Types of Agreements It is important to remember that agreements are mechanisms by which collaborations are formalized.

The discussion that follows will include references to types of agreements that are not ordinarily thought of as being collaborative. They are included here because there are occasions in which such agreements are used to formalize one aspect of a collaboration, but not the entire relationship. There are several types of inter-institutional agreements, some of which cover a broad array of issues, while others are much more narrowly directed to one or just a few issues. Here are some examples: Subawards: These are agreements between an institution that has a sponsored agreement (prime awardee) and another institution to which it transfers a portion of the work. The subaward agreement includes elements of the prime agreement between the sponsor and the prime awardee by incorporating many of the terms and conditions that have been agreed to by the external sponsor and the prime awardee. A subaward covers the entirety of the relationship between the prime awardee and the subrecipient. Therefore, a subaward will contain provisions covering payments, nancial reporting, intellectual property, publication rights, data retention, and many others topics. Teaming Agreements: At the time a funding proposal is submitted to an external sponsor, the collaborating institutions may execute a teaming agreement. The purpose of this type of agreement is to indicate general agreement on the nature of the working relationship. For instance, it may state that the parties agree to the creation of a scientic advisory board as well as its composition. Teaming agreements can also set forth basic terms related to the ownership of intellectual property and other programmatic issues such as data sharing. It should be remembered that if the requested sponsored funding is awarded, the prime award may contain provisions that are inconsistent with the terms of the teaming agreement. If that occurs the subaward must clearly state that the subaward terms supersede those in the teaming agreement. Collaboration Agreements: While similar to teaming agreements, collaboration agreements are executed between institutions irrespective of whether sponsored funding is anticipated. They cover the same programmatic issues as teaming agreements. In addition, if collaborators from one institution will be using the facilities of the other institution, collaboration agreements may include the typical provisions of a Facility Use Agreement mentioned below. Collaboration agreements may also have fairly detailed intellectual property terms. Intellectual Property Agreements: As indicated by the agreement name, intellectual property agreements are narrowly dened. Typically, intellectual property agreements are written to cover inventions or other discoveries that may result from a collaboration. While they can cover copyrights (also a form of intellectual property), they frequently do not. Still, the coverage of intellectual property agreements would be essentially the same for inventions as for copyrights. The basic issue covered is ownership of the intellectual property (i.e. who owns what, and under what conditions). Other items addressed would be license rights between the parties, and perhaps provisions on sharing costs and income related to the protection and licensing of intellectual property. Other Agreements Used in Formalizing Aspects of Collaborations As noted above, the following types of agreements may be collaborative in nature or they may be used to formalize aspects of collaborations. In other situations these agreements are used solely to dene non-collaborative business transactions.

Data Sharing Plans: These are sometimes a requirement of federal program announcements. Essentially, they contain information concerning the means by which data developed under a sponsored project will be made available to others requesting access. While the data sharing plan is not, in and of itself, evidence of collaboration, it does open the possibility for new collaborations to be established based on the data having been shared. Material Transfer Agreements: A material transfer agreement (MTA) covers situations in which one collaborator owns research materials such as a chemical compound or a biological substance, and has received a request from another collaborator for samples of the material. Frequently MTAs are not a reection of a true collaboration, but rather a contractual relationship established for the sole purpose of obtaining a given research material. Whether a true research collaboration exists or not, the terms and conditions of the MTA are identical, primarily because they address institutional rights to intellectual property. The issues addressed are generally (a) an acknowledgement that the provider retains ownership over the original material and any duplicates of the material created by the recipient, (b) an agreement concerning who owns other materials created through the use of the material, and (c) the responsibility for liability that may occur in the conduct of research using the material. Facility Use Agreements: When a researcher from one institution wishes to use a piece of equipment or a laboratory at another institution, the latter will often require that a facility use agreement is executed. The provisions of such agreements would cover insurance and liability issues, the cost of access, the ownership of intellectual property, and any limitations or restrictions that may be imposed on the visiting researcher. Frequently, collaborators visit and work in one anothers facilities for short periods of time. Institutions may nd it difcult to balance the need to facilitate research by encouraging collaborations while at the same time ensuring that its facilities are held harmless from damages, and that the institution is protected from any liability caused by the visiting researcher in the conduct of the research.