RSP 405: Proprietary Research

To outline the limited circumstances under which the university may agree to protect the confidentiality of proprietary information in sponsored research.

Arizona Revised Statutes § 39-101 et seq., Arizona Public Records Act

Arizona Revised Statutes § 15-1640, Public Records Exemption; intellectual property; historical records; donor records

Policy Statement on Classified and Proprietary Research, prepared by the Ad Hoc Academic Senate Committee on Classified and Proprietary Research, December, 1984

Arizona State University is committed to a research agenda that fully integrates research and teaching. This commitment requires that research results become public information. Some sponsors, however, restrict public disclosure of their proprietary information when negotiating the terms of sponsored research agreements. These restrictions may conflict with ASU’s ability to integrate the resulting research outcomes with course content or other forms of public dissemination.

This policy governs research carried out on-campus or off-campus and information identified as proprietary prior to or following initiation of a sponsored research project.

Principal Investigators (PI) undertaking proprietary research outside of their normal university responsibilities are governed by university policies and procedures for consulting and leaves of absence.

The university will not agree to protect the confidentiality of proprietary information received in conjunction with a sponsored research project unless:

1. the proprietary information is not necessary for the publication or verification of research results
2. an acceptable confidentiality or nondisclosure clause is included in the governing agreement

   and

3. the PI has submitted an acceptable Assurance of Ability to Meet Contractual Confidential/Proprietary Data Requirements.

Typically, a statement will be included in the agreement stipulating that Arizona State University is a public institution, and as such is subject to the Arizona Public Records Act, § 39–101, Arizona Revised Statutes.

No theses or dissertations will be accepted in fulfillment of degree requirements that cannot be freely published or disseminated. Students participating in these projects must be fully informed about the potential restrictions on the disclosure of research results developed from work on these projects.

The university will enter into confidentiality or nondisclosure agreements to allow for the exchange of proprietary information between partnering institutions during proposal development and submission.

The university may agree to delay the submission of materials intended for publication for a maximum of 90 days for a sponsor to review such materials for confidential proprietary information protected under a sponsored agreement and a maximum of 180 days to coordinate the patent disclosure process.

Should an agreement require protection of confidential proprietary information beyond these guidelines and the PI wishes to pursue work under such an agreement, the following steps are required by the Office of the Vice President for Research and Economic Affairs:

1. title of the research project, funding amount, and sponsor’s name
2. abstract of the scope of work
3. documentation that protection of proprietary information is required by the sponsor
4. a request for a waiver of this policy and an explanation why such action is in the public interest
5. an acknowledgement that confidential work related to the research project may not be considered promotion, retention, and tenure decisions (PIs should state that they have consulted with their chairs and deans and understand the effect of disclosure restrictions on their professional advancement)

   and

6. an assurance that students whose academic progress might be adversely affected by restrictions on the disclosure of information will not be involved in research under the agreement.

For additional information, see the following:

1. RSP 101, “General Research Policy”

   and

2. RSP 406, “Publication.”

For information on consulting, see The Academic Affairs Policies and Procedures Manual (ACD)—ACD 510–01: “Notification of Consulting or Other Remunerative Arrangements for Faculty and Academic Professionals.”

For additional information on leaves of absences, see the Staff Personnel Policies and Procedures Manual (SPP)—SPP 700: “Leaves and Absences.”

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