Research and Sponsored Projects Manual (RSP)

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Effective: 2/12/2004

Revised: 8/1/2010

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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
Office of Research and Sponsored Projects Administration

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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.


Permissible Delays

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 or 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 prohibits or otherwise restricts publication by investigators or students beyond these guidelines and the investigator wishes to pursue work under such an agreement, then a request for a waiver of university policy may be submitted to the associate vice president for Research Policy and Assurance through the Office of Research Integrity and Assurance by completion of the applicable Publication Waiver Request form.

For additional information on how RSP policies are implemented during each phase of a 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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