Principles Regarding Rights to Future Research Results In University Agreements with External Parties

Issued August 26, 1999

The policy was originally developed by a Technology Transfer Advisory Committee (TTAC) working group that included representatives of Business and Finance and Academic Affairs in the Office of the President, and the Academic Senate. In addition to extensive campus, Laboratory and Senate review and input, the policy underwent review by the Council on Research (COR), the Council of Vice Chancellors for Research, and the full TTAC.

Principles

  1. 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.
  2. Commitment to Students Agreements for research relationship with external parties shall respect the University's primary commitment to the education of its students.
  3. Accessibility for Research Purposes Agreements with external parties shall ensure the ability of University researchers to utilize the results of their research to perform future research.
  4. 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.
  5. 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.
  6. 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.
  7. Fair Consideration for University Research Results Agreements with external parties shall provide fair consideration to the University and the general public for granting commercial access to future University research results.
  8. Objective Decision-Making when establishing or conducting University relationships with external parties, decisions made about right 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.

Principles Regarding Rights to Future Research Results in University Agreements with External Parties (August 26, 1999)

Questions and Answers Related to the Principles

History

On August 26, 1999, President Atkinson issued Principles Regarding Rights to Future Research Results in University Agreements with External Parties. This policy delineates University principles for decisions regarding rights and obligations associated with research results arising from UC's research relationships with external parties. It was developed in response to suggestions from the campuses and Laboratories at the President's Retreat on UC Relationships with Industry in research and Technology Transfer that was held in Los Angeles in January 1997. The policy provides the basic framework for the greater flexibility in the local administration of agreements governing research results that was called for at the retreat.These core principles will provide direction for the growing number of faculty and administrators involved in new forms of research relationships with industry and other extramural parties, and will allow the University to maintain consistency across the campuses and Laboratories. In addition, the principles should provide University negotiators with a basis to support positions taken during often challenging contract negotiations. Levels of local flexibility within these principles will be based on the individual preferences, capabilities, and resource commitments of each UC site.