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. A SRA may be supported by a for-profit (e.g., private industry) or non-profit (e.g., state or federal government, foundations, 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 a SRA.  Regardless of when the sponsor issues a SRA, the PI working with his/her Department Business Office (DBO) is required to submit the related proposal to OSP for review and approval prior to sending the proposal to the sponsor.  The proposal at a minimum must include:

  • a statement of work,
  • project budget,
  • budget justification, and
  • TranSum

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

OSP encourages PIs to send Yale’s template SRA with the proposal.  However, if the sponsor sends an agreement, OSP will begin negotiations informing the PI of any concerns. 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
  • The type of agreement (typically and preferably cost reimbursable or fixed price or fixed fee)
  • Invoicing frequency or payment obligations
  • 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 control 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 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 forwarded to your OSP Contract Manager via your GCAT mailbox.  

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