Title: | Conflict of Interest in Research – CRADAs | Publication date: | 7/8/2020 | Effective date: | 11/30/2009 |
POLICYA. PurposeLawrence Berkeley National Laboratory (Berkeley Lab) must ensure that the financial interests of its employees do not present a conflict of interest in the preparation, negotiation, or approval of a CRADA. B. Persons AffectedThis policy applies to employees involved in the preparation, negotiation, or approval of a CRADA. C. ExceptionsThe DOE contracting officer may approve exceptions. D. Policy Statement- Each employee who has a substantial role in the preparation, negotiation, or approval of a CRADA (typically the principal investigator, division director or designee, Strategic Partnerships Office (SPO) Manager, SPO Contracts Officer, Licensing Manager, Patent Department reviewer, and Laboratory Director) must disclose financial interests in any entity that has a substantial role in the CRADA. If an employee holds any financial interest in an entity related to the CRADA, Berkeley Lab must ensure that the employee does not have a substantial role (including an advisory role) in the preparation, negotiation, or approval of the CRADA.
- Disclosures are required for all new and amendment CRADA proposals.
- The Research and Institutional Integrity Office will review all disclosures of financial interest in a CRADA.
- For CRADAs in which the partner is providing funds to Berkeley Lab, the Political Reform Act of 1974 also applies. In such cases, the principal investigator must also complete the Statement of Economic Interests for Principal Investigators (California Form 700-U). Additional financial disclosure rules may apply, depending on the origin of the partner's funding.
E. Roles and ResponsibilitiesEach employee who has a substantial role in the preparation, negotiation, or approval of a CRADA is required to disclose financial interests in any entity that has a substantial role in the CRADA by completing an LBNL Cooperative Research and Development Agreement Statement of Economic Interest form. The Research and Institutional Integrity Office manages the review process for disclosures of financial interest related to CRADAs, and coordinates review by the DOE contracting officer of any such disclosures. F. Definitions/AcronymsNone G. Recordkeeping RequirementsNone H. Implementing DocumentsResearch Integrity Office [email protected] Revision HistoryDate | Revision | By Whom | Revision Description | Section(s) Affected | Change Type | 1/2/2012 | 0 | Stoufer | Rewrite for wiki (brief) | All | Minor | 9/25/2012 | 1 | Stoufer | Rewrite for wiki (policy) | All | Minor | 7/8/2020 | 1.1 | Stoufer | Update source requirements, contact information, office names | All | Minor | 12/16/2020 |
| D. Soustin | Updated Contract 31 I clause numbers as per mod 1105 | Source Requirement Documents | Editorial |
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