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Sponsored Programs and Research Integrity

Administration Building, Room 315
Warrensburg, MO 64093
Phone: 660-543-4264



types

Sponsored Programs

Below are guidelines for determining if funding is a gift, a grant, or a contract.  Each item is handled differently and therefore the university must have the proper processes and mechanisms available to deal with each external funder.

 

Sponsored Project

 

A Sponsored Project is the transfer of money or property from a sponsor to an institution for a public purpose that usually requires performance of specific duties. This includes grants, contracts, cooperative agreements and other legally binding means of transfer.  Specific obligations are discussed further below.  Sponsored projects are processed through the Office of Sponsored Programs.

 

Requirements for a Sponsored Project:

 

  1. If the funding is from a federal, state or local government agency (excluding student aid), or pass-through from one of these agencies, the funding is always treated as a sponsored project.
  2. If the funding is from a commodity group (industry of similar products e.g., motor vehicles, footwear, etc.) and the purpose of the project is to perform basic or applied research, then it is handled as a sponsored project.
  3. If the funding is from a non-government sponsor and includes one or more of the following provisions it will be treated as a sponsored project:
    • The sponsor requires return of unexpected funds or written approval to spend beyond the designated project period.  (Note: private foundations are not included in this provision)
    • The award contains restrictive provisions for intellectual property rights
    • The award restricts or monitors publications or use of results
    • The award requires time and effort tracking/reporting
    • The award requires cost share or matching
    • The award requires indemnification of the sponsor
    • The award includes reference to confidential information
    • The award comes in the form of a contract or cooperative agreement whereby penalties exist for non-performance
    • The award is cost reimbursable
    • The award is fee for service

 

Contract

 

An agreement between the university and another organization (e.g. foundation, corporation, another university) to provide a service for compensation.  The agreement is legally binding and creates a quid pro quo relationship between the institution and the funding entity.  The performance of the terms of a contract is recognized legally as a duty and obligation.  Breach of this duty or obligation carries legal sanctions.  These contracts may be recognized as a procurement contract under an award or sub award, and a procurement subcontract under a recipient’s or subrecipient’s contract.


Requirements for a contract: An organization (for profit/not-for-profit) who requires the university or a department to complete a scope of work in exchange for financial or another form of compensation.  Examples of these types of contracts include:

  1. The city contracts the Art Dept. to paint a mural under a reimbursable contract of $10,000.  All wages and fringe benefits as well as supplies and materials must be paid for as part of this contract.
  2. A school district contracts with the College of Education to assess high school lesson plans to ensure that they are compliant with federal and state educational standard.

 

Business Transaction

 

Occurs when a sponsor wishes to purchase a service from the institution.  For example, Earth Science providing soil testing to local land owners for a fee would be considered a business transaction.  Contractual agreements may be executed for business transactions.  Business transactions are processed through Departmental Funds, and any agreement must be reviewed by the University Legal Counsel’s Office prior to signature.

Requirements for a Business Transaction: Requirements or “fee for service” projects must meet all of the following.  If all requirements cannot be met, the project will be processed as a sponsored project:

 

  • The service is an application of established methods and techniques that are routinely performed
  • The service has been or will be offered to multiple internal or external parties and may become a routine service
  • The service does not involve any expert analysis or discretionary judgment
  • No UCM intellectual property or new knowledge is anticipated to result from this activity or service
  • Fixed rates for the service on a per-item or per-sample basis must be established
  • No cost sharing or matching funds are required

 

While a business may request a faculty member or department to test a product, analyze the effectiveness of a process, etc., this can be done as an internal study that serves as a learning experience for students without any transfer for funds.  However, if there is funding for the research, the results of that study, or any compensation related to it, may not be dependent on the outcome of a positive or negative result.  To avoid any possible bias, there must be a fully signed and legally binding contract in place before the start of any work, with a set payment structure that protects the integrity of the project results, individuals working on the project, and UCM.

 

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