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Fairness of Opportunity

    Title:

    Fairness of Opportunity

    Publication date:

    12/20/2012

    Effective date:

    1/31/2011

    BRIEF

    Policy Summary

    Berkeley Lab will take reasonable measures to broadly notify interested parties of technologies available for joint research and license.

    Who Should Read This Policy

    This policy applies to:

    • Berkeley Lab researchers
    • Technology Transfer and Intellectual Property Management (TTIPM) staff
    • Office of Sponsored Projects and Industry Partnerships (OSPIP) staff

    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:

    Fairness of Opportunity

    Publication date:

    12/20/2012

    Effective date:

    1/31/2011

    POLICY

    A. Purpose

    Lawrence Berkeley National Laboratory (Berkeley Lab) will take reasonable measures to ensure widespread notice of availability of technologies suitable for transfer, in particular notice of opportunities for exclusive licensing and joint research arrangements.

    B. Persons Affected

    • Berkeley Lab researchers
    • Technology Transfer and Intellectual Property Management (TTIPM) staff
    • Office of Sponsored Projects and Industry Partnerships (OSPIP) staff

    C. Exceptions

    This policy does not apply to technologies created by, nor to specific applications developed by, entities other than Berkeley Lab. This policy likewise does not apply to technologies developed under Cooperative Research and Development Agreements (CRADAs) or other technology-transfer agreements with predetermined intellectual property dispositions. (Fairness-of-opportunity requirements may apply to the selection of the CRADA participant itself.)

    D. Policy Statement

    1. In conducting its technology-transfer activities, Berkeley Lab will ensure the widespread notice of opportunities for exclusive licensing or joint research arrangements.
    2. The Technology Transfer and Intellectual Property Management (TTIPM) department is responsible for ensuring the widespread notice of licensing opportunities. This helps TTIPM meet DOE's Fairness of Opportunity requirements by increasing the pool of potential licensees and thereby maximizing potential utilization of Berkeley Lab technology by public and private entities. TTIPM may use a variety of different avenues for broadly providing notice of available technologies. These avenues include postings on the TTIPM or third-party Web sites; e-mails to recipients in particular industrial sectors; Berkeley Lab press releases; social media postings; or participation in trade shows. Berkeley Lab researchers may also contribute to this effort, including through their publications or participation in conferences.
    3. Before exclusive licensing, a technology is typically posted or the opportunity is otherwise disseminated for a month or longer. There is no mandated amount of time, however, for the technology outreach effort.
    4. OSPIP is responsible for informing DOE that Berkeley Lab has met the fairness-of-opportunity obligations for CRADAs. The availability of the joint research opportunity may be publicized by the research division, or TTIPM may assist in publicizing the opportunity. Per Section C, Exceptions, Berkeley Lab does not need to widely disseminate collaborations proposed by the Laboratory's research partner. In general, however, fairness-of-opportunity efforts encourage collaboration with Berkeley Lab by ensuring the best minds from industry and academia are aware of the Laboratory's joint research opportunities.

    E. Roles and Responsibilities

    Role

    Responsibility

    TTIPM Marketing Staff

    • Posts all Berkeley Lab technologies exclusively licensed to: the Berkeley Lab Web site, the Federal Business Opportunities Web site, and/or third-party Web sites
    • Tracks all technology inquiries in the TTIPM database

    TTIPM Licensing Staff

    Documents the Laboratory's efforts to ensure fairness of opportunity in selecting an exclusive licensee

    Researcher

    Cooperates with TTIPM in promoting licensing or joint research opportunities

    OSPIP Staff

    Documents the Laboratory's efforts to ensure fairness of opportunity in selecting a CRADA participant

    F. Definitions/Acronyms

    Term

    Definition

    Cooperative Research and Development Agreement (CRADA)

    A contract that governs a joint research project in which the CRADA participant (usually a company) may provide some or all of the funding for the Berkeley Lab research effort, and funds all of its own research effort

    Exclusive License

    An agreement between an owner and another party that permits the other party to make certain use of the property, with the understanding that the owner may not concurrently grant any other licenses that have the same rights within the scope or field covered by the exclusive license

    Joint Research

    Research conducted by Berkeley Lab researchers and an outside entity

    Licensing

    Granting a license under intellectual property rights to authorize a use (such as copying software or using a patented invention) to a licensee, sparing the licensee from a claim of infringement brought by the licensor

    OSPIP

    Office of Sponsored Projects and Industry Partnerships

    TTIPM

    Technology Transfer and Intellectual Property Management

    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 principlesExample: Berkeley Lab Site Access

    G. Recordkeeping Requirements

    • TTIPM keeps records of technology inquiries and fairness of opportunity efforts for licensing.
    • OSPIP keeps records of CRADA documents it submits to DOE.

    H. Implementing Documents

    None

    I. Contact Information

    Licensing Manager
    Technology Transfer and Intellectual Property Management
    ttd@lbl.gov

    J. Revision History

    Date

    Revision

    By whom

    Revision Description

    Section(s) affected

    Change Type

    1/2/2012

    0

    H. Clark

    New

    All

    Major

    12/20/2012

    1

    V. Wolinsky

    Rewrite for wiki (policy)

    All

    Major

    DOCUMENT INFORMATION

    Title:

    Fairness of Opportunity

    Document number

    10.05.003.000

    Revision number

    1

    Publication date:

    12/20/2012

    Effective date:

    1/31/2011

    Next review date:

    12/20/2015

    Policy area:

    Licensing

    RPM Section (home)

    Information Management

    RPM Section (Cross reference)

    Asset Management, Non-DOE Funded Research

    Functional area

    Technology Transfer and Intellectual Property Management

    Prior reference information (optional)

     

    Source Requirements Documents

    • U.S. Department of Energy (DOE) Contract No. DE-AC02-05CH11231, Clause I.92(e) - DEAR 970.5227-3 Technology Transfer Mission (Deviation July 2006)

    Implementing Documents

    None

    Other References

     

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