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Software Disclosure and Distribution

    Title:

    Software Disclosure and Distribution

    Publication date:

    12/3/2012

    Effective date:

    2/1/2008

    BRIEF

    Policy Summary

    Employees and affiliates who have written software that will be distributed to any third party or that will be useful either commercially or for other government contractors must submit a Software Disclosure and Abstract form to Technology Transfer and Intellectual Property Management (TTIPM). It is the developer's responsibility to report all software prior to distribution, and to obtain the appropriate license agreement from TTIPM.

    Who Should Read This Policy

    All Berkeley Lab software developers, including full- and part-time employees and those with faculty appointments and affiliates

    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:

    Software Disclosure and Distribution

    Publication date:

    12/3/2012

    Effective date:

    2/1/2008

    POLICY

    A. Purpose

    Employees and affiliates who have written software that will be distributed to any third party or that will be useful either commercially or for other government contractors must submit a Software Disclosure and Abstract form to Technology Transfer and Intellectual Property Management (TTIPM). It is the developer's responsibility to report all software to TTIPM prior to distribution, and to obtain the appropriate license agreement from TTIPM in order for Lawrence Berkeley National Laboratory (Berkeley Lab) to meet Department of Energy (DOE) requirements, ensure that Berkeley Lab has the appropriate rights to distribute the software, and to distribute software under contracts that are appropriate for the particular software and type of distribution.

    B. Persons Affected

    TTIPM staff and Berkeley Lab software developers, including full- and part-time employees and those with faculty appointments and affiliates

    C. Exceptions

    Berkeley Lab's software-disclosure requirement does not apply to a bug fix, which for this policy is defined as a change to existing software that:

    • Comprises less than 5% of the existing software
    • Does not add any new functionality to the existing software and
    • Does not improve the performance of the existing software in a novel way

    D. Policy Statement

    1. Berkeley Lab software developers must report software to TTIPM before it can be distributed to anyone outside Berkeley Lab, the University of California, or DOE. This includes software shared with other academic institutions and software given away for free.
    2. Software that must be reported includes both software developed at Berkeley Lab and derivative works of software obtained from third parties (other than bug fixes).
    3. To facilitate distribution of Berkeley Lab software, avoid inserting code written outside Berkeley Lab, such as freeware, open-source code, shareware, and especially commercial packages. Using non-Berkeley Lab code in Laboratory software without written permission to do so may make it difficult or impossible to distribute your software outside Berkeley Lab. 
    4. If a project requires third-party software, Berkeley Lab software developers must document where the code was obtained and what legal terms apply to its use, i.e., download and keep a copy of the software license. Berkeley Lab software developers must also keep records of the individuals who contributed work on the code and the funding source that supported its development.
    5. After disclosing to TTIPM, the Berkeley Lab software developer and TTIPM staff will discuss the software, and if the software will be distributed to third parties, TTIPM will seek requisite approvals from DOE and will provide the text of the appropriate license agreement and accompanying instructions to the software developer (for some types of no-cost licenses) or will directly provide licenses to interested external users of the software.
    6. The Berkeley Lab software developer must track the number of licenses/downloads of software arising from a Web site managed by the developer and report that number annually to TTIPM upon request, for TTIPM's reporting to DOE.
    7. TTIPM directly handles all licensing transactions in which Berkeley Lab is receiving compensation for the license, and will distribute a share of net licensing income to Berkeley Lab software developers annually.

    E. Roles and Responsibilities

    Role

    Responsibility

    Berkeley Lab Software Developer

    • Sends a written report of new software (i.e., a completed Software Disclosure and Abstract form) to TTIPM prior to distribution to third parties, and provides a copy of the software as requested by TTIPM
    • Keeps records of (1) software licenses for third-party software incorporated into the Berkeley Lab software, (2) individuals who contributed work on the code, and (3) funding supporting the software development
    • If authorized by TTIPM to distribute the software from the developer's Web site, tracks the number of annual licensed downloads

    Berkeley Lab TTIPM

    • Notifies the DOE Patent Counsel of new software
    • Reviews licenses for any incorporated third-party code, and assesses any other encumbrances on the software
    • Obtains DOE approvals prior to distribution
    • Deposits software with DOE's Energy Science and Technology Software Center (ESTSC)
    • Selects or drafts appropriate software license agreement
    • Provides instructions to the Berkeley Lab software developer for developer-distributed software
    • Reports annually on software to DOE

    F. Definitions/Acronyms

    Term

    Definition

    Affiliates

    Non-Laboratory employees engaged in on-site Laboratory activities. Affiliates are subject to training in safety and other subjects. They are also issued a Berkeley Lab identification badge. Affiliates may receive system accounts, research access to facilities, and a per diem allowance for housing and living expenses. Examples:  Facility users, scientific collaborators, students 

    Bug Fix

    For the purpose of this policy, a change to existing software that (1) comprises less than 5% of the existing software, (2) does not add any new functionality to the existing software, and (3) does not improve the performance of the existing software in a novel way

    Developer

    One who writes software code

    Net Royalty or Licensing Income

    As used in this policy, royalties received by Berkeley Lab after deducting (1) amounts payable to non-Berkeley Lab owners or licensors of the intellectual property; and (2) patent or other intellectual-property protection costs (including litigation), reserves for bad debt, and licensing costs

    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

    Software Disclosure

    A description of the software that will be transferred. The Berkeley Lab Software Disclosure and Abstract form incorporates the DOE OSTI Software Disclosure form.

    TTIPM

    Technology Transfer and Intellectual Property Management

    G. Recordkeeping Requirements

    • The Berkeley Lab software developer keeps records of (1) software licenses for third-party software incorporated into the Berkeley Lab software, (2) individuals who contributed work on the code, and (3) funding supporting the software development.
    • TTIPM keeps records of all software disclosures submitted to and software licensed through TTIPM.
    • If TTIPM authorizes the software developer to distribute software electronically, the developer must record the number of licensed software downloads annually.

    H. Implementing Documents

    Document number

    Title

    Type

    10.04.007.001

    Software Disclosure and Abstract Form

    Form

    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 (brief)

    all

    Major

    12/3/2012

    1

    V.Wolinsky

    New (policy)

    all

    Major

    DOCUMENT INFORMATION

    Title:

    Software Disclosure and Distribution

    Document number

    10.04.007.000

    Revision number

    1

    Publication date:

    12/3/2012

    Effective date:

    2/1/2008

    Next review date:

    12/3/2015

    Policy Area:

    Intellectual Property

    RPM Section (home)

    Info Management

    RPM Section (cross-reference)

    Asset management

    Functional Division

    Technology Transfer and Intellectual Property Management

    Prior reference information (optional)

    RPM Section 5.03(B)(1); RPM Section 5.05(A)

    Source Requirements Documents

    •  U.S. Department of Energy (DOE) Contract No. DE-AC02-05CH11231, Clause I.91, DEAR 970.5227-2, Rights in Data – Technology Transfer (Deviation Jul 2006)

    • University of California 1992 Policy on Copyright Ownership (N.B. software at Berkeley Lab is "sponsored work" arising under Contract 31) -
    • Licensing Income and Royalty Distribution policy, document number 10.05.001.000

    Implementing Documents

    Document number

    Title

    Type

    10.04.007.001

    Software Disclosure and Abstract Form

    Form

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