Obstacles to Obtaining Research Materials and Research Tools from For-profit Companies: Obtaining research materials from for-profit companies can be difficult because of the divergent missions distinguishing academic research from for-profit development. UAB does everything it can to facilitate this kind of transaction; however, UAB cannot compromise its educational mission. UAB encourages alternative sources for the research materials, whether from another not-for-profit research organization or from a commercial source, be considered and researched before it is asked to attempt to obtain the material from a for-profit company. Below are some of the issues that can arise when attempting to obtain research materials from a for-profit company.UAB is generally not allowed — as a university that is an agency of the State of Alabama with a tax exempt status — to conduct for-profit research in its labs. When for-profit companies request ownership of the inventions that "may" emerge from your work in exchange for receipt of their research materials, they are asking, in some cases, that UAB put its tax exempt status at risk. Even if the probability of actual invention is estimated to be practically nonexistent, the promise to trade possible inventions in exchange for research materials puts UAB’s tax exempt status at risk.UAB cannot grant a license to anything that "may" be invented.UAB can: · give a non-exclusive, royalty-free license to use inventions for non-commercial purposes (for example, internal research at the company) · offer an option to negotiate anything that is eventually invented. (This can result in either an exclusive or non-exclusive license)The federal law that regulates this activity is IRS Tax Code Revenue Proceeding 97-14 which prevents UAB from licensing technologies that are not yet in existence at the time of the agreement. Other tax code sections and regulations also apply.For-profit companies are — and should be — as committed to meeting their obligations to shareholders as researchers at UAB are to advancing science. Consequently, these companies make every effort to gain control of ideas that may benefit their owners. UAB is committed to helping you develop these relationships with for-profit companies. However, UAB cannot compromise its core mission. Agreements must conform with statutes and regulations. The terms and conditions of any agreement must be in conformance with applicable laws and regulations, including the tax code, to avoid jeopardizing UAB’ jeopardizing tax-exempt status.In addition to tax law ramifications, here are some other issues to consider: · The vast majority of companies with which UAB has dealings are staffed with consummate professionals who understand the rigors of basic research and the mission of the educational institution. In the few cases where companies seek to own anything that may be invented, two problems arise. First, if the company decides to refrain from commercializing your idea ("shelve" it), then you will not see the fruits of your labor in the market place. Secondly, it is legally possible that your capacity to conduct research in the very field that generated the idea may be compromised if the company restricts or controls your research in the future. The risks become even more significant if federal funding supports your research or your laboratory. · UAB encourages relationships with industry. The building of "bench to bench" communications between your lab and that of someone else in industry is recognized by UAB as important. For-profit companies are filled with scientists who are trying to solve many of the same problems you are. Moreover, the "channels of commerce" are the best means we have to get your great ideas into the hands of people who can use them to make quality of life better for everyone. On the other hand, we must protect and build our academic research mission. · UAB understands that for-profit companies can be valuable sources of materials you can use to advance your research. Please be aware, however, that obtaining research materials from for-profit companies can be quite complicated and poses some risks. UAB attempts to balance the need for academic freedom against the company's objective to maximize the financial position of its owners. To that end, UAB will give the for-profit company a research license and an option to transact a broader license after invention has occurred. · You should also be aware that some Material Transfer Agreements (MTAs) can be as complicated as formal Research Agreements. There may be weeks, or even months, of negotiation time before a mutually acceptable resolution can be reached. In rare instances, a mutually acceptable relationship may never come to fruition.
Once you have received your MTA from the providing company, you must submit a “UAB Material Transfer Agreement Submission Form for Receipt of Materials”. The submission form provides the essential information relevant to the agreement. It is helpful for the UABRF to know specific information about the material that is to be provided and how you plan to utilize the research material.
Please note original signatures are required on the forms, you will need to print the completed form and obtain the necessary signatures. Once the signatures have been obtained please forward the completed form along with the MTA (including all attachments cited in the MTA, if any) to The UAB Research Foundation, AB770, 701 20th Street South. We will negotiate the agreement, manage correspondence, obtain required agreement (MTA) signatures and provide you with copies of executed agreement.
The form is provided below in Word Form. It is designed so that you may type directly into the form. Please do not save a template to your computer, always get your template from this website.
Click here to download Incoming UAB MTA In Submission Form Word format.
If you experience difficulty with the forms or have questions please notify UABRF at RF Webmaster.