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Conflict of Interest in Licensing

    Title:

    Conflict of Interest in Licensing

    Publication date:

    9/14/2012

    Effective date:

    8/8/2006

    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
    Technology Transfer and Intellectual Property Management
    ttd@lbl.gov

    Title:

    Conflict of Interest in Licensing

    Publication date:

    9/14/2012

    Effective date:

    8/8/2006

    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. 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 Technology Transfer and Intellectual Property Management Department'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|http://www.lbl.gov/Tech-Transfer/researchers/policy/coi_review.html] for details on how the Laboratory manages potential conflicts of interest in licensing.

    E. Roles and Responsibilities

    Role

    Responsibility

    Inventor

    Discloses any financial interests in potential licensee on Form TT-100

    Other Employees with a Financial Interest in a Potential Licensee

    Disclose any financial interests in a potential licensee on Form TT-100 if they are aware of the licensing transaction or were requested to do so by TTIPM

    Licensing Staff

    • Disclose financial interest and recusal from licensing decisions if necessary
    • Obtain DOE approvals for exclusive licensing or assignment to an employee or a former employee or an entity in which such an individual is a principal

    Staff Who Review and Approve Licensing Agreements

    Disclose financial interest and recusal from licensing decisions if necessary

    F. Definitions/Acronyms

    Term

    Definition

    Conflict of Interest

    Contract 31, Clause I.66, Organizational Conflicts of Interest, ensures that the UC Regents (and its employees) are not biased because of financial, contractual, organizational, or other interests that relate to the work under the Contract, and that there is no unfair competitive advantage over other parties due to the performance under the Contract.

    License

    Agreement to authorize a use (such as copying software or using a patented invention) to a licensee

    Licensing Agreement

    As used in this policy, a license or a related contract granting rights in intellectual property such as an option to license or a bailment of tangible research material

    Policy

    Statements or directives from the federal, state, or local government; the University of California; or Berkeley Lab senior management that set a course of action, define acceptable conduct, or implement governing principles. Example: Berkeley Lab Site Access

    TTIPM

    Technology Transfer and Intellectual Property Management

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    I. Contact Information

    Licensing Manager
    Technology Transfer
    ttd@lbl.gov

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/2/2012

    0

    Stoufer

    Reformat for wiki (brief)

    All

    Minor

    9/14/2012

    1

    Wolinsky

    Reformat for wiki (policy)

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Conflict of Interest in Licensing

    Document number

    05.02.005.000

    Revision number

    1

    Publication date:

    9/14/2012

    Effective date:

    8/8/2006

    Next review date:

    1/2/2015

    Policy Area:

    COI in Research

    RPM Section (home)

    Conflict of Interest

    RPM Section (cross-reference)

    Section 10.11

    Functional Division

    Operations

    Prior reference information (optional)

    RPM Section 10.11

    Source Requirements Documents

    Implementing Documents

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