Research Compliance Guidelines for Membership Agreements

Guidance

Membership agreements for UC Berkeley’s Industry Affiliate Programs are designed to support research in general areas that are of interest to multiple industry organizations. Additional principles that apply to all industry membership programs are:

  • Provide opportunity for interaction between industry members, faculty members, and students;
  • Promote early access to research results;
  • Provide intellectual property rights in the results of Industry Affiliate Program research;
  • Enrich students’ and postdocs’ educational experience;
  • Maintain the University’s role as a credible and impartial resource; and
  • Contribute to the University’s primary mission of teaching and research.

Because the nature of these programs offer the potential for diversion of academic objectives, it is important that membership-supported research programs be organized and maintained in ways that preserve both the independence and integrity of the University.

Compliance Considerations

  1. The membership agreement is to be used for the purpose of establishing membership only. Membership programs should not be used to perform sponsored research to provide unique or preferential benefits to individual members. All members receive the same research results and intellectual property rights in all of the program’s research. Separate Sponsored Research Agreements shall be used to perform research with specific costs, schedules, and/or deliverables that benefit individual member(s) rather than all members.

  2. Requests
    1. To establish an Industry Affiliate Program, inquiries should be directed to the Industry Alliances Office (IAO). The IAO works with faculty and prospective program directors to outline the program, determine membership benefits, and draft a membership agreement suitable for the program. IAO processes membership agreements and other contracts through the Phoebe Proposal System, which requires completion of all compliance questions. Additionally, IAO has an established process for evaluating member benefits including:
      1. Early notice. Industry Members typically receive early notice of new research findings, publication abstracts, and resulting intellectual property in advance of the general public. Results are published in a timely manner thereafter in accordance with academic custom.
      2. Early access. Early access to research results means Industry Members become aware of research results before they are formally published. This is a typical benefit for Industry Members who have a chance to interact with the research team on a periodic basis, through reviews, poster sessions, and retreats.
      3. Easy entry and termination. Companies can join or leave (terminate their membership agreement) at any time.
    2. To inquire about gift-based membership agreements or industry affiliate programs, consult with University Development and Alumni Relations (UDAR) or the relevant college or department development officer. UDAR has an established process for evaluating membership benefits outlined in UDAR’s Gift Sponsorship guidelines.
    3. Establishing a membership program with a non-for-profit should be directed to the Sponsored Projects Office and must be submitted through the Phoebe Proposal System, which will require adding all required documentation and completion of all compliance questions.

  3. All units must comply with UC Office of the President Export Control and UC Berkeley Export Control guidelines whenever UC Berkeley funds, equipment, data or other resources are used for activities that may create export control risks. Prior to the execution of any membership agreement with an international entity or program which includes membership of non-U.S. entities:
    1. The relative office will conduct visual compliance restricted party screenings or request restricted party screening from the Export Control Office;
    2. The relative office will ensure the agreement does not include:
      1. Sponsor restrictions on the participation of foreign nationals in the research.
      2. Sponsor restrictions on the publication or disclosure of the research results.
    3. The relative office will coordinate with the Export Control Office in cases when:
      1. Indications from UC Berkeley, the sponsor, members or others that export-controlled information or technology will be discussed/furnished for use in activities related to the agreement;
      2. The physical export of controlled goods or technology is expected;
      3. Presentation/discussion of previously unpublished research at conferences and meetings where foreign national scholars may be in attendance;
      4. Research collaborations with foreign nationals and technical exchange programs; Transfers of research equipment abroad;
      5. Visits to your lab by foreign scholars.

  4. Faculty members and professional staff involved in membership agreements should conduct their affairs so as to avoid conflicts of commitment and avoid or minimize conflicts of interest. Principal investigators must disclose and respond appropriately when conflicts of interest arise. Disclosure of real or perceived conflict of interest or commitment is strongly recommended. In most cases, a management plan can be developed to mitigate any risk of real or perceived conflicts of interest. Each contracting office is responsible for ensuring member/affiliate benefits provided are done so consistent with UCOP and UC Berkeley policies and procedures. If any part of the initial funding provided from the membership/affiliate agreement to the lead Principal Investigator is redistributed to other UC Berkeley investigators for a research project, the lead Principal Investigator is responsible for ensuring all investigators complete the State of California 700-U. The Form 700-U can be completed and signed electronically with DocuSign, available through an integration with Phoebe. See the Phoebe guidance on the DocuSign Form 700-U for more information. If the Phoebe-generated DocuSign Form 700-U is submitted, no signed “wet-ink” paper copy is required.

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