of the State of Texas, The University of Texas at Austin cannot accept a provision that provides that the agreement is governed by the laws of another state.

OFFICE OF SPONSORED PROJECTS

The Office of Sponsored Projects (OSP) serves as the coordinating office for externally funded sponsored activity projects submitted by The University of Texas at Austin. All proposals to external funding sources for sponsored projects must be submitted through OSP and all awards received for sponsored research must be processed by OSP.

FURTHER INFORMATION

For further information about the policies and procedures set forth in this Guide, or to request information on sample University agreements for use with sponsoring organizations, please contact the Office of Sponsored Projects at (512) 471-6424. Additional information concerning the Office of Sponsored Projects, its personnel, sample forms, OSP Handbook and other information can be obtained by visiting the OSP Home Page web site located at http://www.utexas.edu/research/osp/. Additional information concerning The University of Texas at Austin may be obtained by visiting The University of Texas at Austin Home Page web site located at http://www.utexas.edu/. Additional information concerning The University of Texas System may be obtained by visiting The University of Texas System web site at http://www.utsystem.edu/ogc/IntellectualProperty/homepage.htm.

OFFICE OF SPONSORED PROJECTS GENERAL INFORMATION:

Director and Associate Vice President for Research
Susan Wyatt Sedwick, Ph.D., CRA, (512) 471-6424; email: osp@mail.utexas.edu

Associate Director
David Hawkins, (512) 471-6424; email: dhawkins@austin.utexas.edu

Associate Director, University Export Controls Officer
David Ivey, (512) 471-6424; email: ivey@austin.utexas.edu

Associate Director, Sponsored Projects Award Administration (SPAA)
Jason Richter, CRA, (512) 471-6231 or 232-6541; oa.jrichter@austin.utexas.edu

Assistant Director, Sponsored Projects Award Administration (SPAA)
David “Doc” Dockwiller, CRA, (512) 471-6231 or 232-6540; oa.ddockwiller@austin.utexas.edu

Assistant Director, Proposal Administration
Courtney Frazier Swaney, (512) 471-6424; email: c_frazier@austin.utexas.edu

Overnight Delivery Address
The University of Texas at Austin
Office of Sponsored Projects
North Office Building - Suite 5.300 101 E. 27th
Austin, Texas 78712-1532

Mailing Address
The University of Texas at Austin
Office of Sponsored Projects, Suite 5.300
101 E. 27th Street, Stop A9000
Austin, TX 78712-1532

Campus Mail Code
A9000

Telephone Number (512) 471-6424
FAX Number (512) 471-6564

Proposal Processing and Administration

Angela D. Adair, Grants and Contracts Specialist (512) 232-0876; angela.adair@austin.utexas.edu
Jared Brock, Grants and Contracts Specialist (512) 471-6269; jaredbrock@austin.utexas.edu
Margaret Hoard, CRA, Senior Grants and Contracts Specialist (512) 471-6288; mhoard@austin.utexas.edu
Catharine Corder, Grants and Contracts Specialist (521)475-6123, catcorder@austin.utexas.edu
Helen Moore Logue, Grants and Contracts Specialist (512) 475-8074; helen.moore-logue@austin.utexas.edu
Shannon D. McCain, CRA, Senior Grants and Contracts Specialist (512) 471-4241; s.mccain@austin.utexas.edu
Barbara D. Reyes, CRA, Senior Grants and Contracts Specialist (512) 471-6289; barbarareyes@austin.utexas.edu
Sofia Zanabria, Grants and Contracts Specialist (512)232-7019, s.zanabria@austin.utexas.edu

Awards and Contract Negotiations, MTAs and Subawards

Awards (Non-negotiated routine Federal, State and Other Awards)

Christian Pfeiffer Flores, MPA, CRA, Manager, Senior Grants and Contracts Specialist (512) 471-7153; cpfeiffer@austin.utexas.edu  
Sarah M. Fella, CRA, Senior Grants and Contracts Specialist (512)232-4319; sarah.fella@austin.utexas.edu
Bob McGarrett, MBA, CRA, Senior Grants and Contracts Specialist (512) 471-6618; bob.mcgarrett@austin.utexas.edu

Contract Negotiations (and MTAs)

Connor Dumbeck, Grants and Contracts Specialist (512)471-2380; connordumbeck@austin.utexas.edu 
Mark Featherson, MPA, Senior Grants and Contracts Specialist (512) 232-6087; mark.featherston@austin.utexas.edu
Maggie Gillean Schamber, CRA, Senior Grants and Contracts Specialist, (512) 232-4804; mgillean@austin.utexas.edu 
Carla Martin, Senior Grants and Contracts Specialist (512) 471-9051; carla.martin@austin.utexas.edu
Mitch Owens, CRA, Senior Grants and Contracts Specialist, (512) 471-2344; tmowens@austin.utexas.edu
Mohini Patel, CRA, Senior Grants and Contracts Specialist (512) 471-2342; mohini.patel@austin.utexas.edu

Subwards/Subcontract Negotiations

Maggie Gillean Schamber, CRA, Senior Grants and Contracts Specialist (512) 232-4804; mgillean@austin.utexas.edu
Robert Brown, Grants and Contracts Specialist (512) 471-3920; rbrown@austin.utexas.edu
Adam Sharp, Grants and Contracts Specialist (512) 471-2457; adamsharp@austin.utexas.edu