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Use of Privileged Information

    Title:

    Use of Privileged Information

    Publication date:

    9/14/2012

    Effective date:

    7/29/2009

    BRIEF

    Policy Summary

    Berkeley Lab prohibits employees from using privileged or official information for personal financial gain.

    Who Should Read This Policy

    This policy applies to all Berkeley Lab employees.

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    Research and Institutional Integrity Office
    RIIO@lbl.gov

    Title:

    Use of Privileged Information

    Publication date:

    9/14/2012

    Effective date:

    7/29/2009

    POLICY

    A. Purpose

    Lawrence Berkeley National Laboratory (Berkeley Lab) prohibits conflicts of interest arising from use of privileged or official information for personal financial gain.

    B. Persons Affected

    This policy applies to all Berkeley Lab employees.

    C. Exceptions

    Not applicable

    D. Policy Statement

    1. Berkeley Lab prohibits the use of privileged or official information for personal financial gain. Privileged or official information is information known to an individual because of his or her connection with the Laboratory but is not available to the public. In this context, the term "privileged information" includes but is not limited to:
      1. Unpublished Information Relating to Technological and Scientific Developments. Report Coordination and Technology Transfer and Intellectual Property Management review all technical and scientific papers and related materials for oral or other presentation before publication. See RPM policies Patent and Copyright Review (document number 10.04.004.000) and Patents – Publication Clearance Policy (document number 10.04.002.000).
      2. Medical, Personnel, Patent, Salary, or Security Clearance Records of Individuals. Individual employees have a right to access their own records except as limited by law. See the RPM policies on Employee Records and Intellectual Property. Access to the records of other employees is normally limited to legitimate need-to-know situations except as specifically noted in the RPM sections cited and in applicable laws.
      3. Anticipated Materials Requirements or Pricing Actions – Knowledge of Selected Contractors or Subcontractors Before Official Announcements. In certain situations, an employee, by virtue of his or her position, may have access to information concerning anticipated materials requirements or pricing actions. Examples include Laboratory construction projects and system acquisitions. Improper dissemination of such information could produce unfair competitive advantage for vendors as well as constitute a conflict of interest for the employee.
      4. Possible New Sites for University of California or DOE Program Operations. The prohibitions surrounding this area are the same as those concerning Section D.1.c, Anticipated Materials Requirements or Pricing Actions – Knowledge of Selected Contractors or Subcontractors Before Official Announcements, above.
    2. An employee who misuses privileged or official information may be subject to discipline by the Laboratory and prosecution under state and federal law. Laboratory employees are required to inform the Laboratory whenever they are notified that they are the target of an investigation by a federal or state agency that has as its subject the improper use of information obtained or actions taken for personal use by the employee in the course of his or her employment.

    E. Roles and Responsibilities

    Managers, supervisors, and employees have the responsibility to adhere to the provisions of this policy.

    F. Definitions/Acronyms

    None

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    None

    I. Contact Information

    Research and Institutional Integrity Office
    RIIO@lbl.gov

    J. Revision History

    Date

    Revision

    By Whom

    Revision Description

    Section(s) Affected

    Change Type

    9/14/2012

    1

    M. Stoufer

    Re-write for wiki (policy)

    All

    Minor

    1/2/2012

    0

    M. Stoufer

    Re-write for wiki (brief)

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Use of Privileged Information

    Document number

    05.07.002.000

    Revision number

    1

    Publication date:

    9/14/2012

    Effective date:

    7/29/2009

    Next review date:

    9/11/2015

    Policy Area:

    Conflict of Interest – General

    RPM Section (home)

    Conflict of Interest

    RPM Section (cross-reference)

    none

    Functional Division

    Operations

    Prior reference information (optional)

    RPM Chapter 10.14

    Source Requirements Documents

    • Contract 31, Clause I.78, Contractor's Organization
    • 48 CFR 970.0371-5, Use of Privileged Information

    Implementing Documents

    None

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