WORKING WITH SPO AND IAO

Lynne Hollyer Noam Pines

Associate Director Research Administrator

Industry Alliances Office Sponsored Projects Office

Lhollyer@berkeley.edu npines@berkeley.edu

Anissa Jones

Contracts Manager

Industry Alliances Office

anissaj@berkeley.edu

SPO or IAO?

SPO manages all research, service and instruction sponsored agreements with the federal and state governments (.gov, .ca), non profits (.org) and other universities (.edu)

IAO manages incoming intellectual property matters, incoming research materials and data, confidentiality agreements and funding from industry (.com and .net)

SPO The Sponsored Projects Office (SPO) is a pre-

award office responsible for reviewing and submitting proposals and negotiating awards with governmental and non-profit groups.

SPO’s website provides information and guidance on its pre-award services:

http://www.spo.berkeley.edu/

Purpose of the Funding

Applicant Eligibility Number of Awards Funding per Award Funding Restrictions Deliverables/Reports

Project Start Date Project Period Proposal Due Date Proposal Format Submission

Requirements Forms/Certifications

Agency Issues Proposal Guidelines

• Scope of Work • Time Lines• Project Budget• Key Personnel (Qualifications, roles, effort,

current/pending support)• Available Facilities and Resources • Certifications and Approvals • Cost Sharing (if applicable)• Other Supporting Documentation (as needed)

PI Prepares the Proposal

Information about PI Sponsor Information Project Information (including any exceptions

to University policy and/or special requirements for project)

Compliance Reviews Needed Signed PI Statements: Proposal Content, COI

Proposal Routing Form (PRF)

PI’s Chair/ORU Director and Dean review the proposal and the information on the PRF and sign the PRF if they approve the submission of the proposal:– Proposed Research– Key Personnel Contributed/Release Time– Cost Share Commitments– Equipment and Space Requirements

Internal Review of Proposal

• SPO reviews proposal for:– Compliance with agency and university

policies and procedures– Budget calculations and F&A rate– Commitment from subcontractors

• SPO requests revisions/corrections as well as a letter of informed consent for any special circumstances (e.g. cost sharing) signed by Chair/ORU Director and/or Dean

SPO Review of Proposal

PI /SPO submits proposal to funding agency by deadline or target date.– Hard copy– Electronic

(SPO submits all electronic proposals that are required to be submitted through the Grants.gov or NSF FastLane systems.)

Proposal Submitted

Agency reviews and ranks eligible proposals in accordance with agency selection criteria– Compliance with instructions and

restrictions– Quality of research/project design– UCB Personnel and institutional resources

“Just in Time” information requested for proposals likely to be funded (if needed)

Proposals Reviewed by Agency

Notices of award sent out to successful applicants (PI and/or SPO typically receive such notices) describing award terms and conditions and any modifications requested by the agency – Scope of Work– Start date– Budget

Agency Issues Awards

SPO reviews award terms and conditions SPO negotiates/removes unacceptable terms SPO accepts (signs) the award document SPO provides information needed to

establish a sponsored project account in EFA SPO negotiates and approves subawards to

any collaborators

SPO Accepts the Award

What Does the IAO Do?

The IAO manages:Sponsored Research Agreements with industry;Agricultural Marketing Board agreements; andMaterial Transfer AgreementsData Use AgreementsIndustrial Visitors Agreements Non-Disclosure Agreement with Industry

The Office of Technology Licensing handles outgoing materials and dataBusiness Contracts handles fee-for-service agreements

– (no research or intellectual property terms)University Relations and your development office manage gifts

IAO Manages Contracts Under the Same University Policies as SPO

IAO uses the same forms and processes as SPO uses for proposals: we need a scope of work, a budget, a proposal review form and the 700-U conflict of interest form.

Industry contracts are subject to the same compliance obligations as any other grant agreement.

We send all of our documents to SPO, since that office is the UC Berkeley office of record.

Companies generally have less formal submittal processes than governmental entities use so the time between submittal and decision is likely to be shorter. The contract is another matter.

What we strive to avoid…

How Do You Get Started on an Agreement?

Complete the Research Material Request Form Provides contact information and a clear description

of the material or data being requested Describes the project or how the data will be used. Lists the project funding Lets IAO know if previous agreements have been

signed relating to the transfer Compliance issues

Email the Request Form to MTA@Berkeley.edu along with the MTA itself and any additional documentation (compliance approvals and so on)

What Compliance Issues are Relevant to Data and Material Use Agreements?

Use of human subject data on must be approved by the Office for the Protection of Human Subjects

For information on the specifics of OPHS requirements go to the OPHS guidance document at http://cphs.berkeley.edu/secondarydata.pdf

OPHS link: http://cphs.berkeley.edu

Material Transfer and Data Use Agreements

A Material Transfer or Data Use Agreement: governs the terms and conditions under which a Provider (a

University, Research Institute, governmental agency, school or a for-profit entity such as a pharmaceutical company) will make scientific or data materials available to an outside party.

Providers use a range of types of agreements from short form agreements with few requirements to complex contracts designed to cover every contingency.

An MTA or Data Use Agreement must be signed by a University official to be legally binding.

When do Providers Require Agreements?

When the material or data is proprietary If the material is maintained as confidential If the data pertains to human subjects If the Provider is concerned about liability especially if

the material is infectious The Provider wants to obtain rights to the results of

the research

What Terms are Commonly in an MTA?

Agreements are all different, but typically they will contain: A definition, such as of “materials”, “data”, “confidential information”,

“unmodified derivatives”, “derivative works” and other terms that can affect the outcome and use of your research.

Conditions for the use of the materials or data Data security requirements Use of research results Review of publications Indemnification and warranty language