1. UARC IP Management Vanessa Tollefson Acting Director
Office for Management of Intellectual Property
UC Santa Cruz
October 30, 2008

2. 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

3. 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

4. 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

5. Aspects of Invention Conceived Reduced to Practice Best mode
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

6. 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
University of California Record of Invention Form

7. 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

8. UC Invention Policy
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

9. 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

10. 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

11. 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

12. 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

13. Export Controls

14. 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

15. Purpose of Export Controls
Main objective is to protect U.S.:
National Security
Economy
Foreign Policy
Citizens

16. 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)

17. What Is Controlled Equipment, Assemblies and Components
Test, Inspection and Production Equipment
Raw Materials
Software
Technology

18. 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

19. 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

20. 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

21. 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.

22. 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.

23. 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

24. 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.

25. 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

26. 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.

27. 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.

28. 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

29. 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

30. 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

31. 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

32. 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.

33. Applicability Alt I Tasks: Alt II 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.

34. 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.

35. UARC Export Compliance Officer
Questions
UARC Export Compliance Officer
Pamela Pancoast

36. UARC Publications

37. 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.

38. 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.

39. 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.

40. 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 when the review is complete.

41. 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

42. 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.”

43. 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

44. UARC TRAINING 30 October 2008
Review of Internal Audit and Advisory Services
California Conflict of Interest Laws and Regs
Organizational Conflict of Interest (OCI)
Whistleblower law

45. Internal Audit and Advisory Services
Independent University Service:
Director: Geri Gail
4 staff auditors
We are here to help you
My telephone contact:
Website:

46. 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”

47. Potential Conflict Issues
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

48. 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.

49. Organizational Conflict of Interest
(FAR ): 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.

50. 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.

51. 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.

52. 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.

53. Government-sensitive or third-party proprietary data
This means you cannot share it with your colleagues or other employees.
You cannot present it at a conference.
You cannot use it in a publication, unless those actions are necessary for the performance of the contract.
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.

54. Unsolicited proposals
The UARC contract, Section H.4(c)(2), specifies that the UARC shall not submit to the Government an unsolicited proposal:
based on Government-sensitive data
or third-party data that has not been released or otherwise made public
until one year after such data is made available to the public.

55. 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.

56. SUMMARY All conflicts of interest :
weaken the public perception of research integrity,
compromise the objectivity of professional advice,
undermine confidence in the handling of confidential information, and
reduce equitable access to opportunities to participate in future contract work !!!

57. 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
Acting UARC Research Compliance Officer –Pamela Pancoast
UARC Director – William Berry
(650) 604 – 0511

58. Reporting Improper Activities
California Government Code
Section 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
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
is economically wasteful, or involves gross misconduct, incompetency, or inefficiency.”

59. 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.

60. Internal Audit Investigation Services
UC Whistleblower policy and Whistleblower protection policies:
University website:
Campus Website:
Internal Audit Website/ Geri Gail-Audit Director

61. Safety and Injury Management
Dale Thrasher
Safety and Training Coordinator
UC SANTA CRUZ

62. Injury Rates UCSC UC Campus Average Best in Class rates per 100 FTE
based on number of Workers’ Comp claims

63. Injuries and Lost Work Days

64. Burns/Abrasions/Bites
UCSC Injuries
Accident/injury type
% of total
2008
04-07 Ave
Burns/Abrasions/Bites
14% 7%
Exposure 4% 8%
Vehicle 2%
Physical Movement
35%
27%
Cumulative Trauma
15%
22%
Slip & Fall
18%
Stress
Struck at/by
10%
17%

65. Focus on Culture Safety Culture 1 Fatality 30 Major Injuries
30,000 Hazards - Unsafe Acts - Unsafe Conditions
3,000 Near-Misses or First Aid
300 Recordable Injuries
30 Major Injuries
1 Fatality
Safety Culture

66. Sex Harassment & Discrimination Prevention Briefing 2008
Rita E Walker
Title IX /Sexual Harassment Officer

69. 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/SHO is responsible for facilitating and responding to the University’s obligation to be in compliance with federal and state laws and University policies regarding discrimination and harassment.
These policies include discrimination based on these protected classes.
This means that whenever a student, staff or faculty member feels that he or she has been treated differently on the basis of one of these categories, that person can come to my office, the student judicial affairs office and the EEO/AA and complain.

70. The Title IX/sexual harassment office
Sexual Harassment and Sexual Assault Policies
Formal Complaint Investigation
Early Resolution-Consultations-Assistance
Educational Programs (LeAnne Ravinale) ,
Sexual Harassment
Sexual Assault
The Office of Equal Opportunity and Diversity (affectionately known as OEOD) provides 3 basic services to the UCI campus, COM and medical center.

71. 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

72. UCSC Policy on Sexual Assault & UC Policy on Sexual Harassment

73. Sexual Harassment Definition
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
One can also come to OEOD to seek assistance or complain if they feel they have been sexually harassed. Sexual Harassment is a form of gender discrimination and both our policy and the law define sexual harassment as conduct that is:
Unwelcome
Sexual in nature
Severe or pervasive, and
Creates a hostile environment for the recipient of that conduct AND the reasonable person
Note – both a subjective and objective standard
Protects against the thin-skinned complainant
Notice what you don’t see – the intent of the alleged harasser is not one of the elements
SO, is this still a problem?

74. 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

75. University 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…”

76. What 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

77. 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

78. Can I date a student or someone that I supervise?
The Risks of Romance
Can I date a student or someone that I supervise?

79. 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.

81. 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.

82. 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

83. 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

84. Be a good example