GuideA

AuthorsSoftware

for

of

IDAHO NATIONAL LABORATORY

For questions, suggestions, more information or additional

guidance, contact INL’s Technology Deployment Office.

Phone: 208-526-1291

This guide is organized to help Idaho National

Laboratory authors answer common questions and to

provide essential information associated with developing

and releasing copyrightable software material. It includes

necessary steps to ensure the best possible outcome

for software created at INL. For more information on

intellectual property and inventions, please refer to A

Guide for Idaho National Laboratory Inventors.

Table of Contents

Overview ————————————————————————————————— 1

What is considered software writing or data set compilation? ————————————— 1Why participate in the technology transfer process? ———————————————— 2What is INL’s system for technology transfer of software? —————————————— 2How long does the technology transfer process for software take? ——————————— 3

General Questions —————————————————————————————— 4

Can INL authors work on personal projects outside of the laboratory? ————————— 4Who owns software that authors write in their personal time? ———————————— 4Can authors contribute to open-source projects as part of their job? —————————— 5What if the scope of the work changes after filing a Software Disclosure Record? ————— 5Should the work be protected with patents in addition to copyright? —————————— 5Can software be released as open source? ———————————————————— 5Can authors give the software to others? ————————————————————— 5Can authors make money for software they write for INL? —————————————— 6Can authors incorporate anti-piracy mechanisms in our software? ——————————— 6What if someone doesn’t want to be named as an author of their software? ——————— 6What if an author wants to start a company with the software they wrote? ——————— 6

Including Third Party Assets Such as Open Source and Subcontracted Work ——————— 7

Can authors integrate software or other assets that were not developed at INL? ————— 7Common Open-Source Licenses and Primary Restrictions —————————————— 8How can authors ensure third party software/assets are okay to use? —————————— 9How can an author ensure subcontractor-developed code is okay to use? ———————— 9How can authors ensure open-source code is okay to use? —————————————— 9How do authors ensure code without a license is okay to use? ———————————— 9What do authors need to track? ———————————————————————— 10Contact Information ————————————————————————————— 12

A Guide for Author s of Sof tware — 2017

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What is considered software writing or data set compilation?INL employees write many various software codes and data sets. This includes nontrivial spreadsheets, scientific or mathematical models, experiments designed to study data sets, or nontrivial customizations to existing software. This guide applies to all software and data collections that are not specifically exempted.

What is technology transfer? For the purposes of this guide, technology transfer is the evalu-ation, protection, marketing, and licensing of software and data sets to various entities, including open source and proprietary licensing. Technology transfer can occur through publication, education and employment, participation in scientific meet-ings, and collaboration with industry through the licensing of innovations.

Overview

Defining technology transfer: the transfer of knowledge, ideas, discoveries and innovations to the public.

Note: Some software is exempt from reporting. If any of the following apply, do not disclose the software in accordance with this guide.

• The software is classified, deals with classified information, or disclosure of its existence may be used to infer classified information, or would create an identifiable risk to the detriment of national security, the confidentiality of government information, individual privacy, agency mission, programs or operations. If unsure, please speak to a classification analyst from Security Programs and Services before disclosing.

• The software is for a National Security System. This does not imply that the software cannot be disclosed, but the author should speak with a security representative to determine if disclosure is appropriate.

• The software is truly exploratory or disposable in nature, such as that written by a developer experimenting with a new language or library.

• The software is simple configuration for existing software, trivial in nature and part of the normal configuration of that software.

Key takeaways from this guide:• Always file a Software Disclosure Record (SDR) for

any software you write for INL unless it is exempt. Do this early in the development process to avoid costly delays. This includes all software, whether or not it is intended to be released for an internal or external customer.

• Never give INL software to anyone outside INL unless the laboratory has the rights to distribute the code and the transfer is made under a contract with intellectual property (IP) terms that support INL’s deployment strategy. This includes project collaborators from other DOE labs. Technology Deployment (TD) will assist in getting the proper agreement in place.

• Never put third party software, images, fonts or other assets into INL software without recording its purpose and origination.

• Software written for INL belongs to the laboratory. This guide outlines the process to make INL’s software legally available outside of INL.

• Ownership of software funded by other entities follows rules established in the contracting mechanism. TD can help authors navigate what INL owns and what is owned by somebody else.

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Why participate in the technology transfer process?Although employment at INL requires participation in the technology transfer process, involvement has additional benefits:

• making a positive impact on society and achieving personal fulfillment

• achieving recognition, career advancement and sharing in royalties from licensing

• attracting new sponsors and generating additional funding for further research and development

• reducing the work required by others to duplicate the effort

What is INL’s system for technology transfer of software?INL’s technology transfer office, Technology Deployment (TD), manages all of the activities and processes associated with iden-tifying, evaluating, protecting and deploying intellectual property

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(IP). TD and INL’s IP legal counsel work together to obtain IP protection and copyright assertion rights.

Technology Deployment’s mission is to transition new software and inventions from INL to applied use by the public. INL wants, and is required by law, to ensure that the public’s investments in research and development efforts get the most benefit possible.

DisclosureAs soon as the scope of the software is known, the author should complete a Software Disclosure Record (SDR) by going to the Intellectual Property Disclosure System (IPDS) at https://ipds.inl.gov and selecting New Software Disclosure. The TD Team will respond to any additional questions.

AssessmentAfter the SDR is filed, it will be reviewed by the TD office. The author may be contacted for any clarifications or if additional information is needed. The software or data will be reviewed by Security and Export Control experts to determine if it requires

A Guide for Author s of Sof tware — 2017

3

federal regulation to restrict its distribution, or if it may contain information that would identify individuals in a way that may adversely affect their privacy.

Next, a software specialist will gather information about the software – its scope of applicability, the intent and wishes of the authors, directorate and funding sources – to make a recom-mendation to the Business Evaluation Strategy Team (BEST) supporting the directorate.

BEST (composed of directorate managers, INL patent attorneys and legal staff, and TD commercialization managers) makes recommendations to the Director of Technology Deployment regarding IP for which the contractor should elect title, request the right to assert copyright, publish, disclose, deploy, and/or invest. BEST can also recommend a deployment strategy to commercialization managers for assigned intellectual property, such as making the software freely available under open-source licenses. Alternatively, they may restrict the distribution in order to incubate the technology for further development without the pressure of competition. In some cases, the software may be too sensitive or confidential for outside use, and deployment options may be limited.

Once a tentative decision on how to release the software has been made, TD obtains the necessary concurrences (such as export control, counterintelligence, security, legal and management) and prepares the appropriate license if needed. Depending on the strategy chosen, TD will market and license the software to optimally achieve INL’s technology transfer mission while taking into consideration the recommendations made by BEST and the other reviewers.

Defining deployment strategy: the method by which INL will deliver the software to third parties. Methods include exclusive licensing, nonexclusive licensing, open source, government use only or publication.

How long does the technology transfer process for software take?For most software, it takes about six weeks to review the deploy-ment options. It can take longer if funding sources, developers and directorates have concerns, or if there are issues in licensing arising from third party assets integrated within the software. To avoid delays, disclosures should be filed as soon as possible after development is started. This allows the technology transfer process to be completed during the development phase and enables the software to be released the day it is completed.

Tips for Authors:• Complete the SDR as soon as it is known what the software will

do or the scope of the data set. Provide as much detail as possible. The development of the software does not need to be nearing completion; only the function of the software needs to be known.

• List potential interested parties that may wish to use the software or data so the software specialist may make a better recommendation for the release strategy.

• Respond to the TD office or legal team promptly when inquiries are made to avoid delays.

• Keep the TD office apprised of any third party code or other assets, such as open-source libraries that are included in the software so they can catch early open source licensing issues that may not be compatible with the chosen release strategy.

• Identify any additional authors, whether they are INL employees or not, to the TD office as soon as they are selected to work on the software.

• Inform the TD office if the software deviates from the disclosure, such as adding additional functionality outside the original project scope.

• Inform the TD office of any upcoming publications or speaking engagements related to the software.

• Choose the name of the software carefully to avoid potential trademark infringement. Contact TD prior to naming the software; they can perform a trademark search. Authors can also go to USPTO.gov to make a preliminary search.

Can INL authors work on personal projects outside of the laboratory?Yes, but they need to comply with INL’s outside activities policies (detailed in HBK-25001 Sec. 1.17) and be mindful of ownership concerns. Developing or using INL-owned software for non-INL purposes requires prior approval and a license. TD endeavors to accommodate the author’s objectives without compromising INL, its partners, its mission, DOE or INL employment agreements.

Who owns software that authors write in their personal time?INL’s employment agreement states that any IP developed that is related to INL business, arises out of work done for INL, arises out of any proprietary information as a result of working for INL, or is made using INL’s time, facilities or materials is owned solely by INL. This means that even software written at home, on personal time or on personal computers, may be owned by INL. If there is uncertainty about who owns the software,

General Questions

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A Guide for Author s of Sof tware — 2017

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TD and Legal can review each unique situation and make a determination. They may request the submission of a Software Disclosure Record (SDR) or Outside Activities Form (480.05) to gather the necessary details.

If INL determines that it owns the software, the author may request to obtain proprietary licensing for the software from INL. Alternatively, INL may release the software under open-source licensing where the author, and the public, will have access to it. Additionally, the Director of Technology Deploy-ment may decline to assert ownership in certain circumstances, based on recommendations of potential stakeholders. If this occurs, DOE retains ownership of the software, and the author(s) can request ownership or a license from DOE-CH (Chicago) patent counsel.

Can authors contribute to open-source projects as part of their job?Yes, authors are encouraged to contribute to open-source projects as long as they have filed an SDR for the contributions and it has been approved by TD. When ongoing contributions are anticipated, TD may give a broader scope of approval so that the author does not need a separate disclosure for each bug fix or small feature change. Whenever an author modifies third party open-source code, they should evaluate the possibility of contributing their changes back to the original project and file an SDR for these changes. Authors may not simply send a pull request, code patch, or equivalent to the external project without TD’s approval.

What if the scope of the work changes after filing a Software Disclosure Record?Changes to the core functionality of the software must be docu-mented to comply with DOE requirements. If the project is still under initial development and has not been deployed, contact TD and they can amend the project’s description and have the

changes reviewed. If the project has already been deployed and there is ongoing development, file a new SDR referencing the original SDR and advance the version in the new SDR to distin-guish the releases. This allows TD to track the development in relation to the original SDR rather than treating it as an unrelated project, saving resources and expediting the process.

Should the work be protected with patents in addition to copyright?In many cases, software is most appropriately protected by copyright. If the software uses a new and innovative procedure or process, then file an Invention Disclosure Record (IDR) in IPDS (the same system used to file SDRs).

Filing an IDR initiates the process of assessing the invention, and determining if it should be protected by a patent, which may be strategically used to more effectively bring the technology to market in some cases, or which may bring INL additional licensing royalties to fund further research.

Can software be released as open source?Yes, if open source is the best mechanism to deploy the software, it supports programmatic objectives, and doing so complies with export control and other contract requirements. INL and TD strongly support releasing software to achieve the greatest impact for our technological advances when possible. TD makes licensing strategy decisions based on the recommen-dations/guidance from BEST, management, program sponsors, export control and other supporting entities.

Can authors give the software to others?Software should not be given to any non-INL employee unless TD reviews and approves the transfer. TD ensures that all of INL’s contract requirements are met and that the software is transferred under the appropriate agreements. If there is a need to share the software with others, contact TD and they will assist in getting the proper agreement in place.

Can authors make money for software they write for INL?Yes, INL has a royalty sharing program for software authors. Authors on a software project, or inventors on an INL patent, receive up to 30 percent of the income from intellectual property that is licensed in accordance with LWP-22231.

Can authors incorporate anti-piracy mechanisms in our software?Yes, but in most situations, incorporating appropriate licensing terms and pursuing legal action against infringers is sufficient. Researchers can add anti-piracy mechanisms if they have sufficient funding to do so, but TD does not add them in most licensing situations.

What if someone doesn’t want to be named as an author of their software?In an attempt to be supportive of INL employees’ reputation and careers, TD generally tries to publicize the names of INL software authors. If an author wishes to remain anonymous, then the name can be withheld where it appears in the software release. This will not interfere with any royalty sharing, as there will still be an internal record of authorship.

What if an author wants to start a company with the software they wrote?Starting a company based on software written at INL is commonly referred to as spinning out. The process includes licensing INL-owned IP to: 1) an laboratory employee, 2) a former laboratory employee who left INL with the intention of commercializing the technology, or 3) a new entity that is owned by, partially owned by, or employs an laboratory employee, or laboratory employee who left INL with the intention of commercializing the technology. For more information on spinning out software, please read INL’s guide, GDE-66122210 Guide for Employees Considering an INL Technology Start-up.

AdditionalInventor

Rewards, S&TFund, Innovation

Development Fund

Inventor(s)and/or

Authors(s)

70%

30%

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