ethics for astronomers
TRANSCRIPT
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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.