The rockefeller university

The sharing of materials and research tools is an essential part of advancing scientific research. Rockefeller therefore encourages its researchers to make materials and research tools developed at Rockefeller available to the scientific community, including through the transfer of these materials and tools to external researchers.  When an external researcher wishes to receive material from a researcher at Rockefeller, or to provide materials to a researcher at Rockefeller, this activity should be documented in the form of a material transfer agreement (MTA), a legal document used to define the terms and conditions for the exchange of materials or other research tools, and OTT strongly encourages the use of an MTA.  In certain situations, as detailed under the “Special Circumstances” section below, an MTA may be required.

This page provides guidance for the Rockefeller community regarding the sharing of materials and research tools with, or obtaining materials and research tools from, scientists outside of Rockefeller. When considering transferring research materials outside of Rockefeller, or when considering asking external colleagues to share research materials with a lab at Rockefeller. Considerations include the origin of the materials, the publication status, the obligations and restrictions placed on use of the research materials, export and import control restrictions, among other factors.  A researcher should consult OTT as to whether an MTA or other agreement may be warranted or required.  OTT reviews and negotiates MTAs to ensure that the interests of Rockefeller and its researchers are protected.

For more information about the dissemination of, and access to, research resources as an important means for enhancing the benefit of research, please review the guidance on this page and refer to information about the NIH Research Tools Policy and AUTM MTA guiding principles.

Receiving Materials

MTA Request Form for Receiving Materials.

By completing the above online request form, Rockefeller researchers should submit to OTT any material transfer agreement received from an external party.

Once OTT receives the submission, we will begin working on the MTA, which may include contacting you for more information. We will negotiate the terms with the provider and keep you updated on the progress of the MTA. OTT will coordinate signatures with the HOL investigator and the provider organization.

Providing Materials

MTA Request Form for Providing Materials

Rockefeller investigators who wish to transfer material to an external party should consult with OTT to evaluate whether an MTA or other agreement may be warranted or needed.  Considerations include the origin of the materials, the publication status, the obligations and restrictions placed on use of the research materials, export and import control restrictions, among other factors.  If an MTA is needed, investigators should submit an MTA request to OTT by completing the above online request form.  Once OTT receives the submission, we will begin working on the MTA, which may include contacting you for more information. When possible, we will use the UBMTA, a preset agreement that hundreds of academic organizations have agreed to sign off on through a simple implementation letter for each transfer. Please note that export controls for certain materials require greater scrutiny, including from groups outside of OTT. We will negotiate the terms with the recipient and keep you updated on the progress of the MTA. OTT will coordinate signatures with the HOL and the recipient organization.

Special Considerations

OTT encourages the use of MTAs to help ensure a common understanding as to what is being shared, for what purpose, and how it can be used now and in the future. There are circumstances under which an MTA or other agreement documenting the transfer of materials or other research tools will be required.

Researchers who are joining Rockefeller and bringing materials from their prior organization, or who are leaving Rockefeller to take a position at another organization and wish to take materials with them, should contact OTT as soon as possible to assist with this transition and to document the transfer of materials. A trainee leaving Rockefeller, must first obtain permission from the trainee’s HOL for all materials that the trainee would like to take with them, and should obtain that permission before engaging OTT. Of note is that materials with a long lineage of modification and derivitization or obtained (not through purchase but by way of contract) from a commercial entity may require permissions from multiple organizations or require significant additional paperwork.

While there may not be an exchange of physical materials, the exchange of unpublished data from research involving human subjects, whether being provided by or received by Rockefeller, must be done under a Data Use Agreement (DUA). The principles of a DUA are similar to those of an MTA regarding what constitutes permitted use, restrictions, and obligations related to such data. Recipients and providers, as applicable, need to provide documentation confirming relevant approvals (or waivers) were obtained that authorize the transfer to others.

Researchers who plan to send or receive materials or data that are subject to US Export Control Laws or for which state permits or licenses (e.g., license for tissue bank operation) or federal permits or licenses are required must also utilize an MTA or DUA.