Introduction to confidentiality

1. Introduction to confidentiality Diana Galpin Research and Innovation Services (R&IS)

2. What do we mean by Information? Information (Any) e.g. • Reports • Data • Designs • Plans • Processes • Commercial • Financial

3. When is it confidential? Confidential / Secret • Not in the public domain • Commercially sensitive • Official Secret

4. Why is it so important? Failure to maintain confidentiality has consequences: • Patents - as they won’t be granted • Publication – publishers don’t want old ideas • Competitiveness – remember all the other academics fighting for the same funding • Collaboration – trust is essential so don’t go and blow it • Contractual Obligation – the Uni might owe it to the client but remember you are also obligated to the Uni • Litigation – this is costly, stressful and to be avoided

5. Where the obligation is found (1) Confidentiality obligations will usually be in an Agreement – e.g. • Confidentially Agreements – aka CDAs, PIAs, NDAs • Research collaborations • Sponsored research • Studentships • Consultancy • MTA’s • Software Licences

6. Where the obligation is found (2) By operation of the Law • Information has quality of confidence about it • It was imparted in circumstances that would reasonably make you realise the information was to be treated as confidential • Your unauthorised use/disclosure of the information is to the detriment of the person who gave it to you TIP • Do use this rule if you receive information • Don’t rely on this if you are giving information

7. How are you obligated? • As Staff – contract of employment & IP regulations • As Student – IP regulations • As an individual who has signed a confidentiality agreement / commitment • By law – can be inferred from the situation that should treat as confidential • Trust - want to continue in the academic community / doing collaborative work?

8. What does it mean in practice? (1) Do • Keep confidential information safely • Sign out of your computer • Password protect documents/files • Be careful when cutting & pasting • Comply with any stipulations in the contract • Keep all confidential info from one source on one project in a separate file • Mark your information as “CONFIDENTIAL” • Keep a record of everything you have disclosed • THINK

9. What does it mean in practice? (2) Don’t • Leave office unlocked and confidential information freely scattered across your office/desk • Leave confidential information out when having a meeting • Post information on a website • Include others confidential information in your publication unless you have cleared it first • Leave information on a train • Reply all on an email & attach • Have too much to drink and shout it from your bar stool

10. What does it mean in practice? (3) You Can • Discuss with the people you have permission to e.g. supervisor, colleagues & collaborating partners involved in the project (make sure they are also bound) • Use for the purpose set out in the agreement e.g. carrying out of project / preparing a proposal • Discuss your own information with your peers (just be careful who – remember the potential Patent)

11. What does it mean in practice? (4) You Can’t • Use for something outside the purpose outlined in the agreement e.g. on a different project than the one they have agreed to… • Publish without the owners permission • Present their information without their permission

12. What does it mean in practice? (5) Publications • May have to be delayed • May have to remove certain information Theses • Can be examined so you can get your PhD • May have to be put on restricted access in the library

13. When should you instigate? As a general rule if you want to discuss unpatented inventions, know-how, intellectual property or other commercially sensitive/secret information with another person who is not an employee of the University get a CDA in place FIRST • New area of research • Collaborating on a project • Development funding • Spin out or licensing

14. How to instigate Staff • Contact the person responsible for your school in R&IS (see penultimate slide) Students • In first instance contact your supervisor • Get him to contact R&IS as per above • Only if this fails should you contact R&IS directly

15. If you receive an agreement (1) Agreements the University enters into: • Contact the person responsible for your school in R&IS (see penultimate slide) • They must be reviewed, negotiated &/or approved • Signed by an Authorised Signatory – which is NOT you

16. If you receive an agreement (2) Agreements you sign but for a project you are doingat the University: • Contact the person responsible for your school in R&IS (see penultimate slide) • They will advise and possibly require the agreement to be with the University not you • In any event they must be reviewed, negotiated &/or approved • You should only sign if you personally are a Party

17. Who to contact for help? Before discussing Research or Consultancy work • Contract Managers in Research and Innovation Support Office http://www.southampton.ac.uk/ris/team/index.html Before discussing Spin out/Licensing/Investment • Business Managers in Research and Innovation Services hhttp://www.southampton.ac.uk/ris/team/index.html

18. Further Information Think your Research Group / School would benefit from a specific workshop on this? If so we would be pleased to assist so do get in contact. Email: ris@soton.ac.uk Tel: 023 8059 3095 Internal Extension: 23095