1. National Aeronautics and Space Administration Innovative Technology Partnerships Office Software Release Process Enidia Santiago-Arce Technology Transfer Manager Software Release Authority Alternate Innovative Technology Partnerships Office NASA Goddard Space Flight Center Greenbelt, Maryland (USA) Enidia.Santiago-Arce@nasa.gov Presentation at: The Technology Education and Assessment Seminar December 7, 2015

2. National Aeronautics and Space Administration NASA 2015 Mission Statement and ITPO’s Role Drive advances in science, technology, aeronautics, and space exploration to enhance knowledge, education, innovation, economic vitality, and stewardship of Earth. NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov2

3. National Aeronautics and Space Administration Tech Briefs, Patents, NTRs, Collaborations, ICB, Spin-Offs, Copyright, SAA, IOYA, CRADA, CFR 404, Tech Transfer, Stat-Bar ITPO, SOYA, SUA, IP, Partnerships, TRL, Royalty, Software Release, License, SAA, SBIR/STTR, NPD2210.1C, NPD7500, SRA Tech Briefs, Patents, NTRs, Collaborations, ICB, Spin-Offs, Copyright, SAA, IOYA, CRADA, CFR 404, Tech Transfer, Stat-Bar ITPO, SOYA, SUA, IP, Partnerships, TRL, Royalty, Software Release, License, SAA, SBIR/STTR, NPD2210.1C, NPD7500, SRA NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov3 Familiar with any of these terms? Getting Started…

4. National Aeronautics and Space Administration Overview the Innovative Technology Partnerships Office (ITPO)Overview the Innovative Technology Partnerships Office (ITPO) −Explain technology transfer practices/processes Describe the Software Release ProcessDescribe the Software Release Process NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov4 Today’s Goals

5. National Aeronautics and Space Administration Innovative Technology Partnerships Office (ITPO) NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov5 What we do: Manage and facilitate the transfer of Goddard technologiesManage and facilitate the transfer of Goddard technologies Form partnerships on many levels working with industry, academia, and other government agenciesForm partnerships on many levels working with industry, academia, and other government agencies Ensure small businesses participate in Goddard research and technology that also leads to non-NASA benefitsEnsure small businesses participate in Goddard research and technology that also leads to non-NASA benefits Why we do it: Fulfill requirements to appropriately transfer publically funded technologyFulfill requirements to appropriately transfer publically funded technology Leverage innovative scientific and engineering capabilities to advance mutual technology needsLeverage innovative scientific and engineering capabilities to advance mutual technology needs Responsibility to include U.S. small industry role in developing technologies for the U. S. space programResponsibility to include U.S. small industry role in developing technologies for the U. S. space program

6. National Aeronautics and Space Administration 6 3 Core ITPO Programs Roles and Responsibilities ProgramTasks Technology Transfer Asset management Capture new scientific and technology findings Disseminate information and share technical results Partnership Management Strategize and tactical planning Determine needs, objective, what to leverage, and goals Coordinate use of joint expertise, facilities, and technologies Small Business Innovation Research (SBIR) Small Business Technology Transfer (STTR) Engage the technical ideas of small and non-profit organizations Create topics and subtopics to advance the state-of- the art of hi technology Generate technology solutions for NASA and commercial interests

7. National Aeronautics and Space Administration Technology Transfer NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov7 NASA Goddard inventions and technologies advance physics, chemistry, optics, robotics, communications, and other fields.NASA Goddard inventions and technologies advance physics, chemistry, optics, robotics, communications, and other fields. These technologies offer enormous potential for providing benefits to society.These technologies offer enormous potential for providing benefits to society. U.S. legislation mandates technology transfer for publicly funded research.U.S. legislation mandates technology transfer for publicly funded research. Definition: The movement of knowledge and discoveries to the public and private sectors. The ITPO helps NASA Goddard fulfill a U.S. Government technology transfer mandate for federal labs engaged in R&D.

8. National Aeronautics and Space Administration Device Machine Apparatus Product Method Process Technique System Article Chemical Tool Fixture MaterialSoftware While “breakthroughs” are one type of invention, others include improvements to existing technology or novel combinations of existing components. What Constitutes New Technology? NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov8

9. National Aeronautics and Space Administration Technology Transfer Capturing New Ideas, Documenting Assets NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov9 FY13 & FY14 Agency NTRs

10. National Aeronautics and Space Administration Technology Transfer Capturing New Ideas, Documenting Assets NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov10

11. National Aeronautics and Space Administration ITPO/Office of Patent Counsel: Technology transfer often involves making NASA Goddard technologies and data freely available to the public (for example, Open Source software).Technology transfer often involves making NASA Goddard technologies and data freely available to the public (for example, Open Source software). Some software can be used for modeling and simulation, such as predicting long- term climate changes.Some software can be used for modeling and simulation, such as predicting long- term climate changes. Other software manipulates large sets of raw data (such as data produced by NASA Goddard’s ongoing Earth Science missions) and for making this data more useful and understandable to potential consumers.Other software manipulates large sets of raw data (such as data produced by NASA Goddard’s ongoing Earth Science missions) and for making this data more useful and understandable to potential consumers. Other software developed by Software Engineering Division includes tools for flight, ground, science analysis software systems, mission operations, and on-orbit support.Other software developed by Software Engineering Division includes tools for flight, ground, science analysis software systems, mission operations, and on-orbit support. The ITPO helps decide whether or not, and through what means, NASA Goddard technologies are made openly available for public use. NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov11 Technology Transfer Open Sharing of Science Data, Tools, and Software

12. National Aeronautics and Space Administration Process: Inventor requests authorization to release software (NTR must have been filed).Inventor requests authorization to release software (NTR must have been filed). Request coordinated by ITPO (Software Release Authority) with Export Control, IT Security, and Patent Counsel.Request coordinated by ITPO (Software Release Authority) with Export Control, IT Security, and Patent Counsel. Categories include: U.S. government purpose release, General U.S. release only, U.S. and foreign release, Open source release, and General public release.Categories include: U.S. government purpose release, General U.S. release only, U.S. and foreign release, Open source release, and General public release. Software is a strategic asset that need to be protected. NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov12 Technology Transfer Software Release

13. National Aeronautics and Space Administration Innovator SRA Specialist Export Control IT Security Request * made to use software SRA Develops NTR and submits to NTR Specialist Determines if software is work of U.S. Government; Determines Software Ownership for Patent rights; Identifies Authors and Inventors Issues SUA/NOSA Reviews final report & makes final release category decision Send SUA(s) for signature(s) EndEnd Glossary of Acronyms: GP - General Public OS - Open SourceNTR - New Technology Report TM - Technology ManagerSRA - Software Release AuthorityOPC - Office of Patent CounselSUA – Software Usage Agreement *Software requests can be initiated by either the innovator or an external entity (NASA Civil Servant, Government Civil Servant, or general public) as determined by the type of request OPC 508 Compliance Ensures integrity of NASA IT and obtain results of IT assessment Determines if Software is classified or contains risk Reviews for U.S State Department regulations; Department of Commerce Regulations; Request for Command and Control Ensures complies with Export Control Laws Consolidates package and send staffing memo to Export Control, 508 Compliance and IT Security and OPC Establishes concurrence from CIO Ensures no NASA files/libraries or software exposes internal processes Reviews IT Security plan Submits Export Control, IT Security, and Inventor forms to ITPO; contacts 508 Compliance directly for assessment Yes TM No Receives and Process software request forms GP or OS Release Consolidates package and send staffing memo to OPC Gov’t Purpose Release NTR?NTR? Verifies 508 Compliance – accessibility, etc. Submits results to Innovator Enters Partnership & Software Release determination in NTTS Start OS Release Verifies 7150.2 Compliance- Category Reviews, etc. NPR 7150.2 Compliance Reviews release request and assess release type for NASA’s best interest Makes final recommendation decision at NTA meeting

14. National Aeronautics and Space Administration StepsDocument/FormsParties Involved 1. Software is Reported via NTR Inventor files NTR before public release (distributing, publishing, presenting) NF-1679SW Developer, ITPO 2. Request for SW is initiated and processed Requester Needs to Fill the necessary forms and verify the S/W satisfies NPR 7150.2 and NASA-STD-8739.8 SRRA, 508 Compliance Export Control IT Security Global Concerns, Software Engineering and Assurance Compliance SW Developer, Software Release Authority (SRA), Requester, Office of Patent Counsel (OPC) 3. Software Release Determination Based on submitted documents and feedback from different groups involved the SRA makes final determination Software Usage Agreement (SUA) SRA, ITPO, Export Control Office, OPC Technology Transfer Software Release

15. National Aeronautics and Space Administration Technology Transfer Software Release: Step 1 You should fully understand the implications of releasing your software Document new technology developed –Keep notebooks to prove inventorship –Remember that software is intellectual property (IP) –Report a your technology via an NTR Be responsible for protecting software IP from improper use –Always ensure that the appropriate agreement is in place before disseminating –When in doubt, contact the SRA NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov15

16. National Aeronautics and Space Administration All investments made in technology at NASA Goddard must be reported, to ensure information about each new technology is recorded for later evaluation. NASA Policy Directive 2091.1B (Paraphrase) Each employee who makes an invention [whether or not the invention was made during working hours, was made with a contribution of Government resources (facilities, equipment, materials, funds, or information, or of the time or services of other Government employees on official duty), or bears a direct relationship to, or is made as a consequence of, the official duties of the employee] is required to submit a New Technology Report (NTR) to disclose the invention/innovation.NASA Policy Directive 2091.1B (Paraphrase) Each employee who makes an invention [whether or not the invention was made during working hours, was made with a contribution of Government resources (facilities, equipment, materials, funds, or information, or of the time or services of other Government employees on official duty), or bears a direct relationship to, or is made as a consequence of, the official duties of the employee] is required to submit a New Technology Report (NTR) to disclose the invention/innovation. NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov16 Technology Transfer Software Release: Step 1

17. National Aeronautics and Space Administration NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov17 SRA assistant receives software release request –NTR must have been filed –Request must come from a civil servant Request must include these forms –Preliminary Questionnaire (SRRA) –508 Compliance –Export Control Form* –IT Security (Global Concerns) Form* Software must comply with NPR7150.2 and NASA-STD-8739.8 Technology Transfer Software Release: Step 2 * These forms are not required for all release types

18. National Aeronautics and Space Administration NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov18 Software Release Request Authorization

19. National Aeronautics and Space Administration NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov19 Software Release Request Authorization (for Developers)

20. National Aeronautics and Space Administration NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov20 Software Release Request Authorization (for Developers)

21. National Aeronautics and Space Administration NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov21 Software categories are defined by NPR 2210.1C U.S. government purpose release: A release of software for use under a NASA contract, grant, or SAA to be used for: –Project release –Intra-NASA release –Interagency release –GE to GE Release General U.S. release only –Release of software for U.S. use only U.S. and foreign release –Software that has special benefits (health, safety, economics) –Usual level sought for licensing purposes Open source release –Broadest type of release with source code –Releases are done under NASA Open Source Agreement (NOSA) Apache 2.0 in a case-by-case basis General public release –Broadest range of release for object code –Apps (iPhone/iPad, Android) Technology Transfer Software Release: Step 3

22. National Aeronautics and Space Administration NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov22 Various reviews/assessments Technology Transfer (ITPO) Patent Counsel Export Control* IT Security* 508 Compliance Software Engineering and Assurance Requirements NPR 7150.2 STD 8739.8 Final Approval for Release rests with Software Release Authority (ITPO Chief) Technology Transfer Software Release: Step 3 * These forms are not required for all release types

23. National Aeronautics and Space Administration NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov23 https://software.nasa.gov Agency Software Catalog

24. National Aeronautics and Space Administration Without MED-SEG TM With MED-SEG TM HSEG Inventor – James Tilton Code 606 24 HSEG: A Tech Transfer Success Story Original Research: Dr. Tilton developed Hierarchical Segmentation (HSEG) for Earth Science image enhancement & analysis (without any thoughts of medical applications). NTR Submission: Inventor submitted NASA Form 1679 to the ITPO. Fit With Commercial Problem: Working with Dr. Tilton, the ITPO’s marketing efforts enabled Bartron Medical Imaging to learn about HSEG and consider its use for medical imaging analysis. Commercial Success & TRL Advancement: Following the execution of a Cooperative Research and Development Agreement (CRADA), HSEG was licensed to Barton Medical Imaging and commercialized as MED-SEG TM for enhancing medical images. The medical imaging market in the US is projected to exceed $9 billion in 2015. Success Story – Code 600

25. National Aeronautics and Space Administration 25 Missed Opportunity Software to control remote devices –NTR submitted –Goddard innovator shared software with federal and commercial partners for collaborative project No contractual vehicle in place for sharing of software –Goddard could not obtain patent or royalties –Only option: Open Source software Limited commercial value, but can offer access to the innovator for assistance in incorporation of software as an incentive for potential partners

26. National Aeronautics and Space Administration Key Take Aways About Software Release NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov26 The ITPO is responsible for protecting and sharing NASA Goddard IP assets. NTRs are required and protect NASA GSFC assets and credibility. –Value your achievements and NASA GSFC capabilities According to NPR 2210.1C, Software Usage Agreements are needed to release NASA software The Center SRA is the best person to contact regarding any software concerns and questions Software developer is key in release process Developer is in best position to assure that software is not released inappropriately

27. National Aeronautics and Space Administration Points of Contacts SubjectPOCPhoneEmail General QuestionsMain Desk301-286-5810techtransfer@nasa.gov New Technology Report Scott Leonardi301-286-4698robert.s.leonardi@nasa.gov DeAnna Yu301-286-7609deanna.yu@nasa.gov Software Release Enidia Santiago-Arce301-286-8497enidia.santiago-arce@nasa.gov Adil Anis301-286-7958Adil.anis@nasa.gov Olivia Lohmeyer (Clerical) 301-286-9181gsfc-softwarerelease@mail.nasa.gov 508 ComplianceBetsy SirkN/Abetsy.sirk-1@nasa.gov Export Control ReviewGSFC Export & Import Control Program 301-286-6388N/A Global Concerns Statement Kanitra Tyler301-286-6173Kanitra.tyler@nasa.gov NPR 7150.2Tamra Goldstein301-286-1659Tamra.k.Goldstein@nasa.gov NASA-STD-8739.8Susan J. Sekira301-286-6160Susan.j.sekeira@nasa.gov Office of Patent CounselBryan Geurts301-286-7352Bryan.a.Geurts@nasa.gov

28. National Aeronautics and Space Administration Thank You! Enidia Santiago-Arce Enidia.Santiago-Arce@nasa.gov 301-286-8497 Office 301-286-0301 Fax http://itpo.gsfc.nasa.gov Software Release https://softwarerelease.gsfc.nasa.gov NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov28

29. National Aeronautics and Space Administration Backup Slides NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov29

30. National Aeronautics and Space Administration Technology Transfer Protecting IP Assets NASA Goddard Space Flight Centeritpo.gsfc.nasa.gov30 ITPO/OPC: Protects NASA Goddard intellectual property (IP) assets to improve the potential value of a technology to prospective commercialization partnersProtects NASA Goddard intellectual property (IP) assets to improve the potential value of a technology to prospective commercialization partners Increases the probability that NASA Goddard will be the party to receive patent protection on a given inventionIncreases the probability that NASA Goddard will be the party to receive patent protection on a given invention Protection includes patenting and copyrightProtection includes patenting and copyright