Frequently asked questions
Click the link to go to that location on this page:
- What is an F&A Rate?
- How is confidential information protected?
- Who owns the Patent Rights?
- How is the payment schedule established?
- Where should payments be made?
- What is the preferred contract type?
- Why can't ASU indemnify?
- What is the purpose of a Material Transfer Agreement?
- Who handles Material Transfer Agreements (MTA) and Non-Disclosure Agreements (NDA)?
- With whom am I contracting?
- Who should I contact regarding contracting with Arizona State University?
1. What is an F&A Rate?
The Facilities and Administrative (F&A) rate is generally considered a single indirect rate which is allocated on a Modified Total Direct Cost (MTDC), established by negotiation with the cognizant federal agency on the basis of the institution's projected costs and distributed as prescribed in OMB Circular A-21. This rate is comparable to an industry "Overhead" or "General and Administration (G&A)" rate.
The F&A costs are indirect cost associated with providing facilities and administrative support for the conduct of research and other sponsored activities. These costs are not readily identifiable with a particular project or activity but are real, audited costs associated with the infrastructure needed for the general operation of a university and the conduct of its activities. They include costs of operating and maintaining buildings and grounds, equipment, the libraries, and of providing administration at the university, college and department levels.
University rates are negotiated in advance and are not re-determined based on actuals at the end of the year as is the case with industry. This provides a stable cost environment to sponsors.
2. How is confidential information protected?
ASU is committed to maintaining an open teaching and research environment. Projects requiring access to a Sponsor's confidential information will not be accepted if they entail overly broad access and use restrictions or elaborate data protection procedures. Research involving use of a Sponsor's confidential information will be accepted if: (1) the extent of confidential information shared with the University is limited; (2) the information is clearly identified by the Sponsor as being confidential; and (3) the Sponsor agrees that the University will not be financially liable for disclosure.
3. Who owns the Patent Rights?
ASU's intellectual property policies promote the progress of science and technology, assure that discoveries and inventions are used to benefit the public, and provide recognition to the inventor(s) and ASU. ASU usually retains ownership to all inventions and discoveries arising from its research, whether or not patentable. The first right to negotiate for exclusive license rights may be granted to an industrial sponsor. Assignment or ownership of inventions created under private sponsorship can be made through Arizona Technology Enterprises (AzTE). When there is a pre-existing ASU invention, a license or option can be put into place with a research collaboration agreement.
For more information on AzTE: http://www.azte.com
4. How is the payment schedule established?
ASU requires full reimbursement of costs and 25 -50 percent advance funding on all agreements with business and industry because the University is not permitted to use state funds to finance work with for-profit entities. The schedule of payments can be adjusted depending on type, scope, length of project, and anticipated schedule of actual expenditures.
5. Where should payments be made?
Payment / Invoice Address:
Office for Research & Sponsored Projects Administration
6. What is the preferred contract type?
Research by its nature is unpredictable and does not guarantee successful results, therefore ASU research is conducted on a "reasonable efforts" basis. ASU will not accept contract provisions that guarantee results, impose penalties for failure to make progress by firm deadlines, or provide for withholding of payments if the sponsor is not satisfied with the results.
The preferred type of contract for University research and service is cost reimbursable without the addition of Fee. This contract provides for payment of actual costs both direct and facility and administrative (F&A), for performance toward contract objectives as specified in the statement of work.
7. Why can't ASU indemnify?
Constitutional and statutory restrictions preclude ASU from contractually indemnifying another party or a third party. Generally, each party to a sponsored research agreement assumes risks of personal injury and property damage that are attributable to the negligent acts or omissions of that party and their officers, employees, and agents.
ASU maintains general liability insurance and worker's compensation coverage as required by state law and pertinent federal laws and regulations through the State of
8. What is the purpose of a Material Transfer Agreement?
To find out more about MTAs and how they are used, please see http://www.cogr.edu/docs/MTA_final.pdf.
9.Who handles Material Transfer Agreements (MTA) and Non-Disclosure Agreements (NDA)
The Contracts & Subcontracts team, part of the Office for Research and Sponsored Projects Administration (ORSPA), is responsible for review and process of all Material Transfer Agreements and Non-Disclosure Agreements.
10. With whom am I contracting?
ASU is a public university governed by the Arizona Board of Regents, a body corporate under the laws of the State of
11. Who should I contact regarding contracting with Arizona State University?
The Contracts & Subcontracts team, part of the Office for Research and Sponsored Projects Administration (ORSPA), is responsible for negotiation of all Sponsored Project Contracts with industry, as well as providing support to Sponsored Project Officers in the preparation and negotiation of contracts with governmental and non-profit entities, including educational institutions. Support is also provided to Sponsored Project Officers on all subagreements. They perform the review for contract acceptance, and recommend institutional endorsement by authorized institutional representatives. Contracts Officers and Contract Assistants serve as the liaison between University General Counsel, Arizona Technology Enterprises (intellectual property manager for ASU), and ASU insurance specialists. They also review and process all Material Transfer Agreements and Non-Disclosure Agreements.
Specific contacts:
Contract Officers for Industry Agreements excluding MTAs and NDAs
Contract Specialist, Sr. for MTAs and NDAs
For list of names: http://researchadmin.asu.edu/contracting/contact.cfm
