Rev. 10/09

1. General
2. Cooperative Research and Development Agreement (CRADA)
3. Related Forms

A.  GENERAL

Under the DOE contract, the Laboratory is required to implement procedures to prevent employees from having organizational conflicts of interest, or the appearance of conflicts of interest, in the conduct of its technology transfer activities.  The requirements can be found in DOE Contract Clause I.92(n)(5).

B. COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENT (CRADA)

Each employee who has a substantial role in the preparation, negotiation, or approval of a CRADA (typically the Principal Investigator, Division Director or designee, OSPIP Manager, OSPIP Contracts Officer, Licensing Manager, Patent Department reviewer, and Laboratory Director) is required to fill out the CRADA Conflict of Interest Form. In addition, for CRADAs that have funds from the partner (the partner is providing funds to LBNL), the State Political Reform Act also applies.  Therefore, the Conflict of Interest Form 700-U must also be completed by the PI.  The Laboratory must ensure that none of its employees has a substantial role (including an advisory role) in the preparation, negotiation, or approval of a CRADA if an employee holds any financial interest in the entities related to the CRADA.  The exception is when the DOE contracting officer is notified in advance of such an employee and determines that the employee’s financial interest will not affect the process of preparing, negotiating, and approving the CRADA.

CRADA CONFLICT-OF-INTEREST DISCLOSURES ARE REQUIRED FOR ALL NEW AND AMENDMENT PROPOSALS.

When there is a positive disclosure, the disclosure forms go to the Conflict of Interest Coordinator, with a copy going to the Office of Sponsored Projects and Industry Partnerships (OSPIP), and the Human Subjects Quality Assurance Committee (HSQAC), if applicable.  For negative disclosures, the original goes to OSPIP, and a copy to HSQAC, if applicable.

C.  RELATED FORMS

CRADA Conflict of Interest Form

Conflict of Interest Addendum (to be completed if there are any positive responses on the CRADA COI Form)*

Conflict of Interest Disclosure Form 700-U

*The original disclosure forms (positive and negative) should be sent to the Laboratory Conflict of Interest Coordinator.