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EthicsforAstronomers

Lecture07

October22,2008

“IntellectualProperty”(a.k.a.themuffin‐toplecture)

READINGS:Galileo

Bayh‐DoyleEssays

ExampleofIP:Elaine’sMuffinTops

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WhyareastronomersconcernedaboutIP?

•  Common complaint: “So-and-so stole my idea.”

•  Student-Postdoc-Faculty-Mentor Relationships, labor mobility

•  Scientist-Institution Relationships

•  As with data management, IP has a central role in authorship disputes and collaboration

•  IP and data management often two sides of the same coin.

•  IP has tangible value ($$) It is “property”

•  Profit motives (tragedy of the anticommons), research program as a business, junior peers as employees, students as the customers (are they satisfied?)

CasestudyWinstonisapostdocandaPIonaHubbleprogramwhichsurveysnearbystarsforextrasolar

planetsanddebrisdisks.OnestaryieldsthedirectdetecUonofanexosolarplanet,butfollow‐upobservaUonstofurtherunderstandthephysicalnatureoftheplanetcanonlybedonewithHubble.ThediscoveryismadeinAugust,thepaperissubmiWedinDecember,theAASmeeUngisinJanuaryandtheHubbleproposaldeadlineisinFebruary.WinstonwouldliketodisseminatethescienUficresultassoonaspossible,butworriesthatseniorastronomersatotherinsUtuUonswouldtakethenewdiscoveryandcompetedirectlywithhimforfollow‐upHubbleUme.WinstondecidestoannouncethediscoveryattheAASmeeUngwiththedetailsconcerningthemassandorbitalproperUesoftheplanet,butdoesnotgivetheidenUtyofthestar.AdisUnguishedprofessorcomesuptoWinstona[erwardsandaccuseshimofbehavingunethicallyforkeepingthetargetasecretanddelayingfurtherscienUficprogress.

HasWinstonengagedinthetypeof“undesireableconduct”discussedunderresearchmisconduct?

Whatarethecostsandbenefitsofkeepingthetargetasecret?

HowwouldthisbalancechangeifWinstonwereatenuredprofessor?

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TradeSecrets(withthankstoPeterMenell,BoaltSchoolofLaw)

•  Tradesecretsareoneoftheoldestandmostpervasiveformsofintellectualproperty.

•  AsecretisnotnecessarilytechnologicalorcreaUve,butitcanbevaluable.

•  DefiniUon(UTSA):“…informaUon,includingaformula,paWern,compilaUon,program,device,method,techniqueorprocessthat(1)derivesindependenteconomicvalue,actualorpotenUal,and(2)isthesubjectofeffortsthatarereasonableunderthecircumstancestomaintainitssecrecy.DuraUon:unUltheinformaUonisdisclosed.

•  Whatdotradesecretshavetodowithscienceethics?

–  ScienUstsusesecrecytopreventunfaircompeUUonwhilesimultaneouslyaWempUngtodisseminatescienUficresults(Galileoreading).

–  SecrecyinterfereswiththescienUficmethod(e.g.,protectedtargets,“whodoyouworkfor?”,“theso[wareisproprietary”)

–  ThereisacategoryofunethicalacUonwhichistoobtainatradesecretbyunethicalacUons.But,aswewillsee,alotofinformaUonisnot“secret”.

Tradesecretsdonotinclude

•  Personalskill

•  Generalknowledge(priorart)

•  Thatwhichisreadilyascertainable

•  Butgrayareas:tradesecretsdonothavewhatcopyrightshave,whichiswriWeninformaUon.

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Fourelementstoevaluatewhetherornotthereisasecret

•  InformaUonnotgenerallyknown(priorart)

•  InformaUonnotreadilyascertainable(availability,easeofreverseengineering,nonobviousness)

•  Reasonableeffortstomaintainsecrecy(precauUons,security,non‐dislosures)

•  CommercialValue•  Ifnosecret,thensomeethicalproblemsgoaway…

•  WhataboutElaine’sMuffinTops?

•  Whatwasthefirstcasestudyinthiscourse?

…ideasareallintheair…

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InternaIonalNewsServicevs.AssociatedPress248US215(1918)

•  DuringWWI,APwouldpostnewsinkiosksinNYC,INSwouldcopyinformaUonandsendittotheWestcoastbeforeAPcouldsendittotheWestcoast

•  JusUceBrandeis(dissent)–Knowledgebecomes“freeastheairtocommonuse”a[ervoluntarydisclosure.

•  JusUcePitney(majority)–UnfaircompeUUonkillsincenUves

•  JusUceHolmes‐KeyproblemisthatpeoplethinkthatINSproducesthenews,APdoesnotgetthecredit.

•  Outcome:Doctrineoflimitedpropertyright.Theproprietaryperiod.

•  Soundfamiliar?

Casestudy:“CompeUUonandtheTAC”(C‐AWac)

•  KeckObservatoryhascommissionedanewinstrument,andTom,anewpostdocatUCBerkeley,wishestosubmitaproposaltotheNASATelescopeAllocaUonCommiWeetopursueacuingedgesciencetopic.Histargetlistderivesfromoneyearofpreviousworkanalyzingofthe2MASScatalog,butheisconcernedwhenhefindsoutthatacompeUtorisamemberoftheNASATAC.ThecompeUtorhasareputaUonforopportunism,andaccordingtotheKeckschedules,thecompeUtorhas3‐4nightsofobservaUonsscheduledperyearthroughherownuniversitythatmanagesitsownTACforthetelescope.TomsubmitstheproposalandthreemonthslaterheisnoUfiedthatitisrejected.Sixmonthsa[erthatthecompeUtorpublishesaground‐breakingpaperonexactlythesametargets,basedondatatakenthreemonthsearlier,withexactlythesameinstrumentalsetup.Tomisfurious,claimingthattheideafromhisproposalhadbeenstolen.

1.  Whatarethefactsofthecase?DoesTomhaveallthefactsthatheneedstomakeacaseforunethicalconduct?Ifnot,whatismissing?

2.  WhichparUesmayhaveactedunethically?Why(i.e.whatprinciples,imperaUves,standardsorcodesarepossiblyviolated)?

3.  WhatshouldTomdo?HowmighttheotherparUesrespond?4.  IsthescienUficmethoddamagedincaseslikethis?

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C‐AWacTake2•  Tom’s Keck target is not a secret (or else Tom would have a clear case against his competitor)

•  A small community of specialists in the field, from all over the world, would be able to construct a science program identical to Tom’s

•  Tom’s evidence is ultimately circumstantial: the target and method are knowable by others, but the timing is suspicious and the poor reputation of the competing scientist reinforces the suspicion of “undesirable conduct”.

•  From a purely legal perspective, there was no secret, and no intellectual property could therefore be stolen.

Unethical&IllegalConduct:MisappropriaUon

•  Impropermeans.–  Breakin,stealing,reverseengineering,etc.–  Ismeredeviousnessimproper?

•  Breachofconfidence(morecommonthanimpropermeans)–  AconfidenUalrelaUonshipisestablishedinthefollowingcircmstances,

andthiscanbeimplicitorexpicit:Express:ApersonmakesanexpresspromiseofconfidenUalitypriortothedisclosureofthetradesecret.Implied:thetradesecretwasdisclosedtothepersonundercircumstancesinwhichtherelaUonshipbetweentheparUesjusUfytheconclusionthatattheUmeofdisclosurethepersonknewthtthedisclosurewasintendedtobeinconfidenceANDtheotherpartytothedisclosurewasreasonableininferringthatthepersonconsentedtoanobligaUonofconfidenUality(thelawhonorssocialnorms).

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Casestudy

•  ElaineandherMuffinTopidea?–  DidsheaWemptsecrecy?

–  DidshepresenttheideawithimpliedconfidenUality?–  DidshehaveaconfidenUalrelaUonship,e.g.employeeofmuffinshop?

•  OK,shehasnocase.Whatnow?

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Tomtheastronomer,whatnow?

•  CollaboraUon,buildconstrucUvelybasedonareasofexperUse.

•  LayoutinadvanceaplanforauthorshipinpapersANDinpressreleases.

•  ConUnuetoshareideas,butbuildinexpresspromisesofconfidenUalityand/orcollaboraUonfromthestart.