Transcript UARC IP Management

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
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Inventions track important findings
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Invention reports provide an important index
of productivity for the UARC
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Reporting inventions is required by the UARC
contract
Invention Characteristics
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Inventions are
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New, useful, not obvious developments
That advance the state of the art
An Invention may be
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A device, method, system, process, composition
of matter
A new use for existing technology
An improvement of existing technology
Inventive Areas
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Areas in which inventions may arise
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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
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Conceived
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Reduced to Practice
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Definite and permanent idea
Complete and operative invention
Invention works for its intended purpose –orFiled patent application
Best mode
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How inventor best uses the invention
Disclosure
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Document inventive work
Make a written report
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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
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NASA Form 1679
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http://invention.nasa.gov/docs/nf1679.doc
University of California Record of Invention Form
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http://www.ucop.edu/ott/documents/disclfrm.html
Routing
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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
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http://www.ucop.edu/ott/genresources/patpol_97.html
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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
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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
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Wide range of software applications, scripts,
libraries, and tools
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NASA considers software “New Technology”
Report software
NASA may require assignment of copyright and
prevent disclosure
When the UARC can manage software:
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Generate program income
Distribute open source
Data
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Data sets are important assets
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Observe restrictions on sensitive data received
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“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
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Applicable to Alt II tasks and Alt I tasks where there is a NASA
co-author
SUMMARY
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Intellectual Property is a valuable asset
Promptly report
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Inventions
Discoveries
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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
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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
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Bad Press
Loss of Exporting Privileges
Organizational Civil and Criminal Penalties
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Lawsuits, Fines up to $1 Million, Time in Jail
Unable to Participate on Government Contracts
Protect Yourself
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Personal Criminal and Civil Penalties
Purpose of Export Controls
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Main objective is to protect U.S.:
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National Security
Economy
Foreign Policy
Citizens
Major Export Control Laws
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International Traffic in Arms Regulations (ITAR)
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Export Administration Regulations (EAR)
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Department of State, Directorate of Defense Trade Controls
Arms Export Control Act (AECA)
Department of Commerce, Bureau of Industry and Security
Export Administration Act (EAA)
Trading with the Enemy Act (TWEA)
Foreign Assets Control Regulations (OFAC)
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Department of Treasury, Office of Foreign Assets Controls
International Emergency Economic Powers Act (IEEPA)
What Is Controlled
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Equipment, Assemblies and Components
Test, Inspection and Production Equipment
Raw Materials
Software
Technology
What is Subject to EAR within the UARC
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Technology
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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
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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
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United States Munitions List (USML)
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Includes Equipment, Components, Technology,
Software, or Other Services for
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spacecraft (including nonmilitary)
military and space electronics
protective personnel equipment
guidance and control equipment
The Repercussions of Violations
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Criminal: “Willful” Violation:
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Civil: “Any” Violation:
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Up to $1M per violation for corporations
Up to $1M per violation and up to 10 years in jail for
individuals
Up to $500k per violation for corporations and/or individuals
Civil and Criminal:
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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?
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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 ?
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An Export Can Occur in Three Ways:
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Export
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Re-Export
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shipment or transmission of items outside of the U.S.; or
Shipment of U.S.-origin item from one foreign country to
another foreign country
Deemed Export
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Release or disclosure to a non-U.S. person within or
outside U.S.
Deemed Exports
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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.
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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
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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
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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
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Unknown / Unintentional Deemed Exports
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Laptops
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Data devices may be taken and the contents reviewed
or captured by foreign country officials.
Technical Papers
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Printed materials have the potential of unauthorized
review or distribution.
Deemed Exports and International Travel
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Items to Leave in your Office
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Laptops
Portable Data Storage Items
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USB Storage
Portable Hard Drives
“Hard” Copies of Data or Technology
Utilize Courier Services
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Send printed controlled information ahead of time
to authorized recipient.
Deemed Exports in Everyday Activity
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Hypothetically..
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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
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If a university research project involves controlled
technologies, the researcher may be required to
obtain a government license before:
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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
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Public Domain
Fundamental Research
Public Domain
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Applies to information that is already published, not just ordinarily
published:
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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
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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:
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Involve foreign students or faculty
Discuss the research with others
Share knowledge overseas, even with an American
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Without prior approval of the sponsor
Export Licenses
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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
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Alt I Tasks:
 Generally will not include subject matter specifically identified by
export control laws
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Alt II Tasks:
 May include export controlled items
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fundamental research (technology readiness level (TRL) still low)
no access or foreign national restrictions
work cleared by NASA for unlimited public release
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
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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
[email protected]
650-604-1284
UARC Publications
UARC Publications
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Review and Authorization Procedures
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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
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Alternate I work
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Any publications or presentations resulting from an
Alt I task is subject to the UARC’s review and
authorization procedures.
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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.
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
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Prior to publishing or disseminating data the author
much complete the UARC IP Form 301.
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Forward original UARC IP Form 301 and a copy of the
finished work to the UARC Compliance Officer
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Peer Review and Authorization
Line Management Review and Authorization
NASA Task Requestor
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
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The NASA review and UARC Compliance Officer
Approval requires 45 days for the review.
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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.
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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
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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 NEW
 NASA is currently finalizing an electronic methodology
of securing authorization for STI distribution.
Alt II Procedures
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Prior to publishing or disseminating data resulting
from an Alt. II task, UARC employees and
subcontractors must complete four forms:
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ARC 310, Review and Authorization Record
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NASA Form 1676, NASA Scientific and Technical Information
(STI) Document Availability Authorization (DAA)
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Complete the form and obtain the required signatures. Note the
Author’s signature is required twice on page 2.
Complete Sections 1 and 6.
ARC 1676A, Export Control Public Domain Declaration
(PDD)
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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
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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.
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NEW
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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.
UARC TRAINING
30 October 2008
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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
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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”
Potential Conflict Issues
Most common issues:
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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
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.
OCI in Government Contracting
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.
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 Governmentsensitive 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
[email protected]
• Acting UARC Research Compliance Officer –
Pamela Pancoast
– 650-604-1284
– [email protected]
• UARC Director – William Berry
– (650) 604 – 0511
[email protected]
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.
Internal Audit Investigation Services
• UC Whistleblower policy and
Whistleblower protection policies:
• University website:
http://www.ucop.edu/ucophome/p
olicies/bfb/g29.html
• Campus Website: http://whistleblower.ucsc.edu/
• Internal Audit Website/ Geri Gail-Audit Director
http://audit.ucsc.edu/
Safety and Injury Management
Dale Thrasher
Safety and Training Coordinator
UC SANTA
Injury Rates
8
7
UCSC
6
5
UC Campus
Average
4
3
Best in
Class
2
1
FY 03
FY 04
FY 05
FY 06
FY07
FY08
rates per 100 FTE
based on number of Workers’ Comp claims
Injuries and Lost Work Days
10.00
160
9.00
140
8.00
120
5.00
4.00
100
Claims/100 FTE
6.00
80
60
3.00
40
2.00
20
1.00
0.00
0
2004
2005
2006
2007
2008
Days/100 FTE
7.00
UCSC Injuries
Accident/injury type
% of total % of total
2008
04-07 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%
Focus on Culture
1
Fatality
30
Major Injuries
300 Recordable Injuries
3,000 Near-Misses or First Aid
30,000 Hazards
- Unsafe Acts
- Unsafe Conditions
Safety
Culture
Sex Harassment & Discrimination
Prevention
Briefing 2008
Rita E Walker
Title IX /Sexual Harassment Officer
Protected Classes
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Race
Religion
Ancestry
Marital status
Color
Sex
Age
Disability
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Citizenship
National origin
Sexual orientation
Medical condition
Status as a covered
veteran
Pregnancy
Gender Identity
The Title IX/sexual harassment office
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Sexual Harassment and Sexual Assault Policies
 Formal Complaint Investigation
 Early Resolution-Consultations-Assistance
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Educational Programs (LeAnne Ravinale)
831.459.1758, [email protected])
 Sexual Harassment
 Sexual Assault
The Complaint Resolution Process
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Formal Complaints
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Written complaint
Due process protections
Names provided
Can result in discipline
Written Fact-finding report
Informal Complaint (early resolution)
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Wide range of options, including
Mediation, education, notice conversation
UCSC Policy on Sexual Assault
&
UC Policy on Sexual Harassment
Sexual Harassment Definition
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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
Is this sexual harassment?
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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 Officials
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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 Report
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What you have been told by the
person-who- what- when- where-and
how
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Neither you nor complainant must be
identified
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Respondent must be identified
A few words about retaliation
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Protected Activity
 Complaining about harassment
 Participating in an investigation
 Assisting someone in reporting harassment
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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?
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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
supervisors by January 1, 2006
--2 hours of sexual harassment training for all new
supervisors within 6 months of their becoming a
supervisor
--2 hours of sexual harassment training for all
supervisors every 2 years
Who is a supervisor?
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All staff supervisors and those staff that only
supervise student employees

All academic appointees (excluding postdocs and academic student appointees)
including all faculty
Be a good example