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labelBrief

Title:

Employee Owned or Managed Business

Publication date:

7/14/2020

Effective date:

1/5/2010

BRIEF

Policy Summary

Employees must disclose their ownership or management interests in a business related to the work of Berkeley Lab.

Who Should Read This Policy

This policy applies to all employees, including those working part time and those who hold faculty appointments with a University of California campus.

To Read the Full Policy, Go To:

The POLICY tab on this wiki page

Contact Information

Research and Integrity Office
[email protected]

Card
labelPolicy

Title:

Employee Owned or Managed Business

Publication date:

7/14/2020

Effective date:

1/5/2010

POLICY

A. Purpose

This policy summarizes the practice that goods or services are not purchased from any Lawrence Berkeley National Laboratory/University of California employee, near relative, or domestic partner because of the basic principles of separation of an employee's Laboratory/University duties and his or her private interests.

B. Persons Affected

This policy applies to all employees.

C. Exceptions

Exceptions to the general prohibition against procuring goods or services from employee-connected firms must be approved by the Chief Financial Officer. Additional information regarding exceptions is available from the Procurement and Property Management Department or the Research Integrity Office.

D. Policy Statement

  1. Employees who own or have an ownership interest of at least 10 percent in a commercial entity that has economic or technology connections with the Laboratory or may seek to have such connections with the Laboratory, or who have a management interest such as being a member of the Board of Directors in such a commercial entity, must report the interest to their division director. This requirement also extends to an employee's near relatives and domestic partner. The terms "near relative" and "domestic partner" are defined in University policy as parents, children, spouses, same or opposite sex domestic partners, brothers, or sisters, including in-laws and step relatives in these relationships.
  2. As a general rule, goods or services are not purchased from any Laboratory/University employee, near relative, or domestic partner because of the basic principles of separation of an employee's Laboratory/University duties and his or her private interests. A second concern is the protection of the Laboratory/University and its employees from charges of favoritism in the acquisition of goods and services. If an employee's Laboratory assignment is such that he or she might influence or take part in negotiations or transactions with an outside entity in which the employee has a financial interest, the employee may need to disqualify himself or herself from influencing or participating in those negotiations or transactions. See Laboratory policy on Conflict of Interest – Self Disqualification for further details.
  3. Business ownership or management interest as defined above must be reported on the Notification of Outside Business Ownership or Management Interest form. The Research and Institutional Integrity Office receives copies of the form from the division and uses them to create an Employee-Connected Commercial Entity or Employee-Vendor list, which is used by Procurement to implement Laboratory policy that addresses conducting business with employee-connected firms.

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

Document Number

Title

Type

05.01.002.001

Outside Business Ownership or Management Interest

Form




I. Contact Information

Research Integrity Office
[email protected]

J. Revision History

Date

Revision

By whom

Revision Description

Section(s) affected

Change Type

12/22/20
D. SoustinI-clause renumbering only as per Contract 31 mod 1105SRDEditorial
7/14/20201.2M. StouferMinor revisions to conform to requirements; contact information updateAllMinor

10/7/2013

1.1

M. Stoufer

Reviewed 10/3/13, no changes

Next Review date

Minor

7/6/2012

1

M. Stoufer

Re-write for wiki (policy)

All

Minor

1/2/2012

0

M. Stoufer

Re-write for wiki (brief)

All

Minor

Card
labelDocument Information

DOCUMENT INFORMATION

Title:

Employee Owned or Managed Business

Document number

05.01.002.000

Revision number

1.2

Publication date:

7/14/2020

Effective date:

1/5/2010

Next review date:

7/14/2025

Policy Area:

Outside Business and Employment

RPM Section (home)

Conflict of Interest

RPM Section (cross-reference)

None

Functional Division

Operations

Prior reference information (optional)

RPM Section 10.02

Source Requirements Documents

  • Contract 31, Clause I.122, DEAR 970.5203-3, Contractor's Organization (DEC 2000) (SC alternate APR 2018) (prev. I.78)
  • California Public Contract Code Sections 10516 and 10517
  • California Political Reform Act of 1974, Government Code Section 87100
  • University of California Business and Finance Bulletin, Number BUS-43

Implementing Documents

Document Number

Title

Type

05.01.002.001

Outside Business Ownership or Management Interest

Form




buildershow-showif
grouprpm2-admins
Card
labelAdditional Information

ADDITIONAL INFORMATION

Title:

Employee Owned or Managed Business

Document number

05.01.002.000

Revision number

1.2

Publication date:

7/14/2020

Effective date:

1/5/2010

Next review date:

7/14/2025

Policy Area:

Outside Business and Employment

RPM Section (home)

Conflict of Interest

RPM Section (cross-reference)

None

Functional Division

Operations

Author name/contact info

M. Stoufer



Revision 0 publication date

1/2/2012

Retirement date

n/a

Prior reference information (optional)

RPM Section 10.02



Inputs from more than one Functional Area?

No

List additional Functional Areas & contacts




Inputs from more than one Policy Area?

No

List additional Policy Areas & contacts




30-day notification needed?

No

30-day start date

n/a

30-day end date

n/a



LDAP protected?

No



Need TABL reminders?

No

Frequency

n/a

Brief reminder text:

n/a



Approval Sheet for this revision received (date)
[Note: author is responsible}


Key labels/tags:

  • Employee Owned Business
  • Employee Vendor

New terms that need to be added to Glossary/Acronym list:

  • (list items not found and context (Policy Area name) – full definition would be included in Policy)

Implementing Documents restricted to department/functional use

(optional – these will be used for tracing between requirements and associated documents)

Document number

Title





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