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Deck of Cards
idmyId
Card
defaulttrue
labelBrief

Title:

Material Transfer Agreements

Publication date:

9/14/2012

...

Effective

...

date:

...

9/20/1996

...

BRIEF

Policy Summary

A written Material Transfer Agreement (MTA)

...

must

...

be

...

approved

...

by

...

Technology

...

Transfer

...

and

...

Intellectual

...

Property

...

Management

...

(TTIPM)

...

before

...

tangible

...

research

...

materials

...

are

...

provided

...

to

...

third

...

parties

...

(other

...

than

...

University

...

of

...

California

...

staff

...

or

...

DOE).

...

If

...

a

...

third-party

...

provider

...

of

...

tangible

...

research

...

materials

...

seeks

...

to

...

transfer

...

the

...

material

...

to

...

Berkeley

...

Lab

...

under

...

an

...

MTA,

...

TTIPM

...

must

...

review

...

and

...

approve

...

that

...

MTA.

...

Examples

...

of

...

tangible

...

research

...

material

...

include

...

cell

...

lines,

...

transgenic

...

plants

...

and

...

animals,

...

DNA

...

and

...

RNA,

...

viruses,

...

plasmids,

...

chemical

...

compounds,

...

and

...

source

...

code

...

for

...

software.

...

Who

...

Should

...

Read

...

This

...

Policy

...

Employees

...

and

...

affiliates

...

who

...

transfer

...

tangible

...

research

...

materials

...

to

...

or

...

from

...

Berkeley

...

Lab

...

To

...

Read

...

the

...

Full

...

Policy,

...

Go

...

To:

...

The

...

POLICY

...

tab

...

on

...

this

...

wiki

...

page

...

Contact

...

Information

...

Licensing

...

Manager

...


Technology

...

Transfer

...

and

...

Intellectual

...

Property

...

Management

...


[email protected]

...

Card
labelPolicy

Title:

Material Transfer Agreements

Publication date:

9/14/2012

...

Effective

...

date:

...

9/20/1996

...

POLICY

A.

...

Purpose

...

At

...

times,

...

Lawrence

...

Berkeley

...

National

...

Laboratory

...

(Berkeley

...

Lab)

...

needs

...

to,

...

or

...

finds

...

it

...

useful

...

to,

...

transfer

...

tangible

...

research

...

material

...

to

...

or

...

obtain

...

such

...

material

...

from

...

third

...

parties.

...

A

...

written

...

Material

...

Transfer

...

Agreement

...

(MTA)

...

must

...

be

...

approved

...

by

...

Technology

...

Transfer

...

and

...

Intellectual

...

Property

...

Management

...

(TTIPM)

...

before

...

tangible

...

research

...

materials

...

are

...

provided

...

to

...

third

...

parties

...

(other

...

than

...

University

...

of

...

California

...

staff

...

or

...

DOE).

...

A

...

MTA

...

is

...

required

...

in

...

order

...

for

...

Berkeley

...

Lab

...

to

...

comply

...

with

...

its

...

obligation

...

under

...

the

...

UC-DOE

...

Prime

...

Contract

...

to

...

maintain

...

the

...

patentability

...

of

...

inventions,

...

to

...

foster

...

appropriate

...

technology

...

transfer,

...

to

...

avoid

...

liability

...

for

...

others'

...

use

...

or

...

misuse

...

of

...

Berkeley

...

Lab

...

material,

...

and

...

to

...

maintain

...

appropriate

...

control

...

over

...

the

...

material.

...

If

...

a

...

third-party

...

provider

...

of

...

tangible

...

research

...

materials

...

seeks

...

to

...

transfer

...

its

...

material

...

under

...

an

...

MTA,

...

TTIPM

...

must

...

review

...

and

...

approve

...

that

...

MTA

...

to

...

ensure

...

that

...

the

...

contractual

...

obligations

...

that

...

Berkeley

...

Lab

...

will

...

assume

...

comply

...

with

...

DOE

...

requirements

...

and

...

sound

...

business

...

practices.

...

B.

...

Persons

...

Affected

...

Employees

...

and

...

affiliates

...

who

...

transfer

...

tangible

...

research

...

material

...

to

...

or

...

from

...

Berkeley

...

Lab

...

C.

...

Exceptions

...

No

...

exceptions

...

D.

...

Policy

...

Statement

...

  1. At

...

  1. times,

...

  1. Berkeley

...

  1. Laboratory

...

  1. needs

...

  1. to,

...

  1. or

...

  1. finds

...

  1. it

...

  1. useful

...

  1. to,

...

  1. transfer

...

  1. tangible

...

  1. research

...

  1. material

...

  1. or

...

  1. obtain

...

  1. such

...

  1. material

...

  1. from

...

  1. third

...

  1. parties.

...

  1. Examples

...

  1. of

...

  1. tangible

...

  1. research

...

  1. material

...

  1. include

...

  1. cell

...

  1. lines,

...

  1. transgenic

...

  1. plants

...

  1. and

...

  1. animals,

...

  1. DNA

...

  1. and

...

  1. RNA,

...

  1. viruses,

...

  1. plasmids,

...

  1. chemical

...

  1. compounds,

...

  1. and

...

  1. source

...

  1. code

...

  1. for

...

  1. software.

...

  1. Outgoing

...

  1. Transfers
    1. Appropriate uses of Berkeley Lab's

...

    1. outgoing

...

    1. transfers

...

    1. are

...

    1. to

...

    1. enable

...

    1. the

...

    1. recipient

...

    1. to

...

    1. evaluate

...

    1. the

...

    1. material's

...

    1. potential

...

    1. commercial

...

    1. utility

...

    1. or

...

    1. the

...

    1. recipient's

...

    1. interest

...

    1. in

...

    1. obtaining

...

    1. a

...

    1. commercial

...

    1. license

...

    1. from

...

    1. Berkeley

...

    1. Lab;

...

    1. to

...

    1. replicate,

...

    1. reproduce,

...

    1. evaluate,

...

    1. or

...

    1. confirm

...

    1. Berkeley

...

    1. Lab's

...

    1. research

...

    1. effort;

...

    1. or

...

    1. do

...

    1. research

...

    1. furthering

...

    1. Berkeley

...

    1. Lab's

...

    1. programmatic

...

    1. goals.

...

    1. Laboratory

...

    1. staff

...

    1. must

...

    1. observe

...

    1. the

...

    1. following

...

    1. procedures

...

    1. when

...

    1. Berkeley

...

    1. Lab

...

    1. transfers

...

    1. tangible

...

    1. research

...

    1. material

...

    1. to

...

    1. third

...

    1. parties

...

    1. (other

...

    1. than

...

    1. University

...

    1. of

...

    1. California

...

    1. staff

...

    1. or

...

    1. DOE).

...

    1. These

...

    1. procedures

...

    1. are

...

    1. established

...

    1. to

...

    1. enable

...

    1. Berkeley

...

    1. Lab

...

    1. to

...

    1. comply

...

    1. with

...

    1. its

...

    1. obligation

...

    1. under

...

    1. the

...

    1. UC-DOE

...

    1. Prime

...

    1. Contract

...

    1. to

...

    1. maintain

...

    1. the

...

    1. patentability

...

    1. of

...

    1. inventions,

...

    1. foster

...

    1. successful

...

    1. technology

...

    1. transfer,

...

    1. and

...

    1. avoid

...

    1. liability

...

    1. for

...

    1. others'

...

    1. use

...

    1. or

...

    1. misuse

...

    1. of

...

    1. Laboratory

...

    1. material,

...

    1. and

...

    1. maintain

...

    1. appropriate

...

    1. control

...

    1. over

...

    1. the

...

    1. material

...

    1. (e.g.,

...

    1. the

...

    1. use

...

    1. of

...

    1. the

...

    1. materials

...

    1. may

...

    1. be

...

    1. limited

...

    1. to

...

    1. specific

...

    1. projects

...

    1. and

...

    1. preclude

...

    1. the

...

    1. further

...

    1. transfer

...

    1. of

...

    1. the

...

    1. materials

...

    1. to

...

    1. non-approved

...

    1. recipients).

...

      1. Contact

...

      1. TTIPM

...

      1. when

...

      1. you

...

      1. wish

...

      1. to

...

      1. transfer

...

      1. Berkeley

...

      1. Lab

...

      1. tangible

...

      1. research

...

      1. material;

...

      1. TTIPM

...

      1. will

...

      1. prepare

...

      1. an

...

      1. MTA.

...

      1. Transfer

...

      1. the

...

      1. tangible

...

      1. research

...

      1. material

...

      1. only

...

      1. after

...

      1. the

...

      1. MTA

...

      1. is

...

      1. signed

...

      1. by

...

      1. both

...

      1. TTIPM

...

      1. and

...

      1. the

...

      1. recipient.

...

      1. For

...

      1. any

...

      1. tangible

...

      1. research

...

      1. material

...

      1. to

...

      1. be

...

      1. transferred,

...

      1. appropriately

...

      1. label

...

      1. and

...

      1. include

...

      1. instructions

...

      1. for

...

      1. handling

...

      1. as

...

      1. necessary

...

      1. for

...

      1. safe

...

      1. use.

...

      1. Ship

...

      1. all

...

      1. tangible

...

      1. research

...

      1. materials

...

      1. through

...

      1. Berkeley

...

      1. Lab's

...

      1. Shipping

...

      1. and

...

      1. Receiving

...

      1. Department

...

      1. to

...

      1. ensure

...

      1. compliance

...

      1. with

...

      1. Export

...

      1. Control

...

      1. and

...

      1. other

...

      1. applicable

...

      1. laws.

...

  1. Incoming

...

  1. Transfers

...

    1. Generally,

...

    1. incoming

...

    1. transfers

...

    1. of

...

    1. tangible

...

    1. research

...

    1. material

...

    1. are

...

    1. generally

...

    1. not

...

    1. commercially

...

    1. available

...

    1. or

...

    1. have

...

    1. limited

...

    1. availability

...

    1. and

...

    1. are

...

    1. necessary

...

    1. or

...

    1. useful

...

    1. to

...

    1. further

...

    1. Berkeley

...

    1. Lab's

...

    1. programmatic

...

    1. goals.

...

    1. (For

...

    1. purchases

...

    1. of

...

    1. tangible

...

    1. research

...

    1. materials,

...

    1. go

...

    1. through

...

    1. the

...

    1. Procurement

...

    1. and

...

    1. Property

...

    1. Management

...

    1. Department.)

...

    1. Laboratory

...

    1. staff

...

    1. must

...

    1. observe

...

    1. the

...

    1. following

...

    1. procedures

...

    1. if

...

    1. the

...

    1. third-party

...

    1. supplier

...

    1. of

...

    1. tangible

...

    1. research

...

    1. material

...

    1. requires

...

    1. the

...

    1. use

...

    1. of

...

    1. an

...

    1. MTA:

...

      1. Contact

...

      1. TTIPM

...

      1. to

...

      1. review

...

      1. the

...

      1. MTA

...

      1. and

...

      1. negotiate

...

      1. any

...

      1. required

...

      1. modifications

...

      1. to

...

      1. the

...

      1. contract.

...

      1. Comply

...

      1. with

...

      1. the

...

      1. terms

...

      1. of

...

      1. the

...

      1. MTA.

...

      1. In

...

      1. particular:

...

        1. Confirm

...

        1. whether

...

        1. you

...

        1. can

...

        1. transfer

...

        1. the

...

        1. tangible

...

        1. research

...

        1. material

...

        1. to

...

        1. anyone

...

        1. else

...

        1. (virtually

...

        1. all

...

        1. MTAs

...

        1. prohibit

...

        1. transfer

...

        1. outside

...

        1. of

...

        1. Berkeley

...

        1. Lab,

...

        1. and

...

        1. many

...

        1. restrict

...

        1. transfer

...

        1. to

...

        1. a

...

        1. particular

...

        1. research

...

        1. group)

...

        1. Comply

...

        1. with

...

        1. any

...

        1. restrictions

...

        1. on

...

        1. use,

...

        1. e.g.,

...

        1. typically

...

        1. for

...

        1. noncommercial

...

        1. use

...

        1. Comply

...

        1. with

...

        1. any

...

        1. pre-publication

...

        1. review

...

        1. or

...

        1. reporting

...

        1. requirements

...

      1. Contact

...

      1. TTIPM

...

      1. to

...

      1. negotiate

...

      1. modifications

...

      1. or

...

      1. exceptions

...

      1. if

...

      1. you

...

      1. wish

...

      1. to

...

      1. use

...

      1. or

...

      1. transfer

...

      1. the

...

      1. tangible

...

      1. research

...

      1. material

...

      1. in

...

      1. a

...

      1. way

...

      1. that

...

      1. is

...

      1. not

...

      1. allowed

...

      1. by

...

      1. the

...

      1. MTA

...

      1. Appropriately

...

      1. safeguard

...

      1. the

...

      1. tangible

...

      1. research

...

      1. material

...

      1. (e.g.,

...

      1. segregate

...

      1. the

...

      1. tangible

...

      1. research

...

      1. material

...

      1. from

...

      1. Berkeley

...

      1. Lab

...

      1. materials

...

      1. and

...

      1. store

...

      1. it

...

      1. in

...

      1. a

...

      1. secure

...

      1. location),

...

      1. track

...

      1. the

...

      1. disposition

...

      1. of

...

      1. the

...

      1. tangible

...

      1. research

...

      1. material,

...

      1. and

...

      1. comply

...

      1. with

...

      1. return

...

      1. or

...

      1. destruction

...

      1. requirements

...

      1. either

...

      1. at

...

      1. the

...

      1. end

...

      1. of

...

      1. the

...

      1. MTA

...

      1. term

...

      1. or

...

      1. at

...

      1. the

...

      1. end

...

      1. of

...

      1. the

...

      1. research

...

      1. project.

...

      1. If

...

      1. the

...

      1. MTA

...

      1. requires

...

      1. the

...

      1. remaining

...

      1. tangible

...

      1. research

...

      1. material

...

      1. to

...

      1. be

...

      1. returned,

...

      1. send

...

      1. it

...

      1. through

...

      1. Berkeley

...

      1. Lab's

...

      1. Shipping

...

      1. and

...

      1. Receiving

...

      1. Department,

...

      1. either

...

      1. by

...

      1. registered

...

      1. mail

...

      1. or

...

      1. a

...

      1. recognized

...

      1. courier

...

      1. service

...

      1. such

...

      1. as

...

      1. Federal

...

      1. Express

...

      1. or

...

      1. DHL.

...

E.

...

Roles

...

and

...

Responsibilities

...

Role

Responsibility

TTIPM Licensing Staff

  • Negotiates and approves MTA and any amendments
  • Keeps MTA records

Berkeley Lab Researchers, Including Affiliates

  • Submit or forward MTA request to TTIPM
  • Appropriately label outgoing materials and secure third-party materials
  • Ship through the Shipping and Receiving Department
  • Comply with third-party MTA obligations, and request that TTIPM negotiate any needed changes

F. Definitions/Acronyms

Term

Definition

Tangible Research Material

Items produced in the course of research that are not generally commercially available. Tangible research material includes such items as biological materials, chemical compounds, computer software, integrated circuit chips, prototype devices, and equipment that is not yet available on the market.

Tangible research material is separate and distinct from intangible (or intellectual) property such as inventions, patents, copyright, and trademarks.

Affiliates

Non-Laboratory employees engaged in on-site Laboratory activities. Affiliates are subject to training in safety and other subjects. They are also issued a Berkeley Lab identification badge. Affiliates may receive system accounts, research access to facilities, and a per diem allowance for housing and living expenses.
Examples: Facility users, scientific collaborators, students

Intellectual Property (IP)

Intellectual property (IP) refers to creations of the mind: inventions, creative, literary and artistic works, and symbols, names, images, and designs used in commerce. The means to protect IP include patents, trademarks, copyright and trade secrets. Patents protect inventions. Trademarks protect words, names, symbols, sounds, or colors that distinguish goods and services. Copyrights protect works of authorship, such as writings, software, music, and works of art that have been tangibly expressed. Trade secrets are information that companies keep secret to give them an advantage over their competitors. While Berkeley Lab has discretion to secure and license patents, trademarks and copyrights, it is prohibited by DOE policy from licensing trade secrets.

Material Transfer Agreement (MTA)

A contract that governs the transfer of tangible research materials between two organizations, when the recipient intends to use it for his or her own research purposes. The MTA defines the rights and obligations of the provider and the recipient with respect to the materials and any derivatives.

Policy

Statements or directives from the federal, state, or local government; the University of California; or Berkeley Lab senior management that set a course of action, define acceptable conduct, or implement governing principles.
Example: Berkeley Lab Site Access

TTIPM

Technology Transfer and Intellectual Property Management

G. Recordkeeping Requirements

  • TTIPM keeps records of all material transfer agreements.
  • Researchers must track the location and disposal of third-party tangible research materials obtained under an MTA.

H. Implementing Documents

None

I. Contact Information

Licensing Manager
Technology Transfer and Intellectual Property Management
[email protected]

J. Revision History

Date

Revision

By whom

Revision Description

Section(s) affected

Change Type

1/2/2012

0

H.Clark

Re-write for wiki (brief)

All

Major

9/14/2012

1

V.Wolinsky

Re-write for wiki (policy)

All

Major

Card
labelDocument Information

DOCUMENT INFORMATION

Title:

Material Transfer Agreements

Document number

03.03.001.000

Revision number

1

Publication date:

9/14/2012

Effective date:

9/20/1996

Next review date:

9/14/2015

Policy Area:

Agreements

RPM Section (home)

Conduct of R&D

RPM Section (cross-reference)

Section 5.07(B)(1)

...

Functional

...

Division

...

Technology

...

Transfer

...

and

...

Intellectual

...

Property

...

Management

...

Prior

...

reference

...

information

...

(optional)

...

Section

...

5.07(B)(1)

...

Source

...

Requirements

...

Documents

...

Anchor
_Toc279407324
_Toc279407324
U.S.

...

Department

...

of

...

Energy

...

(DOE)

...

Contract No.

...

DE-AC02-05CH11231,

...

Clause

...

I.92

...

-

...

DEAR

...

970.5227-3

...

Technology

...

Transfer

...

Mission

...

(Deviation,

...

Jul

...

2006)

...

Implementing Documents

None

Builder show

...

group

...

rpm2-admins

...

Card

...

label

...

Additional

...

Information

...

ADDITIONAL

...

INFORMATION

...

Title:

...

Material

...

Transfer

...

Agreements

...

Document

...

number

...

03.03.001.000

...

Revision

...

number

...

1

...

Publication

...

date:

...

9/14/2012

...

Effective

...

date:

...

9/20/1996

...

Next

...

review

...

date:

...

9/14/2015

...

Policy

...

Area:

...

Agreements

...

RPM

...

Section

...

(home)

...

Conduct

...

of

...

R&D

...

RPM

...

Section

...

(cross-reference)

...

Asset

...

Management

...

Functional

...

Division

...

Technology

...

Transfer

...

and

...

Intellectual

...

Property

...

Management

...

Author

...

name/contact

...

info

...

Heidi

...

Clark,

...

...


Viviana Wolinsky,

...

...

 

 

Revision 0 publication date

1/2/2012

...

Retirement

...

date

...

n/a

...

Prior

...

reference

...

information

...

(optional)

...

Section

...

5.07(B)(1)

...

 

 

Inputs from more than one Functional Area?

No

List additional Functional Areas & contacts

 

 

 

Inputs from more than one Policy Area?

No

List additional Policy Areas & contacts

 

 

 

30-day notification needed?

No

30-day start date

n/a

30-day end date

n/a

 

 

LDAP protected?

No

 

 

Need TABL reminders?

No

Frequency

n/a

Brief reminder text:

n/a

 

 

Approval Sheet for this revision received (date)
[Note: author is responsible}

 

Key labels/tags:

  • Material Transfer, MTA, transfer, evaluation license, license for research use, non-commercial license, research license

New terms that need to be added to Glossary/Acronym list:

  • (list items not found
    Anchor
    _GoBack
    _GoBack
    and context (Policy Area name) – full definition would be included in Policy)

Implementing Documents restricted to department/functional use

(optional – these will be used for tracing between requirements and associated documents)

Document number

Title

 

 

 

 



Side bars:
Side bar 1 location (cite by Policy Section # - for example: Section D.2.a)
Sidebar 1 text:
Sidebar 2 location
Sidebar 2 text:
Sidebar 3 location
Sidebar 3 text: