Printed on: 11/11/2025. 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 be accepted only if the principal investigator obtains an exception.

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

  • Research by faculty members on leave from the University or serving as consultants;
  • 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; or
  • Non research projects.

Note: Clinical trials are subject to this policy.

Reason for Policy

To implement Board of Regents Policy: Openness in Research.

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" with regard to export controls. However, there may be situations when the University must have flexibility to depart from this standard to serve a compelling 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 to the maximum extent feasible. It also outlines the process for a researcher to use to request an exception from this standard and provides guidance for University faculty and staff to use in evaluating these requests.

Contacts

SubjectContactPhoneEmail
Primary Contact(s)Shashank Priya [email protected]
Proprietary or Restricted Research ContractShashank Priya [email protected]
Export Controls and International Projects ContactJ. Patrick Briscoe612-625-3860[email protected]
Responsible Individuals
Responsible Officer Policy Owner Primary Contact
  • Vice President for Research and Innovation
  • Vice President for Research and Innovation
  • Shashank Priya
    Vice President for Research and Innovation
  • J Patrick Briscoe
    Export Controls and International Projects Officer

Definitions

Faculty Senate Research Openness Subcommittee
A subcommittee of the Senate Research Committee that considers Tier 3 requests for exceptions to Administrative Policy: Openness in Research. 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 subject to restrictions on who can work on the project or how and when the researchers can disseminate their methodologies and results.

Responsibilities

Principal Investigator
  • Decide whether to refuse the contract or request an exception from Administrative Policy: Openness in Research. Initiate the exception 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 of Tier 3 exception requests by full committee and by subcommittee. Complete the committee's section of the exception request. Send the exception request to other Senate committees as appropriate. Send exception request recommendation to the Vice President for Research and Innovation. Provide annual executive summary of exception requests to the full Faculty Senate.
  • Committee: Consider requests for Tier 3 exceptions from Administrative Policy: Openness in Research.
Faculty Senate Research Openness Subcommittee
  • Consider Tier 3 requests for exceptions from Administrative Policy: Openness in Research 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 exception. Complete the OGC's section of the exception request.
Sponsored Projects Administration (SPA)
  • Grant and Contract Officers: 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 and others as appropriate, conduct contract negotiations with sponsors. Inform the principal investigator about Administrative Policy: Openness in Research.
  • Associate VP of Research and Innovation Administration: Approve or deny Tier 1 requests for exceptions. Provide advice to the principal investigator regarding process and implications of requesting an exception. Complete SPA's section of the exception 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 Tier 3 and 2 requests for exceptions. Track requests for exceptions and provide annual reports to the chair of the Faculty Senate Research Committee.
Research Integrity and Compliance (RIC)
  • Provide input regarding participation and dissemination restrictions, export controls, information security requirements, and exception requests as appropriate.

Related Information

History

Amended:

July 2025 - Comprehensive review. 1. Establishes three-tier system of exception requests based on project risks. 2. Clarifies criteria for evaluating whether an exception is warranted. 3. Clarifies role of Research Integrity and Compliance. 4. Updates office names, titles, and responsibilities.

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