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
• Intellectual Property Office (IPO) staff
• Strategic Partnerships Office (SPO) 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 Intellectual Property Office (IPO) department is responsible for ensuring the widespread notice of licensing opportunities. This helps IPO 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. IPO may use a variety of different avenues for broadly providing notice of available technologies. These avenues include postings on the IPO 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. SPO 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 IPO 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

F. Definitions/Acronyms

G. Recordkeeping Requirements

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

H. Implementing Documents

None

I. Contact Information

Licensing Manager
Intellectual Property Office
ipo@lbl.gov

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

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

Implementing Documents

None

Other References

• Contract 31, Clause I.138(e): "Fairness of opportunity. In conducting its technology transfer activities, the Contractor shall prepare procedures and take all reasonable measures to ensure widespread notice of availability of technologies suited for transfer and opportunities for exclusive licensing and joint research arrangements. The requirement to widely disseminate the availability of technology transfer opportunities does not apply to a specific application originated outside of the Laboratory and by entities other than the Contractor."