Research and Sponsored Projects Manual (RSP)

Effective: 6/23/2004

Revised: 5/1/2011

RSP 405: Proprietary Research

Purpose

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

Sources

Arizona Revised Statutes §§ 39-101 to -161, 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 University Senate Committee on Classified and Proprietary Research, December 1984

University Senate Motion 75-0910

Office of Research Integrity and Assurance (ORIA)

Office for Research and Sponsored Research Administration (ORSPA)

Policy

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General

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.

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Proprietary Research Policy

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

   and

2. an acceptable confidentiality or nondisclosure clause is included in the governing agreement

   and

3. the PI(s) agree(s) to fulfill all responsibilities outlined below

   and

4. the designated information qualifies as proprietary or confidential under Arizona law.

Principal Investigator Responsibilities

• The PI is responsible for ensuring all project personnel, including visiting scientists, postdoctoral researchers, trainees, graduate students, undergraduates, etc. adhere to all university policies and procedures relative to conducting the project and for the security of the data provided under the agreement.
• The PI shall work with ORIA and ensure all project personnel are appraised of all relevant policies and regulations and that they agree to abide by and affix their signatures to the Principal Investigator’s Technology Control Plan (TCP) for the particular research project. The TCP shall be developed to meet the confidentiality requirements of the agreement (i.e., identify the use of secure filing cabinets, password protect computer files, etc. as appropriate) to the appropriate ORSPA GCO before the award is accepted on behalf of the university.
• The PI shall provide a list of all personnel working on any proprietary project, whether paid or unpaid. She or he shall obtain from each individual their agreement to abide by the university’s policies and procedures relative to managing the conduct of the project. All newly hired personnel/personnel working on the project must be added to the TCP immediately. Should an individual not agree to abide by these terms, he or she may not participate in the proprietary research project.

Typically, a statement will be included in the agreement with the sponsor stipulating that Arizona State University is a public institution, and as such is subject to the Arizona Revised Statutes §§ 39-101 to -161, Arizona Public Records Act.

The university has the right to publish the results of its research and other sponsored activities, subject to sponsor review for any inadvertent inclusion of confidential or proprietary information.

Pursuant to Arizona Revised Statutes section § 15-1640, certain university records are exempt from the disclosure requirements of the Arizona Public Records Act.

Students participating in these projects must be fully informed and provide consent to any potential restrictions on the disclosure of research results developed from work on these projects, so as to not jeopardize fulfillment of student academic requirements because of any restrictions on the disclosure of research results. It is the university’s position that investigators and students must have the right to disclose the results of their research and other sponsored activity, subject only to established safeguards for the protection of privacy and confidentiality of personal data.

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Permissible Delays

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 30 days to provide time for a sponsor to review such materials for confidential proprietary information that is protected under a sponsored agreement. In addition, because public disclosure of a patentable invention prior to filing a patent application precludes the availability of patent protection in most countries, the university may agree to delay the submission of materials intended for publication for a maximum of 90 days, which includes the 30-day review period stated above, in order to coordinate the invention disclosure process.

If an agreement proposes a restriction on publication, see RSP 406, “Publication” for guidance.

For Additional Information

See the Technology Control Plan and Technology Control Plan Guidance.

Cross-References

For additional information on general research policy, see RSP 101, “General Research Policy.”

For additional information on Classified Research, see RSP 404, “Classified Research.”

For additional information on publication, see RSP 406, “Publication.”

For information on consulting, see:

1. The Academic Affairs Policies and Procedures Manual (ACD)—ACD 510–01: “Notification of Consulting or Other Outside Business Activities or Arrangements for Faculty and Academic Professionals”

   and

2. RSP 206, “Objectivity in Research—Disclosure of Financial Interests and Management of Conflicts of Interest.”

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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