Responsibility for Research-Related Agreements at UC Santa Barbara
Prepared by the Office of Research - Sponsored Projects (SPO)
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.
| Type of Agreement | Description | Primary Responsibility |
|---|---|---|
| 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 (PDF, opens in a new tab) |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| HIPAA Business Associate Agreement | An agreement covering the business-related disclosure of protected health information. | Procurement Services |
| 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 |
| 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 Academic Personnel Resources for Department Analysts |
| Memorandum of Understanding (MOU) | An agreement to codify collaborations with universities and institutions sharing our strengths and/or interests when the collaboration involves 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. For international MOUs, see UCSB Global Engagement Procurement Services For exchange or use of lab space. |