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Other Required Approvals – Special Procedures Contracts

Section 4.2.4 of University Policy 6300 (University Contracts) requires certain University Contracts to comply with Special Procedures identified here prior to execution. The following is a list of Departments/Units of the University that should approve certain University Contracts. All University Contracts requiring Unit approvals listed herein are referred to as Special Procedure Contracts, and these procedures must be followed with regard to review, process, and approval of such contracts prior to execution. This content supplements University Contracts policy, and is numbered as a continuation of Section 4.2.4.

4.2.4A Department of Purchasing

Contact Purchasing, in accordance with University Purchasing Policy #6130 for any University Contract with a value of $10,000 and over. Purchasing approval must be secured before any contract $10,000 is executed.

4.2.4B Office of Sponsored Programs (OSP)/Sponsored Programs

a. All University Contracts for Sponsored Projects, regardless of funding amount or funding source, must be routed directly to OSP, not to OGC. See University Policy #5030, Office of Sponsored Programs, for more information.

b. For University Contracts involving expenditures under Sponsored Projects, the Contract must be submitted utilizing the procedure set forth on the Purchasing website for Sponsored Project Purchases.

4.2.4C Office of Information Technology (OIT) (SARB)

a. To encourage efficiency and the prudent use of University resources, Units are required to determine if an existing approved and purchased software application will meet the needs of the Unit prior to purchasing or acquiring new software. To assist with this determination, a Unit must refer to the University Application Inventory to determine if an existing approved software application will meet the needs of the Unit. Units are strongly encouraged to utilize existing resources whenever possible.

b. Contracts for the purchase or acquisition of software and renewals of existing software must be submitted to the Software and Accessibility Review Board (SARB) for approval.

c. University Contracts involving transfer or storage of personally identifiable information, education records, health records, data that may be subject to export control or other sensitive data must be submitted to the University’s information security officer for review and approval prior to execution and may require additional approvals and processes, through other Units prior to execute, such as Office of Research, OGC, OSP, or others.

4.2.3D Office of Risk Management and Insurance

Contact the Office of Risk Management for assistance with any of the following:

a. University Contracts with clauses that require non-standard University insurance (for example, Contracts that require the University to have coverage limits above $500,000).

b. Contracts with vendors that do not satisfy the University’s standard insurance requirements.

4.2.3E Trademark Licensing and Enforcement

The following University Contracts must be submitted to the Office of Trademark Licensing and Enforcement for approval prior to execution:

a. University Contracts involving commercial filming or photography on campus.

b. University Contracts involving the use of University branding, including the University’s name, trademarks, logos, or trade dress (including on web sites, in customer lists or other promotional materials).

4.2.3F Sponsorship

a. University Contracts under which advertising or promotion will be placed on campus or commercial activity will take place on campus, either separate from or alongside University branding.

b. University Contracts with proposed trade-outs or sponsorships of the University by third parties.

4.2.4G Communications and Marketing

a. University Contracts involving advertising or promotional agreements where the University is advertising or promoting the University.

4.2.3H Treasury and Real Estate Services aka Finance & Leasing

Contact Treasury and Real Estate Services for assistance with any of the following:

a. Contracts for lease, license, or use of real property by the University, including any leases where University will be a tenant or landlord, including lease, license, or use of storage Units. A copy of all executed leases should also be provided to the University’s Department of Public Safety. See University Policy #6310, Acquisition of Real Estate and Leasing Activities, for more information.

b. Purchase or conveyance of an interest in real property, including sale, leasehold interest, easements and/or mineral interests, rights of way or any form of encumbrance.

c. Similarly, agreements involving the use of any University-owned or controlled facility shall be reviewed and approved by the appropriate Department for the space of facility. For

d. For Facilities Use Agreements involving use of University’s lab or lab or research equipment, contact the Office of Technology Transfer.

e. For any disposition of property purchased all or partially with funding from External Sponsors, please contact OSP.

4.2.4I Treasurer

a. Private use of facilities or equipment financed with tax-exempt bonds, please contact the Assistant Controller, Treasury.

4.2.4J Campus Planning and Facilities

All University Contracts for on campus improvements, construction or architectural/engineering design services must be submitted for approval through CPF.

4.2.4K Center for Global Education

Contact CGE for University Contracts involving partnerships or exchanges with foreign universities or countries, admission, matriculation, articulation of foreign students, or University Contracts involving student international travel or faculty taking students abroad.

4.2.4.L Human Resource Services (HRS)

All employment Contracts should be directed to HRS.

4.2.4.M Accounts Payable

When engaging an independent Contractor, all University representatives must abide by procedures outlined in University Policy #6150, Independent Contractors.

4.2.4.N Office of Technology Transfer (OTT)

The following University Contracts must be submitted to OTT for review and approval:

a. University Contracts involving confidentiality, trade secrets, Non-Disclosure Agreements.

b. University Contracts for licensing technology arising from University inventions and other creations, including agreements with terms governing patent and copyright registration, the generation and dissemination of royalties or confidentiality and non-disclosure provisions.

c. University Contracts for rental of lab or research equipment or space.

d. Material transfer agreements.

4.2.4.O Tax Reporting

Contact Tax Reporting for any University Contract with a foreign vendor, speaker, performer, or contractor, including Contracts made with US companies who represent foreign individuals or entities.

4.2.4.P Office of Institutional Compliance and Ethics (OIC)

For University Contracts where a foreign vendor is involved in research, or where there are nonstandard export control provisions or export control implications, please contact OIC for an export control review.

4.2.4.Q Office of Research Compliance (ORC)

Any University Contracts involving the use of human or animal subjects or the purchase or shipment of controlled substances or genetic material must be submitted to ORC for approval.

4.2.4.R Department of Public Safety

The following University Contracts must be reported to the Department of Public Safety:

a. Any University Contract involving the use of security officers, the leasing or purchase of real property, or requiring provisions of security services for any purpose. A copy of the executed Contract should be sent to the Department of Public Safety once the Contract is executed.

b. Any University Contract, or any student-related travel involving hotel lodging, must be reported to the Department of Public Safety for Clery Act reporting purposes.