Research Administration Office

University of California

Memo Operating Guidance

No. 86-32

December 15, 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 Contract and Grant Memos 85-16, 85-21, and 86-3. Materials enclosed herewith are:

Letter dated May 12, 1986 from Senior Vice President--Academic Affairs to Chancellors regarding the Department of Defense University Research Initiative Program

Memorandum dated November 14, 1986 from University Counsel Allen B. Wagner transmitting a copy for distribution within the University of his paper "Human Tissue Research: Who Owns the Results"

Memorandum dated November 17, 1986 from John C. Crowley regarding National Policy on Protection of Sensitive But Unclassified Information in Federal Government Telecommunications and Automated Information Systems

AAAS Bulletin, Scientific Freedom and National Security, Issue 8, Winter, 1986

AAAS Bulletin, Scientific Freedom and National Security, Issue 9, Summer, 1986

Consistent with the letter from Vice President Frazer and the memorandum from John Crowley, please inform this office if any agencies propose objectionable clauses or place restrictions on the dissemination on the results of unclassified research.

Refer: Barbara Yoder

ATSS: 8-582-2886

(415) 642-2886

Subject Index: 01, 11, 20

Organization Index: U-115, F-010, F-175

David F. Mears

University Contracts and Grants


Enclosures (Distributed to Contracts and Grants Officers only)


Assistant Vice President Moore

University Counsel Wagner

Director Cole

Director Ditzel



May 12, 1986

Dear Colleagues:

Many campuses have submitted proposals for funding under the Department of Defense's University Research Initiative Program (URI), a number of which will be presented at The Regents' meeting on May 15, 1986. In anticipation of questions that may be raised at the meeting or situations you might encounter if your proposal is funded, particularly regarding restrictions on scientific communication and participation of non-citizens, my office has made inquiries and has some information that may be helpful.

We have determined that under current Department of Defense (DOD) policy there will be no restrictions on "fundamental research" which is defined as any research project funded under budget category 6.1. Furthermore we have leaned that all the URI programs will be funded under this budget category (6.1) and therefore will be "fundamental research". It sometimes happens, however, that zealous contracting components of DOD propose restrictions which are inconsistent with the Department's policy; if that should happen please let me know.

URI Programs do restrict fellowship support to U.S. citizens. Principal Investigators and others who work on URI-supported research need not be U.S. citizens. The fellowship restriction is consistent with the government's human resources development intent, and previous government-sponsored fellowship programs (such as NIH Training Grants and Young Investigator Awards) have been limited to U.S. citizens.

For projects involving the use of DOD facilities, it is our understanding that no special restrictions, beyond those normally in place, will be imposed for URI projects. You should be alert to any problems that might arise. Once again, please inform me of any problems in this regard.


William R. Frazer


President Gardner

Senior Vice President Brady Vice President Baker Executive Assistant Albertson University Counsel Dorinson Executive Assistant Copeland Director Rogin

Director Cole Coordinator Mears