Policy Area - Intellectual Property
Created by Lydia J Young, last modified by Theresa N Duque on Dec 03, 2012
Employees and affiliates who have written software that will be distributed to any third party or that will be useful either commercially or for other government contractors must submit a Software Disclosure and Abstract form to Technology Transfer and Intellectual Property Management (TTIPM). It is the developer's responsibility to report all software prior to distribution, and to obtain the appropriate license agreement from TTIPM.
All Berkeley Lab software developers, including full- and part-time employees and those with faculty appointments and affiliates
Employees and affiliates who have written software that will be distributed to any third party or that will be useful either commercially or for other government contractors must submit a Software Disclosure and Abstract form to Technology Transfer and Intellectual Property Management (TTIPM). It is the developer's responsibility to report all software to TTIPM prior to distribution, and to obtain the appropriate license agreement from TTIPM in order for Lawrence Berkeley National Laboratory (Berkeley Lab) to meet Department of Energy (DOE) requirements, ensure that Berkeley Lab has the appropriate rights to distribute the software, and to distribute software under contracts that are appropriate for the particular software and type of distribution.
TTIPM staff and Berkeley Lab software developers, including full- and part-time employees and those with faculty appointments and affiliates
Berkeley Lab's software-disclosure requirement does not apply to a bug fix, which for this policy is defined as a change to existing software that:
Comprises less than 5% of the existing software
Does not add any new functionality to the existing software and
Does not improve the performance of the existing software in a novel way
Berkeley Lab software developers must report software to TTIPM before it can be distributed to anyone outside Berkeley Lab, the University of California, or DOE. This includes software shared with other academic institutions and software given away for free.
Software that must be reported includes both software developed at Berkeley Lab and derivative works of software obtained from third parties (other than bug fixes).
To facilitate distribution of Berkeley Lab software, avoid inserting code written outside Berkeley Lab, such as freeware, open-source code, shareware, and especially commercial packages. Using non-Berkeley Lab code in Laboratory software without written permission to do so may make it difficult or impossible to distribute your software outside Berkeley Lab.
If a project requires third-party software, Berkeley Lab software developers must document where the code was obtained and what legal terms apply to its use, i.e., download and keep a copy of the software license. Berkeley Lab software developers must also keep records of the individuals who contributed work on the code and the funding source that supported its development.
After disclosing to TTIPM, the Berkeley Lab software developer and TTIPM staff will discuss the software, and if the software will be distributed to third parties, TTIPM will seek requisite approvals from DOE and will provide the text of the appropriate license agreement and accompanying instructions to the software developer (for some types of no-cost licenses) or will directly provide licenses to interested external users of the software.
The Berkeley Lab software developer must track the number of licenses/downloads of software arising from a Web site managed by the developer and report that number annually to TTIPM upon request, for TTIPM's reporting to DOE.
TTIPM directly handles all licensing transactions in which Berkeley Lab is receiving compensation for the license, and will distribute a share of net licensing income to Berkeley Lab software developers annually.
Berkeley Lab Software Developer
Sends a written report of new software (i.e., a completed Software Disclosure and Abstract form) to TTIPM prior to distribution to third parties, and provides a copy of the software as requested by TTIPM
Keeps records of (1) software licenses for third-party software incorporated into the Berkeley Lab software, (2) individuals who contributed work on the code, and (3) funding supporting the software development
If authorized by TTIPM to distribute the software from the developer's Web site, tracks the number of annual licensed downloads
Berkeley Lab TTIPM
Notifies the DOE Patent Counsel of new software
Reviews licenses for any incorporated third-party code, and assesses any other encumbrances on the software
Obtains DOE approvals prior to distribution
Deposits software with DOE's Energy Science and Technology Software Center (ESTSC)
Selects or drafts appropriate software license agreement
Provides instructions to the Berkeley Lab software developer for developer-distributed software
Reports annually on software to DOE
Non-Laboratory employees engaged in on-site Laboratory activities. Affiliates are subject to training in safety and other subjects. They are also issued a Berkeley Lab identification badge. Affiliates may receive system accounts, research access to facilities, and a per diem allowance for housing and living expenses. Examples: Facility users, scientific collaborators, students
For the purpose of this policy, a change to existing software that (1) comprises less than 5% of the existing software, (2) does not add any new functionality to the existing software, and (3) does not improve the performance of the existing software in a novel way
One who writes software code
Net Royalty or Licensing Income
As used in this policy, royalties received by Berkeley Lab after deducting (1) amounts payable to non-Berkeley Lab owners or licensors of the intellectual property; and (2) patent or other intellectual-property protection costs (including litigation), reserves for bad debt, and licensing costs
Statements or directives from the federal, state, or local government; the University of California; or Berkeley Lab senior management that set a course of action, define acceptable conduct, or implement governing principles.Example: Berkeley Lab Site Access
Software Disclosure
A description of the software that will be transferred. The Berkeley Lab Software Disclosure and Abstract form incorporates the DOE OSTI Software Disclosure form.
The Berkeley Lab software developer keeps records of (1) software licenses for third-party software incorporated into the Berkeley Lab software, (2) individuals who contributed work on the code, and (3) funding supporting the software development.
TTIPM keeps records of all software disclosures submitted to and software licensed through TTIPM.
If TTIPM authorizes the software developer to distribute software electronically, the developer must record the number of licensed software downloads annually.
Software Disclosure and Abstract Form
H.Clark
New (brief)
V.Wolinsky
New (policy)
Info Management
RPM Section 5.03(B)(1); RPM Section 5.05(A)
U.S. Department of Energy (DOE) Contract No. DE-AC02-05CH11231, Clause I.91, DEAR 970.5227-2, Rights in Data – Technology Transfer (Deviation Jul 2006)
University of California 1992 Policy on Copyright Ownership (N.B. software at Berkeley Lab is "sponsored work" arising under Contract 31) -
Licensing Income and Royalty Distribution policy, document number 10.05.001.000
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