Preparing Your MTA Request for Submission to IAO

Overview

A Material Transfer Agreement (MTA) is an agreement between the University and a provider that covers receipt of research materials, software used in research, and research data from the provider (which may be another institution, company, laboratory, or agency). All incoming MTA requests are routed to the Industry Alliances Office (IAO) for negotiation and execution.

In the summer and fall of 2015, Berkeley is transitioning from a paper-based MTA request process to Phoebe. CSS/Department Research Administrators are encouraged to use Phoebe for all new MTAs. Contact IAO with any questions about MTAs and phoebe-help@lists.berkeley.edu for Phoebe-related questions.

Note: The Office of Technology Licensing (OTL) handles outgoing material transfer agreements for Berkeley-generated materials, data, and software that will be transferred to another institution. The OTL is not using Phoebe for outgoing MTAs. Please contact the OTL for questions about outgoing materials, software or data.

MTAs were previously requested using a paper form, and a Lab Manager, grad student, faculty, or other employee working with the materials may have requested the MTA directly from IAO. Phoebe replaces the former Material Request Form. CSS/Department Research Administrators are now responsible for creating the Phoebe record for new incoming MTA requests, and the material user will be responsible for completing the Questions tab prior to submission to IAO.

For general Phoebe proposal preparation instructions, visit Phoebe Proposal Development guidance. This guidance will focus on the specifics of Material Transfer Agreements and will highlight the differences in requirements.


Phoebe MTA Request Basics

Creating Your MTA Record

Only CSS/Department Research Administrators have permission to create MTA records in Phoebe. Once added to the MTA request on the Key Persons tab, the Principal Investigator (PI) and Co-Principal Investigator(s) will be able to view and make changes to the MTA request. Material requesters, such as Lab Managers, Graduate Students, Postdocs, and Researchers, will need to be added as “aggregators” on the Permissions tab. This way, the material requester will be able to log into Phoebe and answer the questions on the Questions tab as well as upload any required compliance information.


Minimum Fields to Save and Submit

Minimum required fields that must be completed to save your new MTA request (Proposal tab)

  • Proposal Type - Material Transfer
  • Sponsor ID - Sponsor ID of the material provider. If 009850 “New Sponsor” is used, please include the Sponsor Contact information.
  • Lead Unit (only departments that you have permission to create MTA requests for are available)
  • Activity Type - basic or applied research
  • Project Period - start date will be the date of the material request, and the end date should reflect how long the research materials, data, or software will be used (maximum of 10 years)
  • Project Title - Description of the material, data, or software

Minimum required fields that must be completed to submit your your MTA request to IAO (Proposal, Key Persons, Questions, Financial tabs)

  • Proposal tab: Minimum fields to save
  • Proposal tab: If Sponsor ID 009850 “New Sponsor” is used, Sponsor Contact information
  • Proposal tab: Solicitation/RFP (use ‘n/a’ if not applicable or not available)
  • Proposal tab: Sponsor Deadline Type (use ‘No Deadline’ as the type if no date is specified)
  • Proposal tab: Mail By (department or SPO) and Type (electronic or hard copy)
  • Key Persons tab: At least one principal investigator
  • Questions tab: All questions must be answered
  • Financial tab: Dept. ID, Program, total amount requested, on/off campus designation, indirect cost rate

Submitting an MTA Request

After you have initiated the MTA Request, the next step is to add the “aggregator” who will complete the Questions, Special Review, and Attachments tabs, in addition to other information they enter, such as the contact information on the Proposals tab. If this person is the PI or Co-PI, they automatically have this access and do not need to be added as aggregator.

To submit your MTA Request for review and approval, go to the Proposal Actions tab and click the Submit button on the bottom of the screen. After you click the Submit button, make sure you wait until the MTA Request has been returned to you when the document has finished processing. Then, click the Close button at the bottom of the screen to leave the MTA Request. If you do not close the MTA Request, you may lock the document.

Submitting the MTA Request will route the record for PI approval within Phoebe. After the PI has approved and certified the MTA Request, the MTA Request will be automatically routed to IAO for review. Note: Approval by the Chair, Dean, or Director is not required for MTA Requests. See Approvals for additional information.

 

Related information

All Phoebe Proposal Components


Proposal tab

The Proposal tab is the first screen you see when creating a new MTA request and includes much of the basic MTA request information. In order to save a new MTA request, you must complete the fields marked with an asterisk. You do not need to fill out all the fields, just the required fields and those that pertain to your MTA request. When you first save your MTA request, a Phoebe number will be generated and appear in the top left under Action List.

Field Name Description
Proposal Type Select the type Material Transfer. [required]
Sponsor ID Select the code by searching for and selecting the sponsor or typing the code if you know it (e.g., 005400 for NSF). [required]
Note: Use sponsor code 009850 “New Sponsor” if sponsor can’t be found, and add enough information in the Sponsor Contact field for SPO to create a record of the new sponsor. If sponsor code 009850 “New Sponsor” is used, Sponsor Contact information must be completed. [required]
Lead Unit Select your unit. [required]
Activity Type Select the type (e.g., basic research, applied research). [required]
Project Period Select the start date and end date from the calendars or type in the dates using mm/dd/yyyy format. The start date is that date the researcher plans to start using the materials, and the end date should reflect how long the researcher plans to use the materials (maximum of 10 years). [required]
Project Title The MTA request title should be a description of the materials, for example, “Bacterial plasmid DNA (pABCD123.4 vector) containing human ABCDE2, plasmid ID: HsAB12345678.” [required]
Prime Sponsor ID N/A
Sponsor Proposal ID If the provider assigns a number to the Material Transfer Agreement, add the sponsor-assigned MTA identifier.
Sponsor Name The provider name will appear automatically when you enter the Sponsor ID or search for and retrieve a sponsor.
Sponsor Contact Add the provider’s technology transfer and research scientist (if available) contacts (name, email, phone number).
CFDA Number N/A
Solicitation/RFP This is not applicable, enter n/a. [required]
Opportunity Title N/A
Sponsor Deadline Type Select the type of deadline (e.g., no deadline, postmark, receipt). [required]
Sponsor Deadline Date Select the date from the calendar or type it in using mm/dd/yyyy format. [required to submit to IAO if Sponsor Deadline Type is Postmark or Receipt]
Local Time of Deadline

Add deadline time in Pacific Time if applicable.

This proposal includes subawards N/A
Target Date Add a date in the Target Date field if there is no set Sponsor Deadline Date, or you wish to request an earlier submission date due to special circumstances involving the Principal Investigator.
Departmental Pre-Award Contact Add the department or unit contact person (This is usually the material requester - lab manager, grad student, postdoc, PI, etc.).
Departmental Post-Award Contact Add the department or unit contact person (This is usually the material requester - lab manager, grad student, postdoc, PI, etc.).
Mail By Select SPO/IAO Review - SPO/IAO to Submit. [required]
Type Select Electronic or Hard Copy. [required]
Mail Account ID N/A
Number of Copies N/A
Mailing Name and Address N/A
Mail Description If SPO or IAO is mailing your proposal, add the name, address, and other pertinent contact information to the Sponsor Contact field above. Add any additional details related to mailing, such as “We need certification of receipt,” to the Mail Description field.

Key Persons tab

Add Key Persons

The Key Persons tab is used to enter Principal Investigator on the MTA. You must enter the Principal Investigator before you can submit your MTA request to IAO. Only one Principal Investigator is allowed.


Special Review tab

The Special Review tab is used to enter information if the MTA requires additional review by an institutional committee or official (e.g., MTAs that include the use of human participants in research) or other compliance-related issues or special permissions that may be relevant to the project. You do not need to use this tab if your MTA does not have any special-review items.

After you have entered the two required fields and any other known information about each specific special-review item, click the Add button on the right to add the item. You can then either delete or continue to edit the item while you are working on your MTA request.

If the research using the material requested in the MTA has already been approved by the cognizant office (such as ACUC, OPHS, SCRO), please upload the applicable approval letters in the Attachments and Notes tab. If the PI has a financial conflict of interest with the provider, a Statement of Economic Interests for Principal Investigators (Form 700-U) needs to be uploaded to the Attachments and Notes tab. The State of California law requires that you submit a paper copy of the 700-U with an original blue-ink signature to the Conflict of Interest Committee Office.

Field Name Description
Type Select from the following: Human Subjects, Animal Care and Use, Financial disclosure, Select agents, NIH Genomic Data, Principal investigator exception - individual, Principal investigator exception - continuing, National Environmental Policy Act (NEPA), Stem Cell Research Oversight. [required if adding a special-review item]
Approval Status Select from the following: Approved, Exempt, Not applicable, Not yet applied, Pending review; if Financial disclosure, select Negative or Pending review. [required if adding a special-review item]
Protocol Number Add number if known.
Application Date Select the date from the calendar or type it in using mm/dd/yyyy format.
Approval Date Select the date from the calendar or type it in using mm/dd/yyyy format.
Expiration Date Select the date from the calendar or type it in using mm/dd/yyyy format.
Comments Add additional comments or other explanation.

Questions tab

The Questions tab in Phoebe includes compliance and other questions needed for department and IAO MTA request review, similar to the questions found on the Material Request Form. Depending on the type of material you are requesting, additional sub-questions will open on the screen. The Principal Investigator or Lab Manager must complete the Questions tab before you can submit your Material Request to IAO.

To fill out the questions, click the Show button on the General Questions panel. See Preparing Your MTA Request: Questions Tab for the text of the questions and some links to guidance.


Attachments and Notes tab

Attachments panel

Use this panel to upload your MTA request files. PDF is preferred.

  • Attach a copy of the provider’s Material transfer Agreement, and select “Material Transfer Agreement” as the file type.
  • Attach a copy of any compliance documents, such as a CPHS protocol approval letter, and select “Compliance Documents” as the file type. Please specify the type of document you are uploading.
  • Attach a brief description of how the materials will be used and select “Other” as the file type. For the description, add “Description of material use” or equivalent.

Person Attachments panel

Use this panel to upload financial disclosure documents and other documents directly relating to the PI if required. For each attachment, use the Person drop-down menu to select the PI, then select an Attachment Type, add any description, upload your document, and click the Add button.

Notes panel

Use the Notes panel to communicate anything of importance about your MTA to IAO.


Financial tab

Field Name Description
Dept ID Add your 5-digit Dept ID (formerly Org Code) from BFS. [required to submit]
Note: See Controller’s Office Chart of Accounts Structure and Values for information.
Program Select program type (e.g., 44 Organized & Sponsored Research, 40 Instruction & Departmental Research) from the drop-down menu. [required to submit]
ChartField1 Add 6-character ChartField1 (formerly Project) from BFS.
ChartField2 Add 5-character ChartField2 (formerly FlexField) from BFS.
Total amount requested Add your total budget request. For MTAs, this is usually $0. [required to submit]
Where will the work for this project be conducted? Select on campus or off campus from the drop-down menu. [required to submit]
Note: An on-campus project is conducted using UC Berkeley facilities. An off-campus project is conducted at facilities not owned and or leased by the University, or the project is conducted in leased space and lease costs are directly charged to the project.
IDC Rate Select UCB standard and add 0% (IDC is not assessed on MTAs). [required to submit]
note: see Facilities and Administrative (Indirect Cost) Rates for information

Permissions tab

The Principal Investigator (PI) and Co-Principal Investigator(s) will have full access to view and make changes to the MTA request. If others need to be able to work on an MTA request, use the Permissions tab to search for that person and assign a role to them. The Aggregator role should be used if the person needs full access to edit the MTA request. You may add others as additional aggregators; do not remove yourself while doing this. This way, multiple people will be able to work on the MTA request.

If the material requestor is not the PI or Co-PI, add that person (lab manager, etc.) as the aggregator so that they will have full access to the Phoebe record and can answer the Questions tab, Special Review tab, and provide any other important or pertinent information to the Phoebe record.


Proposal Summary tab

The Proposal Summary tab provides high-level information about the MTA request from information completed on other tabs.

When the PI is approving the MTA request, the Proposal Summary tab also provides certification language and the option to approve or return the MTA request.


Proposal Actions tab

The Proposal Actions tab includes several panels and buttons that allow you to perform functions related to your MTA request or others. When you are working on an MTA request, you can validate and check for errors, cancel the record, copy a record, see who has worked on an MTA request and what steps need to be taken next, route a record to others, and submit or approve an MTA request. To use each panel, click the Show button next to the panel name.

Data Validation

You can use the Data Validation panel to turn on a validation check to determine any errors or incomplete information. Phoebe will also automatically validate for errors when you submit your MTA request for approval. Phoebe will check for the following:

  • errors that prevent submission
  • warnings that serve as alerts to possible data issues but will not prevent submission

If errors are found, new panels will appear listing each specific error and warning. If you click the Fix button by an error, you will be taken to the screen with the Phoebe area to be fixed. When you fix the issue and click Save, you will be taken back to the Proposal Actions tab where you can continue working.

Note that warnings are only alerts for potential issues that you may or may not choose to fix or change. You can submit your MTA request when there are warnings but no errors.

Copy to New Document

When you want to work on new MTA request similar to an existing Phoebe record, you can create a copy. You can then edit the copy, changing all fields as needed. You will be required to select a Lead Unit, and you can chose whether or not you want to include the Questions responses and attachments from the original MTA request.

Route Log

The Route Log shows past and future action requests. You can see who has worked on and who has approved or is next to approve your MTA request. The Route Log (or Log) is also available in the right column of your Action List and when you use Doc Search.

Ad Hoc Recipients

You can use this panel to route your MTA request to any person in Phoebe for actions in addition to the normal routing (see Future Action Requests(s) in the Route Log). Select the type of action from the drop-down menu (see below for descriptions), look up and select the person, and click the Add button. When your MTA request is submitted to IAO, the ad hoc recipient(s) will receive the MTA request in their Action List for the specified action prior to any other recipients.

The three types of Ad Hoc routing are:

  • Approve (For your approval): The recipient will be required to open the MTA request and view at least the summary screen and then approve (or disapprove) the MTA request.
  • FYI (For your information): MTA requests routed FYI do not require review or response. The recipient will select “FYI” from the Take Action drop-down menu in the Action List.
  • Acknowledge (For your acknowledgement): The recipient will be required to open the MTA request, navigate to the Proposal Actions tab, and click the Acknowledgement button.

After an MTA request has been submitted to IAO, PIs, other approvers, and others with access to the MTA request will be able to route the MTA request to additional ad hoc recipients by using the panel and then clicking the Send Ad Hoc Request button at the bottom of the screen.

Phoebe provides the ability to route proposals to groups such as all administrators in a unit using Ad Hoc Recipients. Please do not use the Ad Hoc Group Requests during this phase of the Phoebe pilot.

Proposal Action Buttons

At different points in the life of an MTA request, you may see the following buttons at the bottom of the Proposal Actions screen. Some buttons are only available when preparing an MTA request, some are only available to approvers. (Note that Disapprove is a final action that will prevent the MTA request from being revised and moving forward in the approval process.)

  • Submit
  • Save
  • Reload
  • Close
  • Cancel
  • Send Ad Hoc Request
  • Recall
  • Return
  • Acknowledgement
  • Complete
  • Approve
  • Disapprove