POLICY

A. Purpose

Lawrence Berkeley National Laboratory (Berkeley Lab) annually distributes to Berkeley Lab inventors a portion of income received by the Laboratory in the preceding fiscal year from the licensing of Laboratory intellectual property. UC Patent Policy requires all UC/DOE national laboratories to complete this distribution by the February following the end of the fiscal year.

B. Persons Affected

Berkeley Lab researchers and technical staff with licensed technology, including affiliates who have assigned rights to intellectual property to the University of California

C. Exceptions

An inventor who would otherwise be receiving licensing income may irrevocably donate his or her share to Berkeley Lab or to another person by means of a written agreement approved by the Intellectual Property Office (IPO).

D. Policy Statement

1. Inventor Distributions
   1. The revenue (royalties) generated from any type of Berkeley Lab licensing agreement is first applied toward reimbursing the costs of intellectual-property protection, such as patenting costs or copyright registration fees. Net royalties are distributed according to the following rules, subject to amendment of UC Patent Policy:
      1. For intellectual property disclosed after September 30, 1997, the inventors' share is 35% of net royalties per invention or other intellectual property.
      2. For intellectual property disclosed before October 1, 1997, the inventors' share is 50% of net royalties per invention or other intellectual property with net royalties calculated after a 15% administrative charge.
      3. For qualifying inventors who elected to be governed under the November 18, 1985, UC Patent Policy, the inventors' share is 50% of net royalties per invention or other intellectual property, with net royalties calculated after a 15% administrative charge, regardless of date of disclosure of the relevant intellectual property.
   2. If the invention was created by more than one Berkeley Lab inventor, the Laboratory distributes to each inventor an equal share of royalties, unless all affected inventors have previously agreed in writing to a different distribution of those inventors' share of royalties.
   3. IPO may hold a ceremony to distribute royalty checks and recognize Laboratory researchers for having their technology successfully commercialized.
2. Allocation to Research Divisions
   1. Effective in fiscal year 2000, Berkeley Lab allocates 15% of net royalties from each invention or other intellectual property to the research division in which the invention arose. If the inventors belong to different divisions, this 15% division share is split proportionally by the number of inventors by division.
   2. The research division must use its allocation for research and development activities within the Laboratory's mission. Work must not interfere with or impose adverse effects on ongoing DOE projects and programs. Expenditures may include operating costs (e.g., personnel, supplies, recharges, or travel) or equipment in support of that research.
3. Allocation to Central Research Pool. Effective in fiscal year 2000, the remaining net royalties (after the inventors' distribution and the allocation to the research division) is pooled in an account for use at Berkeley Lab for scientific research and development, technology transfer, and/or education. This remaining Laboratory share is generally 35% of the total net royalties for technologies disclosed before October 1, 1997, and 50% for technologies disclosed thereafter. This central pool is allocated at the direction of the Laboratory Director or his or her designee, the Laboratory Deputy Director. Activities using this allocation must not interfere with or impose adverse effects on ongoing DOE projects and programs.

E. Roles and Responsibilities

F. Definitions/Acronyms

G. Recordkeeping Requirements

H. Implementing Documents

None

I. Contact Information

Licensing Manager

Intellectual Property Office

ipo@lbl.gov

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

UC Patent Policy – 1997

Implementing Documents

None