LBNL Policies
Regulations and Procedures Manual (RPM)
§10.01 Conflict of Interest — General
§10.02 Outside Employment and Employee Business Activities
Outside business opportunities are extremely varied and include, but are not limited to, outside employment, consulting, and service on a Science Advisory Board or Board of Directors. Reporting and approval requirements apply to all employees, including faculty and rehired retirees, regardless of percent time employed at LBNL. The Research and Institutional Integrity Office is the office of record for approved requests. Use this form: Request to Engage in Outside Employment. Consulting agreements are to be reviewed and approved by Technology Transfer and Intellectual Property Management Department prior to being signed by LBNL employees.
§10.03 Self-Disqualification and Conflict of Interest for Designated Officials
§10.04 Employment of Near Relatives and Domestic Partners
§10.05 General Research-Related Conflict of Interest
§10.06 Federal Financial Disclosure
§10.07 State of California Financial Disclosure
§10.08 Technology Transfer/Cooperative Research and Development Agreement (CRADA) COI
§10.09 Human Subjects Conflict of Interest
§10.10 Disclosure of Laboratory Proprietary Information
§10.11 Disclosure of Financial Interests Relating to Licensing
§10.12 Acceptance of Gifts or Favors
§10.13 Contacts with State and Federal Officials
§10.14 Privileged Information
Link to Forms
LBNL Procurement Standard Practices
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University Policy
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CONTRACT 31
Clause I.66 - Department of Energy Acquisition Regulations (DEAR) 952.209-72 Organizational Conflict of Interest (JUN 1997) (Alternate I) (JUN 1997) - as of Mod 058.
"The purpose of this clause is to ensure that the Contractor (1) is not biased because of its financial, contractual, organizational, or other interests which relate to the work under [Contract 31], and (2) does not obtain any unfair competitive advantage over other parties by virtue of its performance of this contract."
Clause I.78 (DEAR 970.0371) Conduct of Employees
970.0371-4 Gratuities: Employees shall not accept gratuities under circumstances that might be interpreted as an attempt to influence a decision.
970.0371-6, 7, 8 Outside Employment: Must not interfere with proper and effective performance of Laboratory duties, appear to create a conflict of interest, or appear to subject DOE or the University to public criticism or embarrassment. (Follow approval process at RRM 10.02.) If an employee's personal concerns are not compatible with the interests of the Government in a particular matter, the employee must recuse himself or herself from influencing the decision. Employees are expected to disclose to the Laboratory any incompatibilities between their Laboratory duties and their private interests.
Clause I.92 - DEAR 970.5227-3 Technology Transfer Mission (Deviation Jul 2006)
"This clause has as its purpose implementation of the National Competitiveness Technology Transfer Act of 1989 (Sections 3131, 3132, 3133, and 3157 of Pub.L. 101-189 and as ameded by Pub. L. 103-160, sections 3134 and 3160). The contractor shall conduct technology transfer activities with a purpose of providing benefit from Federal research to U.S. industrial competiveness."
See specifically, section (d) Conflicts of Interest - Technology Transfer, section (e) Fairness of Opportunity, (f) U.S. Industrial Competitiveness for Licensing and Assignments of Intellectual Property. More information is available from the LBNL Technology Transfer and Intellectual Property Department.
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State of California Law As applied to UC
The California Political Reform Act (PRA) requires that certain Laboratory officials annually disclose their private economic interests and that all Laboratory employees disqualify themselves from participating in decisions in which they have a personal financial interest. The University's COI Code is revised annually and submitted to the Fair Political Practices Commission (FPPC) for approval. The FPPC administers, interprets and enforces the PRA. The University's approved COI Code has the force of law and any violation of the Code by a designated employee is deemed a violation of the Political Reform Act.
Designated Officials are required to file Assuming Office, Annual, and Leaving Office Statements of Economic Interest (Form 700). Assuming Office and Leaving Office Statements are coordinated by the LBNL Human Resources Department; Annual Statements are coordinated by the University of California Conflict of Interest Office, which is the office of record for these statements. See:
- List of Designated Official Positions and Disclosure Categories
- Designated Officials Disclosure Categories Explanations
- State of California Fair Political Practices Commission
- Limitations and Restrictions on Gifts, Honoraria, Travel and Loans
- Can I Vote? COI Law Overview (Self-disqualification)
- Revolving Door and Other Post-Employment Issues
One-Year Ban. First, the [Political Reform] Act prohibits [designated] officials, for one year after leaving [UC] service, from representing any other person by appearing before or communicating with, for compensation, [UC] in an attempt to influence [UC] decisions that involve the making of general rules (such as regulations or legislation), or to influence certain proceedings involving a permit, license, contract, or transaction involving the sale or purchase of property or goods. (Government Code section 87406 ; Regs. 18746.1 and 18746.2.)
Permanent Ban on "Switching Sides." Second, under the Act, [designated] officials are permanently barred from working on the other side of a proceeding that they participated in while working for [UC]. An official may not represent any other person (by appearing before or communicating with) and may not aid, advise, counsel, consult or assist in representing any other person, for compensation, before any state administrative agency in a proceeding involving specific parties (for example, a lawsuit, a hearing before an administrative law judge, or a state contract) in which the official participated. (Sections 87400-87405; Reg. 18741.1.)
Prospective Employers. The Act also prohibits [University employees] from making, participating in making, or influencing a governmental decision that directly relates to a prospective employer. (Section 87407; Reg. 18747.)
Link to Forms
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Other Federal Regulations
National Institutes of Health (NIH) Conflicts of Interest Policy and Regulations
Public Health Service Financial Conflict of Interest Regulations
Frequently Asked Questions: Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought
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Compliance Briefing: UC Ethical Values and Conduct, and Conflict of Interest for Researchers
This briefing will take approximately 40 – 60 minutes to complete. If required to take this module, you will have received an automatic link from the Learning Management System for course completion. The purpose of the briefing is to reinforce the University of California Statement of Ethical Values and Standards of Ethical Conduct (pdf) and provide information about reporting instances of non-compliance. In addition, this briefing will satisfy funding agency requirements to train researchers on conflict of interest in the research setting. This briefing will be delivered to approximately 19,000 University research employees (faculty, staff, postdocs) in FY09-10.
- LBNL is a participating organization of the CITI Program, a service that provides research ethics education to members of the research community. CITI offers courses that satisfy certain Human Subject and Lab Animal training requirements, as well as a number of courses on an optional basis. There are separate Responsible Conduct of Research (RCR) courses available for biomedical and physical sciences researchers. During registration, you will select your institution or organization; choose "Lawrence Berkeley National Laboratory" from the third drop down menu, Department of Energy.
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Frequently Asked Questions
LBNL Conflict of Interest Review (Research)
- What are "financial interests" under the LBNL Conflict of Interest Policy?
- Who must disclose? What financial interests must be disclosed?
- What is a financial conflict of interest?
- Is a financial interest automatically a conflict of interest?
- Who reviews financial disclosures?
- What happens if the Conflict of Interest Advisory Committee determines that a conflict of interest exists?
1. What are "financial interests" under the LBNL Conflict of Interest Policy? A financial interest is anything of economic value, including a fiduciary relationship with an outside entity. While not an exhaustive list, examples of financial interests include positions such as director, officer, partner, founder, consultant or manager of an entity (whether paid or unpaid); scientific advisory board or technical advisory board membership; salaries; consulting income; stock or stock options (vested or not vested); honoraria; gifts; loans; and travel payments.
Disclosable income does not include monies received from the University of California. It also does not include monies derived from licensing fees or royalty income paid to UC by the research sponsor. Salary paid by the University (including LBNL) is not considered disclosable personal income even if it is derived from support provided by the research sponsor.
2. Who must disclose? What financial interests must be disclosed? Disclosures fall under 4 main categories: Compensated Outside Professional Activities, Sponsored Research, Technology Transfer, and Designated Official Filings. Depending on the kind of disclosure, different interests must be disclosed. In brief:
Compensated Outside Professional Activities – all employees, including part time employees and faculty members, must disclose compensated outside professional activities, including but not limited to employment, positions of ownership and/or management, and equity holdings
Sponsored Research – PIs and others with responsibility for the design, conduct or reporting of research must disclose interests in sponsors of research, and for some federally sponsored research, interests in related entities
Technology Transfer – inventors must disclose interests in potential licensees of Laboratory technology
Designated Official Filings – employees who are Designated Officials under UC’s Conflict of Interest code must disclose interests upon assuming office, annually, and upon leaving office. Post-employment restrictions apply.
3. What is a financial conflict of interest? A financial conflict of interest is a situation in which an objective layperson might perceive that an individual’s financial relationships may compromise the individual’s professional judgment in performing their responsibilities to conduct research, procure goods or services, or otherwise make decisions on behalf of the Laboratory. For example, an investigator may have a financial conflict of interest if he or she is a consultant to the company sponsoring research in his or her laboratory. Another example is an employee who wants to purchase services from a company in which he or she has significant equity.
4. Is a financial interest automatically a conflict of interest? Not necessarily. Some argue that any financial interest in a company automatically puts the individual into a situation where there is a conflict with his or her research responsibilities. Others believe that some financial interests are so minimal and/or inconsequential that they do not constitute conflicts of interest. It is important to note that:
• Some financial interests fall below the thresholds for reporting.
• Some reportable financial interests do not require further action because they are considered so inconsequential that they are unlikely to influence an investigator’s behavior. In such cases the COIAC will recommend that research support be accepted with no further action.
• Even if a financial interest is determined to constitute a significant conflict the COIAC tries to find ways of managing, reducing or eliminating the conflict.
5. Who reviews financial disclosures? The Laboratory Conflict of Interest Advisory Committee (COIAC) is a panel of scientists from disciplines across the Laboratory. They review disclosures of financial interests that have the potential to represent significant conflicts of interest that must be eliminated, reduced or managed. The Committee determines an appropriate strategy for management of any significant conflict, and makes recommendations to the Laboratory Deputy Director. Disclosures of financial interests are public documents available to members of the public and to the Department of Energy upon request.
6. What happens if the Conflict of Interest Advisory Committee determines that a conflict of interest exists? If the Committee determines that the disclosed financial interests constitute a real or perceived conflict of interest, they will recommend actions designed to eliminate, reduce, or manage the conflict. In some instances, the Committee may simply recommend disclosing the interest in all publications and presentations. Depending on the facts, the Committee may also recommend other measures such as divestiture of all equity interest in the sponsor or elimination of any consulting arrangement with the sponsor. Additional measures may include the appointment of an ad hoc oversight committee to provide ongoing monitoring of the issue.
Please address any further questions to coi@lbl.gov.
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