1. ASME C&S Training Module C4 MODULE C - LEGAL SUBMODULES C1. Conflict Of Interest/Code Of Ethics C2. Antitrust C3. Torts C4. Intellectual Property C5. Speaking For The Society

2. ASME C&S Training Module C4 DATESLIDECHANGE 4/13/0410, 12 & Notes Changed “C&S Publishing” to “C&S Operations” REVISIONS

3. C4. Intellectual Property

4. ASME C&S Training Module C4 Slide 3 OBJECTIVES This submodule will –Describe ASME’s policies for the protection and use of intellectual property including Copyrighted material Trademarks Referencing of patented items and trademarks in codes and standards

5. ASME C&S Training Module C4 Slide 4 AGENDA I.Protection of ASME Copyrights II.Protection of ASME Trademarks III.Referencing of Patented Items and Trademarks

6. ASME C&S Training Module C4 Slide 5 I. PROTECTION OF ASME COPYRIGHTS

7. ASME C&S Training Module C4 Slide 6 COPYRIGHT Definition –A property right which grants certain exclusive rights to creators ("authors") of original works –Exclusive rights include protection against unauthorized printing, reprinting, publishing, copying, selling, translating, conversion, arrangement, adaptation, delivery or performance of the copyrighted work –Registration not required, but grants important legal privileges

8. ASME C&S Training Module C4 Slide 7 PROTECTING ASME’S INTELLECTUAL PROPERTY Policy –All codes and standards publications must be registered with the U.S. Copyright Office upon publication. Protects the Society and its members from unauthorized copying and distribution of codes and standards Protects against use of C&S extracts out of context (a safety hazard) (cont’d)

9. ASME C&S Training Module C4 Slide 8 PROTECTING ASME’S INTELLECTUAL PROPERTY Policy (cont’d) –All C&S committee members must acknowledge in writing: Copyright and all rights to all materials produced by ASME Codes and Standards committees are owned by ASME. ASME may register copyright in its own name. The only permitted reproduction of ASME copyrighted material is for Committee business. Reference: Society Policy P-12.15, CSP-11

10. ASME C&S Training Module C4 Slide 9 POP QUIZ #1 True or False. Copyright protection of ASME codes and standards is important only because unauthorized copying would mean loss of an important source of revenue.

11. ASME C&S Training Module C4 Slide 10 COPYING FROM ASME DOCUMENTS Obtaining permission –Request must be submitted in writing. –Must include: List of material to be copied Number of copies to be made Brief description of intended use –Must be submitted as follows: Hard copy: to C&S Systems Administrator Electronic copy: to Managing Director, C&S Operations

12. ASME C&S Training Module C4 Slide 11 COPYING FROM ASME DOCUMENTS Royalty charges Percent of Original CopiedRoyalty Charge 10% (max. 25 pages)No charge < 25%5% of List Price x # copies < 50%10% of List Price x # copies < 75%25% of List Price x # copies 75% and over 70% of List Price x # copies

13. ASME C&S Training Module C4 Slide 12 TRANSLATING ASME DOCUMENTS Obtaining permission –Submit requests to Managing Director, C&S Operations –Must agree to: Include a statement in each document, in both English and translation language, stating that English version is official version Acknowledge that permission to translate and reproduce was granted by ASME Provide ASME with one copy of the translated version

14. ASME C&S Training Module C4 Slide 13 TRANSLATING ASME DOCUMENTS Royalty charges Number of Copies to be PrintedRoyalty Charge 1-50015% of List Price x # copies > 500First 500: 15% of List Price x 500 copies Copies over 500: 10% of List Price x # copies

15. ASME C&S Training Module C4 Slide 14 RESPECTING THE INTELLECTUAL PROPERTY RIGHTS OF OTHERS ASME policies –Copyright and other intellectual property rights of third parties must be respected. –An individual submitting copyrighted material for use by ASME is responsible for notifying ASME staff so they can obtain permission. –Identify copyrighted material early; ASME staff will seek permission to use.

16. ASME C&S Training Module C4 Slide 15 RESPECTING THE INTELLECTUAL PROPERTY RIGHTS OF OTHERS Identifying the copyright owner –Notice of copyright generally located at front of document –Notice of copyright includes Name of copyright owner Year in which published CAUTION: Lack of a Notice of Copyright is no guarantee that the document is not protected by copyright.

17. ASME C&S Training Module C4 Slide 16 POP QUIZ #2 a.ASME Staff b.Committee Chair c.The individual submitting the material d.None of the above Responsibility for identifying that material submitted for use in ASME codes and standards rests with:

18. ASME C&S Training Module C4 Slide 17 II. PROTECTION OF ASME TRADEMARKS

19. ASME C&S Training Module C4 Slide 18 TRADEMARKS Definition –A word, phrase, symbol or design… which identifies and distinguishes the source of goods or services of one party from those of others Types of marks –Trademarks –Service marks –Certification marks –Collective trademarks and membership marks

20. ASME C&S Training Module C4 Slide 19 TRADEMARKS, COPYRIGHTS & PATENTS Trademarks are different from copyrights and patents –A copyright protects an original artistic or literary work. –A patent protects an invention.

21. ASME C&S Training Module C4 Slide 20 TRADEMARKS Trademark rights established by: –Actual use of mark –Registering mark with PTO (not required) Use of “TM”, “SM”, and ® –“TM” and “SM” may be used by anyone –® may be used only with registered symbols

22. ASME C&S Training Module C4 Slide 21 CERTIFICATION MARKS Definition: A word, symbol, device, or combination thereof… –Used by parties other than the mark’s owner –Indicates inspection or checking by someone other than the mark user –Right to use obtained by applying to mark owner Uses (Types) –To certify the source geographic region –To certify the quality, materials, or mode of manufacture of goods or services –To certify the manufacturer

23. ASME C&S Training Module C4 Slide 22 CERTIFICATION MARKS Certification mark (vs. Trademark) –Certification mark may not be used by mark owner. –Certification mark owner does not control nature and quality of marked products. –Owner controls use of certification mark by others. –Certification mark does not indicate source of product. –Goods or services have been inspected or in some way checked by someone other than producer.

24. ASME C&S Training Module C4 Slide 23 REGISTERED ASME CERTIFICATION MARKS

25. ASME C&S Training Module C4 Slide 24 USE OF ASME MARKS Use on items –May only be used on items with full code compliance - no exceptions –May only be used by holder of Certificate of Authorization –Must be removed if improperly used

26. ASME C&S Training Module C4 Slide 25 USE OF ASME MARKS Use in advertising –May be used to show that clearly specified items will carry symbol –ASME logo may never be used

27. ASME C&S Training Module C4 Slide 26 USE OF ASME MARKS ASME 9000 symbol –May not be used on products –May be used in advertising or company letterhead if meaning properly represented

28. ASME C&S Training Module C4 Slide 27 POP QUIZ #3 A Certificate of Authorization holder is entitled to display the appropriate ASME Code symbol… a.In any advertisement b.In any advertisement related to the product covered by accreditation c.In no advertisement without specific written permission from ASME

29. ASME C&S Training Module C4 Slide 28 POP QUIZ #4 (Extra Credit) True or False. A Certificate of Authorization holder is entitled to display the ASME logo in its advertisements.

30. ASME C&S Training Module C4 Slide 29 CSP-53 PROTECTION OF ASME MARKS Policies –All programs with marks must provide for designated oversight. –Designated oversight measures must comply with ASME-developed criteria. Provide reasonable assurance that activities comply with ASME code or standard Provide for notification of noncompliance ASME must qualify organizations or individuals

31. ASME C&S Training Module C4 Slide 30 CSP-53 PROTECTION OF ASME MARKS Authorized types of designated oversight –Authorized Inspection Agency (AIA) ASME accredited insurance company or enforcement authority Uses Authorized Inspectors (AI) –Qualified Inspection Organization (QIO) ASME qualified organization (but not an AIA) May not be an entity authorized to use ASME marks Uses Qualified Inspectors (QI) (cont’d)

32. ASME C&S Training Module C4 Slide 31 CSP-53 PROTECTION OF ASME MARKS Authorized types of designated oversight (cont’d) –Certified Individual (CI) Employee of an entity authorized to use ASME marks Qualified and certified by the entity Subject to evaluation by ASME during entity’s accreditation review

33. ASME C&S Training Module C4 Slide 32 CSP-53 PROTECTION OF ASME MARKS Required documentation for use of mark –Data reports or certificates of conformance –Signed by person responsible for oversight Record retention –Reports/certificates must be traceable to Certificate Holder –Standard establishes retention period

34. ASME C&S Training Module C4 Slide 33 POP QUIZ #5 True or False. Use of an ASME mark must be supported by signed proof of compliance.

35. ASME C&S Training Module C4 Slide 34 III. REFERENCING OF PATENTED ITEMS AND TRADEMARKS

36. ASME C&S Training Module C4 Slide 35 REFERENCING PATENTED ITEMS (CSP-59) Guidelines –Patented Items should not be referenced explicitly in standards –Requirements should be written in performance language Patented item is one means of satisfying –If performance language not practical, patented item may be referenced –If use of patented item is necessary to meet standard, follow ANSI’s patent policy

37. ASME C&S Training Module C4 Slide 36 ANSI PATENT POLICY If standard proposes to require use of a patented item: –Patent holder must supply ANSI with: General disclaimer OR Written assurance of reasonable licensing terms –Early disclosure of patents enhances efficiency of process –Licensing terms are not subject to committee deliberation

38. ASME C&S Training Module C4 Slide 37 REFERENCING TRADEMARKED ITEMS (CSP-59) Guidelines –Trademarked Items should not be referenced explicitly in standards. –Requirements should be written in performance language. Trademarked item is one means of satisfying –If performance language not practical, trademarked item may be referenced. –If reference to trademarked item is necessary, words “or the equivalent” shall follow the reference.

39. ASME C&S Training Module C4 Slide 38 POP QUIZ #6 Instead of naming a patented product in a standard, what should a Standards Committee try to do first? _____

40. ASME C&S Training Module C4 Slide 39 SUMMARY I.Protection of ASME Copyrights II.Protection of ASME Trademarks III.Referencing of Patented Items and Trademarks

41. ASME C&S Training Module C4 Slide 40 REFERENCES Codes & Standards Policies* -CSP-53, Protection of ASME Marks -CSP-59, Referencing Patented Items and Trademarks in Codes and Standards *Available on C&S Web site at: www.asme.org/cns/departments/procedures.html