University of California Office of the President
Senior Vice President--Business and Finance

Research Administration Office


Reply Requested

July 12, 1999

Contract and Grant Officers
Patent Coordinators
C & G CGX System Contacts
Campus Information System CGX Contacts

Subject: Addition of Project Type Categories for Clinical Trial and Material Transfer Agreements in Contracts and Grants Data Base

As follow-up to the discussion at the Contract and Grant Officers’ meeting in Santa Barbara, the Contract and Grant Information Systems Contacts’ meeting in San Diego, and at the recent joint meeting of the Contract and Grant Officers and Patent Coordinators in Irvine, we are proceeding with the plan to establish two new project types in the Corporate Contracts and Grants System (CGX): one for clinical trial agreements, and one for material transfer agreements. 

As you know, there is increased emphasis upon getting a complete picture of the University’s relationships with industry. Recommendations from the President’s Retreat on University/Industry Interactions in Research and Technology Transfer, as well as the activities of the President’s Industry-University Cooperative Research Program, emphasize the importance of understanding the breadth and depth of the relationship. While clinical trial activity is currently reported in the CGX data base, there has not been a unique project type category designated for the activity. As such, it has been difficult to assess the portion of the total University-industry interaction attributed to clinical trials. In addition, policy exceptions have been approved for clinical trials, and there are different administrative requirements associated with the activity. Creating a project type category for clinical trials will enhance the utility of the CGX system and provide the means for a better interface with the Corporate Financial System which recently added a unique fund group code for clinical trials. 

To date, most material transfer agreements (MTA’s) have not been reported in the CGX system. In recent years, the negotiation and execution of MTA’s has become increasingly important to the University of California research enterprise and activity in this area is often cited as one of the most significant aspects of the University’s relationships with industry. The central tracking of MTA’s will have several advantages. It will serve as a resource for University contract and grant (C&G) negotiators who wish to explore the experience their colleagues have had in negotiating the terms of similar agreements with particular organizations. It also will assist C&G negotiators in determining what intellectual property rights have already been committed for a particular principal investigator before entering into new, potentially overlapping intellectual property commitments. The availability of information on MTA’s in a central location will also enable UC staff responsible for licensing University technology at all UC technology transfer offices to assure that any prior intellectual property commitments made in an MTA have been addressed before the University enters into a license agreement for a particular technology. Finally, collecting basic information on MTA’s is consistent with recommendations put forth in the recent Department of Health and Human Resources (DHHS) draft Principles for Recipients of NIH Research Grants and Contracts on Obtaining and Disseminating Biomedical Research Resources.  

Enclosed is a draft of the change in the CGX data element definition for project type that reflects the changes described above. You will note that the two new categories are specified as an "A" and a "B"; this single character approach allows for the expansion of project type codes beyond '1' through '9' without affecting the record layout of the files sent to the Office of the President (UCOP). As such, it is expected that there will be fewer programming changes required to begin reporting these two new values in the CGX files.  

The official change in the reporting specifications will be effective Qtr 3 of FY2000 (due at UCOP on April 21, 2000). While we do not plan to require reporting of these categories until then, we will be prepared to begin receiving the new categories for project type beginning with the First Quarter of FY2000 (due at OP on October 21, 1999). If your local system already captures the project type for clinical trials, you may begin reporting the new categories on the files for the First Quarter of FY2000. Similarly, if information on MTA's is available to you now, you may also begin reporting it as of the same cycle.

Once the new clinical trial and material transfer agreement categories are implemented, the CGX system will be able to report on these projects. Information on clinical trials and MTA's will also be incorporated automatically into the UC/Company Relationships Profiles and Faculty Relationships Profiles currently available as Operational Tools on the OTT Home Page.  

Please submit any comments on the proposed changes and data element definition by August 6, 1999.

Barbara Yoder
(510) 987-9848

Source: U-115
Subject: 10

Suzanne Quick
(510) 587-6050

David F. Mear
Director, Research Administration 



Corporate Contract and Grant System Specifications


Type: Alphanumeric 

Length: 1 

Format: N/A 

General Description: 

Code identifying the award or proposal by the type of research or purpose. 


Code Interpretation:

'1' - Basic Research

'2' - Applied Research

'3' - Developmental Research

'A' - Clinical Trial Research

'4' - Other Research

'5' - Training

'6' - Public Service

'7' - Other Service

'8' - Equipment

'B' - Material Transfer

'9' - Other

Comments: See attached for expanded definitions.

Draft: Rev. 09/99 


Corporate Contract and Grant Information Requirements

CODE Field Length/Type: 1 alphanumeric


This field identifies the award or proposal by type of purpose. The project type is reported for the total award, not for the individual transaction. For instance, if a modification to a basic research project is made to authorize equipment purchase, the project type remains basic research. All awards and proposals must be identified by one of-the following categories:

Expanded definitions of categories: