Document:

Unassociated Document

Exhibit 10.2

 

STONERIDGE, INC.

2011 AMENDED AND RESTATED

CHANGE IN CONTROL AGREEMENT

THIS 2011 AMENDED AND RESTATED CHANGE IN CONTROL AGREEMENT (the “Agreement”) is by and between Stoneridge, Inc., an Ohio corporation (“Employer”), and ____________(“Executive”), made this ______ day of ________ 2011.  The Agreement supersedes and replaces the Amended and Restated Change in Control Agreement, by and between Employer and Executive, dated August 2, 2007 (as amended by an Amendment dated, December 31, 2008).

 

RECITALS

 

A.           Executive is presently employed by Employer as its __________________;

 

B.           Employer wishes to induce Executive to continue as its ______________ and, accordingly, to provide certain employment security to Executive in the event of a “Change in Control” (as hereinafter defined);

 

C.           Employer believes that it is in the best interest of its shareholders for Executive to continue in his position on an objective and impartial basis and without distraction, whether based upon individual financial uncertainties or otherwise, or conflict of interest as a result of a possible or actual Change in Control; and

 

D.           In consideration of this Agreement, Executive is willing to continue as Employer’s ______________________;

 

NOW THEREFORE, in consideration of Executive continuing as the _______________ of Employer and of the mutual promises herein contained, Executive and Employer, intending to be legally bound, hereby agree as follows:

 

SECTION 1

 

DEFINITIONS

 

1.           A “Change in Control” for the purpose of this Agreement will be deemed to have occurred if during Executive’s employment with Employer, at any time:

 

(a)           the Board of Directors or shareholders of Employer approve a consolidation or merger that results in the shareholders of Employer, immediately prior to the transaction giving rise to the consolidation or merger, owning less than 50% of the total combined voting power of all classes of equity securities entitled to vote of the surviving entity immediately after the consummation of the transaction giving rise to the merger or consolidation;

 

  

  

  

 

(b)           the Board of Directors or shareholders of Employer approve the sale of substantially all of the assets of Employer or the liquidation or dissolution of Employer;

 

(c)           any person or other entity (other than Employer or a subsidiary of Employer or any Employer employee benefit plan (including any trustee of any such plan acting in its capacity as trustee)) purchases any common shares (or securities convertible into common shares) pursuant to a tender or exchange offer without the prior consent of the Board of Directors  or becomes the beneficial owner of securities of Employer representing 35% or more of the voting power of Employer’s outstanding securities; or

 

(d)           during any two-year period, individuals who at the beginning of such period constitute the entire Board of Directors cease to constitute a majority of the Board of Directors, unless the election or the nomination for election of each new director is approved by the Nominating and Corporate Governance Committee (if comprised entirely of directors who were in office at the beginning of that period) or at least two-thirds of the directors then still in office who were directors at the beginning of that period.

 

2.           A “Triggering Event” for the purpose of this Agreement will be deemed to have occurred if within two years after the date on which the Change in Control occurred:

 

(a)           Employer separates Executive from service with Employer, other than in the case of a Termination for Cause (as defined below); or

 

(b)           Executive separates from service with Employer for Good Reason (as defined below).

 

For purposes of this Agreement, the term “separates from service with Employer” shall mean Executive’s Separation from Service, as determined under Section 409A of the Internal Revenue Code of 1986, as amended (the “Code”), and the regulations promulgated thereunder; provided, however, that such Separation from Service with Employer is not as a result of Executive’s death, retirement or disability (as defined in Code Section 409A).  If, however, Executive separates from service with Employer as a result of death or disability (as defined in Code Section 409A) after Employer has provided written notice to Executive of Employer’s intent to separate Executive from service with Employer at a future date, but in no event later than two years after the date on which the Change in Control occurred, then notwithstanding the prior sentence, Executive or his estate, as applicable, will be entitled the benefits provided herein.

 

3.           Executive will be deemed to have separated from service with Employer for “Good Reason” for the purpose of this Agreement if:

 

(a)           Employer materially reduces Executive’s title, responsibilities, power or authority in comparison with his title, responsibilities, power or authority at or about the time of the Change in Control;

 

(b)           Employer assigns Executive duties that are materially inconsistent with the duties assigned to Executive on the date on which the Change in Control occurred, and which duties Employer persists in assigning to Executive despite the prior written objection of Executive;

 

  

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(c)           Employer materially reduces Executive’s base compensation, or materially reduces his group health, life, disability or other insurance programs (including any such benefits provided to Executive’s family), his pension, retirement or profit-sharing benefits or any benefits provided by Employer’s Long-Term Incentive Plans or any substitute therefor, or excludes him from any plan, program or arrangement, including but not limited to any bonus or incentive plans in which Employer’s other executive officers are included; or

 

(d)           Employer requires Executive to be based at or generally work from any location more than 100 miles from the geographical center of the city where Executive worked or Executive’s residence on the date on which the Change of Control occurred (the “Location of Employment”) or Employer over the course of any calendar month requires Executive to be away from his Location of Employment for more than 50% of the business days during that month.

 

4.           A “Termination for Cause” for the purposes of this Agreement will be deemed to have occurred if, and only if, the Board of Directors of Employer, or its designee, in good faith determines that Executive’s termination is because of any one or more of the following:

 

(a)           misappropriation of funds from Employer;

 

(b)           conviction of a felony;

 

(c)           commission of a crime or act or series of acts involving moral turpitude;

 

(d)           commission of an act or series of acts of dishonesty that are materially detrimental to the best interests of Employer;

 

(e)           willful and repeated failure to perform the duties associated with Executive’s position, which failure has not been cured within thirty (30) days after Employer gives notice thereof to Executive; or

 

(f)           failure to cooperate with any Employer investigation or with any investigation, inquiry, hearing or similar proceedings by any governmental authority having jurisdiction over Employer or Executive.

 

5.           “Executive’s Annual Bonus” means the greater of Executive’s average annual bonus over the last three completed fiscal years or the last five completed fiscal years.  If Executive has not been employed by Employer for three completed fiscal years, Executive’s Annual Bonus means the average annual bonus awarded to Executive for the completed fiscal years during his employment, or if Executive has not been employed for a complete fiscal year, Executive’s Annual Bonus means an amount equal to the incentive compensation Executive would have been entitled to in the year the Triggering Event occurred calculated based upon the personal and Employer targets or performance goals that were achieved as of the date of the Triggering Event.

 

6.           “Executive’s Annual Salary” means the greater of Executive’s annual base salary at the time of a Triggering Event or at the time of the occurrence of a Change in Control.

 

  

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7.           “Executive Pro Rata Annual Bonus” means an amount equal to the pro rata amount of incentive compensation Executive would have been entitled to at the time of a Triggering Event calculated based upon the personal and Employer targets or performance goals that were achieved in the year in which the Triggering Event occurred.

 

SECTION 2

 

TRIGGERING EVENT PAYMENTS

 

1.           After the occurrence of a Triggering Event, Employer shall commence payments to Executive of the benefits or amounts set forth hereunder, provided the release required and described in Section 9 has been executed and delivered by Executive to Employer and, as applicable, such release has not been timely revoked:

 

(a)           A lump sum payment, which will be in addition to any other compensation or remuneration to which Executive is, or becomes, entitled to receive from Employer.  The lump sum cash payment shall be in an amount equal to the sum of (i) two times Executive’s Annual Salary, plus (ii) two times Executive’s Annual Bonus.

 

(b)           In addition to making the payment described above, Employer shall also pay Executive a lump sum cash payment equal to the Executive Pro Rata Annual Bonus.  If such payment cannot be made at the same time as the payment for Section 2, paragraph (a), as set forth below, because the Pro Rata Annual Bonus cannot be determined as of that payment date then such payment shall be made as soon as practicable after the determination of the Pro Rata Annual Bonus.

 

(c)           In addition, Employer shall, at its expense, provide Executive, and his family with life and health insurance (“Health and Welfare Benefits”) in an amount not less than that provided on the date on which the Change in Control occurred for a period of twenty-four (24) months, at the time Employer commences payments described in Section 2, paragraph (a) above; provided, however, Employer shall not be obligated to pay for Health and Welfare Benefits after the date on which Executive shall be eligible to receive benefits from another employer which are substantially equivalent to or greater than the benefits Executive and his family received from Employer; provided, further, that if Executive’s continuation in some or all of Employer Health and Welfare Benefits is not available, then Employer shall make monthly payments to Executive commencing the first day of the month after Employer makes the payments described in Section 2, paragraph 1(a) above equal to the cost of the coverage for similarly situated employees of Employer, as determined solely by Employer, over a period of twenty-four (24) months with respect to those benefits among the Health and Welfare Benefits not available.  The benefits shall run concurrent with the health insurance continuation obligation otherwise available under the COBRA rules.

 

  

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The benefits under Section 2, paragraph 1(a) and, if applicable, Section 2, paragraph 1(b) shall be paid in one lump sum cash payment.  Since the Executive is (and has been since the effective date of 2007 Amendment and Restatement of the Change in Control Agreement) a “specified employee” (within the meaning of Section 409A of the Code), all payments under Section 2 shall be made or commence, as applicable, on the date which is the earlier of (i) the Executive’s death or (ii) six (6) months after the date of Executive’s separation from service with Employer.  In addition, all payments pursuant to this Agreement shall be made less standard required deductions and withholdings, including the amount of the excise tax on excess parachute payments as provided in Code Section 4999.

 

2.           Notwithstanding anything in this Agreement to the contrary, in the event that it shall be determined (as hereinafter provided) that any payment or distribution by Employer to or for the benefit of Executive, whether paid or payable or distributed or distributable pursuant to the terms of this Agreement, or otherwise pursuant to or by reason of any other agreement, policy, plan, program or arrangement, including without limitation any grants under Employer’s Amended and Restated Long-Term Incentive Plan, any stock option, restricted stock, stock appreciation right or similar right, or the lapse or termination of any restriction on, or the vesting or exercisability of, any of the foregoing (in the aggregate “Total Payments”), would be subject, but for the application of this Section 2, paragraph 2, to the excise tax imposed by Code Section 4999 (or any successor provision thereto) (the “Excise Tax”) by reason of being considered “contingent on a change in ownership or control” of Employer and as being considered an “excess parachute payment,” both within the meaning of Code Section 280G (or any successor provision thereto), then:

 

(a)           If the aggregate Parachute Value (as defined below) of the Total Payments is 110% or less than the Safe Harbor Amount (as defined below), then the payments payable to Executive pursuant to Section 2, paragraph 1 shall be reduced to such an amount so that Total Payments will be capped to the extent necessary so that Total Payments will not exceed the Safe Harbor Amount and no Excise Tax will be triggered.

 

(b)           If, however, the aggregate Parachute Value of the Total Payments exceeds 110% of the Safe Harbor Amount, then the payments payable to Executive pursuant to Section 2, paragraph 1 shall not be reduced as provided for under Section 2, paragraph 2(a), but instead, the full amount of Total Payments shall be paid to Executive and the Excise Tax will be triggered.

 

For purposes of this Agreement, the “Safe Harbor Amount” is the maximum aggregate Parachute Value of the Total Payments that may be paid or distributed to Executive or for the benefit of the Executive without triggering the Excise Tax because such amount is less than three times Executive’s “base amount,” within the meaning of Code Section 280G.  The “Parachute Value” of the Total Payments is the aggregate present value as of the date of the Change in Control of that portion of the Total Payments that constitutes “parachute payments,” within the meaning of Code Section 280G. The calculation of the Total Payments, the Safe Harbor Amount, and the Parachute Value, as well as the method in which the reduction in payments under Section 2, paragraph 2(a) will be applied, shall be conducted and determined by a national accounting firm selected by Employer and its determinations shall be binding on all parties; provided, however, that if the calculation of such national accounting firm will result in a reduction of any of the payments to be made to Executive under Section 2, paragraph 1, prior to issuance of the final and binding determination, Executive shall be given a reasonable opportunity to (i) review and comment upon all of the material, information and documentation provided to the national accounting firm by Employer, and (ii) offer such input as Executive may determine to be helpful to the national accounting firm’s preliminary determination.

 

  

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3.           If in any future year a determination is made that the reduction described in Section 2, paragraph 2(a) was not required, then payment of such reduced amount shall be made as soon as administratively feasible.

 

SECTION 3

 

SETOFF

 

No amounts otherwise due or payable under this Agreement will be subject to setoff or counterclaim by either party hereto.

 

SECTION 4

 

ATTORNEY’S FEES/DISPUTE RESOLUTION/ARBITRATION AGREEMENT

 

All attorney’s reasonable fees and related expenses incurred in good faith by Executive in connection with or relating to the enforcement by him of his rights under this Agreement will be paid for by Employer.  In addition, Executive and Employer agree that, subject to the express exceptions set forth in this Section 4, any dispute, claim or controversy that could be brought in court (collectively referred to herein as “Claim”) that Executive has against Employer or that Employer has against Executive relating to or arising out of the terms of this Agreement shall be resolved by final and binding arbitration as set forth in this Section 4.  Under this Dispute Resolution/Arbitration Agreement Section, the term Claim includes any allegations of unlawful discrimination, harassment, wrongful discharge, constructive discharge, and claims related to the payment of wages or benefits, under federal, state or local law and further includes, but is not limited to, contract, tort, common law, and statutory claims.  By agreeing to this Dispute Resolution/Arbitration Agreement Section, Executive and Employer expressly waive any right that they may have to resolve any covered Claim through any other means, including a jury or court trial.

 

Executive and Employer agree that any covered Claim shall be resolved by exclusive, final and binding arbitration to be conducted in accordance with the American Arbitration Association’s (“AAA”) Employment Arbitration Rules and Mediation Procedures and held in the county in which the Executive provides a majority of Executive’s services.  In any arbitration proceeding, the Arbitrator shall apply the terms of this Dispute Resolution/Arbitration Agreement, and applicable federal, Ohio state, and local law.  In the event any portion of this Dispute Resolution/Arbitration Agreement Section is held inapplicable as in violation of applicable law, as determined by the arbitrator selected herein or a court of competent jurisdiction, the offending portion of this provision may be removed or modified and the remainder of this Dispute Resolution/Arbitration Agreement Section shall not be affected.  This Dispute Resolution/Arbitration Agreement Section shall be governed by the Federal Arbitration Act as will any actions to compel, enforce, vacate or confirm proceedings, awards, or orders of the arbitrator under this Dispute Resolution/Arbitration Agreement.

 

  

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SECTION 5

 

SUCCESSORS AND PARTIES IN INTEREST

 

This Agreement will be binding upon and will inure to the benefit of Employer and its successors and assigns, including, without limitation, any corporation or other person which acquires, directly or indirectly, by purchase, merger, consolidation or otherwise, all or substantially all of the business or assets of Employer.  Without limitation of the foregoing, Employer will require any such successor, by agreement in form and substance satisfactory to Executive, expressly to assume and agree to perform this Agreement in the same manner and to the same extent that it is required to be performed by Employer.  This Agreement will be binding upon and will inure to the benefit of Executive, his heirs at law and his personal representatives.

 

SECTION 6

 

ATTACHMENT

 

Neither this Agreement nor any benefits payable hereunder will be subject to anticipation, alienation, sale, transfer, assignment, pledge, encumbrance or charge or to execution, attachment, levy or similar process at law, whether voluntary or involuntary.

 

SECTION 7

 

NO EMPLOYMENT CONTRACT; TERMINATION

 

This Agreement will not in any way constitute an employment agreement between Employer and Executive and it will not oblige Executive to continue in the employ of Employer, nor will it oblige Employer to continue to employ Executive, but it will merely require Employer to pay benefits hereunder to Executive under the agreed upon circumstances.  In addition, provided a Change in Control has not occurred, this Agreement shall terminate and be of no further force or effect one year from the date Executive ceases to be a Board-elected officer or an employee eligible for this Agreement (as determined by the Board of Directors of Employer in its sole discretion and reflected in the minutes of Board of Directors after notice to such Executive).

 

SECTION 8

 

RIGHTS UNDER OTHER PLANS AND AGREEMENTS

 

The Change in Control benefits herein provided will be in addition to, and are not intended to reduce, restrict or eliminate any benefit to which Executive may otherwise be entitled by virtue of his termination of employment or otherwise.

 

  

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SECTION 9

 

RELEASE

 

As a condition to the payment of the benefits by Employer to Executive pursuant to this Agreement, as described in Section 2, Executive shall deliver a signed release of claims against Employer.  Such release shall be delivered to Employer no later than sixty (60) days following a Triggering Event, shall be in a form and substance as determined by Employer, and, as applicable, shall not be timely revoked by Executive, and will include among its terms operative language substantially similar to the following:

 

In exchange for the payments set forth in the Amended and Restated Change in Control Agreement by and between Stoneridge, Inc. (the “Employer”) and me (the “CIC Agreement”), I and my heirs, personal representatives, successors and assigns, hereby forever release, remise and discharge Employer and each of its past, present, and future officers, directors, shareholders, members, employees, trustees, agents, representatives, affiliates, successors and assigns (collectively the “Employer Released Parties”) from any and all claims, claims for relief, demands, actions and causes of action of any kind or description whatsoever, known or unknown, whether arising out of contract, tort, statute, treaty or otherwise, in law or in equity, which I now have, have had, or may hereafter have against any of the Employer Released Parties from the beginning of my employment with Employer to the date of this release, arising from, connected with, or in any way growing out of, or related to, directly or indirectly, (i) my employment by Employer, (ii) my service as an officer or key employee, as the case may be, of Employer, (iii) any transaction prior to the date of this release and all effects, consequences, losses and damages relating thereto, (iv) the services provided by me to Employer, or (v) my termination of employment with Employer under the common law or any federal or state statute, including, but not limited to, all claims arising under the Civil Rights Acts of 1866 and 1964,  the Equal Pay Act of 1963, the Age Discrimination in Employment Act of 1967, the Rehabilitation Act of 1973, the Older Workers Benefit Protection Act of 1990, the Americans with Disabilities Act of 1990, the Civil Rights Act of 1991, the Family and Medical Leave Act of 1993, the Consolidated Omnibus Budget Reconciliation Act (“COBRA”), Title 4112 of the Ohio Revised Code, and all other foreign, federal, state or local laws governing employers and employees; provided, however, that nothing in this release will bar, impair or affect the obligations, covenants and agreements of Employer set forth in the CIC Agreement.

 

If the release described in this Section has not been delivered by Executive to Employer thirty (30) days after a Triggering Event, Employer shall provide Executive or his estate, as applicable, written notice that the release must be timely delivered in order for Executive to receive the benefits hereunder, which notice, however, shall in no event modify any otherwise applicable time periods.  Notwithstanding any other provision of this Agreement, if the release described in this Section 9 is not timely delivered by Executive to Employer or, as applicable, is timely revoked by Executive, then this Agreement shall terminate and be of no further force or effect; provided, however, the restrictive covenants set forth in Section 10 shall remain operative and shall not terminate until the expiration of the term set forth therein.

 

  

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SECTION 10

 

COVENANTS, NON-COMPETITION, AND CONFIDENTIAL INFORMATION

 

For the first year following Executive’s separation from service with Employer, Executive shall not, directly or indirectly, do or suffer any of the following:

 

(a)           Own, manage, control or participate in the ownership, management, or control of, or be employed or engaged by or otherwise affiliated or associated as a consultant, independent contractor or otherwise with, any other corporation, partnership, proprietorship, firm, association or other business entity (i) that has material operations which are engaged in any business activity competitive with the business of Employer or (ii) engaged in the business of designing and/or manufacturing of engineered electrical and electronic components, modules and systems for the automotive, medium- and heavy-duty truck, agricultural and off-highway vehicle markets; provided, however, that the ownership of not more than one percent (1%) of any class of publicly traded securities of any entity shall not be deemed a violation of this covenant;

 

(b)           Without the prior written consent of Employer, on his own behalf or on behalf of any person or entity, directly or indirectly, hire or solicit the employment of any employee who has been employed by Employer or its subsidiaries at any time during the six (6) months immediately preceding such date of hiring or solicitation; or

 

(c)           Use, disclose or make accessible to any other person, firm, partnership, corporation or any other entity any Confidential Information (as defined below) pertaining to the business of Employer or any entity controlling, controlled by, or under common control with Employer (each an “Affiliate”) except when required to do so by a court of competent jurisdiction; provided, however, that the foregoing restrictions shall not apply to the extent that such information (i) is clearly obtainable in the public domain, (ii) becomes obtainable in the public domain, except by reason of the breach by Executive of the terms hereof, (iii) was not acquired by Executive in connection with his employment or affiliation with Employer, (iv) was not acquired by Executive from Employer or its representatives, or (v) is required to be disclosed by rule of law or by order of a court or governmental body or agency.  For purposes of this Agreement, “Confidential Information” shall mean non-public information concerning Employer’s financial data, statistical data, strategic business plans, product development (or other proprietary product data), customer and supplier lists, customer and supplier information, pricing data, information relating to governmental relations, discoveries, practices, processes, methods, trade secrets, developments, marketing plans and other non-public, proprietary and confidential information of Employer or its Affiliates, that, in any case, is not otherwise generally available to the public and has not been disclosed by Employer, or its Affiliates, as the case may be, to others not subject to confidentiality agreements.  In the event Executive’s employment is terminated for any reason, Executive immediately shall return to Employer all Confidential Information in his possession.

 

  

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SECTION 11

 

NOTICES

 

All notices and other communications required to be given hereunder shall be in writing and will be deemed to have been delivered or made when mailed, by certified mail, return receipt requested, if to Executive, to the last address which Executive shall provide to Employer, in writing, for this purpose, but if Executive has not then provided such an address, then to the last address of Executive then on file with Employer; and if to Employer, then to the last address which Employer shall provide to Executive, in writing, for this purpose, but if Employer has not then provided Executive with such an address, then to:

 

Secretary

Stoneridge, Inc.

9400 East Market Street

Warren, Ohio  44484

 

SECTION 12

 

GOVERNING LAW AND JURISDICTION

 

This Agreement will be governed by, and construed in accordance with, the laws of the State of Ohio, except for the laws governing conflict of laws.  Subject to Section 4, if either party institutes a suit or other legal proceedings, whether in law or equity, Executive and Employer hereby irrevocably consent to the jurisdiction of the Common Pleas Court of the State of Ohio (Trumbull County) or the United States District Court for the Northern District of Ohio.

 

SECTION 13

 

ENTIRE AGREEMENT AND COMPLIANCE WITH LAW

 

This Agreement constitutes the entire understanding between Employer and Executive concerning the subject matter hereof and supersedes all prior written or oral agreements or understandings between the parties hereto, including all prior Change in Control agreements or arrangements by and between Employer and Executive.   Nothing in this Agreement is intended to affect Executive’s rights, including rights to indemnification, if applicable, under the Company’s Code of Regulations.  No term or provision of this Agreement may be changed, waived, amended or terminated except by a written instrument.  Employer reserves the right, in its sole discretion, to amend this Agreement to comply with Code Section 409A (which amendment may be retroactive to the extent permitted by Code Section 409A and may be made by Employer without the consent of Executive).  In particular, to the extent Executive becomes entitled to receive payments subject to Code Section 409A upon an event that does not constitute a permitted distribution event under Code Section 409A(a)(2), then notwithstanding anything to the contrary in this Agreement, the timing of payment to Executive will be adjusted accordingly.

 

  

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IN WITNESS WHEREOF, and as conclusive evidence of the adoption of this Agreement, the parties have hereunto set their hands as of the date and year first above written.

 

	 	STONERIDGE, INC.	 
	 	 	 	 
	
 

	
By: 

	 	 
	 	 	 	 
	 	 	 	 
	 	 	 	 
	 	 	EXECUTIVE	 

 

  

Page 11Unassociated Document

10.1     Patent Agreement, Application and Assignment dated December 15, 2010 and proof of application.

 

 

Patent Agreement

It is hereby agreed between SafeCode Drug Technologies Corp. from 113 Barksdale, Newark 19711, USA ("SafeCode Drug Technologies Corp" or "the Company") and between Uri Tagger from 14 Beit Hashoeva St., Even Yehuda, Israel ("hereinafter: "Uri") as follows:

In consideration for assigning all rights in the patent application, SafeCode Drug Technologies Corp. will pay Uri 10% of all sales generated from products related to the patent application titled “Voice Enabled Protector for administering medicine”.

Uri undertakes to sign any document and/or application papers to be filed in respect of the above mentioned patent application and assist the company as it requires in all maters relating to the registration of the patent.

The term 'Sales' shall mean all gross revenues less sales and excise taxes and duties paid by SafeCode Drug Technologies Corp.

 

	
/S/ Joel Klopfer

	 	 	
/S/ Uri Tagger

	 
	
SafeCode Drug Technologies Corp

	 	 	
Uri Tagger

	 

 

  

  

  

 

PATENT APPLICATION

 

VOICE TEMPLATE PROTECTOR FOR ADMINISTERING MEDICINE

FIELD OF INVENTION

[0001] This invention is generally directed to systems for imporving the safety in medication use. Specifically, the invention is directed to the use of matching drug name voice templates as a threshold mechanism for unlocking a medication container.

BACKGROUND OF THE INVENTION

[0002] In 2005 alone, causes of prescription error that involve some aspect of communication (e.g., verbal orders, illegible handwriting abbreviations, look-alike or sound-alike names) comprised 37% of all error causes, considered by some to be the top error cause. In some cases, the problem of sound alike drugs is further compounded when the dosesand packages for these drugs are similar. These errors can occur at any point in the medication use system.  In certain circumstances, such as in ER triage and other pressure situation, the transcription errors may be compounded further and lead in severe cases to fatalities. By 2006, the number of Look-alike/Sound alike (LASA) drug pairs (e.g. Mellaril/Elavil, Paxil/ Taxol, Prilosec/Prozac, and Celebrex/ Celexa) was reported to be over 3000 and the number of transcription errors resulting in fatalities due to LASA was reported to be over 350.

[0003] The LASA problem may be exacerbated when drugs are imported from overseas. Americans traveling outside the United States or purchasing drugs over the internet return with, or receive medications purchased abroad. They may think these medications are identical to US products with brand names that are the same or similar, but often this is not the case. Examples include Dianben (metformin) and Diovan (valsartan) in Spain, Avanza (mirtazapine) and Avandia (rosiglitazone) in Australia, and Trip (nortriptyline) and Triz (cetirizine) in India.

[0004] By 2010, of the more than 5 million wrong-drug errors that occur each year, many were reported to be caused by similar-sounding mixed-up names. These prescription errors of, for example confusing the migraine drug Topamax with the blood pressure drug Toprol-XL, or the antihistamine Zyrtec with the antipsychotic Zyprexa, continue to plague healthcare professionals, causing substantial morbidity and mortality.

 

  

  

  

[0005] There is a need for an additional layer of protection during the medication use system to address these issues.

SUMMARY OF THE INVENTION

[0006] In one embodiment, the invention provides a This invention is generally directed to systems for imporving the safety in medication use. Specifically, the invention is directed to the use of matching drug name voice templates as a threshold mechanism for unlocking a medication container.

 

 

[0007] In another embodiment, the invention provides a system for providing patient-specific drugs, comprising: a drug container, wherein the drug container comprises  a locking means; a patient identifying barcode; a drug name identifier; and a computer interface; and a computer, wherein the drug container is connected to the computer and the locking means opens in response to a signal from the computer.

[0008] In one embodiment, the invention provides a system for providing patient-specific drugs, comprising: a drug container, wherein the drug container comprises  a locking means; a patient identifying barcode; a drug name identifier, wherein the drug name identifier comprises: a computer readable medium containing a stored word template or templates identifying the drug trade name, the compound name or both; and a processing unit capable of sending the stored template or templates to a computer; and a computer interface; and a computer, wherein the drug container is connected to the computer through the computer interface and the locking means opens in response to a signal from the computer following a positive comparison between the stored template or templates and a voice sample identifying the drug provided by a reference person, such as the drug prescriber or the drug administrator.

BRIEF DESCRIPTION OF THE DRAWINGS

[0009] The invention will be better understood from a reading of the following detailed description taken in conjunction with the drawings in which like reference designators are used to designate like elements, and in which:

[00010] Figure 1 shows a schematic representation of an embodiment of the system; and

[00011] Figure 2 shows the function of the pattern matching block of the isolated-word speech recognition system used to determine the similarity between the input word pattern 700 and the stored patterns of the drug brand name, generic drug name or their combination.

 

  

  

  

DETAILED DESCRIPTION OF THE INVENTION

[00012] This invention relates in one embodiment to systems for imporving the safety in medication use. In another embodiment, the invention relates to the use of matching drug name voice templates as a threshold mechanism for unlocking a medication container.

[00013] In one embodiment, provided herein is a system for providing patient-specific drugs, comprising: a drug container, wherein the drug container comprises  a locking means; a patient identifying barcode; a drug name identifier; and a computer interface; and a computer, wherein the drug container is connected to the computer and the locking means opens in response to a signal from the computer.

[00014] Placement and use of the patient identifying bar-code as described hereinabove, is provided in United States Patent Number 7,347,841 incorporated herein by reference in its entirety.

[00015] Reference is now made to figure 1, showing the system 100, comprising a lockable drug container 200, wherein the drug to be prescribed 300 is located. The drug container 200 is locked with a locking means 400, capable of opening the container upon receiving a signal from a computer 600 located in the vicinity of the container 200.  Drug 300 identifying means such as a patient identifying bar-code 502 in one embodiment, is displayed on container 200 and is capable of being scanned by an appropraiet reader to verify the patient receiving the drug 300 is the correct patient. Drug name identifier 501 is affixed in the container or on the container and is in communication with a processing unit 500 and a computer interface 501. The computer interface may be a hard wire connected via USB cable or any other appropriate communication means between the container 200 and the computer 600. This may be a wireless communication device as well. Upon receiving a signal from the computer 600, the lock 400 on container 200 may open and allow drug 300 to be administered to a patient in need thereof. In one embodiment, drug container 200 is a pill box, a syringe, infusion bag and valve, a vial, an ampule or a combination thereof.

[00016] In another embodiment, provided herein is a system for providing patient-specific drugs, comprising: a drug container 200, wherein the drug container comprises  a locking means 400; a patient identifying barcode 502; a drug name identifier 500, wherein the drug name identifier 500 comprises: a computer readable medium containing a stored word template or templates identifying the drug 300 trade name, the compound name or both; and a processing unit capable of sending the stored template or templates to a computer 600; and a computer interface 501; and a computer 600, wherein the drug container 200, such as a drug dispensing machine is connected to the computer through the computer interface 501 and the locking means 400 opens in response to a signal from the computer 600 following a positive comparison between the stored template or templates and a voice sample identifying the drug provided 700 by a reference person, such as the drug prescriber or the drug administrator.

[00017] In another embodiment, the term "voice templates" refers to a software program and associated data structures for enabling a user easily to build and maintain voice responses associated with a drug brand name, generic drug name or their combination. Such templates may be decomposed "voice elements" by the user into of various types, the characteristics and behavior of which will be determined by their specific type, as designated by the user, and the characteristic of the voice response record with which they are associated and compared to.

[00018] The computer 600 includes in one embodiment typical hardware such as a motherboard, central processing unit, random access memory, a hard disk, network card, power supply and visual display unit. In another embodiment, computer 600 also includes a microphone 700 for receiving voice commands and recording voice templates. In addition to the hardware, the hard disk of each computer 600 is loaded with an operating system and browser software which interact with the systems described herein to allow computer 600 to connect to the Internet and access a centralized depository of stored voice templates of drug brand name, generic drug name or their combination. The computer 600 includes in one embodiment, driver software for an audio recording program, such as voice recognition software for interacting with the microphone to record the voice templates.  As previously discussed, the communication system between the drug identifying means 500 is in the form of a public access packet-switched network, such as the Internet. Computer 600  is able in another embodiment to exchange data (e.g. XML code and packetised voice messages) with the voice template stored on the drug identifying means 500 using a packet-switched network protocol, such as the TCP/IP protocol. In an alternative embodiment (not shown), the communication system may additionally comprise a third generation ("3G") or GPRS enabled mobile telephone network connected to the packet-switched network which can be utilised to access the voice template stored on the drug identifying means 500. In such an embodiment, computer 600 would have wireless capabilities for transmitting the voice input. The wireless computing devices may include, for example, mobile phones, personal computers having wireless cards and any other mobile communication device which facilitates voice recordation functionality. In  another embodiment, the present invention may employ an 802.11 based wireless network or some other personal virtual network.

 

  

  

  

[00019] In one embodiment, provided herein is a system for providing patient-specific drugs, comprising: a drug container 200, wherein the drug container comprises  a locking means 400; a patient identifying barcode 502; a drug name identifier 500, wherein the drug name identifier 500 comprises: a computer readable medium containing a stored word template or templates identifying the drug 300 trade name, the compound name or both; and a processing unit capable of sending the stored template or templates to a computer 600; and a computer interface 501; and a computer 600, wherein the drug container 200 is connected to the computer through the computer interface 501 and the locking means 400 opens in response to a signal from the computer 600 following a positive comparison between the stored template or templates and a voice sample identifying the drug provided 700 by a reference person, wherein using a predetermined algorithm (see e.g. FIG. 2), the computer 600 digitizes the reference voice and compares the pattern of the stored drug name, brand name, compound name or their combination against at least one reference voice encoded to enable the comparison.

[00020] In one embodiment, a voice template may be created by using parameters such as cepstral coefficients in an acoustic vector sequence obtained by performing acoustic analysis on speech signals output from a speaker. In another embodiment, the algorithm used to provide the positive comparison between the digitizes the stored drug name, brand name, compound name or their combination and at least one reference voice encoded to enable the comparison, is dynamic time warping (DTW). DTW refers in one embodiment to the technique used to account for speaker variations and concerns the operation of compressing or stretching the temporal pattern of speech signals to take speaker variations into account.  In certain embodiments, pattern or Template of each word identifying the drug brand name, generic drug name or their combination is stored as a time sequence of features (frames), derived using speech analysis techniques such as source filter model in one embodiment, or Perceptual-linear-predictive technique in another embodiment, or relative spectral PLP technique in yet another embodiment. Recognition is performed in one embodiment by comparing the acoustic pattern of the drug brand name, generic drug name or their combination to be recognized with the stored patterns and choosing the word which it matches best as the recognized word. In another embodiment, an ‘average’ set of patterns is previously stored in the drug identifier 500 and no training is required of a speaker. The function of the pattern matching block of the isolated-word speech recognition system in the figure below is to determine the similarity between the input word pattern and the stored word patterns.

[00021] In one embodiment, the locking means 400 used with the drug container 200, will open upon the determination that there is a match between the stored template of the drug brand name, generic drug name or their combination and the reference voice provided by the drug prescriber, the drug administrator, the patient or any other similarly situated healthcare professional.

[00022] In one embodiment, provided herein is a method for providing a specific drug to a specific patient, comprising the step of obtaining a computer readable from a prescribing healthcare professional, the computer readable media having a word template of a drug brand name, generic drug name or their combination stored thereon, obtaining a drug container 200, wherein the drug container comprises a locking means 400; a patient identifying barcode 502; a drug name identifier 500, wherein the drug name identifier 500 comprises: a computer readable medium containing a stored word template or templates identifying the drug 300 trade name, the compound name or both; and a processing unit capable of sending the stored template or templates to a computer 600; and a computer interface 501; and a computer 600, wherein the drug container 200 is connected to the computer through the computer interface 501 and the locking means 400 opens in response to a signal from the computer 600; comparing the word template stored on the drug identifier against the drug brand name, generic drug name or their combination stored on the computer readable media obtained from the prescribing phycian and  following a positive comparison between the stored template or templates and the readable media templae, opening the lock to the drug container 200 and retreiving the drug 300.

 

  

  

  

[00023] In one embodiment, the templates of the drug brand name, generic drug name or their combination, are derived by first obtaining a large number of sample patterns from a cross-section of healthcare providers in a given facility where the drugs are to be administered; of different sex, age-group and dialect, and then clustering these to form a representative pattern for each of the drug brand name, generic drug name or their combination. A representative pattern can be created by averaging all the patterns in a cluster. A dynamic time-warping algorithm is employed in another embodiment to compute a time-alignment function which takes into account the different time-scales. In another embodiment, a representative pattern is selected from the middle of each cluster. Because of the great variability in speech, it is generally impossible to represent each word cluster with a single pattern. Thus, in one embodiment each cluster is sub-divided into sub-clusters and a number of tokens for each drug brand name, generic drug name or their combination, i.e. up to twelve, is stored in the drug identifying means. In one embodiment, all tokens of each stored drug brand name, generic drug name or their combination are matched against the drug brand name, generic drug name or their combination obtained from the prescribing healthcare provider stored at the time of prescription on the computer readable media.

[00024] In one embodiment, the computer used in the systems and methods provided herein comprises a CPU; a speech recognition means for recognizing an inputted speech, and storage means for storing a plurality of templates of drug brand name, generic drug name or their combination, wherein: said CPU displays a set of templates of drug brand name, generic drug name or their combination that are related to a first inputted speech recognized by said speech recognition means; said speech recognition means recognizes a second inputted speech while the set of templates of drug brand name, generic drug name or their combination are being displayed, by comparing with acoustic analysis of the displayed templates and selecting a template similar to said second inputted speech; and said CPU decodes said recognized result and sends a signal to the locking means 400 to open a drug container 200.

[00025] In one embodiment, the computer readable medium, is a computer readble recording medium having stored thereon an inputted drug name, a generic drug name, or a combination thereof. In another embodiment, the inputted drug brand name, generic drug name or their combination is recorded by a prescribing physician.

[00026] Having described preferred embodiments of the invention with reference to the accompanying examples, it is to be understood that the invention is not limited to the precise embodiments, and that various changes and modifications may be effected therein by those skilled in the art without departing from the scope or spirit of the invention as defined in the appended claims.

 

  

  

  

What is claimed is:

	
1.  

	
A system for providing patient specific drugs, comprising:

	
a.  

	
A drug container, wherein the drug container comprises

	
i.  

	
a locking means;

	
ii.  

	
a patient identifying barcode;

	
iii.  

	
a drug name identifier; and

	
iv.  

	
a computer interface; and

	
b.  

	
a computer, wherein the drug container is connected to the computer and the locking means opens in response to a signal from the computer.

	
2.  

	
The system of claim 1, wherein the drug name identifier comprises:

	
a.  

	
A computer readable medium containing a stored word template identifying the drug brand name, generic drug name or their combination; and

	
b.  

	
A processing unit capable of sending the template to the computer

	
3.  

	
The system of claim 2, wherein using a predetermined algorithm, the computer compares the pattern of the recorded voice against at least one reference voice.

	
4.  

	
The system of claim 3, wherein the reference voice is provided by a person prescribing the drug, the drug administering person or both.

	
5.  

	
The system of claim 4, wherein the algorithm uses dynamic time warping (DTW).

	
6.  

	
The system of any one of claims 1-5, wherein the locking means will open upon the determination that there is a match between the stored word template and the reference voice.

	
7.  

	
The system of any one of claims 1-5, wherein the drug container is a pill box, a syringe, infusion bag and valve, a vial, an ampule or a combination thereof.

 

  

  

  

ABSTRACT OF THE INVENTION

[00027] This invention relates generally to systems for imporving the safety in medication use. Specifically, the invention relates to the use of matching drug name voice templates as a threshold mechanism for unlocking a medication container.

 

  

  

  

Figure 1

Figure 2

 

  

  

  

 

Attorney Docket No.

ASSIGNMENT

For good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the undersigned inventor has sold and assigned, and by these presents hereby sells and assigns, unto:

	
Company Name :

	
SafeCode Drug Technologies Corp.

	
Address              :

	
113 Barksdale, Newark 19711, USA

(hereinafter ASSIGNEE) all right; title and interest for the United States, territories and possessions, and for all other countries of the world, in and to his invention relating to:

“Voice Template Protector for administering medicine”

as set forth in his United States Patent Application (check one)

_X_     executed concurrently herewith,

___     executed on

___     Serial No.                                            Filed:

in and to said United States Patent Application including any and all divisions or continuations thereof and in and to any and all Letters Patent of the United States, which may issue on any such application or for said invention, including any and all reissues or extensions thereof, and all applications for industrial property protection, including, without limitation, all applications for patents, utility models, and designs which may hereafter be filed for said invention in any country or countries, together with the right to file such applications and the right to claim for the same the priority rights derived from said United States application under the Patent Laws of the United States, the International Convention for the Protection of Industrial Property, or any other international agreement or the domestic laws of the country in which any such application is filed, as may be applicable; and all forms of industrial property protection, including, without limitation, patents, utility models, inventors’ certificates and designs which may be granted for said invention in any country or countries and all extensions, renewals and reissues thereof, to be held and enjoyed by said ASSIGNEE, its successors, legal representatives and assigns to the full end of the term or terms for which any and all such Letters patent may be granted as fully and entirely as would have been held and enjoyed by the undersigned had this Assignment not been made.

 

  

  

  

THE UNDERSIGNED HEREBY authorizes and requests the Commissioner of Patents and Trademarks of the United States, and any Official of any country or countries foreign to the United States, whose duty it is to issue patents or other evidence or forms of industrial property protection on applications as aforesaid, to issue the same to the said ASSIGNEE, its successors, legal representatives and assigns, in accordance with the terms of this instrument.

THE UNDERSIGNED HEREBY covenants and agrees that he has full right to convey the entire interest herein assigned, and that he has not executed, and will not execute, any agreement in conflict herewith.

THE UNDERSIGNED HEREBY further covenants and agrees that he will communicate to the said ASSIGNEE, its successors, legal representatives and assigns, any facts known to him respecting said invention, and testify in any legal proceeding, sign all lawful papers, execute all divisional, continuing, reissue and foreign applications, make all rightful oaths, and generally do everything possible to aid the said ASSIGNEE, its successors, legal representatives and assigns, to obtain and enforce proper protection for said invention in all countries.

The undersigned hereby grants to the attorneys and agents of the Law Office of McAndrews Held and Malloy the power to insert into this Assignment any further identification, which may be necessary or desirable to comply with the rules of the U.S. Patent and Trademark office, or any regulatory office in any country of the world, for recordation of this Assignment.

 

	
INVENTOR :

	
Uri Tagger

	
CITIZENSHIP :

	
Israeli

	
RESIDENCE :

	
14 Beit Hashoeva St.

Even Yehuda

Israel

	
POST OFFICE ADDRESS :

	
Same as Residence

	
INVENTOR'S SIGNATURE :

	  
	
DATE :

	
December 15, 2010

Note: If signed abroad, prima facie evidence of execution may optionally be obtained by execution of this document before a U.S. Consul or before a local officer authorized to administer oaths whose authority is proved by a certificate from a U.S. Consul.  If signed domestically, do so before a Notary Public.  Otherwise the execution by the inventors should be witnessed by at least two witnesses who sign here:

 

ASSIGNOR:

 

	
Signature:

	
/S/ URI TAGGER

	
Date:

	
DECEMBER 15 2010

	 	Name:  URI TAGGER	 	 
	  	 	  	  
	
SafeCode Drug Technologies Corp.

	 	 
	 	 	 	 
	
Signature :

	
/S/ JOEL KLOPFER

	
Date:

	
DECEMBER 15 2010

	  	
Name:  JOEL KLOPFER

	  	  

 

WITNESSES:

	
Signature:

	
/S/ ITAMAR ZER

	
Date:

	
DECEMBER 15 2010

	 	Name:  ITAMAR ZER	 	 
	  	 	  	  
	
Signature :

	
/S/ DAVID MORAD

	
Date:

	
DECEMBER 15 2010

	  	
Name:  DAVID MORAD

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