Printed on: 04/18/2024. Please go to policy.umn.edu for the most current version of the document.
University of Minnesota  Administrative Policy

Openness in Research

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Policy Statement

All research conducted at the University by University faculty, staff, students, visiting researchers, and volunteers must conform to Board of Regents Policy: Openness in Research. Research agreements that do not conform to this policy will only be accepted if the principal investigator obtains an exemption.

The policy does not apply and an exemption is not needed for:

  • Research by faculty members on leave from the University or serving as consultants; or
  • Services performed as an external sale, provided that the results of such services may be published freely in the aggregate or may be used to guide the design of broader research activities.
  • Non research projects.

Note: Clinical trials are subject to this policy.

Reason for Policy

To implement Board of Regents Policy: Openness in Research (PDF).

An open teaching and research environment is fundamental for the free exchange of ideas throughout the University community. Restrictions on who can work on a project and how the results can be disseminated violate this principle. They also may exclude the work from consideration as "fundamental research" in regard to export controls. However, there may be situations when the University must have flexibility to depart from this standard in order to serve a public interest. This policy clarifies the circumstances in which certain restrictions in a research agreement can be accepted by the University while still preserving the principle of open research. It also outlines the process for a researcher to use to request an exemption from this standard and provides guidance for University faculty and staff to use in evaluating these requests.

Contacts

SubjectContactPhoneEmail
Primary Contact(s)Pamela Webb612-624-1648[email protected]
Proprietary or Restricted Research ContractPamela Webb612-624-1648[email protected]
Export Controls and International Projects ContactJ. Patrick Briscoe, Export Controls and International Projects Officer612-625-3860[email protected]
Responsible Individuals
Responsible Officer Policy Owner Primary Contact
  • Vice President for Research and Innovation
  • Associate Vice President for Research and Innovation, Administration
  • Pamela Webb
    Associate Vice President for Research and Innovation, Administration

Definitions

Faculty Senate Research Openness Subcommittee

A subcommittee of the Senate Research Committee that considers requests for exemptions to the Openness in Research policy. The Subcommittee consists of five faculty members, one professional and administrative staff member involved in research, and one student. The members of the subcommittee will be appointed by the chair of the Senate Research Committee in consultation with the members of the Senate Research Committee. The chair is a faculty member, designated by the chair of the Senate Research Committee. Ex-officio members include representatives from the Office of the General Counsel and from the Research and Innovation Office (RIO).

Proprietary research

Industrially-sponsored research that uses the sponsor's proprietary information or results in intellectual property for which the sponsor has an option to an exclusive license. These sponsors often request restrictions on who can discuss the research and under what circumstances. They also may prohibit publication of confidential company information or ask the researcher to delay publication of research results so that they can review the material for proprietary information or take steps to secure intellectual property rights to possible inventions.

Restricted research

Research that is restricted in who can work on the project or how and when the researchers can discuss the results of the project.

Responsibilities

Principal Investigator

  • Decide whether to refuse the contract or request an exemption from the Openness in Research policy. Initiate the exemption request. If requested, participate in discussions with the Senate Research Committee and Research Openness Subcommittee. Send statement to Vice President for Research and Innovation to support or rebut Faculty Senate Research Committee's recommendation.

Faculty Senate Research Committee

  • Chair: Facilitate process of review by full committee and by subcommittee. Complete the committee's section of the exemption request. Send the exemption request to other Senate committees as appropriate. Sends exemption request recommendation to the Vice President for Research and Innovation. Provide annual executive summary of exemption requests to the full Faculty Senate.
  • Committee: Consider requests for exemptions from the Openness in Research policy.

Faculty Senate Research Openness Subcommittee

  • Consider requests for exemptions from the Openness in Research Policy and forward to full Senate Research Committee.

Office of the General Counsel (OGC)

  • Assist with contract negotiations. Provide advice to the principal investigator regarding process and implications of requesting an exemption. Complete the OGC's section of the exemption request.

Sponsored Projects Administration (SPA)

  • Grant administrators: Review the Request for Proposal/Application, draft research agreement or draft Material Transfer Agreement for troublesome clauses. Determine whether the research is proprietary or restricted. Working with the Office of the General Counsel, conduct contract negotiations with sponsors. Inform the principal investigator about the Openness in Research policy.
  • Associate VP of Research and Innovation, Administration: Provide advice to the principal investigator regarding process and implications of requesting an exemption. Complete SPA's section of the exemption request. Participate in discussions with the Senate Research Committee and Open Research Subcommittee. Forward exception requests as described in the appropriate procedure.

Vice President for Research and Innovation

  • Approve or deny requests for exemptions. Track requests for exemptions and provide annual reports to the chair of the Faculty Senate Research Committee.

Research Integrity and Compliance (RIC)

  • Provide input regarding compliance with export controls and information security requirements as needed.

Related Information

History

Amended:

September 2018 - Comprehensive Review, Minor Revisions. 1. Adds a new appendix of examples of common publications/participation restrictions. 2. Clarifies the role of the Research Compliance office.

Amended:

October 2013 - Comprehensive Review, Minor Revision. 1. Expands the exemptions to the policy to include non-research projects. 2.Modifies the process flow diagram and procedure to reflect current practice.

Amended:

November 2007 - Enhanced and clarified responsibilities.

Effective:

January 2006