Preparing Your MTA Request: Questions Tab

Important: The Principal Investigator or Lab Manager is responsible for completing and reviewing the Questions tab. Accuracy in this section is critical for the Industry Alliances Office to review the MTA for compliance issues, intellectual property rights, and third party obligations.

MTA Questions

Please select the type of material.

  • Data - this includes data sets, data feeds, personally identifiable data, etc.
    • Is personally identifiable data included? If yes, IRB approval is required, and the approval information needs to be included in the Special Review tab. If you have the Committee for Protection of Human Subjects (CPHS is UC Berkeley’s IRB) approval letter please upload it on the Attachments panel. The MTA cannot be finalized until CPHS has approved the research or the Office for Protection of Human Subjects (OPHS) has agreed to rely upon the provider’s approved protocol.
    • Will you create any derivatives of the data? If the researchers plan to create derivatives of the original dataset or other data received, mark “yes” and provide a brief explanation.
    • Is an information security plan required? Many providers required an information security plan that specifies how the data will be kept secure. If a plan is required, the PI needs to review it and answer whether he or she can comply with the requirements of the provider.
  • Research Materials - this includes plasmids, vectors, antibodies, mice, stem cells, etc. (NOTE: If any of the questions below are answered “yes,” this may require ACUC approval. Please complete the Special Review tab with “ACUC” and the Animal Use Protocol number.)
    • The material was made in live vertebrate animals. If so, check yes.
    • The material is custom antibodies made from vertebrate animals. See ACUC’s Guidance on custom antibodies for more information.
    • The material will be used in vertebrate animals. Any materials that will be used in animals require ACUC approval.
    • The material is a live vertebrate animal. This includes chickens, mice, zebrafish, etc., but does not include spiders or other non-vertebrate animals.
  • Software - This includes all software provided to UC Berkeley at no cost (non-procurement) for research purposes or to be used in research. Examples are research-grade software and specialized software to be used in research, which may or may not be commercially available.
    • Is the software commercially available? This will help the IAO staff to negotiate the terms of the software license.
    • Is the software an in-kind contribution to a research project? Is the software being provided to UC Berkeley going to be used as an in-kind or cost-shared contribution to Berkeley’s research? If yes, please describe the value of the software in general and how much it would cost you if you had to create it in house or contracted out. Also, please describe the value of the software to the research project.

Will you be creating any modifications out of the material? For Research Materials, this could include creating a new material that contains or incorporates the material or crossbreeding animals. For Data, it could mean revising the dataset or combining it with an existing UCB dataset. For software, it could mean modifying the source code or incorporating it into other UCB owned software. If yes, please explain.

Will this material be used in conjunction with other materials received from a third party? If the material will be used with other materials, data, or software received from a third party (non-UCB), whether under a MTA, research agreement or not, please provide the materials and the providers. If you have the contact information for the providers, please provide this as well.

Is the material subject to export control restrictions? See Export Control for more information about export control. If the material is subject to export control restrictions, please provide the ECCN (export control classification number). Providers often have this information.

What is the funding source for the research using the materials? Please provide all the funding sources that will be used for the research project. Be specific, for example, NIH 2R01GM000001-01 or HHMI funds or UCB startup funds. This question helps IAO negotiators determine if there are any competing obligations or terms in a funding agreement that need to be taken into consideration.

Who is the primary researcher using the materials? Provide the name, email, phone number, and employee classification (for example, grad student, postdoc). This person may also be listed as an aggregator.

Are the materials relevant to any previous or pending invention disclosures? If the incoming material will be used in research that is related to a current or pending invention disclosure, please provide the name of the invention, name(s) of inventors, and/or the Office of Technology Licensing invention case number (if it has already been disclosed).

Have any confidentiality, non-disclosure, or other agreements from the provider been signed that relate to the materials? If other agreements have been signed whether by UCB, a former institution, or directly by the PI or researcher, please upload those documents in the Attachments and Notes tab. If you do not have a copy of the agreement but know one exists, please add a note in the Attachments and Notes tab. Please note that you do not need to upload funding agreements (such as grants, contracts, or cooperative agreements) if they were received by UCB.

Do you have any financial interest in the provider organization? If there is a positive financial interest in the provider institution, organization, or company, the PI will need to complete and upload a Form 700U. The original (blue ink) copy should be sent to IAO, 2150 Shattuck Avenue, 10th floor, Berkeley, CA 94704-6701.

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