BRIEF

Policy Summary

This policy describes the handling of potential conflicts of interest in licensing decisions. Berkeley Lab inventors and licensing staff must not allow their personal financial interests to influence or appear to influence their or others' licensing decisions. Inventors and employees who have a role in licensing decisions must disclose their financial interest in companies with which Berkeley Lab is negotiating a license.

Who Should Read This Policy

This policy applies to all Berkeley Lab inventors and other Laboratory employees who have a role in technology licensing agreements, including those who work part time or who have faculty appointments.

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Licensing Manager
Intellectual Property Office
ipo@lbl.gov

POLICY

A. Purpose

Lawrence Berkeley National Laboratory (Berkeley Lab) manages the intellectual property created by its employees in support of its research and technology transfer goals. The transfer of technology can include the licensing of inventions and other intellectual property (e.g., through licenses, options, bailments), and constitutes a business decision on the part of the University of California (UC). Berkeley Lab manages conflict of interest and the appearance of conflict of interest in licensing per California law and the UC-DOE Prime Contract for the Laboratory (No. DE-AC02-05CH11231, or Contract 31). Berkeley Lab reviews many attributes, including conflict of interest, of every license, and hence meets the UC requirement for a Licensing Decision Review.

B. Persons Affected

• Berkeley Lab inventors
• Other Berkeley Lab employees who have a financial interest in a potential licensee
• Licensing staff and other staff who review or approve licensing agreements

C. Exceptions

The economic disclosure will not be required in the cases of multiple non-exclusive licenses offered on identical terms to all licensees. A typical example of this is software licensed under a standard agreement to anyone or any company.

D. Policy Statement

1. Inventors must disclose their financial interest in companies with which the licensing professional is negotiating a license because the inventor may have the opportunity to influence licensing decisions in ways that could lead to personal gain or give advantage to companies in which they have a financial interest.
2. The Intellectual Property Office's licensing staff will provide the inventor with a copy of the Inventor's Statement of Economic Interest in Candidate Licensees (Form TT-100) when negotiations begin with a company interested in licensing the invention. The inventor must complete and return this form in a timely manner, as the licensing review and approval is dependent upon it.
3. Berkeley Lab has developed a process to address federal, state, and UC requirements regarding conflicts of interest in the licensing context. See the Process for Conflict of Interest Review for Licensing for details on how the Laboratory manages potential conflicts of interest in licensing.

E. Roles and Responsibilities

F. Definitions/Acronyms

G. Recordkeeping Requirements

None

H. Implementing Documents

I. Contact Information

Licensing Manager
Intellectual Property Office
ipo@lbl.gov

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)
  
• University of California Conflict of Interest Policy and Compendium of Specialized University Policies, Guidelines, and Regulations Regulated to Conflict of Interest
• Political Reform Act of 1974, (Gov. Code, § 81001, subd. (b))

Implementing Documents