Characteristics

What are the types of sponsored research relationships that typically exist between sponsors and the University? What types of clauses can I expect to see in agreements for each type of relationship?

Four fundamental types of sponsored research relationships exist. Each represents a step in a continuum from unencumbered basic, curiosity-driven research to targeted, results-driven research.

The University of Alberta encourages and supports research under a full spectrum of scenarios, ranging from fundamental, curiosity-driven research to technical service agreements, where know-how and focused expertise are brought to bear on specific sets of problems. Within its mandate and policy structure, the University facilitates and fosters research projects that benefit the public, the researcher, the sponsor and the University. Each research relationship has unique attributes. The University of Alberta is committed to entering contracts that embody principles of fairness, accountability, open disclosure of research results and research carried out with appropriate scientific and technical standards.

Research Grant

Project Control and Deliverables - At the grant end of the sponsored research spectrum, the type of research undertaken in university laboratories is fundamental and curiosity-driven. It requires a solid grounding in the basic principles of the discipline, leading-edge research, and a peer-acknowledged expertise in and knowledge of emerging issues in the area. The research is usually predicated on new, untested theories and must be custom-designed to test the hypothesis. The study design typically involves many adjustments along the way, and it is often difficult or impossible to predict the outcomes. Project control, therefore, is in the hands of the principal investigator(s). A copy of the research report is the only deliverable to the sponsor.

Characteristics:
  • Project control lies with the researcher;  
  • Unrestricted rights to publish research results;  
  • Payment in advance;  
  • Ownership of any intellectual property resides with the researcher/University;  
  • Start date of the project is defined;  
  • Sponsor is provided with a copy of the final research report;  
  • Graduate student owns copyright of thesis -- possible delay in publication for up to one year; and  
  • Indirect cost assessment is a minimum of 20% of direct costs.

Research Contract

Project Control and Deliverables - In the middle of the spectrum, both the researcher and the project sponsor have significant input into the purpose, course and outcome of the research. This type of project is often sponsored by industry for conducting research directed at answering questions, typically of an applied nature.

Characteristics:
  • Defined scope of work;  
  • Start and end date of project are defined;
  • Payment may be made in arrears and tied to milestones/deliverables;
  • Contains provisions for confidentiality of information, as the sponsor may be providing proprietary or confidential information to facilitate the project
  • University retains the right to publish, but will allow a short delay for sponsor review for two purposes only: removal of the sponsor’s own proprietary or confidential information; or to identify and protect patentable intellectual property that may be disclosed in the publication;
  • Graduate student owns copyright in his or her thesis -- possible delay in publication for up to one year to allow for protection of patentable intellectual property, but such delay not to be longer than the delay referred to above
  • Background intellectual property and ownership are clearly defined
  • New intellectual property, typically:
    ○ Researcher or University retains ownership;  
    ○ Sponsor is given rights to use results for non-commercial purposes;  
    ○ Sponsor has the option to acquire a licence to use results for commercial purposes on terms negotiated in good faith and appropriate to the industry sector; and  
    ○ University retains, at minimum, a royalty-free licence to use all intellectual property developed at the University for non-commercial, education, publication and research purposes;
  • Warranty provisions: the University uses appropriate professional standards in conducting the research, but the University does not guarantee results. The University disclaims all express and implied warranties over the research results;  
  • Equipment purchased under the contract by the University is owned by the University;
  • Termination provisions are included;
  • The University requires a commitment of the sponsor to cover committed and un-cancellable costs if the project is terminated early;
  • Insurance and indemnification provisions are included to protect the University, staff and students; and 
  • Indirect cost assessment is a minimum of 20% of direct costs.

Research Collaboration Agreement

In the middle of the spectrum, both the researcher and the project sponsor have significant input into the purpose, course and outcome of the research. The funding for this type of project often originates from government and industry sources for conducting strategic research.

Characteristics:
  • Scope of work is defined;
  • Start and end dates of the project are defined;
  • Payment may be made in arrears and tied to milestones/deliverables;
  • Contains provisions for confidentiality of information
  • University retains the right to publish, but will allow delay for sponsor review for two purposes only: 
    removal of the sponsor’s own proprietary or confidential information; or to identify and protect patentable intellectual property that may be disclosed in the publication;
  • Graduate student owns copyright in his or her thesis -- possible delay in publication for up to one year to allow for protection of patentable intellectual property, but such delay not to be longer than the delay referred to above;
  • Background or underlying intellectual property and ownership clearly defined;
  • New intellectual property, typically:
    ○ Inventor retains ownership; if joint invention, all joint inventors share inventorship;  
    ○ Inventor(s) given rights to use research results;  
    ○ Sponsor is given the option to acquire a licence for commercial uses on terms negotiated in good faith and appropriate to the industry sector; and 
    ○ University retains, at minimum, a royalty-free licence to use all IP developed at the University for non-commercial, education, publication and research purposes;
  • Warranty provisions: the University uses appropriate professional standards in conducting the research, but the University does not guarantee results. The University disclaims all express and implied warranties over the research results.
  • Equipment purchased under the contract by the University is owned by the University, unless otherwise stipulated;
  • Termination provisions included; 
  • The University requires a commitment of the sponsor to cover committed and uncancellable costs if the project is terminated early;
  • Insurance and indemnification provisions are included to protect the University, staff and students; and
  • Indirect cost assessment is a minimum 20% of industry portion.

Research Services Agreement (also Technical Services Agreement)

Project Control and Deliverables - At the other end of the spectrum, the activity of the involved University personnel is highly predictable. The experiments to be undertaken are set out in the project description, and the research report contains the results of the tests. This type of agreement is most often used when providing for the delivery of services or the use of University equipment and the reporting of results back to the sponsor.

Characteristics:
  • Use of existing know-how to provide the service;
  • Use of University of Alberta facilities, resources, time; 
  • Start and end dates of project are defined;
  • Payment can be made after services rendered or tied to deliverables; holdback often required; 
  • Service results are the property of the sponsor; University of Alberta has the right to use results for teaching and non-commercial research projects;
  • Not appropriate for students to work on these projects in furtherance of their theses or educational requirements because sponsor owns results and because publication is not always permitted;
  • Know-how developed or utilized by the University in the course of providing the services is owned by the University;
  • Normally includes provisions for publication, but they can be removed by principal investigator and sponsor if deemed appropriate;
  • Warranty provisions: appropriate professional standards but no guarantee of results. The University disclaims all express and implied warranties over the service results;
  • Contains provisions on confidentiality of information;
  • Insurance and indemnification provisions are included to protect the University, staff and students; since service results are owned by sponsor, indemnity is in favour of University only; and
  • Indirect cost assessment varies by nature of services provided but is a minimum of 20% of direct costs.