§5.05
Licensing Income Distribution


Rev. 06/08

  1. General
  2. Distribution of Royalties to Inventors
  3. Allocation and Uses of Laboratory Licensing Income
    1. General
    2. Allocation to Research Divisions
    3. Central Research Pool

A.  GENERAL

University of California Patent Policy governs the distribution of licensing income from patentable inventions between Berkeley Lab and Laboratory inventors. Any conflict between this Regulations and Procedures Manual policy and UC Patent Policy must be resolved by reference to then-current UC Patent Policy.

Generally, inventions and other intellectual property disclosed to Berkeley Lab on or after October 1, 1997, are governed by the October 1, 1997, UC Patent Policy. Those disclosed before that date are governed by the November 18, 1985, UC Patent Policy. (The University of California rescinded the policy of April 16, 1990.) Inventors who were hired by Berkeley Lab prior to October 1, 1997, and who have not had a break in service since that date, however, are afforded a one-time opportunity (prior to their first distribution under the October 1, 1997, UC Patent Policy) to elect whether all their current and future inventions and other intellectual property shall be governed by the October 1, 1997, or the November 18, 1985, policy.

UC Patent Policy does not address intellectual property other than patentable inventions. Through this Regulations and Procedures Manual policy, however, Berkeley Lab applies the tenets of UC Patent Policy to the distribution of income from intellectual property other than patentable inventions. This type of intellectual property includes, but is not limited to, (1) copyrighted software and other copyrighted works such as books and engineering drawings, (2) mask works, and (3) bailed biological material and other tangible research products.

Berkeley Lab's Technology Transfer Department administers UC Patent Policy at the Laboratory and directs the Office of the Chief Financial Officer to make the payments described in Paragraphs (B)–(C), below, to inventors and resource adjustments for research divisions.

B. DISTRIBUTION OF ROYALTIES TO INVENTORS

Berkeley Lab annually distributes to Berkeley Lab inventors a portion of income received by the Laboratory in the preceding fiscal year from the licensing of Laboratory intellectual property. The term "Berkeley Lab inventors" includes both Laboratory employees and others who have assigned to the University of California their rights to inventions managed by Berkeley Lab (e.g., participating guests, who are required to sign the Patent Acknowledgment). UC Patent Policy requires all UC/DOE Laboratories to complete this distribution by the February following the end of the fiscal year.

The following distribution rules apply, subject to amendment of UC Patent Policy:

UC Patent Policy generally defines "net royalties" as gross royalties and fees received after deducting amounts payable to non-University inventors, less patent and licensing costs for the invention.

If the invention was created by more than one Berkeley Lab inventor, the Laboratory distributes to each inventor an equal share of royalties, unless all affected inventors have previously agreed in writing to a different distribution of those inventors' share of royalties.

C. ALLOCATION AND USES OF LABORATORY LICENSING INCOME

1. General

"Laboratory share" is that portion of licensing income from its intellectual property available to the Laboratory after deducting amounts under UC Patent Policy for payment of costs and distributing income to inventors. The Laboratory share is allocated annually after the distribution to inventors.

2. Allocation to Research Divisions

Effective in fiscal year 2000, Berkeley Lab allocates 15% of net royalties from each invention to the research division in which the invention arose. The research division must use that Laboratory share for research and development activities within the Laboratory's mission. Work must be performed so as to avoid interference with or adverse effects on ongoing DOE projects and programs.

Expenditures may include operating costs (e.g., for personnel, supplies, recharges, or travel) or equipment in support of that research. If the inventors belong to different divisions, the Laboratory share for each division is split proportionally by the total number of inventors by division.

3. Central Research Pool

Effective in fiscal year 2000, the remaining Laboratory share is pooled in an account for use at Berkeley Lab for scientific research and development, technology transfer, and/or education. (This remaining Laboratory share is 35% of the total net royalties for technologies disclosed before October 1, 1997, and 50% for technologies disclosed thereafter.) This central pool is allocated at the direction of the Laboratory Director. Work must be performed so as to avoid interference with or adverse effects on ongoing DOE projects and programs.

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