UARC IP Management

Vanessa Tollefson

Acting Director

Office for Management of Intellectual Property

UC Santa Cruz

October 30, 2008

Inventions are Important to the UARC Inventions track important findings

Invention reports provide an important index of productivity for the UARC

Reporting inventions is required by the UARC contract

Invention Characteristics

Inventions are New, useful, not obvious developments That advance the state of the art

An Invention may be A device, method, system, process, composition

of matter A new use for existing technology An improvement of existing technology

Inventive Areas

Areas in which inventions may arise Solves long-standing problem Does what is taught as not possible, practicable Has unexpected attributes or benefits Requires repeated efforts to achieve results Combines ideas or materials in unexpected way Identifies an unanticipated new use

Aspects of Invention

Conceived Definite and permanent idea Complete and operative invention

Reduced to Practice Invention works for its intended purpose –or- Filed patent application

Best mode How inventor best uses the invention

Disclosure

Document inventive work Make a written report

Identify the inventors Be sufficiently complete in technical detail to convey a clear

understanding of the nature, purpose, operation and characteristics of the invention

Use either of the following forms NASA Form 1679

http://invention.nasa.gov/docs/nf1679.doc University of California Record of Invention Form

http://www.ucop.edu/ott/documents/disclfrm.html

Routing

Route the invention disclosure form and report to Pamela Pancoast, Compliance Officer

Pamela will process New Technology Report and route to UCSC Office for Management of Intellectual Property

UCSC will consult with NASA on background rights, joint inventions, and commercialization activity

UC Invention Policy

http://www.ucop.edu/ott/genresources/pat-pol_97.html UC may claim inventions made in the UARC UC coordinates patent work with NASA If UC releases its interest, rights go to NASA UC licenses patent rights to promote development UC shares 35% of net royalties with inventors

Background Rights

Rights in UC technology developed outside the UARC

Contracting Officer approval is required before using such rights in UARC task work

Report background rights to UARC and UCSC

Obligation to deliver technology to NASA free of restraints

Software and Copyright

Wide range of software applications, scripts, libraries, and tools NASA considers software “New Technology” Report software NASA may require assignment of copyright and

prevent disclosure When the UARC can manage software:

Generate program income Distribute open source

Data Data sets are important assets

Observe restrictions on sensitive data received “Limited Rights” or “Restrictive Rights” legends Received under protective arrangements

Observe restrictions on data first produced If not sure, check with your task manager Clear proposed data releases using Form 1676: NASA

Scientific and Technical Document Availability Authorization Applicable to Alt II tasks and Alt I tasks where there is a NASA

co-author

SUMMARY

Intellectual Property is a valuable asset Promptly report

Inventions Discoveries

Potentially patentable New advances If not sure, err on the side of reporting

Protect Sensitive Data Report Background Rights

Export Controls

Purpose of the Training

Our Goal today is to educate UARC staff on applicable laws, identify when project information may be export controlled, and instruct such staff to involve the UARC Compliance Officer before possible export controlled information is “exported”.

Protection Protect the UARC and the University

Bad Press Loss of Exporting Privileges Organizational Civil and Criminal Penalties

Lawsuits, Fines up to $1 Million, Time in Jail Unable to Participate on Government Contracts

Protect Yourself Personal Criminal and Civil Penalties

Purpose of Export Controls

Main objective is to protect U.S.: National Security Economy Foreign Policy Citizens

Major Export Control Laws

International Traffic in Arms Regulations (ITAR) Department of State, Directorate of Defense Trade Controls Arms Export Control Act (AECA)

Export Administration Regulations (EAR) Department of Commerce, Bureau of Industry and Security Export Administration Act (EAA) Trading with the Enemy Act (TWEA)

Foreign Assets Control Regulations (OFAC) Department of Treasury, Office of Foreign Assets Controls International Emergency Economic Powers Act (IEEPA)

What Is Controlled

Equipment, Assemblies and Components Test, Inspection and Production Equipment Raw Materials Software Technology

What is Subject to EAR within the UARC Technology

Specific information necessary for the "development", "production", or "use" of a product. The information takes the form of "technical data" or "technical assistance“

Technical Data May take forms such as blueprints, plans,

diagrams, models, formulas, tables, engineering designs and specifications, manuals and instructions written or recorded on other media or devices such as disk, tape, read-only memories

What is Subject to ITAR within the UARC United States Munitions List (USML)

Includes Equipment, Components, Technology, Software, or Other Services for spacecraft (including nonmilitary) military and space electronics protective personnel equipment guidance and control equipment

The Repercussions of Violations Criminal: “Willful” Violation:

Up to $1M per violation for corporations Up to $1M per violation and up to 10 years in jail for

individuals Civil: “Any” Violation:

Up to $500k per violation for corporations and/or individuals Civil and Criminal:

Seizure or forfeiture of goods Debarment from licensing for as long as three years Potential debarment from Government contracting for up to

three years

What Is an Export?

Any oral, written, electronic or visual disclosure, transfer or transmission outside the U.S. to anyone, including a U.S. citizen, of any commodity, technical data, technology, or software.

Transfer of a controlled commodity, technology, or software to a non U.S. entity wherever located.

How Does an Export Happen ? An Export Can Occur in Three Ways:

Export shipment or transmission of items outside of the U.S.; or

Re-Export Shipment of U.S.-origin item from one foreign country to

another foreign country Deemed Export

Release or disclosure to a non-U.S. person within or outside U.S.

Deemed Exports

Nothing leaves the country, but information is impermissibly exchanged within our borders in violation of export laws. A “deemed export” is: A release of information, which is subject to export regulations to

a foreign person. Such a release is “deemed” to be an export to the home country of

the foreign person. Examples of Deemed Exports:

Tours of laboratories Foreign nationals employed in certain R&D (e.g. Alt II tasks) Foreign students/scholars conducting research Hosting foreign scientists “Discussing” Alt II work with foreign persons

U.S. Person

US citizen, a person who is lawful permanent resident or who is a protected individual

Any corporation, business association, university, partnership, society, trust, or any other entity, that is incorporated to do business in the U.S.

Foreign Persons

Any natural person who is not a lawful permanent resident or who is not a protected individual

Any foreign corporation, business association, university, partnership, trust, society or any other entity that is not incorporated or organized to do business in the US

Also includes international organizations, foreign governments and any agency or subdivision of foreign governments

Deemed Exports and International Travel Unknown / Unintentional Deemed Exports

Laptops Data devices may be taken and the contents reviewed

or captured by foreign country officials. Technical Papers

Printed materials have the potential of unauthorized review or distribution.

Deemed Exports and International Travel Items to Leave in your Office

Laptops Portable Data Storage Items

USB Storage Portable Hard Drives

“Hard” Copies of Data or Technology Utilize Courier Services

Send printed controlled information ahead of time to authorized recipient.

Deemed Exports in Everyday Activity Hypothetically..

Organization Size of 150 Staff Members 24 Non-US Persons Staff Talks/Interacts 3 Times a Day…

Equals

10,800 Deemed Exports per Day

54,000 Deemed Exports per Week

2,808,000 Deemed Exports per Year

Impact of Export Controls on Universities If a university research project involves controlled

technologies, the researcher may be required to obtain a government license before: Equipment, chemicals or technologies subject to EAR or

ITAR may be sent or taken outside the U.S. Foreign researchers or students – even if located in the

U.S. on university campus – may participate in research involving equipment, chemicals or technologies subject to EAR or ITAR (known as a “deemed export”)

There are exceptions to this rule Public Domain Fundamental Research

Public Domain

Applies to information that is already published, not just ordinarily published: Subscriptions which are available without restriction to any individual who

desires to obtain or purchase the published information In libraries open to the public or from which the public can obtain documents Published patent information available at any patent office Public release (i.e., unlimited distribution) in any form (e.g., not necessarily in

published form) after approval by the cognizant U.S. government department or agency;

Fundamental research. Conferences, meetings, etc. which are generally accessible by public for

reasonable fee and where attendees can take notes Websites accessible to the public for free and without host’s knowledge

or control of access to downloads (software) Published or generally accessible or available to the public through sales at newsstands and bookstores

Fundamental Research

Basic or applied research in science and/or engineering at accredited institution of higher learning in the US where resulting information is ordinarily published and shared broadly in the scientific community

If any restrictions are placed upon publishing research, Universities cannot: Involve foreign students or faculty Discuss the research with others Share knowledge overseas, even with an American

Without prior approval of the sponsor

Export Licenses

If no exception or exclusion applies, then a license is required for the export or deemed export of controlled items, information, or services.

License granted from BIS or DDTC as applicable.

Coordinated by UARC Compliance Officer, UC Office of the President, and Sponsor (NASA).

Can take several months to obtain.

Applicability

Alt I Tasks: Generally will not include subject matter specifically identified by

export control laws fundamental research (technology readiness level (TRL) still low) no access or foreign national restrictions work cleared by NASA for unlimited public release

Alt II Tasks: May include export controlled items

Export controlled items/data will be identified in the task if known (current export determination not always available)

In general, foreign nationals are not allowed on task without prior approval and a technology control plan

Publication/dissemination/release of information restricted by NASA A Data Management Resource (DMR) is provided to all UARC

task managers detailing specific data handling requirements for each task.

Implementing Export Controls Compliance Officer

Review the task order for any content that will be subject to export control.

Develop/Write the DMR to identify specific areas of concern and provide the process/mechanism to protect the controlled item(s).

Task Managers Read the DMR released with the original task order, and with

each modification to the task order thereafter. Implement any specific control mechanisms identified within the

DMR. Assure that researchers are not placed into compromising

situations. Team Researchers

Each team member is accountable to be aware of the DMR, to acknowledge any control mechanisms and to act in the best interest of the UARC.

Questions

UARC Export Compliance Officer

Pamela Pancoast

pamela.pancoast@adm.ucsc.edu

650-604-1284

UARC Publications

UARC Publications

Review and Authorization Procedures Peer review for scientific and technical integrity Editorial review for readability and sponsor format

requirements Sponsor review for proprietary information (Alt I) Sponsor review for other restricted information: export

control, sensitive-but-unclassified, etc. (Alt II) Follow any special instructions that are identified in the Task

Order’s Data Management Resource (DMR). Do NOT distribute any publication/presentation until the

Compliance Officer has provided the authorization to do so.

Alt I Procedures

Alternate I work Also referred to as “Fundamental Research,” this type of

work is characterized by research that will be broadly shared within the scientific community and involves no foreign national access or dissemination restrictions.

Any publications or presentations resulting from an Alt I task is subject to the UARC’s review and authorization procedures. The UARC Compliance Officer is your POC for assistance

with Alt I publication procedures. If a civil servant contributed to the publication, the

ALT II procedure is applicable.

Alt I Procedures

Prior to publishing or disseminating data the author much complete the UARC IP Form 301. Peer Review and Authorization Line Management Review and Authorization NASA Task Requestor

Forward original UARC IP Form 301 and a copy of the finished work to the UARC Compliance Officer Initiate NASA Review (45 days) Review content for IP or Export Control restrictions Final approver for the author to present work for publishing and

disseminating. Extended abstracts (more than 500 words) must also be

reviewed prior to dissemination as well as any substantive (content, not form) revisions.

Alt I Procedures

The NASA review and UARC Compliance Officer Approval requires 45 days for the review.  Late UARC IP Form 301 submissions may jeopardize your

intended presentation or publication date. Do NOT publish or present without final approval from the

UARC Compliance Officer. To do so means you are acting “outside the scope of your

employment” and you can be found personally liable for any unauthorized release of proprietary information if such was actually published or presented.

The primary author will be notified via email when the review is complete.

Alt II Procedures Alternate II work

Research activity that may be subject to export control, national security restrictions, foreign national access, or other restrictions designated by NASA.

Any publications or presentations resulting from an Alt II task is subject to NASA’s review and authorization procedures. Every NASA organization code will have a publication

POC who can help you navigate the NASA publication requirements.

New Electronic Process NASA is currently finalizing an electronic methodology of

securing authorization for STI distribution.

NEW

Alt II Procedures

Prior to publishing or disseminating data resulting from an Alt. II task, UARC employees and subcontractors must complete four forms: ARC 310, Review and Authorization Record

Complete the form and obtain the required signatures.  Note the Author’s signature is required twice on page 2.

NASA Form 1676, NASA Scientific and Technical Information (STI) Document Availability Authorization (DAA) Complete Sections 1 and 6.

ARC 1676A, Export Control Public Domain Declaration (PDD) Select one of the categories and transfer that category number

and the CFR number to the section entitled “Declaration.”

Alt II Procedures

UARC IP Form 301 Complete the “Manuscript Identification” section only Forward a copy of the UARC IP Form 301, the signed ARC

310 and a copy of the finished work to the UARC Compliance Officer.

Review for University IP and Export Control

Extended abstracts (more than 500 words) must also be reviewed prior to dissemination.

Any substantive (content, not form) revisions to paper/presentation should be sent to UARC Compliance Officer for review and approval.

NEW

UARC TRAINING30 October 2008

• Review of Internal Audit and Advisory Services

• California Conflict of Interest Laws and Regs• Organizational Conflict of Interest (OCI)• Whistleblower law

Internal Audit and Advisory Services

• Independent University Service: • Director: Geri Gail• 4 staff auditors• We are here to help you• My telephone contact: 831-459-2241• Website: http://audit.ucsc.edu/

Personal Conflict of Interest

State Law: Government Code § 87100

“No public official at any level of state or local government shall make, participate in making or in any way attempt to use his official position to influence a governmental decision in which he knows or has reason to know he has a financial interest”

Most common issues:

• Use of University resources for private purposes: such as lab space or NASA equipment

• Employee-Vendor Relationships (buying from a relative)

• Receipt or giving Gifts • Travel Provided by Private Entities• Outside employment or personal start-up businesses

Potential Conflict Issues

Organizational Conflict of Interest

UARC Contractor and its employees have a special relationships that can provide them with access to both Government sensitive and third party proprietary data.

Therefore: UARC Contractor and its employees will not use any such data for any purpose other than its performance under the contract.

Organizational Conflict of Interest

(FAR 2. 101): Definition of OCI

Because of other activities or relationships with other persons:

• a person is unable or potentially unable to render impartial assistance or advice to the Government

• or the person's objectivity in performing the contract work is or might be otherwise impaired,

• or a person has an unfair competitive advantage.

An example is when:

…. a contractor is asked to develop requirements that are later used in a competitive solicitation for a subsequent contract.

…If the same contractor bids for the subsequent contract, they may have an unfair advantage.

OCI in Government Contracting

What this means to you!

It is your responsibility to inform Associate Director Larry Hogle that work you are performing is contributing to a statement of work that will be used in a competitive procurement.

What this means to you!

• inform the Associate Director if work you are performing includes access to Government-sensitive or third-party proprietary data.

• If you receive Government Sensitive or Third Party data that has not been released or otherwise made available to the public, you may not use that data for any purpose other than performance of the contract unless prior written approval is received from the contracting officer.

Government-sensitive or third-party proprietary data

1. This means you cannot share it with your colleagues or other employees.

2. You cannot present it at a conference.3. You cannot use it in a publication, unless those

actions are necessary for the performance of the contract.

4. The process for getting prior written approval is to first speak with your supervisor to verify the need, and then submit a request to the Associate Director who will coordinate with the Contracting Officer.

Unsolicited proposals

The UARC contract, Section H.4(c)(2), specifies that the UARC shall not submit to the Government an unsolicited proposal:

1. based on Government-sensitive data

2. or third-party data that has not been released or otherwise made public

3. until one year after such data is made available to the public.

What this means to you!

• All proposals generated by UARC employees need to be processed through the UCSC Office of Sponsored Projects (Bill Clark)

• Initiation of that process is through the Associate Director, (Larry Hogle)

• The review process should identify any data to be used that would constitute an organizational conflict of interest.

SUMMARY

All conflicts of interest :

1. weaken the public perception of research integrity,

2. compromise the objectivity of professional advice,

3. undermine confidence in the handling of confidential information, and

4. reduce equitable access to opportunities to participate in future contract work !!!

Points of Contact

• Questions regarding OCI or PCI can be directed to any of the following individuals:

• UARC Associate Director – Larry Hogle– (650) 604 – 0508 lhogle@ucsc.edu

• Acting UARC Research Compliance Officer –Pamela Pancoast – 650-604-1284– Pamela.Pancoast@adm.ucsc.edu

• UARC Director – William Berry– (650) 604 – 0511 wberry@ucsc.edu

Reporting Improper Activities

California Government Code Section 8547.2 Definition: improper governmental activity “ any activity by a state agency or by an employee that is

undertaken in the performance of the employee’s official duties, whether or not that action is within the scope of his or her employment, and that

(1)is in violation of any state or federal law or regulation, including, but not limited to, corruption, malfeasance, bribery, theft of government property, fraudulent claims, fraud, coercion, conversion, malicious prosecution, misuse of government property, or willful omission to perform duty, or

(2)is economically wasteful, or involves gross misconduct, incompetency, or inefficiency.”

What this means to you!

• Discuss your concern with your supervisor

• Call the campus Local Designated official listed in the campus telephone book, the university WB anonymous hotline or the UCSC police, if you discover an improper governmental activity.

-Do not investigate yourself.

• UC Whistleblower policy and Whistleblower protection policies:

• University website: http://www.ucop.edu/ucophome/policies/bfb/g29.html

• Campus Website: http://whistleblower.ucsc.edu/• Internal Audit Website/ Geri Gail-Audit Director http://audit.ucsc.edu/

Internal Audit Investigation Services

Safety and Injury ManagementDale Thrasher

Safety and Training Coordinator

UC SANTA CRUZ

Injury Rates

1

2

3

4

5

6

7

8

FY 03 FY 04 FY 05 FY 06 FY07 FY08

UCSC

UC Campus Average

Best in Class

rates per 100 FTEbased on number of Workers’ Comp claims

Injuries and Lost Work Days

0.00

1.00

2.00

3.00

4.00

5.00

6.00

7.00

8.00

9.00

10.00

2004 2005 2006 2007 2008

Cla

ims/1

00 F

TE

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Days/

100 F

TE

UCSC Injuries

Accident/injury type % of total2008

% of total04-07 Ave

Burns/Abrasions/Bites 14% 7%

Exposure 4% 8%

Vehicle 2% 2%

Physical Movement 35% 27%

Cumulative Trauma 15% 22%

Slip & Fall 18% 14%

Stress 2% 4%

Struck at/by 10% 17%

30,000 Hazards- Unsafe Acts

- Unsafe Conditions

30,000 Hazards- Unsafe Acts

- Unsafe Conditions

3,000 Near-Misses or First Aid3,000 Near-Misses or First Aid

300 Recordable Injuries300 Recordable Injuries

30 Major Injuries

30 Major Injuries

1 Fatality

1 Fatality

Safety Safety CultureCultureSafety Safety CultureCulture

Focus on Culture

Sex Harassment & Discrimination Prevention

Briefing 2008

Rita E Walker Title IX /Sexual Harassment Officer

Protected Classes

Race Religion Ancestry Marital status Color Sex Age Disability

Citizenship National origin Sexual orientation Medical condition Status as a covered

veteran Pregnancy Gender Identity

The Title IX/sexual harassment office

Sexual Harassment and Sexual Assault Policies Formal Complaint Investigation Early Resolution-Consultations-Assistance

Educational Programs (LeAnne Ravinale) 831.459.1758, lravinal@ucsc.edu) Sexual Harassment Sexual Assault

The Complaint Resolution Process Formal Complaints

Written complaint Due process protections Names provided Can result in discipline Written Fact-finding report

Informal Complaint (early resolution) Wide range of options, including Mediation, education, notice conversation

UCSC Policy on Sexual Assault &UC Policy on Sexual Harassment

Unwelcome conduct Of a sexual nature That is “severe” or “pervasive” That causes a hostile environment That would cause a hostile environment for a

reasonable person in the complainant’s position

Intent v. Impact

Sexual Harassment Definition

Is this sexual harassment?

An employee accessing pornography on UCSC computers

Male employees making fun of the sexual orientation of another male employee

Staring Female employees spreading rumors about a

female co-worker’s sex life

University OfficialsUniversity Officials

Policy states: “ A report of sexual harassment shall be defined as any meeting or discussion with a University Official, in order to inform the University that sexual harassment may have occurred…”

Policy states: “ A report of sexual harassment shall be defined as any meeting or discussion with a University Official, in order to inform the University that sexual harassment may have occurred…”

What to ReportWhat to Report

What you have been told by the person-who- what- when- where-and how

Neither you nor complainant must be identified

Respondent must be identified

What you have been told by the person-who- what- when- where-and how

Neither you nor complainant must be identified

Respondent must be identified

A few words about retaliation

Protected Activity Complaining about harassment Participating in an investigation Assisting someone in reporting harassment

Adverse Action Negative evaluation or grade Undesirable schedule or assignment Increased level of supervision or scrutiny Denial of professional development opportunity Ostracism from others Lack of feedback on performance Termination

The Risks of Romance

Can I date a student or someone that I supervise?

What about mutually welcome sexual advances?

A genuinely welcome sexual relationship is not sexual harassment.

UCSC policy does not forbid mutually welcome sex.

What is the relationship doesn’t work out Does a conflict of interest exist? Person with

most power must fix the conflict.

Faculty/student Consensual Relations

It is a violation of the Faculty Code of Conduct for a faculty member to engage “in a romantic or sexual relationship with a student for whom he or she has or should expect to have in the future, academic instructional, evaluative or supervisory responsibility.”

The same prohibitions exist for instructors covered by UC/AFT MOU.

Why are we here? New CA state law,

AB 1825

--2 hours of sexual harassment training for all --2 hours of sexual harassment training for all supervisors by January 1, 2006supervisors by January 1, 2006

--2 hours of sexual harassment training for all new --2 hours of sexual harassment training for all new supervisors within 6 months of their becoming a supervisors within 6 months of their becoming a supervisorsupervisor

--2 hours of sexual harassment training for all --2 hours of sexual harassment training for all supervisors every 2 yearssupervisors every 2 years

Who is a supervisor?

All staff supervisors and those staff that only supervise student employees

All academic appointees (excluding post-docs and academic student appointees) including all faculty

Be a good example