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Technology Transfer Ombudsman

    Title:

    Technology Transfer Ombudsman

    Publication date:

    9/14/2012

    Effective date:

    11/20/2009

    BRIEF

    Policy Summary

    The Technology Transfer and Intellectual Property Management (TTIPM) Department will provide a Technology Partnership Ombudsman to help resolve complaints from outside organizations about policies and actions with respect to technology partnerships (e.g., Cooperative Research and Development Agreements [CRADAs]), patents owned by Berkeley Lab, and technology licensing.

    Who Should Read This Policy

    • Berkeley Lab researchers who work with non-DOE sponsors
    • TTIPM and OSPIP staff
    • All outside organizations interested in Berkeley Lab technology

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    Department Head
    Technology Transfer and Intellectual Property Management
    ttd@lbl.gov

    Title:

    Technology Transfer Ombudsman

    Publication date:

    9/14/2012

    Effective date:

    11/20/2009

    POLICY

    A. Purpose

    The Technology Transfer and Intellectual Property Management (TTIPM) Department will provide a Technology Partnership Ombudsman (Ombuds) to help resolve complaints from outside organizations about policies and actions with respect to technology partnerships (e.g., Cooperative Research and Development Agreements [CRADAs]), patents owned by Berkeley Lab, and technology licensing.

    B. Persons Affected

    • Berkeley Lab researchers who work with non-DOE sponsors
    • TTIPM and OSPIP staff
    • All outside organizations interested in Berkeley Lab technology

    C. Exceptions

    No exceptions

    D. Policy Statement

    1. The Ombuds is a designated neutral party whose services are confidential and resolution-focused. The Ombuds provides an informal means of communication and complaint resolution between industry and Berkeley Lab regarding licensing, CRADAs, and other technology-transfer issues.
    2. The mission of the Ombuds is to facilitate communication and problem solving between industry and Berkeley Lab as well as to help businesses understand the complaint-resolution processes already in place at Berkeley Lab. The Ombuds encourages resolution at the Berkeley Lab division, department, or other work group closest to or at the origin of the complaint.
    3. The Ombuds does not handle contract negotiation or other legal issues, act as a decision maker, draw conclusions, formally investigate, or make formal recommendations or findings of fact. The Ombuds does not replace, override, or influence formal review or appeal mechanisms, or serve as an intermediary when legal action is involved or when legal counsel represents a party.

    E. Roles and Responsibilities

    Role

    Responsibility

    Ombuds

    • Provides an informal means of communication and complaint resolution between industry and the Laboratory
    • Provides quarterly reports to the Department of Energy

    Deputy Laboratory Director

    Receives reports from the Ombuds

    Technology Transfer and Intellectual Property Management Department Head

    • Refers individuals or companies with unresolved concerns to the Ombuds
    • Receives advice from the Ombuds

    F. Definitions/Acronyms

    Term

    Definition

    Cooperative Research and Development Agreement (CRADA)

    An agreement between the University of California and one or more non-Federal participants under which the government (through Berkeley Lab) provides personnel services, facilities, equipment, intellectual property, or other resources (with or without reimbursement) and the non-Federal parties provide funds, personnel, services, facilities, equipment, intellectual property, or other resources (with or without reimbursement) towards the conduct of specified research or development efforts that are consistent with the mission of the Laboratory

    Invention

    A new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement that is patentable under the laws of the U.S. or a foreign country. Certain software may be a patentable invention.

    Intellectual Property

    Intellectual property (IP) refers to creations of the mind: inventions, creative, literary and artistic works, and symbols, names, images, and designs used in commerce. The means to protect IP include patents, trademarks, copyright, and trade secrets. Patents protect inventions. Trademarks protect words, names, symbols, sounds, or colors that distinguish goods and services. Copyrights protect works of authorship, such as writings, software, music, and works of art that have been tangibly expressed. Trade secrets are information that companies keep secret to give them an advantage over their competitors. While Berkeley Lab has discretion to secure and license patents, trademarks, and copyrights, it is prohibited by DOE policy from licensing trade secrets.

    License

    Agreement to authorize a use (such as copying software or using a patented invention) to a licensee

    OSPIP

    Office of Sponsored Projects and Industry Partnerships

    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

    TTIPM

    Technology Transfer and Intellectual Property Management

    G. Recordkeeping Requirements

    Because the Ombuds is a neutral and independent facilitator, he/she must keep all records. A quarterly report is sent to the DOE Technology Transfer Coordinator.

    H. Implementing Documents

    None

    I. Contact Information

    Department Head
    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

    Rewrite for wiki

    All

    Minor

    9/14/2012

    1

    H. Clark

    Rewrite for wiki (policy)

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Technology Transfer Ombudsman

    Document number

    03.05.001.000

    Revision number

    1

    Publication date:

    9/14/2012

    Effective date:

    11/20/2009

    Next review date:

    9/14/2015

    Policy Area:

    Reporting to DOE

    RPM Section (home)

    Conduct of R&D

    RPM Section (cross-reference)

    Technology Transfer

    Functional Division

    Research and Institutional Integrity Office

    Prior reference information (optional)

    RPM, Chapter 10, Section 10.08

    Source Requirements Documents

    U.S. Department of Energy Contract No. DE-AC02-05CH11231, Clause I.92(p)(1) Technology Partnership Ombudsman – DEAR 970.5227-3 Technology Transfer Mission (Deviation July 2006)

    Implementing Documents

    None

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