Research and Sponsored Projects Manual (RSP)

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Effective: 2/12/2004

Revised: 11/1/2015

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RSP 406: Publication

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Purpose

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To protect the mission of the university to carry out research in an open and unrestricted manner; specifically, to protect the rights of Investigators to publish the results of their research and other sponsored activities

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Sources

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Arizona Board of Regents Policy Manual - 6-908, “Intellectual Property Policy,” C.1.c.(2)

1940 Statement of Principles of Academic Freedom and Tenure set forth by the American Association of University Professors and the Association of American Colleges
Office of Research Integrity and Assurance (ORIA)
Office of Research and Sponsored Projects Administration (ORSPA)

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Policy

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General

The pursuit and communication of knowledge at Arizona State University are to be free from restrictions. The university endorses the 1940 Statement of Principles of Academic Freedom and Tenure (http://www.aaup.org/AAUP/pubsres/policydocs/contents/1940statement.htm) set forth by the American Association of University Professors and the Association of American Colleges, which was reconfirmed in 1982 when the Faculty Senate recommended, and the university approved, the inclusion of the following statement in the Personnel Policies and Procedures for Faculty:

Institutions of higher education exist for the common good, and the common good depends on academic freedom: the free search for, and the free exposition of, truth. Academic freedom applies to both teaching and research. Freedom in research is fundamental to the true advancement of knowledge; academic freedom in teaching is essential for the protection of the rights of both the teacher and the student in the free exchange of ideas.

This principle places clear limits upon accepting grants, contracts, and other agreements that restrict the dissemination of information. It is the university’s position that Investigators and students must have the right to publish the results of their research and other sponsored activity, subject only to established safeguards for the protection of privacy and confidentiality of personal data. Restrictions on publication and/or presentation of results of research or other sponsored activities, other than permissible delays stated herein, may invalidate university’s fundamental research exemption under the export control laws. This would require substantial administrative effort and could subject the university to substantial penalties.


Allowable Delays

The university may agree to include a Publication clause in an agreement. The university prefers to not delay publication more than thirty (30) days from date of submission materials to the Sponsor. If during Sponsor review, Confidential and Proprietary Information is included, the Sponsor will notify the university and the university will remove the noted information from the publication. In addition, if there is a possibility of a Patent filing, the university may allow a maximum ninety (90) day delay (which includes the 30-day review period stated above) of the publication for the Patent application to be filed.

If an agreement prohibits or otherwise restricts publication by Investigators, students, or other university employees beyond what is stated above, and the Investigator wishes to pursue work under such an agreement, the Grant and Contract Officer (GCO) negotiating the agreement will work with the Investigator, Research Administration Staff (RA) and ORIA on a Publication Waiver.

For additional information on the life cycle of a sponsored project, see the Office for Research and Sponsored Projects Administration (ORSPA) Web site.

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Cross-References

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

For additional information on proprietary research, see RSP 404,“Classified and Proprietary Research.” 

For information on academic freedom, see the Academic Affairs Policies and Procedures Manuals—ACD 201, “Academic Freedom.”

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