Transaction Types

This section identifies the process and internal requirements associated with each type of industry sponsored activity managed by UCLA TDG. Each of the sections below provides specific background for each contract type as well as instructions for how to prepare and submit the appropriate internal proposal documents. Please don't hesitate to contact your assigned TDG Industry Contract Officer at any time for assistance.

 
Sponsored Research Agreement

What is It?

A formal agreement between UCLA and an outside for-profit entity or corporate foundation to cover the full costs (direct and indirect costs) of a basic or applied research project in accordance with a mutually agreed upon scope of work. 

  • The University of California Office of the President has mandated that a Sponsor must cover the full direct and indirect costs of the project in order to receive full access to the data and results of the research and an opportunity to license any inventions that might result.
  • If a Sponsor is making a direct payment of private funds for the purpose of a specific research project - regardless of whether the Sponsor calls it a grant, a contract, or anything else - you’re in the right place.

Getting Started

 
  • The Investigator and the Sponsor agree on a scope of work
  • A budget is crafted to cover all costs of the scope of work

What Do We Need From You?

The submission of the following basic internal proposal documents must be submitted no later than five business days from the date of any submission deadline.

Negotiations on the Agreement cannot begin until these documents are submitted. The information provided in these documents will dictate what terms are needed in the Agreement, assist our office in negotiations with the Sponsor, and assure that all potential compliance and conflict of interest issues are identified and addressed.

Required Proposal Documents:

  1. Industry Sponsored Research Proposal Checklist 
  2. ePASS 
  3. Budget 
  4. Scope of Work
  5. Financial Disclosure Forms 

Please submit an original signature copy of the Form 700U to your Industry Contract Officer as soon as possible. Your award will not be processed without an original signature copy of this document. Prior to execution of any award document, our office must be in receipt of all required UCLA internal approvals, including approvals from:

Submit your documents

Send proposal documents to your assigned TDG Industry Contract Officer.

Government Flow-Through Subcontract

What is It?

 

A formal agreement between UCLA and an outside for-profit entity for UCLA to serve as a subcontractor to that entity on an award it receives from a federal or state agency. After a proposal is approved by the granting agency, a subcontract would be consummated between the outside entity and UCLA to address the relevant contractual terms and fund the direct and indirect costs of UCLA’s portion of the research project in accordance with a mutually agreed upon scope of work and corresponding budget. 

A Special Note About SBIR/STTR Proposals

The Small Business Innovation Research (SBIR) Program was instituted by the federal government in 1982 and sets aside a portion each year of all federal research expenditures specifically for small businesses. The Small Business Technology Transfer (STTR) Program was set up under similar circumstances for technology-specific programs. 

Any involvement by UCLA in the SBIR or STTR programs would be as a subcontractor to a small business receiving the grant from the federal agency. UCLA is not a small business and is therefore not eligible to apply directly to the federal government for funding under either of these programs.

What Do We Need From You?

All subcontract proposals require official review and endorsement from UCLA TDG at the proposal stage. Officers will not begin formal contract negotiations with sponsors until draft copies of all documents listed below are received by our office.

Proposal documents must be submitted no later than five business days from the date of any proposal submission deadline. 

Required Proposal Documents:

  1. Copy of (or link to) Request for Proposal/Broad Agency Announcement from Prime Sponsor
  2. Industry Sponsored Research Proposal Checklist 
  3. ePASS 
  4. Budget 
  5. Scope of Work
  6. Financial Disclosure Forms 

Please submit an original signature copy of the Form 700U to your Industry Contract Officer as soon as possible. Your award will not be processed without an original signature copy of this document.

A Special Note About SBIR/STTR Proposals

The Vice Chancellor of Research has issued specific guidance for faculty participation in any SBIR or STTR proposal. It is important you review this guidance for details about the special UCLA-specific proposal requirements for this program as soon as you become aware of an upcoming SBIR/STTR proposal. 

Contact

Send your proposal documents to your Industry Contract Officer 

*If there are pending deadlines for your subcontract proposal, please indicate the due date in the subject line of the email

Training/Instruction

What is It?

An agreement between UCLA and a Sponsor to support programming related to the training or instruction of UCLA students and/or employees in research or the techniques or practices pertinent to a particular academic discipline. Awards and proposals which require both the development of training materials and the conduct of training as part of the same award should be identified as Training/Instruction. 

Instructional activities can include instructional or training workshops for participants not enrolled as UCLA students, unless the workshop is classified as “public service.” In such a circumstance, the activity should be classified as "Other Sponsored Activities/Public Service," which involves similar programs directed to external, non-UCLA participants.

What Do We Need From You?

The submission of the following basic internal proposal documents must be submitted no later than five business days from the date of any submission deadline.

Negotiations on the Agreement cannot begin until these documents are submitted. The information provided in these documents will dictate what terms are needed in the Agreement, assist our office in negotiations with the Sponsor, and assure that all potential compliance and conflict of interest issues are identified and addressed.

Required Proposal Documents:

  1. Industry Sponsored Research Proposal Checklist 
  2. ePASS 
  3. Budget (please note the specific indirect/overhead cost rate for this activity as set forth in the Cost Rate Agreement)
  4. Scope of Work
  5. Financial Disclosure Forms 

Please submit an original signature copy of the Form 700U to your Industry Contract Officer as soon as possible. Your award will not be processed without an original signature copy of this document.

Contact

Please contact your Industry Contract Officer.

Other Sponsored Activities

What is It?

An agreement between UCLA and a Sponsor to support a project which involves performance of work other than organized research (including Sponsored Research or Government Flow-Through Subcontract) or instruction (including Training/Instruction). Examples of such programs and projects are health service projects and community service programs

To distinguish from “Training/Instruction,” an “Other Sponsored Activity” would provide the benefits of the scholarly or professional training or services to individuals or sponsor-designated recipient groups external to the University, whereas "Training/Instruction" involves similar programs directed to UCLA participants only.

What Do We Need From You?

The submission of the following basic internal proposal documents must be submitted no later than five business days from the date of any submission deadline. 

Negotiations on the Agreement cannot begin until these documents are submitted. The information provided in these documents will dictate what terms are needed in the Agreement, assist our office in negotiations with the Sponsor, and assure that all potential compliance and conflict of interest issues are identified and addressed.

Required Proposal Documents:

  1. Industry Sponsored Research Proposal Checklist 
  2. ePASS 
  3. Budget (please note the specific indirect/overhead cost rate for this activity as set forth in the Cost Rate Agreement)
  4. Scope of Work
  5. Financial Disclosure Forms 

Please submit an original signature copy of the Form 700U to your Industry Contract Officer as soon as possible. Your award will not be processed without an original signature copy of this document.

Contact

Please contact your Industry Contract Officer.

Equipment Loan

What is It?

A formal agreement between UCLA and an outside for-profit entity to secure the temporary loan of “Inventorial Equipment” for use in a research project or projects in accordance with a mutually agreed upon scope of work.

  • "Inventorial Equipment" is defined as a tangible item with a useful life of at least 1 year (meaning the item is not disposable or consumable) with an acquisition cost/value of $5,000 or greater.
  • Please note that upon successful completion and signature of the Equipment Loan Agreement, it is necessary for you to follow your appropriate department procedures to make sure the loaned equipment is entered into the Asset Management System (AMS). For more information about AMS or questions about the AMS process please contact Equipment Management.

What Do We Need From You?

The submission of the following basic internal proposal documents must be submitted no later than five business days from the date of any submission deadline. Negotiations on the Agreement cannot begin until these documents are submitted. The information provided in these documents will dictate what terms are needed in the Agreement, assist our office in negotiations with the Sponsor, and assure that all potential compliance and conflict of interest issues are identified and addressed.

Required Proposal Documents:

  1. Industry Sponsored Research Proposal Checklist 
  2. ePASS 
  3. Scope of Work
  4. Financial Disclosure Forms 

Please submit an original signature copy of the Form 700U to your Industry Contract Officer as soon as possible. Your award will not be processed without an original signature copy of this document.

Contact

Please contact your Industry Contract Officer.

No Cost Time Extension

What is It?

An agreement between UCLA and a Sponsor to extend the effective period of performance on an award that is approaching its end date without adding any additional cost.  This allows for work to be completed where the original funding was sufficient but for whatever reason more time is needed to complete the work. These may also be known as a No Cost Extension or NCTE.

What Do We Need From You?

As soon as you are made aware of the need for an extension please verify that any Office of the Human Research Protection (OHRPP) or Animal Research Committee (ARC) approval that was obtained at the outset of the project has an effective date that covers this extension to the project. If an extension is necessary this must be completed before our office is able to assist with the No Cost Extension. Evidence of current OHRPP and/or ARC approval is required before the extension can be processed.

There is not a uniform process for No Cost Extensions; Some Sponsors are comfortable with a simple email confirming the extension while others prefer a formal amendment to the original Agreement.

If the Sponsor wants to use an email to consummate the extension, this email must:

  1. Come from an authorized signatory of the Sponsor, if not the original signatory to the Agreement
  2. Identify the original Agreement in some manner - institutional number, fund number, project title, etc
  3. Specify both the original start date and the new end date

If the Sponsor prefers to utilize a formal amendment to the original Agreement, please contact the Industry Contract Officer  assigned to your department who can coordinate a response on your behalf.

Contact

Please contact your Industry Contract Officer.

Confidential Disclosure/Nondisclosure Agreement (CDA/NDA)

What is It?

A Confidential Disclosure Agreement or CDA - also known as a Non-Disclosure Agreement (NDA) or a Proprietary Information Agreement (PIA) - is a formal agreement between UCLA and an outside entity that protects the confidential information generated at UCLA and/or that of our outside entity.  Each party agrees to keep the other party's information confidential and only use the information for the intended purpose covered by the CDA. Two of the most common types of CDA are:

One-Way CDAs

  • In one-way CDAs, only one party is receiving the confidential information.
  • The receiving party agrees to keep the disclosing party’s information confidential and to use the information only for the intended purpose.
  • The receiving party must be careful that only their non-confidential information is being disclosed, as the disclosing party is not obligated to keep such information confidential.
  • One-way CDAs are the most common of these types of Agreements as it is normally a Sponsor or potential Sponsor disclosing its confidential information to UCLA.  That said, even if the company is insisting on a one-way CDA, if you anticipate potential disclosure of confidential information TDG can assist you to make sure the appropriate agreement is put in place.

Mutual CDAs

  • In mutual or bi-lateral CDAs, both parties are receiving confidential information.
  • Both parties agree to keep the other party's information confidential and to use the information only for the intended purpose.
  • Used when UCLA confidential intellectual property is being shared.

Why Do You Need a CDA?

If you plan to disclose your confidential research ideas or a potentially patentable invention to an outside collaborator, a CDA is essential for ensuring the non-public nature of the disclosure and protecting against the possible loss of patent rights.  

A CDA will allow outside parties to freely share their confidential methods or technology for the purpose of evaluating the potential for a future research relationship.

When the purpose is evaluation of a future research relationship, CDAs may be precursors to other types of formal research agreements:

Sponsored Research, Material Transfer, or Unfunded Collaboration Agreements 

  • A for-profit collaborator may want to send you confidential or proprietary information or have a confidential discussion for the purposes of evaluating a potential research study that they intend to fund.
  • A collaborator may want to enter into a CDA prior to sending you certain proprietary research materials (including software, data, etc.)
  • Additionally, you and/or the collaborator may need to disclose confidential information under a CDA for the purpose of evaluating a potential unfunded research collaboration.
  • If a CDA is a precursor to any of the above, you are in the right place - please scroll down to "What We Need From You"

Clinical Trial Agreements

Consulting Agreements

  • A company may want to enter into a CDA to cover the discussions related to an engagement with a UCLA Principal Investigator to secure consulting services.
  • If a CDA is a precursor to a consulting agreement, the CDA is considered to be a personal agreement between you and the collaborator and is not handled by UCLA TDG. Further information and assistance regarding consulting can be found on our Consulting Policy and Guidance Page.

What Do We Need From You?

Please submit a Request for Confidentiality Agreement Form

Clinical Trial Agreement

What is It?

Like a Sponsored Research Agreement, this is a formal agreement between UCLA and an outside entity to cover the full costs (direct and indirect) of a research project in accordance with a mutually agreed upon scope of work.

Contact