POLICY

A. Purpose

At times, Lawrence Berkeley National Laboratory (Berkeley Lab) needs to, or finds it useful to, transfer tangible research material to, or obtain such material from third parties. A written Material Transfer Agreement (MTA) must be approved and signed by the Intellectual Property Office (IPO) before tangible research materials are provided to third parties, including other DOE labs. Berkeley Lab enters into more simplified MTAs with other University of California campuses. A MTA is required in order for Berkeley Lab to comply with its obligation under the UC-DOE Prime Contract to maintain the patentability of inventions, to foster appropriate technology transfer, to avoid liability for others' use or misuse of Berkeley Lab material, and to maintain appropriate control over the material. If a third-party provider of tangible research materials seeks to transfer its material under an MTA, IPO must review, approve, and sign that MTA to ensure that Berkeley Lab will comply with DOE requirements and sound business practices.

B. Persons Affected

Employees and affiliates who transfer tangible research material to or from Berkeley Lab

C. Exceptions

No exceptions

D. Policy Statement

1. At times, Berkeley Laboratory needs to, or finds it useful to, transfer tangible research material or obtain such material from third parties. Examples of tangible research material include cell lines, transgenic plants and animals, DNA and RNA, viruses, plasmids, and chemical compounds.
2. Outgoing Transfers
   1. Appropriate uses of Berkeley Lab's outgoing transfers are to enable the recipient to evaluate the material's potential commercial utility or the recipient's interest in obtaining a commercial license from Berkeley Lab; to replicate, reproduce, evaluate, or confirm Berkeley Lab's research effort; or do research furthering Berkeley Lab's programmatic goals.
   2. Laboratory staff must observe the following procedures when Berkeley Lab transfers tangible research material to third parties. These procedures are established to enable Berkeley Lab to comply with its obligation under the UC-DOE Prime Contract to maintain the patentability of inventions, foster successful technology transfer, and avoid liability for others' use or misuse of Laboratory material, and maintain appropriate control over the material (e.g., the use of the materials may be limited to specific projects and preclude the further transfer of the materials to non-approved recipients).
      1. Contact IPO when you wish to transfer Berkeley Lab tangible research material; IPO will prepare an MTA.
      2. Transfer the tangible research material only after the MTA is signed by both IPO and the recipient.
      3. For any tangible research material to be transferred, appropriately label and include instructions for handling as necessary for safe use.
      4. Ship all tangible research materials through Berkeley Lab's Shipping and Receiving Department to ensure compliance with Export Control and other applicable laws.
3. Incoming Transfers
   1. Generally, incoming transfers of tangible research material are generally not commercially available or have limited availability and are necessary or useful to further Berkeley Lab's programmatic goals. (For purchases of tangible research materials, go through the Procurement and Property Management Department.)
   2. Laboratory staff must observe the following procedures if the third-party supplier of tangible research material requires the use of an MTA:
      1. Contact IPO to review the MTA and negotiate any required modifications to the contract.
      2. Comply with the terms of the MTA. In particular:
         1. Confirm whether you can transfer the tangible research material to anyone else (virtually all MTAs prohibit transfer outside of Berkeley Lab, and many restrict transfer to a particular research group)
         2. Comply with any restrictions on use, e.g., typically for noncommercial use
         3. Comply with any pre-publication review or reporting requirements
      3. Contact IPO to negotiate modifications or exceptions if you wish to use or transfer the tangible research material in a way that is not allowed by the MTA
      4. Appropriately safeguard the tangible research material (e.g., segregate the tangible research material from Berkeley Lab materials and store it in a secure location), track the disposition of the tangible research material, and comply with return or destruction requirements either at the end of the MTA term or at the end of the research project. If the MTA requires the remaining tangible research material to be returned, send it through Berkeley Lab's Shipping and Receiving Department, either by registered mail or a recognized courier service such as Federal Express or DHL.

E. Roles and Responsibilities

F. Definitions/Acronyms

G. Recordkeeping Requirements

• IPO keeps records of all material transfer agreements.
• Researchers must track the location and disposal of third-party tangible research materials obtained under an MTA.

H. Implementing Documents

None

I. Contact Information

Licensing Manager
Intellectual Property Office
[email protected]

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

Contract 31, Clause I.138, DEAR 970.5227-3, Technology Transfer Mission (AUG 2019) [SC alternate 2018] (prev. I.092)

Implementing Documents

None