The formal policy for the Berkeley
campus on research openness and freedom to publish dates back nearly 25
years and was most recently updated in 1985. Although the fundamental core
of Berkeley’s policy in these areas has not changed since then, the current
environment suggests the need to reiterate the policy and bring it up to
date. Therefore, attached to this memo are the policy guidelines which
supersede those of May 10, 1985, effective immediately.
The new guidelines, which have
the concurrence of the Academic Senate, reflect current practices and are
consistent with the 1989 “Guidelines on University-Industry Relations”
issued by the Office of the President, which were distributed to the Berkeley
campus on June 5, 1989.
Specifically, the new guidelines
make the following changes:
-
The policy of not accepting classified
research projects is clarified as applicable to all classified contracts,
not just those funded by the Department of Defense.
-
The conditions under which a sponsor’s
proprietary data can be accepted are expanded to specify limitations on
legal liability and the need for prior labeling of the sponsor’s material.
-
Acceptable restrictions on dissemination
of tangible and intangible research results are rewritten to better explain
the University’s position that publication and non-commercial dissemination
of research results must not be limited.
The problem of publication restrictions
occurs both inside and outside formal contract and grant agreements. Although
the policy guidelines can only address the former, I wish to reiterate
that any fundamental limitation on the freedom to publish is unacceptable,
whether or not it is part of a written agreement Sponsors may attempt to
convey such restrictions orally or via letters to principal investigators,
even implying that future support depends on a willingness to comply. I
urge the Berkeley faculty to be aware of such pressures and to avoid any
pre-publication review or screening that would be unacceptable to the University
if incorporated into a formal contract or grant agreement.
The Sponsored Projects Office
staff is available for consultation and guidance on the policy guidelines
and on issues relating to informal restrictions.
Joseph Cerny
Provost for Research
ATTACHMENT:
POLICY GUIDELINES GOVERNING OPENNESS AND
FREEDOM TO PUBLISH
The University of California at 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.
Classified Research
The Berkeley campus does not accept classified
research projects from any sponsor, even if such classification is intended
only to permit project personnel access to classified information and/or
entry into classified research sites. The principal reasons that classified
projects are unacceptable are (1) the resultant requirement for a campus
facility clearance and (2) the inherent publication restrictions. In general,
classified projects are not consistent with the teaching, research, and
public service missions of the Berkeley campus.
Use of Sponsor’s Proprietary Data
Sponsored projects allowing access to
and/or use of the sponsor’s proprietary data or materials Will be accepted
only if regulations regarding access, use, and protection of such data
or materials do not restrict the full dissemination of scholarly findings
made under the grant or contract or put the University in a position of
assuming financial liability. Proprietary data or materials must be labeled
as such by the sponsor before release to University researchers. Sponsor
requirements should not proscribe citation of the sponsor name in publications.
Publishing and Disseminating Research
Results
The University of California cannot accept
any fundamental limitation on the freedom to publish and therefore cannot
accept publication restrictions which convey veto or censorship authority
to extramural sponsors of University projects. Publication delays not exceeding
sixty (60) days are acceptable so that a sponsor may review publications
and (1) offer comments or suggestions and/or (2) determine that its proprietary
data are not inadvertently disclosed. In either case, the final decision
on content must rest with the author. Delays not exceeding ninety (90)
days also are permitted so that the University and/or the sponsor may screen
proposed publications for possibly patentable ideas. If both sixty- and
ninety-day delays are applicable, the total period of delay should not
exceed ninety (90) days.
Tangible Research Results
The Berkeley campus does not accept sponsored
project agreements in which results and/or data generated by the University
are owned by the sponsor and are not available for the University’s scholarly
purposes, including the sharing of information with other researchers.
Restrictions on the University’s right to commercially disseminate tangible
research results and products (such as biological materials, chemical compounds,
computer software, mechanical specifications, drawings, and schematics)
are acceptable only if (1) they apply to a tangible deliverable item specified
in a grant or contract, and (2) there is no restriction on publication
or noncommercial dissemination of the central research findings, including
distribution of the results to other researchers for scholarly purposes.
May 1991 |
