Procedure for Dealing with Restrictions to Open Research

Proprietary research: Industrially-sponsored research that uses the sponsor's proprietary information or results in intellectual property for which the sponsor has an option to an exclusive license. These sponsors often request restrictions on who can discuss the research and under what circumstances. They also may prohibit publication of confidential company information or ask the researcher to delay publication of research results so that they can review the material for proprietary information or take steps to secure intellectual property rights to possible inventions.

The university accepts "proprietary" research agreements that do not restrict who can work on the project and do not request unreasonable (>12 months) publication delays. Agreements containing other restrictions fall under the definition of "restricted" research.

Restricted research: Research that is restricted in who can work on the project or how and when the researchers can discuss the results of the project. This type of research includes but is not limited to projects that the sponsor considers "sensitive but unclassified", projects which may include creation or access to controlled unclassified information (CUI), and projects which may include data or equipment that is regulated under export control regulations.

Note: The university will not accept government classified research (i.e., "secret" or "top secret").

The Office of Post-Award Management (OPAM), the UMass Innovation Institute (UMII), the Technology Transfer Office (TTO), and any other department that reviews research agreements is responsible for identifying restrictive clauses in written agreements. These clauses include terms that:

1. Constrain the university from disclosing the existence of the contract or grant;
2. the identity of the sponsor or the grantor and, if a subcontract is involved, the identity of the prime contractor;
3. the purpose and the scope of the proposed research in sufficient detail to:
   • permit informal discussion concerning the wisdom of such research within the university; and
   • inform colleagues in immediate and related disciplines of the nature and importance of the potential contribution to the disciplines involved
4. Limit the ability to fully and promptly disseminate the results of the research;
5. Specifically permit retroactive classification of the research that may result in limits on dissemination (other than standard clauses found in federal contract templates that are not germane to the research).
6. Restrict who can participate in the research project.

When research agreement reviewers identify restrictive clauses, they contact Export Control staff within the Office of Research Compliance (ORC).

OPAM, with guidance and assistance from ORC as appropriate, will attempt to negotiate an agreement that is satisfactory to the potential sponsor and principal investigator, and in compliance with the university's policies and the principles of academic freedom.

If the sponsor does not agree to amend or remove the restrictions, the Principal Investigator may opt to decline the award or initiate a waiver request from the Policy on University Research Projects.

The principal investigator must initiate the waiver request using the Request For Waiver From The Policy On University Research Projects Form (the Request Form).

ORC will assist the Principal Investigator(s) in seeking the waiver. Steps to request a waiver are listed below.

1. The Principal Investigator completes the Project Details and Section 1 of the Request Form.
2. The Principal Investigator sends the completed Request Form to the ORC.
3. The ORC, in collaboration with OPAM, completes Section 2 of the Request Form.
4. The ORC provides the completed Request Form to the VCRE, along with other supporting documentation as appropriate.

Upon receipt of the completed Request Form, the VCRE, with the assistance of ORC, convenes an ad hoc advisory committee to evaluate the request. Typical composition of the ad hoc committee includes the department head/chair, the relevant dean, an "arm's length" dean, a Research Council member and Research and Engagement senior staff. The ad hoc advisory committee receives a copy of the Request Form and other supporting documentation in advance of the meeting.

The Principal Investigator is invited to the ad hoc committee meeting in order to provide a brief description of the research and to answer questions the committee members may have. The Principal Investigator is excused from the meeting prior to the committee discussion and vote on the waiver request.

Consistent with UMPO's delegation of authority, the VCRE makes the final decision, based upon the recommendations and input from the ad hoc advisory committee. An affirmative decision by the VCRE will be predicated upon appropriate compliance protocols being initiated to mitigate any risks, including technology control plans or U.S. government licensing, if required. Restricted agreements are processed by OPAM.

The ORC tracks requests for waivers and provides reporting to campus stakeholders and governance groups, including the Faculty Senate Research Council and other interested offices, as necessary.