UARC IP Management Vanessa Tollefson Acting Director Office for Management of Intellectual Property...
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UARC IP Management
Vanessa Tollefson
Acting Director
Office for Management of Intellectual Property
UC Santa Cruz
October 30, 2008
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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Export Controls
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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
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Purpose of Export Controls
Main objective is to protect U.S.: National Security Economy Foreign Policy Citizens
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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)
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What Is Controlled
Equipment, Assemblies and Components Test, Inspection and Production Equipment Raw Materials Software Technology
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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
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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
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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
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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.
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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.
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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
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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.
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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
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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.
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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.
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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
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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
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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
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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
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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.
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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.
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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.
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Questions
UARC Export Compliance Officer
Pamela Pancoast
650-604-1284
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UARC Publications
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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.
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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.
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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.
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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.
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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
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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.”
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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
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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
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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/
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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”
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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
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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.
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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.
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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
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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.
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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.
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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.
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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.
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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.
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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 !!!
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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 [email protected]
• Acting UARC Research Compliance Officer –Pamela Pancoast – 650-604-1284– [email protected]
• UARC Director – William Berry– (650) 604 – 0511 [email protected]
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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.”
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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.
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• 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
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Safety and Injury ManagementDale Thrasher
Safety and Training Coordinator
UC SANTA CRUZ
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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
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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
0
20
40
60
80
100
120
140
160
Days/
100 F
TE
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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%
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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
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Sex Harassment & Discrimination Prevention
Briefing 2008
Rita E Walker Title IX /Sexual Harassment Officer
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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
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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, [email protected]) Sexual Harassment Sexual Assault
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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
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UCSC Policy on Sexual Assault &UC Policy on Sexual Harassment
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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
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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
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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…”
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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
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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
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The Risks of Romance
Can I date a student or someone that I supervise?
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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.
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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.
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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
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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
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Be a good example