Background
| Guiding principles for faculty and students
| Managing the proposal review and selection
process
Background
Each University of California agreement with an
external party must recognize the importance of
managing the results of research to enhance the
teaching and research programs of UC faculty,
researchers, students and postdoctoral scholars.
The University is committed to making the fruits
of its research widely available through publication
and open distribution of research products. UC
also seeks to protect the viability of its research
programs, foster open inquiry beyond the interests
of any one research partner, and recognize its
fiduciary responsibility as the beneficiary of
a publicly funded research infrastructure.
The Governor Gray Davis Institutes for Science and Innovation
foster an environment that increases opportunities
for cooperation between industry and the University
of California to speed delivery of public benefits
from research and education. The University of
California has a long history of cooperation with
industry in the support of research, instruction
and public service, and has implemented effective
policies and procedures for faculty, students
and staff on identifying and managing interests
in these settings.
Guiding principles for faculty and students
The University of California increasingly is called
upon to participate in a broad spectrum of research
relationships with governmental agencies, nonprofit
foundations, and industry. Such relationships
encompass traditional extramural research funding
arrangements, research collaborations, multi-party
research consortia, visits by others to UC laboratories,
student and faculty visits to external laboratories,
and use of UC equipment and facilities by others.
Other university relationships with external parties,
such as purchasing or real estate transactions,
may also have implications for future university
research results. Properly cast, all such relationships
can help both UC and the external party advance
their respective and mutual research interests.
Principles
For University relationships with external parties
to succeed, agreements must address the parties'
interests in future research results through flexible
application of fundamental principles to a broad
range of specific circumstances. Rights and obligations
associated with future research results shall
be based on the following principles:
- Open dissemination of research results
and information
Agreements with external parties shall not abridge
the ability of University researchers to disseminate
their research methods and results in a timely
manner. The most fundamental tenet of the University
is the freedom to interpret and publish or otherwise
disseminate research results in order to support
the transfer of knowledge to others and maintain
an open academic environment that fosters intellectual
creativity.
- Commitment to students
Agreements for research relationships with external
parties shall respect the University's primary
commitment to the education of its students.
Accessibility for research purposes
Agreements with external parties shall ensure
the ability of University researchers to use the
results of their research to perform future research.
- Public benefit
Agreements with external parties shall support
the ability of the University to make available
for the public benefit in a diligent and timely
manner any resulting innovations and works of
authorship.
- Informed participation
All individuals involved in research governed
by a University agreement with an external party
shall have the right and responsibility to understand
the rights and obligations related to future
research results embodied within the agreement.
- Legal integrity and consistency
Commitments concerning future research results
made in agreements with external parties shall
be consistent with all applicable laws and regulations
and the University's contractual obligations
to others.
- Fair consideration for university research
results
Agreements with external parties shall provide
fair consideration to theUniversity and the
general public for granting commercial access
to future University research results.
- Objective decision-making
When establishing or conducting University relationships
with external parties, decisions made about
rights to future research results shall be based
upon legitimate institutional academic and business
considerations and not upon matters related
to the personal financial gain of any individual.
For full text: "Principles
Regarding Rights to Future Research Results in
University Agreements with External Parties,"
Aug. 26, 1999
Managing the proposal review and selection
process
From the six proposals submitted by UC campuses,
three institutes were selected through a competitive,
merit-based, peer review-driven process. The UC
General Counsel's Office provided guidance to
UC employees on managing interests during the
review and selection process.
Key points:
- No individual with direct or indirect interest
in one of the six submitted proposals participated
in the peer review process managed by the Office
of the President.
- No individual with direct or indirect interest
in one of the six submitted proposals participated
in the Selection Committee's review process.
- UC conflict of interest standards have been
applied to all UC employees involved in the
institutes' selection process.
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