Research Administration Office

University of California

Memo Operating Guidance

No. 82-37

October 20, 1982

Subject: EPA Special Condition on Publication

Enclosure 1 is the text of the revised EPA Special Condition concerning publication. Mr. Frederick Meadows, Chief of EPA's Grants Operations Branch informed this office on September 16, 1982, that his office will use this revised Special Condition in all new grant issuances. In addition, he is willing upon request, to replace an already accepted original text Special Condition on publication with the newly revised text.

The Special Conditions on publication, original and revised, are vague and confusing as to the applicability of publication restrictions. The University, on a Systemwide basis, as well as on an individual grant basis, has protested the inclusion of these Special Conditions in University research agreements. After a careful review of the current text, however, this office has determined that the Special Condition, though undesirable, may be accepted without violating University' s policy on publishing research findings.

RATIONALE FOR DETERMINATION

The opening paragraph to this Special Condition states "The intent of the Order is to insure the high quality, completeness and accuracy of documents published by EPA" (underlining added). The "Government Printing and Binding Regulations", Publication No. 24, April, 1977, published by the Joint Committee on Printing of the United States Congress, serves as the basis for EPA's restrictions on publication of documents "attributable to EPA" and "documents published by EPA." The Regulation, however, is not intended to control a grantee' s own publication or discussion of research results. In fact, Section 36-2(b) of the Joint Committee's Regulation reads,

"This regulation does not preclude...The publication of findings by grantees within the terms of their grants provided that such publication is not primarily or substantially for the purpose of having such findings printed for the use of any department or agency."

Therefore, based on the Joint Committee's Regulation and on the introductory paragraph to EPA's Special Condition, we have determined that requirements as set forth in the Special Condition, except for the final paragraph, do. not apply to the publication or release of research findings by the University. Based on this determination, the Special Condition, as recently revised, can be considered acceptable to the University.

REQUIRED ACTION UNDER THE PROVISION

Based on the final paragraph of the Special Condition, there is a requirement to send the EPA Project Officer a copy of any article sent to a refereed journal and to include a prescribed disclaimer in the article. Following publication, three copies of the article should be submitted to the EPA Project Officer. This procedure should be followed by campuses.

Of course, if the University ever finds itself in a position where it wishes to publish research findings and the publication is "primarily or substantially for the purpose of having such findings printed for the use of a department or agency", then all terms of EPA's Special Condition would apply.

CONTINUED PROTEST

This office intends to continue to work with COGR, EPA and the Joint Committee on Printing to improve and clarify, not only the EPA Special Condition, but the Government Printing and Binding Regulations on which the Special Condition is based.

Joe Acanfora

8-582-1638

(415) 642-1638

Index:

Acceptance of Grants

Environmental Protection

Publication Rights

David F. Mears

University Contracts and Grants Coordinator

Enclosure

cc:

Special Assistant to the President Wilson

Council on Governmental Relations


EPA SPECIAL CONDITION ON PUBLICATION

EPA Order 2200.4 (December 28, 1981) establishes an Agency peer and administrative review process for scientific, informational, and educational documents attributable to EPA. The intent of the Order' is to insure the high quality, completeness and accuracy of documents published by EPA. Our intent is neither to become substantially involved in the development of a report nor to mold the final conclusions to fit our policies.

The Agency peer and administrative review gives EPA the opportunity to evaluate a document for scientific and informational credibility and to determine an estimated cost for its production and distribution. EPA wishes to publish any document-which provides information essential to carrying out the Agency's legislated mandates. The Joint Committee on Printing of the United States Congress requires that Federal agencies have initial publication rights. Only after peer-and administrative review can EPA decide whether to publish a research report' or waive its initial publication rights.

In order to comply with implementation of the Agency's peer and administrative review requirements, the recipient:

1) must submit three copies of the documents to the Project Officer for EPA's review. EPA will evaluate the documents and will provide the recipient with written suggested changes, if any; and

2) should make every effort to accommodate suggestions arising from the EPA review process while preparing a revised draft. The recipient should also alert EPA reviewers to changes initiated in the revised draft.

If agreement is reached that the material is appropriate for release as an EPA publication, the following statement:

"The information in this document has been funded wholly or in part by the United States Environmental Protection Agency under assistance agreement (number) to (name). It has been subject to the Agency's peer and administrative review, and it has been approved for publication as an EPA document. Mention of trade names or commercial products does not constitute endorsement or recommendation for use."

If agreement cannot be reached that the material is appropriate for release as an EPA publication, a recipient may independently publish and distribute the document at its own expense provided that it:

1) complies with Government Printing and Binding Regulations and requests approval through EPA from the Joint Congressional Committee on Printing to publish independently; and

2) includes the following statement in the documents:

"Although the information in this document has been funded wholly or in part-by the United States Environmental Protection Agency under assistance agreement (number) to (name), it does not necessarily reflect the views of the Agency and no official endorsement should be inferred."

EPA also encourages independent publication of reports in refereed journals at any time. A copy of the article must be submitted to the Project Officer when it is sent for publication. Following publication, three copies of the article should be submitted to the Project Officer. The article must include the following statement:

"Although the information described in this article has been funded wholly or in part by the United States Environmental Protection Agency under assistance agreement (number) to (name), it has not been subjected to the Agency's required peer and administrative review and therefore does not necessarily reflect the views of the Agency and no official endorsement should be inferred."