February 3, 1986
Subject: Ownership and Dissemination of Research Results
Enclosed are materials relating to the ownership and dissemination of research results. Additional materials on this subject were transmitted by C& G Memos 85-16 and 85-21. Materials enclosed herewith are:
Refer: Barbara Yoder
Subject Index: 01, 11, 20
Organization Index: U-115, F-150, F-175
David F. Mears
University Contracts and Grants Coordinator
Enclosures (Distributed to Contracts and Grants Officers only)
Laboratory Contracts and Grants Officers
Assistant Vice President Moore
Dr. Vincent Peterson
Department of Physics and Astronomy
High Energy Physics Group
University of Hawaii at Manoa
2502 Correa Road
Honolulu, Hawaii 96822
Thank you for your letter. Enclosed is a copy of a recent description of the University of California policy and practices regarding classified research. If you have any questions please be in touch with Director Belle Cole on my staff (415-642-4301). She would be pleased to fill you in on the background and any other details that may interest you,
I hope this is helpful.
William R. Frazer
Associate Vice President Albertson
Office of the President January 27, 1986
Classification, pursuant to established Federal government classification procedures, limits access to those with security clearances and a need to know and restricts or prevents publication of research results. University publication policy, however, provides that freedom to publish or disseminate results is a major criterion of the appropriateness of a sponsored project, particularly a research project, and that normally a contract or grant is unacceptable if it limits this freedom. Chancellors may make exceptions to this policy under specified conditions including the Judgment that security considerations in the national interest warrant an exception (see Attachment 1).
The normal expectation, therefore, is that research is open to faculty and qualified graduate students and other researchers without arbitrary restrictions on access. The Interim Guidelines on University-Industry Relations issued by the President (11/2/82) reaffirm the principle of openness, stating that the University is committed to a teaching and research environment that is open so that ideas can be exchanged freely among faculty and students in all of their forums - in the classroom, in the laboratory, at informational meetings, and elsewhere in the University.
While there is no additional written University policy specifically on the subject of classified research, it is campus practice not to accept awards for the performance of classified research on campus. Freedom to publish is fundamental to the University and the principle of openness in research is one of overriding importance. Accordingly only in exceptional cases will classified awards be accepted, and these are for research to be performed only in off-campus facilities.
One campus, Berkeley, has a written policy applicable to classified research entitled Policy Guidelines Covering Openness of the Research Environment and Freedom to Publish (5/10/85). It states that the Berkeley campus does not accept classified research projects funded by the agencies of the Department of Defense, even if such classification is only to permit project personnel (with personal security clearances) to gain access to classified information and/or entry onto classified research sites (see Attachment 2).
Statements of the Academic Senate greatly influence administration policy and practice. Many campus Divisions of the Academic Senate have expressed an opinion by resolution concerning classified research on the campuses. These resolutions of the late 1960s and early 1970s range from "concern" over classified research to outright "forbiddance" of such research projects on the campuses. They continue to represent Academic Senate positions. There is no statement of policy from the Academic Council.
Classified research contracts may be accepted for the conduct of research in off-campus facilities. Under a master security agreement with the Department of Defense (DOD), three campuses (Irvine, Los Angeles and San Diego) are eligible to enter into an agreement with DOD to perform classified research off campus. The master facility clearance is administered by the Office of Contracts and Grants in the Office of the President.
Individual Faculty members may serve on classified projects as consultants to the Federal government, commercial contractors, or other outside organizations. These faculty may obtain the necessary clearances and have access to classified information through these organizations. The University does not keep records of these projects, nor follow them, Furthermore, the DOD can grant special security clearance status (type B, consultant) to a principal investigator and approve an individual facility clearance. This means that the principal investigator may store classified documents in his or her office or in some other secure location.
The Regents do not have a formal policy pertaining specifically to classified research. Their resolution of July 17, 1970 does provide a broad policy context for conducting classified research. By that resolution, The Regents reaffirmed the importance of research in teaching, national defense, and public service and resolved to continue support of extramurally funded research programs, and to continue to encourage State, Federal, and private active support of research activities (see Attachment 3).
Given the University's responsibility for management of the Lawrence Livermore National Laboratory and Los Alamos National Laboratory, which conduct classified research, the DOE provides for personnel security clearances for Regents, various Officers of The Regents, executive University personnel, and supporting staff personnel. DOE security clearances are also obtained for individuals serving on Presidential committees responsible for reviewing DOE laboratory performance. For the most part, those individuals also have security clearances from DOD.
[Not scanned; superseded by C&G Manual Chapter 1, Section 1-400.]
DIRECTORS, DEPARTMENTS, CHAIRS AND ADMINISTRATIVE OFFICERS
Policy Guidelines Concerning Openness of the Research Environment and Freedom to Publish
In 1967 the campus issued the first formal guidelines concerning classified research and restrictions on publication. While the fundamental core of University policy protecting freedom of publication has not changed, the current environment suggests the need to reiterate and update these guidelines. There are inherent threats to the freedom of publication, flowing in part from an expanded research support base from the private sector where proprietary interests are sometimes involved and/or there exists the potential for conflict of interest, problems-Concerns with technology transfer to foreign competitors and potential adversaries is an ongoing issue at the federal level.
The new guidelines are a reflection of current practices and are consistent with University-industry guidelines issued in the Fall, 1982, by the Office of the President. Consultation has also been obtained from appropriate Senate committees. The new guidelines will protect University and faculty interests while providing a viable framework for the acceptance of research support from governmental and private sponsors.
There is an added dimension to the publication restriction problem which cannot be addressed in the policy guidelines. I refer to the imposition of publication restrictions outside of the terms of research grants or contracts, which restrictions appear to be occurring with increasing frequency. These restrictions may be embodied in letters to Principal Investigators which specify "requirements" for pre-publication review. Sometimes restriction are conveyed orally and carry the implication that future support may be in part dependent upon a willingness to comply. Constant awareness of such pressures is necessary, and I urge faculty not to acquiesce to publication reviews and screening unless such requirements satisfy University policy, The basic question to be asked in this regard is whether the University would accept such requirements were they written into a contract or grant document tendered to the University.
The Sponsored Projects Office is the primary resource for consultation on the Policy Guidelines and for obtaining guidance on informal restrictions outside the contracts or grant document. I encourage the full use of this, resource.
Finally, I urge the campus research community to advise me concerning the Policy Guidelines, so that they may remain viable while the research environment continues to undergo change as we move though the 1980s and beyond.
University of California
POLICY GUIDELINES CONCERNING OPENNESS OF THE RESEARCH ENVIRONMENT AND FREEDOM TO PUBLISH
The University of California, Berkeley, is committed to maintaining a teaching and research environment that is open for the free exchange of ideas among faculty and students in all forums--classrooms, laboratories, seminars, meetings, and elsewhere. Such an environment contributes to the progress of research in all disciplines. There can be no fundamental limitation on the freedom to publish as the result of accepting extramural research support
The freedom to publish is, of course, not an obligation to publish. Under the Faculty Code of Conduct, a faculty member "...accepts the obligation to exercise critical self-discipline and judgment in using, extending, and transmitting knowledge..." The exercise of this self-discipline and judgment, not external factors, should determine the content and timing of publication.
Publication restrictions which convey veto or censorship authority to the sponsor are acceptable. However, short periods of delay in publication, not exceeding sixty (60) days, are acceptable to permit a sponsor to offer comments or suggestions, so long as the author is not bound to accept such comments or suggestions. Delays, not exceeding ninety (90) days, are also permitted to enable the University and/or sponsor to screen proposed publications for possibly patentable ideas.
The Berkeley campus does not accept classified research projects funded by the agencies of the Department of Defense, even if such classification is only to permit project personnel (with personal security clearances) to gain access to classified information and/or entry onto classified research sites. The principal reason that classified projects are not accepted is the inherent require-sent for the maintenance of a Department of Defense campus facility. clearance an well as unacceptable prepublication screening and approval. Such publication restrictions are considered a fundamental limitation on the freedom to publish.
Projects requiring access to, and use of, proprietary data of the sponsor may be accepted only if the restrictions and requirements surrounding access, use, and protection of such data do not hamper the full dissemination of scholarly findings. Publication delays, not exceeding sixty (60) days, for sponsor determination that sponsor-furnished proprietary data is not inadvertently disclosed are acceptable, but only if the final decision on content rests with the author. Sponsor requirements proscribing citation of the sponsor name in publications may be approved only on an exception basis.
The University will not accept research agreements from private sponsors in which the research results an/or research data generated by the University are owned by the sponsor and/or are deemed proprietary to the sponsor.
Restrictions on the dissemination of tangible research products (biological materials, chemical compounds, computer software, mechanical specifications, drawings, schematics, etc.) which are a specified deliverable item in a grant or contract, are acceptable, so long as there are no unacceptable restrictions on publication or dissemination of the central research findings. Normally, scholarly publications, presentations, or discussions of a scholarly nature need not convey detailed information concerning the tangible research product.
Administration of the policy guidelines set forth above is the responsibility of the Vice Chancellor-Research. Questions concerning application or interpretation of these guidelines should be directed to the Sponsored Projects Office.
RESOLUTION APPROVED BY REGENTS JULY 17, 1970
WHEREAS, research, both basic and applied, jointly carried out by university professors and their graduate students has become indispensable part of the educational process leading to advanced degrees in all major American universities;
WHEREAS, demonstration of research ability is a stipulation for the doctorate and many other advanced degrees in most fields of knowledge and the graduate student's involvement with his professor in a research activity is an all-important part of the learning process;
WHEREAS, research carried out by the University of California makes a vital contribution to the defense of the United States, the social and community needs of the State of California, and its people; and the health and well-being of all mankind;
WHEREAS, the financial support of university research has come to be increasingly shared by extramural sources, notably agencies of the federal government, foundations and private donations;
NOW, THEREFORE, the Regents of the University of California reaffirm the importance of research in teaching, national defense, and public service; and resolve to continue direct sponsorship of research projects and administrative support of extramurally funded research programs, and to continue to encourage state, federal, and private active support of research activities.