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Research-Related Agreements: Responsible Offices

Responsibility for handling different types of agreements for research or research-related activities is distributed across several UCSB administrative offices. This matrix is intended to help clarify which office has primary responsibility for negotiating and executing research-related agreements. The primary office may consult with other offices as appropriate.

Grant A financial assistance award typically issued by governmental and non-profit entities to support a research project or program, research training program (e.g., fellowships or training grants for individuals or groups of trainees) or public service project or program related to research or training.

SPO

If there is provision for audits; the grantor is entitled to receive some consideration such as a detailed technical report of research results or a report of expenditures; testing or evaluating of proprietary products is involved; the research is directed to satisfying specific grantor requirements (e.g., terms and conditions stating a precise scope of work to be done rather than a general area of research); a specified period of performance is prescribed or termination is at the discretion of the grantor; funds unexpended at end of period shall be returned to the grantor; patent rights requested by grantor.

Development (Gifts)

If the donor does not impose contractual requirements and the funds are awarded irrevocably.See Gifts, Grants, Contracts, and Sponsorships Determinations

Cooperative Agreement A type of grant typically issued by governmental and non-profit entities when the sponsor anticipates that its programmatic personnel will have substantial involvement in project activities and oversight. SPO
Research Agreement A contract that contains detailed terms governing the performance, funding and reporting of a research project or program.

SPO

Except for Industry Sponsored and Industry flow-through Research Agreements

Industry Sponsored or Industry flow-through Research Agreement A contract that contains detailed terms governing the performance, funding and reporting of a research project or program funded by, or flowing-through a for-profit entity. TIA
Subaward/Subcontract (Incoming) A contract under another entity’s prime award that transfers a substantive portion of a scope of work and associated funding to UCSB.

SPO

Incoming subawards from all sponsors except Industry and Industry flow-through sponsors

TIA

All incoming subawards/subcontracts (directly or indirectly) from Industry (for-profit) sponsors

Subaward/Subcontract (Outgoing) A contract that transfers a substantive portion of a scope of work and associated funding under a UCSB prime award to another entity. SPO
Memorandum of Understanding (MOU)

An agreement to express intention and/or state desire to cooperate in certain broad areas. The MOU format is recommended when partner institutions are either in the initial stages of collaboration discussions or when partners do not wish to commit to specific undertakings (aka Umbrella). UCSB collaborates with universities and institutions who share our strengths and interests by involving the ongoing exchange of students and/or faculty or the short term use of university resources (space, lab equipment, etc).

OR

For MOUs containing a research component. International MOUs see https://globalengagement.ucsb.edu/

Procurement Services

For exchange or use of lab space

Collaboration Agreement

An agreement that specifies commitments for cooperation, exchanges, or other intellectual pursuits. Collaboration Agreements must be entered into with careful consideration, as they define commitments of resources and/or acceptance of obligations.

OR

For collaborations containing a research component. See https://globalengagement.ucsb.edu

Service Agreement An agreement to obtain the services of an individual or entity, or for the UC to provide services to outside entities (revenue). Procurement Services
License/Option Agreement to UC Intellectual Property A contract that conveys certain use rights related to UCSB intellectual property (e.g., patents, copyrights or biological materials) to another entity, usually a for-profit company. TIA
Material Transfer Agreement (Incoming and outgoing) A contract (separate from a grant, cooperative agreement, research agreement, industry research agreement or clinical trial agreement) that protects the intellectual and other property rights of an entity providing a research material while permitting the receiving entity to use the material in its research. TIA
Confidentiality, Non-Disclosure (NDA) or Secrecy Agreement A contract to protect an entity’s proprietary information when it is shared with another entity.

TIA

For Agreements related to a research agreement

Procurement Services

For Agreements unrelated to a research agreement

Data Use Agreement A data use agreement (DUA) authorizes the transfer of a data set for specified limited purposes (e.g., conducting human research). TIA
Facility Use Agreement or Access Permit An agreement to permit UCSB’s use of or access to a non-UCSB location or facility for the purpose of conducting UCSB research. Procurement Services
Equipment Loan Agreement A contract that temporarily transfers equipment, instruments or other similar items of tangible personal property to UCSB for use in research or for testing and evaluation or instructional purposes in the course of research.

SPO

For loaned equipment to be used in sponsored research and incorporated in the research agreement, other than an industry sponsored research agreement.

TIA

For loaned equipment to be used under an industry sponsored research agreement, or incoming subawards from a for-profit entity or in non-sponsored research and incorporated in the research agreement.

Procurement Services

For loaned equipment not incorporated in a research agreement

HIPAA Business Associate Agreement An agreement covering the business-related disclosure of protected health information. Procurement Services
Intergovernmental Personnel Act Agreement (IPA) An agreement to allow an employee of UCSB to remain on UCSB payroll and benefits while providing service to a government agency or for a governmental employee to work at UCSB. In these cases an appropriate UCSB appointment must be requested and approved prior to establishing the IPA agreement.

Academic Personnel

See https://ap.ucsb.edu/resources.for.department.analysts/

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Updated: May 12, 2016.