Report 2011-106 All Recommendation Responses

Report 2011-106: Intellectual Property: An Effective Policy Would Educate State Agencies and Take Into Account How Their Functions and Property Differ (Release Date: November 2011)

Recommendation #1 To: Transportation, Department of

Caltrans, the Energy Commission, Food and Agriculture, and Health Care Services should put in writing those policies and procedures related to intellectual property that they believe are necessary and appropriate to enable their staff to identify, manage, and protect their intellectual property.

1-Year Agency Response

In June 2012 Caltrans issued a written policy related to ownership and use of its intellectual property. Further, Caltrans stated that it issued interim guidelines in October 2012 to assist its managers and employees to better manage and protect Caltrans' intellectual property. Finally, Caltrans stated that it will modify its interim guidelines as its program develops and General Services issues direction per Assembly Bill 744 (AB 744) [Chapter 463, Statutes of 2012], which was signed by the governor in September 2012. (See 2013-406, p. 35)

  • Response Date: November 2012

California State Auditor's Assessment of 1-Year Status: Fully Implemented


Recommendation #2 To: Energy Commission, California

Caltrans, the Energy Commission, Food and Agriculture, and Health Care Services should put in writing those policies and procedures related to intellectual property that they believe are necessary and appropriate to enable their staff to identify, manage, and protect their intellectual property.

1-Year Agency Response

The Energy Commission updated its policies and procedures to educate staff about intellectual property and how to protect it. It completed the policies and procedures in January 2012, and the Energy Commission stated that it made the information available to all staff on its intrane (See 2013-406, p. 36)

  • Response Date: November 2012

California State Auditor's Assessment of 1-Year Status: Fully Implemented


Recommendation #3 To: Food and Agriculture, Department of

Caltrans, the Energy Commission, Food and Agriculture, and Health Care Services should put in writing those policies and procedures related to intellectual property that they believe are necessary and appropriate to enable their staff to identify, manage, and protect their intellectual property.

1-Year Agency Response

Food and Agriculture issued intellectual property policy and guidelines in July 2012. (See 2013-406, p. 36)

  • Response Date: November 2012

California State Auditor's Assessment of 1-Year Status: Fully Implemented


Recommendation #4 To: Health Care Services, Department of

Caltrans, the Energy Commission, Food and Agriculture, and Health Care Services should put in writing those policies and procedures related to intellectual property that they believe are necessary and appropriate to enable their staff to identify, manage, and protect their intellectual property.

Annual Follow-Up Agency Response From August 2017

On December 16, 2016, the Department of Health Care Services (DHCS) submitted to the Department of General Services (DGS) a list of significant intellectual property (IP) for inclusion in the DGS IP database. DHCS is currently developing IP policies and procedures that it believes will enable its staff to identify, manage, and protect its IP. DHCS will also develop and standardize forms necessary for staff to manage and protect its IP when engaging with public and non-public entities.

  • Estimated Completion Date: DHCS has not yet determined the implementation date

California State Auditor's Assessment of Annual Follow-Up Status: Pending


Annual Follow-Up Agency Response From October 2016

On September 28, 2016, the Department of Health Care Services (DHCS) met with the Department of General Services (DGS) regarding the DGS Intellectual Property (IP) Program. DHCS is currently compiling a list of significant IP for inclusion in the DGS IP database, which is being developed to assist State Agencies with IP management and protection.

  • Estimated Completion Date: End of 2016

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


Annual Follow-Up Agency Response From October 2015

The Department of Health Care Services will await instruction from the Department of General Services regarding the appropriate policies and procedures related to intellectual property.

  • Estimated Completion Date: 2016

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


Annual Follow-Up Agency Response From October 2014

The Department anticipates collaborating with the Department of General Services on a cohesive statewide approach to develop policy and track intellectual property.

  • Estimated Completion Date: January 2015

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


Annual Follow-Up Agency Response From September 2013

The Department of Health Care Services intends to coordinate its efforst regarding intellectual property with the Department of General Services. These efforts will be consistent with Government Code, section 13988, et. seq. Pursuant to Government Code, section 13988.2, the statewide effort to track intellectual property will commence January 2015.

  • Estimated Completion Date: January 2015

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


1-Year Agency Response

Health Care Services indicated that it has not yet implemented the recommendation because of other high priority projects and staff vacancies. However, Health Care Services stated that pursuant to AB 744 it will coordinate with General Services to track and manage its intellectual property. (See 2013-406, p. 36)

  • Response Date: November 2012

California State Auditor's Assessment of 1-Year Status: No Action Taken


Recommendation #5 To: Food and Agriculture, Department of

Food and Agriculture should ensure that it has developed intellectual property terms and conditions that are appropriate for the types of agreements into which its contracts office enters.

1-Year Agency Response

Food and Agriculture issued intellectual property policy and guidelines in July 2012. The policy specifies responsibility for developing and registering Food and Agriculture's intellectual property including language in contracts that is appropriate and necessary. (See 2013-406, p. 36)

  • Response Date: November 2012

California State Auditor's Assessment of 1-Year Status: Fully Implemented


Recommendation #6 To: Energy Commission, California

The Energy Commission should take the necessary steps to strengthen its royalty process to ensure that it receives the proper amounts from all contractors that owe it royalties.

1-Year Agency Response

The Energy Commission stated that it has modified its annual Public Interest Energy Research (PIER) royalty letter to require a response and added language to its PIER solicitations indicating that bidders who have not responded to the royalty repayment letter may be screened out from participating in future PIER funding opportunities. The Energy Commission also stated that it amended a contract with the State Controller's Office to include review of PIER royalty payments and that those reviews are underway. The Energy Commission stated it has drafted new PIER terms and conditions, which require certification that the royalty amount paid is correct. Finally, the Energy Commission stated that it hired a contractor to perform follow-up calls and independent market assessment on PIER researchers who might have sold intellectual property products and not yet paid royalties and to identify current PIER researchers that will be required to pay future royalties. The Energy Commission expected work on this contract to begin in December 2012. (See 2013-406, p. 36)

  • Response Date: November 2012

California State Auditor's Assessment of 1-Year Status: Fully Implemented


All Recommendations in 2011-106

Agency responses received after June 2013 are posted verbatim.


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