POLICY

A. Purpose

This policy provides an overview of Berkeley Lab conflict-of-interest policies.

B. Persons Affected

This policy applies to all employees, including rehired retirees and faculty.

C. Exceptions

Not applicable

D. Policy Statement

1. General. The Laboratory is bound by a variety of conflict-of-interest policies, some of which emanate from the U.S. Department of Energy (DOE) contractual requirements (DOE Contract No. DE-AC02-05CH11231, also known as Contract 31) and some of which are founded on University policies, California law, and federal regulations. These policies pertain to a broad range of employee activities, including compensated outside business and professional activities, procurement, hiring procedures, sponsored research, human subjects research, licensing, and technology transfer. An employee who fails to comply with Laboratory conflict-of-interest policies may incur disciplinary action by the Laboratory up to and including dismissal, and prosecution under state law. These policies apply to all Laboratory employees regardless of percent time of appointment at the Laboratory, including rehired retirees and University of California faculty associated with the Laboratory.
2. Laboratory Requirements
   1. Contract 31 contains Clause I.110, Organizational Conflicts of Interest, whose purpose is to ensure that the Regents of the University of California (and its employees) are not biased because of financial, contractual, organizational, or other interests that relate to the work under the Contract, and that there is no unfair competitive advantage over other parties due to the performance under the Contract. Employees who obtain access to information (such as DOE financial plans or data) that has not been released to the general public must not use such information for any non-Laboratory purpose.
   2. Clause I.122, Contractor's Organization, cites the Department of Energy Acquisition Regulation that addresses gratuities, the use of privileged information, incompatibility between an employee's regular duties and private interests, and outside employment of employees.
   3. Clause I.155, Federally Funded Research and Development Center (FFRDC) Sponsoring Agreement, contains prohibitions about using privileged information to compete with the private sector. Additionally, for employees who receive information that may be sensitive or proprietary to the government, care must be taken to ensure the Laboratory is operated in the public interest with objectivity and independence, free from organizational conflict of interest.
   4. Clause I.138, Technology Transfer Mission, implements the National Competitiveness Technology Transfer Act of 1989, as amended, and states that the contractor shall conduct federally funded technology-transfer activities that benefit the competitiveness of U.S. industry. The conflict-of-interest portion of this clause is reflected in Berkeley Lab's Conflict of Interest in Research — CRADAs, Technology Transfer Ombudsman, and Conflict of Interest in Licensing policies.
   5. The University of California has a compendium of Conflict of Interest policies that can be found here.  These address topics including general recusal requirements, procurement, financial interests in sponsored research. These policies should be adhered to in concert with the specific requirements under Contract 31.

E. Roles and Responsibilities

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

F. Definitions/Acronyms

G. Recordkeeping Requirements

None

H. Implementing Documents

None

I. Contact Information

Research Integrity Office
[email protected]

J. Revision History

DOCUMENT INFORMATION

Source Requirements Documents

• Contract 31, Clause I.110, DEAR 952.209-72, Organizational Conflict of Interest (AUG 2009) (Alternate I) (prev. I.066)
• Contract 31, Clause I.122, DEAR 970.5203-3, Contractor's Organization (DEC 2000) [SC alternate APR 2018] (prev. I.078)
  
• Contract 31, Clause I.138, DEAR 970.5227-3, Technology Transfer Mission (AUG 2019) [SC alternate APR 2018] (prev. I.092)
  
• Contract 31, Clause I.155, DEAR 970.5235-1, Federally Funded Research and Development Center Sponsoring Agreement (DEC 2000) (prev. I.109)
  

Other Related Berkeley Lab Policies

• See the RPM Section Conflict of Interest
• See the RPM Section Conduct of Research and Development

Implementing Documents

None