Rev. 1/10

1. General
2. Lab Requirements
3. Related Links

A. 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 and some of which are founded on University policies, State of California law, and Federal regulations. These policies pertain to a broad range of employee activities, including compensated outside business and professional activities (RPM §10.02), hiring procedures (RPM §2.01(E)(5)(b)), sponsored research (RPM §10.05), human subjects research (RPM §10.09), licensing (RPM §10.11), and technology transfer (RPM §10.08). An employee who fails to comply with Laboratory conflict-of-interest policies may incur disciplinary action by the Laboratory 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.

B. LAB REQUIREMENTS

Contract 31 contains Clause I.66, Organizational Conflicts of Interest, whose purpose is to ensure that the Regents (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.

Clause I.78, Contractor’s Organization, cites the Department of Energy Acquisition Regulation that addresses gratuities, the use of privileged information, incompatibility between employee regular duties and private interests, and outside employment of employees.

Clause I.109, 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 LBNL is operated in the public interest with objectivity and independence, free from organizational conflict of interest.

Clause I.92, Technology Transfer Mission, implements the National Competiveness Technology 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 section 10.08 and 10.11 of this chapter.

The University has a compendium of Conflict of Interest policies that can be found here.  These policies should be adhered to in concert with the specific requirements under Contract 31.

Questions concerning potential conflicts of interest should be addressed to the Research and Institutional Integrity Office.

C. RELATED LINKS

Summary of Links Related to Conflict of Interest

• University of California Office of the President (UCOP) Conflict of Interest Policy
• UCOP Policy on Disclosure of Financial Interests Related to Sponsored Projects
• UC Conflict of Interest Code
• Conflict of Interest Policy and Compendium of Specialized University Policies, Guidelines, and Regulations Related to Conflict of Interest
• State of California’s Political Reform Act
• Federal Register on Objectivity in Research
• List of Non-governmental Entities Exempt From Disclosure Requirement
• National Institutes of Health Conflict of Interest  
• National Science Foundation Conflict of Interest
• Conflict of Interest Web Resources

Printed . The official or current version is located in the online LBNL Requirements and Policies Manual.
Printed or electronically transmitted copies are not official. Users are responsible for working with the latest approved revision.