Contracts

A Contract is defined as a binding agreement between parties for the purpose of securing goods or services. In general, the following characteristics describe a contract:

• There is extensive input from the sponsor into the tasks to be performed.

• The award mechanism used by the sponsor is a contract.

• Principal purpose is for direct benefit or use by the sponsor.

• The sponsor requires formal reports of any kind, including financial or technical.

• Invoicing or billing is required.The contracting mechanism also has terms and conditions such as:

• Ownership of intellectual property.

• Right of first refusal, or right of first negotiation of intellectual property.

• Ownership or access to research results.

• Publication review of faculty, graduate student or post doc research.

• Deliverables of any kind.

• There is a start and end date.

Visit Contracts page for more information.

Cooperative Agreements

Cooperative Agreements are used when federal sponsors want to retain more active involvement in the conduct of the project. This active oversight may be evidenced by a high level of agency program officials advising on the direction of the project, more frequent reporting, or anticipated deliverables. The following characteristics describe a cooperative agreement:

• fund projects conceived by an investigator, but often in response to specific research areas identified by the sponsor;

• assume the project would not be possible without collaboration between the recipient and the sponsor;

• anticipate sponsor involvement in and contribution to the technical aspects of the project;

• like grants, allow more flexibility than contracts; and

• have less detailed award documents than contracts.

Clinical Trial Agreements

A Clinical Trial is defined as a controlled, clinical testing in human subjects of investigational new drugs, devices, treatments, or diagnostics, or comparisons of approved drugs, devices, treatments, or diagnostics, to assess their safety, efficacy, benefits, costs, adverse reactions, and/or outcomes.  Such studies may be conducted under an industry-developed protocol or an investigator-developed protocol. Some additional characteristics include:

• the study must include the prospective enrollment of human subjects and the controlled testing of a drug, device, or diagnostic under an approved protocol;
• often require extensive negotiations between OSP and corporate representatives on issues such as publicationrights and compliance, and;
• must be formulated in accordance with RF and SUNY policies.

Visit Clinical Trials page for more information.

 Gifts

 A Gift is defined as any item of value given by a donor who expects nothing of significant value in return, other than recognition and disposition of the gift in accordance with the donor's wishes. In general, the following characteristics describe a gift:

• No contractual requirements are imposed and there are no "deliverables" to the donor. However, the gift may be accompanied by an agreement that restricts the use of the funds to a particular purpose.

• A gift is irrevocable. While the gift may be intended for use within a certain timeframe, there is no specified period of performance or start and stop dates.
• There is no formal fiscal accountability to the donor.

IMPORTANT NOTE : Gift awards must be approved and managed by the Stony Brook Foundation (SBF) with the exception of gift awards where the activity involves compliance approvals (such as use of human subjects, laboratory animals, radiological hazards, recombinant DNA). Read SBF's gift policy   and contact our office you have questions.

 Grants

 A Grant is defined as an award mechanism to transfer money, goods, property, services or other items of value to universities in order to accomplish a public purpose. In general, the following characteristics describe a grant:

• No substantial involvement is anticipated between sponsor and recipient during performance of activity.
• The award comes with terms, conditions, and/or other contractual requirements that need to be met.
• There are budgetary restrictions that must be followed.
• Reports may be required including financial reports and technical or progress reports.
• Documentation of expenditures.
• Deliverables of any kind, including the sharing of research results.
• There is a start and end date.

Subawards

A Subaward is an agreement between RF and another institution under the authority of, and consistent with the terms and conditions of the prime award (a grant, contract or cooperative agreement), that transfers a portion of the research or substantive effort of the award to another institution or organization. Typically, in these agreements, PIs are performing a piece of a larger project which was awarded to the other institution. They can be in the form of a subcontract or subgrants.

Visit Subawards page for more information. 

Other Types of Agreements 

Intergovernmental Personnel Act Assignment Agreements (IPA): Provides for the temporary assignment of personnel between the federal, state and local governments; colleges and universities; Indian tribal governments; federally funded research and development centers; and other eligible organizations.

Unfunded Research Collaborations: A contract that establishes the rights and responsibilities of collaborators that are participating in collaborative research where no funds are exchanged.

Fellowships: (Can be Federal or Non-Federal)

• support advanced or continued education for scholars and researchers;

• provide a stipend as opposed to a salary; and

• do not require recipients to perform any functions or pursue any research goals for the sponsor.

Matching Grants/Cost-Sharing: Some sponsors require the applicant to demonstrate commitment to the proposed activity by providing funds in support of the overall project costs. Matching funds may be derived from institutional resources, either in-kind (donated time, space, equipment use, etc.) or cash, or may be generated from other entities (third party). All proposals that include a cost-sharing component must be approved by the Chair/Dean through myResearch.

OVPR is committed to helping advance research excellence at Stony Brook University. The OVPR will partner with the Office of the Provost, the Office of the Senior VP-Health Sciences, Colleges, Schools, Departments and PI’s, and may provide funds requested through the RSR mechanism. RSR materials should be submitted to the attention of Office of Proposal Development, S5421 Melville Library, Stony Brook, NY  11794-3365

Cost-sharing is a major issue in federal awards. The federal government has issued specific guidance on matching funds and the responsibilities of recipients in accounting for these funds. Failure to comply may result in loss of revenue associated with the specifically funded project, or in general sanctions against the institution.

The following are the two types of cost-sharing supported at our institution: 

• Mandatory–Required by sponsors and specifically referenced in proposals, budgets or other submitted documents. Must be accounted for in Oracle. 
• Voluntary Committed – Committed by the institution in proposals, budgets or other submitted documents to enhance possibility of funding, but NOT required by the sponsor. Federal sponsors view any voluntary cost sharing offered at the proposal stage as “committed” cost sharing at the award stage. This means that any quantified cost sharing offered in a submitted proposal becomes fiscally and/or programmatically auditable and must be documented and reported to the federal sponsor if the proposal is funded. Must be accounted for in Oracle.