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Classified and Proprietary Research Policy and Procedures

Contents

Introduction
Classified Research
Proprietary Research

I. Introduction

The purpose of research in the University is the generation of new knowledge and the education of students, at all levels, in knowledge generation. Research is expected of all faculty members for professional development and is required for promotion and tenure. It is required of all Ph.D. students. It is important that research of a high quality and novelty be undertaken and work of limited intellectual quality and novelty be avoided. Ongoing research strengthens the University's intellectual community by stimulating interest in new knowledge which is shared with other members of the University community, with intellectual communities throughout the world through publication, and with the interested public. Consistent with the integrity of the University community, solid relationships with government and industry benefit the University community in presenting intellectual and professional opportunities to faculty and students which they would not otherwise have.

This statement of policy and procedures addresses the issues of whether and, if so, under what conditions, classified and proprietary research should be conducted at the University. Classified research is research that involves the use of information which requires a "need to know," as determined by the United States Government, in order to have access to it. Ordinarily this research concerns national security issues. Proprietary research is research sponsored by business organizations that is intended to lead to intellectual property that may be used for the benefit of the sponsoring business organizations.

II. Classified Research

Among the major issues of concern in the performance of classified research are the maintenance of high intellectual quality of research, communication within the University community, and the opportunity to publish the results of research. In addition, there are costs involved in maintaining the secure facilities needed for classified work. To assure that research is performed so that the University's goals are met, the following conditions must be met by each proposed classified project before the University allows it to be submitted for funding:

  • The principal investigator must submit to a Committee of research-active faculty members appointed by the administration (presently the Research Advisory Committee, which may be augmented by technical experts as the Committee sees fit) a brief statement about the sponsor, the nature of the project, the personnel involved, the contractual conditions, and the projected impacts on the University. As required, the principal investigator will meet with the Committee. The project review will be rapid, less than two weeks from the submission of the principal investigator's statement under normalconditions. The Committee must be satisfied that the benefits of the project to the University will outweigh any possible negativeconsequences, and that there are no conditions which undermine the University's overall intellectual integrity. The Committee's recommendation will be to the President or the President's designee(s) who will consider the Committee's recommendation as the most important input in deciding whether or not to allow the proposal to enter the customary proposal approval process of the University. Among the major criteria that the Committee must consider in making its recommendation are the following:
    1. The project must be of high intellectual quality consistent with the University's goals and standards;
    2. The project must be such as to provide adequate opportunity for enrichment of the intellectual environment of the University through communication among faculty and students and with other intellectual communities outside of the university;
    3. Graduate students working on the project who are pursuing research-oriented degrees must have the restricted opportunity to use their work on the project to meet the research requirements for their degrees, including the publication of theses and dissertations without delay and without sponsor review;
    4. Faculty members, students, and staff working on the project must have the opportunity to publish material in the open literature making use of their work on the project;
    5. Insofar as allowed by the law, intellectual property rights and benefits for work resulting form the project belong to the university in accordance with university policies;
    6. Sponsor review of open literature publications and delays in open literature publication submissions beyond six months must be adequately justified.

  • The University centraladministration must not be required to provide funds to construct andmaintain secure facilities for classified projects. These funds are to be guaranteedby the university unit sponsoring the proposal to the central administration prior to approval.
  • Every proposal must provide for substantive and procedural review by a designated University administrator of any project output or deliverables for compliance with University requirements. Every proposal must provide for substantive and procedural review by a designated University administrator of any project output or deliverables for compliance with University requirements.

III. Proprietary Research

In proprietary research, major issues for the University include: the ownership of and benefit from intellectual property rights resulting from the research project; the ability to publish results in the open literature in a timely manner; and the maintenance of high research.

In cases where the ownership of and benefit from intellectual property rights resulting from the research project reside in the University and where publication of project related research without review is possible with a delay of no more than six months, no review beyond the normal University procedure will be required. If a project does not meet these requirements, then that project must be reviewed by the Committee and approved in the manner described in the section on classified research before it begins the usual University proposal approval procedure.

 



RESEARCH ADMINISTRATION