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REQUIREMENTS AND POLICIES MANUAL

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Employee Owned or Managed Business

    Title:

    Employee Owned or Managed Business

    Publication date:

    10/7/2013

    Effective date:

    1/5/2010

    BRIEF

    Policy Summary

    Employees must disclose their ownership or management interests in a business related to the work of Berkeley Lab.

    Who Should Read This Policy

    This policy applies to all employees, including those working part time and those who hold faculty appointments with a University of California campus.

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    Research and Institutional Integrity Office
    RIIO@lbl.gov

    Title:

    Employee Owned or Managed Business

    Publication date:

    10/7/2013

    Effective date:

    1/5/2010

    POLICY

    A. Purpose

    This policy summarizes the practice that goods or services are not purchased from any Lawrence Berkeley National Laboratory/University of California employee, near relative, or domestic partner because of the basic principles of separation of an employee's Laboratory/University duties and his or her private interests.

    B. Persons Affected

    This policy applies to all employees.

    C. Exceptions

    Exceptions to the general prohibition against procuring goods or services from employee-connected firms may be made if the company is the sole source that can provide the goods or services. Such cases must be approved by the Chief Financial Officer. Additional information regarding the appropriate procedure is available from the Procurement and Property Management Department or the Research and Institutional Integrity Office.

    D. Policy Statement

    1. Employees who own or have an ownership interest of at least 10 percent in a commercial entity that has economic or technology connections with the Laboratory or may seek to have such connections with the Laboratory, or who have a management interest such as being a member of the Board of Directors in such a commercial entity, must report the interest to their division director. This requirement also extends to an employee's near relatives and domestic partner. The terms "near relative" and "domestic partner" are defined in University policy as parents, children, spouses, same or opposite sex domestic partners, brothers, or sisters, including in-laws and step relatives in these relationships.
    2. As a general rule, goods or services are not purchased from any Laboratory/University employee, near relative, or domestic partner because of the basic principles of separation of an employee's Laboratory/University duties and his or her private interests. A second concern is the protection of the Laboratory/University and its employees from charges of favoritism in the acquisition of goods and services. If an employee's Laboratory assignment is such that he or she might influence or take part in negotiations or transactions with an outside entity in which the employee has a financial interest, the employee may need to disqualify himself or herself from influencing or participating in those negotiations or transactions. See Laboratory policy on Conflict of Interest – Self Disqualification for further details.
    3. Business ownership or management interest as defined above must be reported on the Notification of Outside Business Ownership or Management Interest form. The Research and Institutional Integrity Office receives copies of the form from the division and uses them to create an Employee-Connected Commercial Entity or Employee-Vendor list, which is used by Procurement to implement Laboratory policy that addresses conducting business with employee-connected firms.

    E. Roles and Responsibilities

    Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.

    F. Definitions/Acronyms

    None

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    Document Number

    Title

    Type

    05.01.002.001

    Outside Business Ownership or Management Interest

    Form

     

     

     

    I. Contact Information

    Research and Institutional Integrity Office
    RIIO@lbl.gov

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    10/7/2013

    1.1

    M. Stoufer

    Reviewed 10/3/13, no changes

    Next Review date

    Minor

    7/6/2012

    1

    M. Stoufer

    Re-write for wiki (policy)

    All

    Minor

    1/2/2012

    0

    M. Stoufer

    Re-write for wiki (brief)

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Employee Owned or Managed Business

    Document number

    05.01.002.000

    Revision number

    1.1

    Publication date:

    10/7/2013

    Effective date:

    1/5/2010

    Next review date:

    10/7/2016

    Policy Area:

    Outside Business and Employment

    RPM Section (home)

    Conflict of Interest

    RPM Section (cross-reference)

    None

    Functional Division

    Operations

    Prior reference information (optional)

    RPM Section 10.02

    Source Requirements Documents

    • Contract 31, Clause I.78, Section 970.0371-6, Incompatibility between Regular Duties and Private Interests
    • California Public Contract Code Sections 10516 and 10517
    • California Political Reform Act of 1974, Government Code Section 87100
    • University of California Business and Finance Bulletin, Number BUS-43

    Implementing Documents

    Document Number

    Title

    Type

    05.01.002.001

    Outside Business Ownership or Management Interest

    Form

     

     

     

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