Sponsored Research Agreements (SRAs)

A Sponsored Research Agreement (SRA) is a contract between Yale and a sponsor for the purposes of funding and conducting research at Yale. An SRA may be supported by for-profit (e.g., private industry) or non-profit (e.g., state or federal government, foundations, peer institutions etc.) sponsors.

The Office of Sponsored Projects (OSP) is authorized to review, negotiate, and execute SRAs. Preliminary discussions between the Principal Investigator (PI) and sponsor regarding the research may begin long before a sponsor is ready to establish an SRA. Regardless of when the sponsor issues a SRA, the PI working with their Department Business Office (DBO) is required to submit the components/details of the proposed research to OSP via IRES PD for Contracts in order for OSP to commence review and negotiation. The components at a minimum must include:

  • a statement of work,
  • project budget,
  • regulatory form, and
  • contact information (email contact) of the sponsor

Note: Additional information and documents may be requested during the review process.

OSP has a preferred SRA template that we will tailor to the needs of the specific research project; however if a sponsor provides a draft agreement, please include it in the PD route and OSP will review and negotiate that contract as needed.

Generally, SRAs include/address the following:

  • Scope of work to be conducted, including reporting and other deliverables
  • Specify the period of performance, typically defined with “start” and “stop” dates
  • Scope of work to be conducted, including reporting and other deliverables
  • the period of performance, typically defined with “start” and “end” dates
  • The type of funding (typically and preferably cost-reimbursable or fixed price / fixed fee)
  • Invoicing frequency or payment obligations
  • Yale’s right to publication of the research results
  • Options to license the intellectual property arising from the research
  • Care of data and confidential information exchanged during the research
  • Compliance with export controls and other laws and regulations
  • Indemnification, warranty disclaimer and liability
  • Insurance
  • Rights and procedures to terminate the project
  • Audit, access to records, and record retention
  • Use of name restrictions
  • Choice of law and jurisdiction
  • Identification of allowable or unallowable costs
  • Requirements for prior approvals for particular expenditures, etc.
  • Termination

Note: It is expected that Yale’s full Facilities and Administrative rate (F&A rate, also known as indirect cost rate) is reflected in the budget. Any reduction or waiver of F&A costs is considered to be cost sharing and must receive the appropriate prior approval. If there is an approved waiver, it should be included in the PD route. OSP has no authority to waive or reduce F&A rates.

Consistent with federal regulations, all faculty members listed as the PI on a sponsored project must contribute some level of effort to that project to provide necessary supervision/administration.  For additional information regarding effort refer to Policy 1316 Effort Commitment: Managing Effort Associated with Sponsored Projects.

In This Section

Procedure to Initiate OSP Review

Terms and Conditions

SRA FAQs

No.  The SRA is between Yale and the sponsor.  The PI signs only to acknowledge that s/he has read and understands the SRA and agrees to use reasonable efforts to uphold his/her obligations set forth therein.

Yale owns intellectual property created under sponsored research projects.  Companies sponsoring research can receive rights to the intellectual property in the form of a limited-term option to a license.

No.  Yale is a research and educational institution whose investigators must be able to publish freely.  The Sponsor may review manuscripts before they are publicly disclosed in order to identify its confidential information and to seek protection for inventions disclosed in the publications.

Under Yale policy, Yale takes title to inventions created here.  This is consistent with federal research funding laws. Generally, Yale does not enter into work for hire research agreements.  Any agreement that Yale enters into must be in line with Yale’s mission of teaching and research.

Generally, no. It is very difficult to set license terms for an invention that doesn’t yet exist.  Also, Yale is a 501(c)(3) organization under the IRS Internal Revenue Code. IRS Regulations state that granting rights to sponsored research intellectual property which doesn’t yet exist is considered a “private business use” of facilities funded with tax-exempt bonds.  Tracking and monitoring funding for campus buildings, which change and expand over the years, is difficult for universities.

Please call or email your OSP Contract Manager.  We look forward to hearing from you!