Contract Routing Matrix

HOW TO USE THE CONTRACT ROUTING MATRIX

The Contract Routing Matrix helps identify the appropriate office and submission process based on the purpose and substance of the transaction, not the title of the document.

1. Determine whether UM is paying, receiving funds, or exchanging no funds.
2. Identify the primary purpose of the arrangement. For example, is UM acquiring goods or services, providing services, conducting externally funded research, collaborating with another party, supporting education or clinical activity, or entering another type of institutional relationship
3. Check for special elements. Determine whether the agreement involves data or privacy, research materials, software or access to UM systems, intellectual property, publication rights, clinical activity, or another specialized issue.
4. Identify the routing and intake path. Find the agreement type that most closely reflects the transaction, confirm the responsible office, and submit through the process identified in the Matrix.

When submitting a request, include:

•  The proposed agreement or scope of work if one exists;
•  A plain-language description of what UM and the other party will do;
•  Who will pay whom, if applicable;
•  Any related agreements or supporting documents;
•  Any institutional approvals already obtained; and
•  Relevant deadlines and operational reason for the deadlines.

Review the Common Routing Distinctions below. If the agreement does not clearly fit a listed category, provide the relevant transaction facts and documents to the office most closely aligned with the arrangement so that office can help confirm the right starting point. If the transaction appears to involve more than one office, include the potentially responsible offices in the same communication.

COMMON ROUTING DISTINCTIONS
The following distinctions address common routing questions. These are starting-point guidelines. The complete transaction facts and any special elements should still be considered.

1. UM Paying vs. UM Receiving Funds
• If UM is paying for or acquiring goods, equipment, software, technology, access, or services, start with the applicable Supply Chain procurement route.
• If UM is receiving funds, determine whether the primary purpose is sponsored research, a defined fee-for-service activity, or another type of arrangement.
• If no funds are exchanged, identify the primary purpose and check for special elements such as data, materials, software, intellectual property, or clinical activity.

2. Sponsored Research vs. Internally Funded Research
• Externally funded research activities and agreements establishing the terms of a sponsored project generally route through the Office of Research Administration using IBIS Research.
• Agreements supporting internally funded research may follow another route depending on what UM is acquiring, providing, receiving, or sharing.

3. Research vs. Fee-for-Service
• An activity is more likely to be research when its primary purpose includes testing hypotheses, making scientific decisions or scientific exploration, generating new knowledge or intellectual property, or publication.
• An activity is more likely to be fee-for-service when UM performs defined tasks using established methods and payment is tied to specified deliverables.
• Consider the activity as a whole. No single characteristic alone will determine the routing path.

4. Purpose Over Document Title
• The document title does not necessarily determine routing; rather, the primary purpose of the transaction does.
• Terms such as “MOU,” “collaboration agreement,” “license,” “services agreement,” “data use agreement,” or “LOI” may describe different transactions.
• Review what UM and the other party will actually do, who pays whom, and what data, materials, technology, clinical activity, research or scholarly activity, and/or intellectual property is involved.
• Route the document according to the underlying transaction and the most applicable Matrix category.

CONTRACT ROUTING MATRIX

CONTRACT TYPE
(Regardless of Title)		 DESCRIPTION RESPONSIBLE CONTRACTS OFFICE / HOW TO SUBMIT

Purchase Agreement or Software License Agreement (UM purchasing services, equipment, products/goods, or licensing software)

Use this category when UM is buying or otherwise acquiring products, equipment, software, access, or services from a supplier. Examples include consulting, marketing, catering, maintenance, repairs, and storage services, software license agreements, and equipment purchases.

See University of Miami Payment Matrix for required payment methods.
  • Supply Chain. Submit a Workday Purchase Requisition. Workday routes the request based on funding source and subject matter. → Click here for more information about the Workday Purchase Requisition process.

    Note: Technology procurement transactions that require IT involvement (for implementation, integration or maintenance) must be in an approved budget plan. If the request is not yet in an approved budget plan, it must first be submitted to the IDEA Committee.

  • JHS projects. When JHS provides services in support of a UM research project, industry-funded projects route through ORA using IBIS Research. Non-industry externally funded and internally funded JHS service agreements route through Supply Chain using a Workday Purchase Requisition.

Fee-for-Service Agreement (UM providing non-clinical services or lab testing)

Use this category when another party pays UM to perform defined, non-clinical (except lab testing) services using established methods or expertise. The arrangement should have a clear scope, timeline, deliverables, and expected outcome.

  • Provides a specific service
  • Performed using established methods of expertise.
  • Produces defined deliverables, reporting, analysis or services.
  • Contains a clear scope, timeline & expected outcome.
  • UM typically does not get publication rights or own the deliverables (but retains existing know-how and methods).

Contract Administration (Business Services). Submit through Conga Contracts using Request Form #2. Include a statement of work.

Do not use this category for: clinical services (except lab testing), government-funded services routed to ORA, or **independent faculty consulting where UM is not a party.

**Independent faculty consulting agreements that UM is not a party to must still follow UM policies. Appropriate disclosure should be made in UDisclose, and UHealth Compliance https://umiamihealth.org/en/uhealth-compliance must be made aware of all arrangements involving MSOM/UHealth faculty and clinicians.

Clinical Services Agreement (UM providing clinical services)

Use this category when UM provides healthcare or clinical services to another party, such as physician on-call services or other clinical care arrangements (except lab testing services).

Office of the General Counsel. After required CAAAC approval, submit through Conga Contracts using Request Form #4.

Exception. Clinical laboratory testing that does not involve clinical professional services is handled by Contract Administration through Request Form #2.

Government Funded Service Agreement

An agreement under which a federal, state, county, or other governmental entity funds UM to perform defined services, testing, analyses, evaluations, or programmatic activities, where the primary purpose is service delivery rather than sponsored research and the agreement contains financial reporting requirements that resemble sponsored project administration.

Office of Research Administration: Submit your request to ORA via IBIS Research.

Note: If the arrangement does not include financial reporting requirements that resemble sponsored project administration, confirm the route before submission.

Business Associate Agreement (BAA)

A HIPAA-required agreement between a covered entity and business associate that protects patient information when an external party will have access or exposure to patient data.

Contract Administration - BAA Team. Submit through Conga Contracts using Request Form #3 and select BAA.

Data Processing Agreement / Addendum (DPA)

An agreement or addendum that may be required when UM or another party will have access to or process personal data protected by EU or UK privacy law (GDPR). Personal data is any information relating to an identified or identifiable (e.g., study participant ID #) person.

A DPA is not the same as a DUA or DTA.

 

Not sure if a DPA is needed? Contact Contract Administration for assistance before submitting your request.

DPAs not related to an ORA-handled research agreement: Contract Administration. Submit through Conga Contracts using Request Form #3 and select DPA. Contact Contract Administration if unsure whether GDPR applies. 

DPAs related to an ORA-handled research agreement: UM Data Protection Officer. Email nelsonperez@miami.edu.

Equipment Loan

Use this category when UM receives equipment temporarily at no cost. The arrangement may require UM to purchase related consumables.

Supply Chain – Sourcing. Submit your request via Conga Contracts using Request Form #1.

Evaluation Agreement

Use this category when a supplier allows UM to test products or equipment at no cost for a limited period (usually 90 days or less) before deciding whether to purchase.

Supply Chain – Sourcing.

Submit your request via Conga Contracts using Request Form #1.  If payment is required, use the Purchase Agreement route instead.

Affiliation Agreement –Student/Educational

An agreement establishing an educational or clinical training experience for UM students at another institution or for outside students at UHealth. Includes graduate medical education Program Letters of Agreement when applicable.

UM students training elsewhere: Contract Administration. The Program Coordinator submits through Conga Contracts using Request Form #2.

Another school’s students training at UHealth: UHealth HR. UHealth HR will vet the request, and if approved, submit to Contract Administration.

Premise Use Agreements:
Facility Use Agreement (another party using UM premises)

Use this category when UM allows another party to use University premises for a specific activity or limited period.

Contract Administration. Submit through Conga Contracts using Request Form #2.

Third-Party Premises Use (UM using another party’s premises)

Use this category when UM will pay to use another party’s premises for a limited period.

If payment is required: Supply Chain. Submit a Workday Purchase Requisition. 

If no Purchase Order is required: Contract Administration. Submit in Conga Contracts using Request Form #2.

Performance Agreement

An agreement to bring a music, theater, comedy, or other performance to UM.

If paid by Purchase Order: Supply Chain. Submit a Workday Purchase Requisition. → Consult the University of Miami Payment Matrix for required payment methods if uncertain.

If no Purchase Order is required: Contract Administration. Submit in Conga Contracts using Request Form #2.

Equipment Lease Agreement

An agreement for UM to lease equipment from a manufacturer, bank, or other lessor for a stated term.

Treasury Operations: Submit your request to Treasury Operations at leasing@miami.edu and follow Treasury’s equipment leasing process. Click here for further information.

Confidentiality Agreement (CDA / NDA)

An agreement allowing one or both parties to exchange confidential information for a defined purpose and limiting use or disclosure.

Potential UM customer – nonclinical services: Contract Administration: Submit your request via Conga Contracts using Request Form #2.  

Potential UM supplier: Supply Chain. Submit your request via Conga Contracts using Request Form #2.  

Inbound research disclosure or possible clinical trial: Office of Research Administration:  Submit through IBIS Research.

Outbound research disclosure or investigator-initiated trial disclosure. Submit your request through Inteum.

Employment, settlement, or M&A: Office of the General Counsel.  Submit via Conga Contracts using Request Form #4.

Memorandum of Understanding

A preliminary document describing intent to pursue or negotiate a future transaction.

Follow the route for the anticipated final agreement. Submit to the office responsible for the underlying transaction.

Photography / Filming Permission Agreement

An agreement allowing an outside party to photograph or film on University premises.

Contract Administration. Submit your request via Conga Contracts using Request Form #2.

Sponsorship Agreement (another party sponsors UM)

Another party sponsors a UM event or activity and UM receives payment or in-kind support.

UM event sponsorship: Contract Administration. Submit via Conga Contracts using Request Form #2.

Fundraising sponsorship: Development and Alumni Relations. Contact DAR.

Sponsorship Agreement (UM sponsors another party)

UM pays to sponsor another organization’s event or activity.

Supply Chain. Treat as a Purchase Agreement and submit a Workday Purchase Requisition. → Click here for more information about the Workday Purchase Requisition process.

Student Exchange Agreement

An agreement with another university establishing a student exchange program.

Study Abroad Office: Click here for more information and submit requests by email at studyabroad@miami.edu.

Study Abroad Program Agreement

An agreement for another university or company to provide study-abroad program services to UM.

Study Abroad Office: Click here for more information and submit requests by email at studyabroad@miami.edu.

Collaboration Agreement

A binding agreement defining how UM and another party will work together on a specific activity.

Business or academic program: Contract Administration. Submit through Conga Contracts using Request Form #2. 

Research collaboration: Office of Research Administration: Submit your request to ORA via IBIS Research.

Material Transfer Agreement (MTA)

An agreement governing transfer of biological, physical, educational, or software materials for the recipient’s own research. MTAs do not involve payment other than reimbursement of actual shipping costs.

If UM pays for materials, use the Purchase Agreement route. If UM is paid to provide materials, consider the Fee-for-Service route.

Outbound MTAs: Office of Technology Transfer. Submit MTAs where UM is providing material to another party and receiving no funds (beyond reimbursement of shipping) via Inteum.

Inbound MTAs and Mutual MTAs: Office of Research Administration. Submit MTAs through IBIS Research where UM is receiving material from another party or both parties are receiving and sending materials.

Sponsored Research Agreement

An agreement under which another party provides funds to UM to conduct a sponsored project. This type of agreement often results from submission of a proposal or application to the sponsor. The proposal and application are also submitted through the Office of Research Administration.

Office of Research Administration: Submit your request through IBIS Research.

Clinical Trial Agreement

An agreement for UM to conduct a clinical trial involving an investigational drug or device, typically with a sponsor providing the study product, funding, proprietary information, or a combination of these.

Office of Research Administration: Submit your request through IBIS Research.

Study Start-Up Reimbursement Agreement

An agreement under which a sponsor reimburses UM for clinical-study start-up costs if the study does not proceed to activation or execution of the research agreement.

Office of Research Administration: Submit your request through IBIS Research.

Compassionate Use / Expanded Access Agreement

An agreement governing use of an investigational drug, biologic, or medical device outside of a clinical trial to treat a patient with a serious or life-threatening condition when no satisfactory alternative is available.

Office of Research Administration: Submit your request through IBIS Research.

Master Research Agreement

An umbrella agreement establishing terms that will govern future research projects between the parties.

Office of Research Administration. Submit your request through IBIS Research.

Data Use / Data Transfer Agreement (DUA / DTA)

An agreement governing the transfer or permitted use of specific data between UM and another organization, without a transfer of funds.

Outbound DUAs/DTAs: Office of Technology Transfer. Submit DUAs where UM is providing data to another party through Inteum.

Inbound and Mutual DUAs/DTAs: Office of Research Administration. Submit DUAs/DTAs through IBIS Research where UM is receiving data from another party or where both parties will send and receive data.

Data Registry / Data Consortium Participation Agreement

An agreement for UM to contribute data to, or access data from, a registry or consortium.

No payment: Office of Research Administration. Submit through IBIS Research.

UM receives payment: Contract Administration. Submit your request through Conga Contracts using Request Form #2.

UM pays: Supply Chain. Submit a Workday Purchase Requisition. → Click here for more information about the Workday Purchase Requisition process.

Licensing Agreement

An agreement granting rights to use something another party owns, such as a name, trademark, technology, invention, software, know-how, or data.

License of UM-developed IP (outbound): Office of Technology Transfer. Submit your request at techtransfer@med.miami.edu. 

UM acquiring a license (inbound): Supply Chain. Use the Purchase Agreement route unless ancillary to an ORA-managed research agreement. If the latter, submit to Office of Research Administration through IBIS Research.

UM licensing its name, logo, or trademark for a specific purpose: Contract Administration. Submit through Conga Contracts using Request Form #2.

Observership Agreement

An agreement allowing an outside individual to observe clinical healthcare at UHealth without direct patient care or academic credit.

Contract Administration. Submit via Conga Contracts using Request Form #2.

Employment Agreement

An agreement for employment at UM, including employee leasing and temporary employment.

Faculty Affairs / Human Resources. Contact the appropriate office.

Legal Services Retainer Agreement

An agreement retaining outside legal counsel or legal services.

Office of the General Counsel: Submit through Conga Contracts using Request Form #4.

Settlement /Release

An agreement resolving a dispute or releasing legal claims.

Office of the General Counsel: Submit through Conga Contracts using Request Form #4.

Volunteer Agreement

An agreement describing expectations applicable to a volunteer working with UM.

Faculty Affairs / Human Resources. Contact the appropriate office.

IP Assignment Agreement

An agreement transferring ownership of technology or other intellectual property.

Note: A consent to assign an existing agreement is different and should be handled by the office responsible for the original agreement.

Office of Technology Transfer. Submit your request at techtransfer@med.miami.edu.

Inter-Institutional Agreement (Intellectual Property)

An agreement among institutions addressing patent expenses, licensing revenue, and related responsibilities for jointly owned or managed intellectual property.

Office of Technology Transfer. Submit your request at techtransfer@med.miami.edu.

Hotel Pricing Agreement

Discounted hotel rates for UM constituents without a financial commitment by UM. Does not cover room blocks, meeting space, or paid services.

Travel Management. Contact Travel Management. If UM makes a financial commitment, use the Purchase Agreement route.

Real Estate Lease or Purchase Agreement

Contracts between the University and a third party for lease or purchase of real estate.

Real Estate Office: Click here for more information.

Letter of Intent (LOI)

A preliminary, but often binding, commitment to pursue or negotiate a future transaction.  

A Letter of Agreement is a naming convention, not a separate contract type.

Follow the route for the anticipated final agreement. Submit to the office responsible for the underlying transaction.

Joint Venture Agreement

An agreement establishing a jointly owned or controlled commercial enterprise.

Office of the General Counsel: Submit through Conga Contracts using Request Form #4.

Patient Transfer Agreement

An agreement governing patient transfers between healthcare facilities.

Office of the General Counsel: Submit through Conga Contracts using Request Form #4.

Reliance / IRB Authorization Agreement

An agreement between reviewing and relying institutions addressing IRB review and oversight of human-subject research.

Human Subject Research Office. Contact HSRO for the applicable process.

Gift / Donation Agreement

An agreement documenting a philanthropic gift or donation to UM.

Development and Alumni Relations: Contact  Development and Alumni Relations.

Consignment Agreement

A supplier maintains inventory at a UM facility and retains ownership until UM uses or purchases the products. The University pays only for inventory that is consumed or purchased from the consigned stock.

Supply Chain. Submit through Conga Contracts using Request Form #1. Supplier must be onboarded first.

Vendor Portal Registration Requests – UM required to register

Use when an outside customer, sponsor, or other organization asks UM to register as its supplier or vendor or use a customer portal so it can pay UM.

The department receiving the revenue normally manages the registration with support from the office handling the underlying agreement.

Non-sponsored or fee-for-service: Department’s business office, primarily. Contract Administration can assist with obtaining institutional signature if required and can assist with providing any information not known to the Department’s business office. 

Sponsored agreement. Contact ORA.

Banking verification forms. Contact Treasury.

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