July 1, 1993
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 86-32, 86-3, 85-21, and 85-16. Materials enclosed herewith are:
Memorandum dated June 1, 1993 from Special Assistant Belle Cole to Vice Chancellors for Research and Graduate Division Deans transmitting a brief statement of University policies and principles applicable to the Technology Reinvestment Project
Memorandum dated June 7, 1993 from the Association of American Universities to Presidents and Chancellors regarding Agencies Encourage Waiver of Indirect Costs and Patent Rights in the Technology Reinvestment Project
Opinion issued by the United States District Judge Harold H. Greene, United States District Court for the District of Columbia, in The Board of Trustees of the Leland Stanford Junior University v. Louis Sullivan, M.D. Secretary, Health and Human Services, et al.
Memorandum dated June 14, 1993 from University Counsel Beal transmitting a copy of an article from the Journal of College and University Law on "The First Amendment, Governmental Censorship, and Sponsored Research"
AAAS Bulletin, Access to Scientific and Technical Information, Issue 10, Spring 1987
AAAS Bulletin, Access to Scientific and Technical Information, Issue 11, Winter 1989
We are concerned that there may be an increase in federal agency efforts to place restrictions on the dissemination to the results of unclassified research. Please continue to inform us of any actions in this area.
Refer: Barbara Yoder 510-987-9848
Subject Index: 01, 11, 20
Organization Index: U-115, F-350
David F. Mears
Research Administration Office
Enclosures (distributed to Contract and Grant Officers only)
Associate Vice President Moore
Senior Vice President Kennedy
Carol McClain, Coordinator
June 1, 1993
VICE CHANCELLORS FOR RESEARCH GRADUATE DIVISION DEANS
Enclosed for your reference and information is a brief statement of University policies and principles that are meant to serve as a guideline for faculty who are planning to respond to the solicitation for proposals of the Technology Reinvestment Project (TRP).
Please inform faculty at your campus who are developing industrial partnerships under the TRP of the importance of communicating these UC policies and principles early in their discussions with their industrial partners and of involving their Contracts and Grants Offices at the earliest possible stage in negotiations to assure timely initiation of their TRP projects.
If you have questions, please contact Barbara Yoder in Research Administration (510-987-9848) or Joe Acanfora in the Office of Technology Transfer (510-748-6618).
Defense Conversion Working Group Director Wootten
Principal Administrative Analyst Evans
Principal Administrative Analyst Yoder
University Policy Issues in industrial Partnerships:
Foreign Graduate Students, Publications, and
The Technology Reinvestment Project (TRP) will provide new opportunities for University researchers to work with industry on projects. It is important, however, that in the partnerships being formed the University reaffirm its commitment to long-standing academic policies regarding ownership of results and access to University research programs.
Citizenship Restrictions. UC's past experience with some commercial firms working on dual-use technologies suggests that in some cases the companies feel compelled by Export Administration Regulations to control access and prohibit participation of foreign nationals. However, current University policy prohibits acceptance of awards in which limits are placed on the basis of citizenship of project participants.
Publication Delays. University policy requires that the University own or be able to control dissemination of the results of research. Open publication of results is essential to the research mission of the University. Only Chancellors have the authority to approve publication restrictions. However, we are unaware of any Chancellor having made a significant exception to the University's publication policy for other than classified research, even when such a stand has cost the University much needed research funding.
Intellectual Property. The University has a long-standing policy on rights in inventions and patents made by its employees. Patent provisions outside University policy may delay or preclude a faculty member's ability to publish; diminish a P.I.'s ability to secure future sponsored research funding; interfere with effective technology transfer; or violate certain legal obligations to the federal government. University patent policies provide for ownership by the University of inventions which arise under research conducted by University faculty and grant certain prescribed royalty-bearing licensing rights to the sponsors and collaborators of such University research. A portion of such royalties are returned to inventors, personally, and to the inventor's campus for further research. The University position, however, provides for flexibility and exceptions, as necessary, to accommodate any unique or special circumstances arising under the TRP.
Early discussions of these issues should include your campus Contracts and Grants Office, Patent Coordinator, or the Office of Technology Transfer. These offices are familiar with industry concerns and have forged agreements in which everyone can benefit.