April 27, 2006
I. Statement of Purposes
University policy concerning research is derived from the University's
basic goals. Among the University's most basic goals are the
development, use, and dissemination of knowledge.
One such goal is the development of new knowledge, necessarily
through research and inquiry by faculty, staff and students.
Another goal is the constant submission of all knowledge, new
and old, for reappraisal by anyone concerned. A third goal is
the dissemination or teaching of such knowledge as well as teaching
the techniques of reappraisal themselves.
The University is fundamentally committed to an open academic
environment that fosters intellectual creativity, freedom, and
the open dissemination of research results. In order to maintain
such an environment, faculty, staff, and students must be free
to carry out research in an open manner. They must have freedom
to select research topics, to participate in research, and to
publish or otherwise disseminate the results of their research.
In an ideal University set in an ideal world, all scholars
would be free to select their own spheres of inquiry and there
would be no restrictions imposed, either externally or internally,
on their freedom to publish or otherwise disseminate the fruits
of their scholarly activities. For the University in contemporary
society, the matter of restricted research poses a difficult
choice between two limiting alternatives. If the University elects
to participate in restricted research, the principles of free
discussion and full dissemination must be compromised. If the
University elects not to participate in restricted research,
the freedom of scholars to select areas of investigation that
seem most likely to lead to their self-development and the fullest
attainment of knowledge may be denied to some. It is also recognized
that in limited cases the pursuit of knowledge may involve critically
important but sensitive areas of inquiry where the immediate
publication or dissemination of research results may not be in
the best interest of the involved parties or society. In this
light, the University of Kansas deems the advantages of some
forms of restricted research to outweigh the advantages of a
total prohibition on restricted research. These restrictions
may be imposed by security classification, export controls, proprietary
rights in privately sponsored research, or other sources.
Apart from exceptions authorized through the process provided
in Part IV, the policy stated below is intended to eliminate
such restrictions. It does not, however, prohibit self-imposed
restrictions based on the professional ethics of a particular
discipline.
II. Definitions
Restricted research is defined as research in which the University
accepts from the outside some abridgement of the usual requirement
that the total procedures, techniques, tools, data, results,
and products of the research are open to inspection and appraisal
by any legitimately interested person, usually through unrestricted
publication by the investigator at such time as he or she deems
appropriate. Research may be restricted with respect to
- its primary sources
- the process itself
- its product, and the abridgement or restriction may be made
in their interest of the Government, corporate organizations,
or the individual persons.
III. Standards and Procedures
- Restrictions on Primary Sources-- Individuals, corporate
organizations, and government agencies are sometimes willing
to permit access to private records and to provide personal
data for use in research so long as the confidential nature
of the materials and the privacy of the individual are respected.
In the Humanities, such limitations are often placed upon the
use of primary sources; in the Behavioral or Social Sciences,
on the identity of the subject or related nondisclosure rules
of the type that normally protect census data; in Engineering,
and the Natural Sciences on data furnished by corporate or
government bodies. Such restrictions are acceptable when they
are in the best interests of the researchers and the University
and the integrity of the investigators and their work is not
compromised. It is recognized that in some cases fundamental
research may be published or otherwise disseminated in open
and peer-reviewed publications without disclosing source materials
that are subject to government classification or that are the
intellectual property of a sponsor. Any question about this
type of restricted research should be addressed to the Office of Research and Graduate Studies.
- Restrictions on Process and Product-- These classifications
fall into two basic categories that raise different levels
of concern for a University that is committed in principle
to free discussion and the full dissemination of ideas. These
categories and the standards for engaging in this research
are the following:
- Temporary Restrictions. In some cases, individuals, corporate
organizations and government agencies may require a temporary
delay of publication in order to protect their interests
in the privacy of data, records, process and products that
are generated or affected by the investigator's research.
Such delays of publication are acceptable under two conditions:
- The temporary delay is necessary for the fully productive
developments of the investigator's work and knowledge.
- It is in the best interest of the University that the
research be undertaken. A project is in the best interests
of the University when
- it would serve the educational interests of students
and/or
- it would serve the research and/or service mission
of the University
Such delays of publication also should be truly temporary.
Short periods of delay (typically 30-60 days) are acceptable,
as are additional delays of publication (typically 60-90
days) if a patent application is to be filed. In either case,
the final decision on content must rest with the author.
So long as the delay is acceptable to the investigator, periods
of delay within this 150 day window may be approved by the
Office of Research and Graduate Studies, and need not be
presented to or approved by the Restricted Research Committee
of the Faculty Senate. Any delay of publication longer than
the above limitations must be reviewed and approved by the
Restricted Research Committee. Longer restrictions on the
open publication of the results of research may be accepted
only where the proposed research is likely to contribute
so significantly to the advancement of knowledge as to justify
the basic infringement upon the open dissemination of results.
In no case shall the restriction extend beyond three years.
- Total or Indefinite Restrictions. In yet other cases, government
agencies may impose total or indefinite restrictions upon
the processes and products of research, typically as a matter
of national security. As a general rule, the University will
not enter into any contract or accept any grant which i)
prohibits the open publication or dissemination of research
results within a reasonable period of time (as defined in
Section III.2.a), ii) limits access to the research process
for foreign students, scholars, faculty or staff, or iii)
restricts access to campus facilities in ways that are judged
to disrupt the overall research and teaching activities of
the University.
Under unusual circumstances relating to special scholarly
expertise of a faculty member or his or her research activities,
exceptions may be necessary. In these cases a review of the
proposed grant or contract shall be made by the Restricted
Research Committee of the Faculty Senate to ensure that the
academic benefits to the University, and the communities
it serves, will justify the exception. The criteria for exceptions
and the recommendation and decision procedures shall be formulated
and monitored by the Faculty Senate Research Committee, and
approved by the Faculty Senate. In accepting any research,
the University and its personnel will be bound to follow
all applicable federal, state and local laws and regulations.
Under no circumstances will the University accept permanent
delays of dissemination of research products for reasons
other than official US government national security classifications.
Permanent delay of publication for "sensitive but unclassified" material
is not appropriate.
- Approval of Process and Product Restrictions- The investigator
must obtain University approval in accordance with the procedures
specified below in all cases of University research that involve
the restriction of research process or product, except for
those cases involving relatively short delays of publication
as described in Section III.2.a. The burden of showing that
the research will be in accord with the standards specified
in this statement shall be on the members of the University
community who propose or plan to carry out the research. Any
decision by the Restricted Research Committee or the Vice Provost
for Research and Graduate Studies to disapprove a proposed research project may
be appealed by the investigator to the Faculty Senate Research
Committee. The decision of the Faculty Senate Research Committee
represents the final faculty recommendation in the appeals
process.
- The Office of Research and Graduate Studies will work with
investigators at the proposal stage to identify any export
control regulations or similar restrictions presented by the
proposed research, including terms or provisions that might
restrict access to or prohibit publication of research results
or limit the participation of individuals in the research.
If such provisions cannot be eliminated through negotiation,
and if it appears that no exclusions or exemptions from the
restrictions are applicable, the proposed research must be
referred to the Restricted Research Committee for review following
the procedures outlined in Part IV. The Office of Research and Graduate Studies may approve workforce development or training
grants that are intended to promote participation in research
by targeted individuals and other grants that provide direct
financial support to targeted individuals if they impose no
other restrictions on research or research training.
- In research, it is recognized that some science and technology
can be used for destructive purposes as well as for constructive
purposes. The University community has a special responsibility
when it comes to "dual uses" in science and technology,
and upholds an obligation to first do no harm. The University
will not enter into or renew any agreement or contract or accept
any grant that has primarily harmful consequences for human
beings. Proposed research projects which may violate this provision
will be referred to the Restricted Research Committee by the
Vice Provost
for Research and Graduate Studies, deans, center directors, department
chairs or individual investigators whenever in their judgment
a review is necessitated. The Restricted Research Committee,
following the procedures outlined in Part IV, shall determine
whether a proposed research project is within the scope of
this paragraph and is therefore prohibited.
- The University will not enter into or renew any agreement
or contract, or accept any grant which would restrain its freedom
to disclose the existence of the document or the identity of
the sponsor, and if a sub-contract is involved, the identity
of the prime sponsor.
- The University will not enter into or renew any agreement
or contract, or accept any grant which would restrain its freedom
to disclose the purpose and scope of the proposed research.
This policy will permit informed discussion within the University
concerning the appropriateness and significance of such research.
- The restrictions in this Part III do not apply to faculty
members serving in accordance with University regulations in
their private capacity and outside the University as consultants
to off-campus agencies and organizations on matters of a restricted
or classified nature.
- Research that cannot be published or otherwise publicly disseminated
because of restrictions shall not be considered in promotion
and tenure decisions or for the purpose of merit salary increases.
- Research that cannot be published or otherwise publicly disseminated
because of restrictions shall not be presented to the University
in fulfillment of academic requirements. In order to implement
this standard, when students propose to work on restricted
research for any purpose, including financial support, the
students involved, the faculty member concerned and the Office of Research and Graduate Studies shall agree in writing on
the following condition: that any theses, dissertations, or
other work submitted to fulfill course or university requirements
shall be unrestricted or shall not be submitted to the committee
for formal defense until they are unrestricted, that is, until
their procedures, techniques, tools, data, and results are
open to inspection by any member of the Graduate Faculty. It
shall be the responsibility of the faculty member concerned
to ensure that this written agreement is secured before any
graduate student begins work on restricted research; no student
may be paid for his or her work until this agreement has been
obtained and filed with the Office of Research and Graduate Studies.
- Emergency-In times of national or state emergency the standards
and procedures in this Part III shall not apply if the University
establishes alternative procedures for accepting restricted
research grants, contracts, assignments, and agreements that
are in the interests of the state or nation and appropriate
to the nature of the emergency and the resources of the University.
IV. The Review Process
- Preamble
- The University of Kansas Center for Research, Inc. has
the legal responsibility for entering into research grants
and contract agreements on behalf of the University. The
Vice Provost
for Research and Graduate Studies has oversight authority for research
related activities within the University.
- The Faculty Senate Research Committee, which is broadly
representative of all major research areas in the University,
makes recommendations concerning University research policies.
Policy decisions, to include exceptions policies, are to
be formulated and monitored through the Faculty Senate Research
Committee and approved by the Faculty Senate.
- The approved policy on restricted research calls for the
Restricted Research Committee of the Faculty Senate to make
recommendations concerning the appropriateness of entering
into research grants or contracts before final decisions
are made concerning their acceptance by the University.
- Composition of the Restricted Research Committee of the
Faculty Senate.
The Restricted Research Committee members shall be selected
by the Faculty Senate Executive Committee in consultation with
the Vice Provost
for Research and Graduate Studies. Membership shall comprise six
members of the University faculty holding regular appointments
to the graduate faculty. Membership shall be broadly representative
of the University faculty. Members shall be appointed to staggered
three-year terms, with two members rotating each year. The
Vice Provost
for Research and Graduate Studies or a designated representative and
the Chair of the Faculty Senate Research Committee or a designated
representative will be Ex Officio non-voting members of the
committee.
- Mandate
- In accordance with the policy statements in Part III above,
the investigator shall have the primary responsibility for
presenting his or her proposed research to the Restricted
Research Committee for review if there is a possibility that
restrictions will apply. The investigator shall submit the
proposal and any available supplementary information to the
Restricted Research Committee at the earliest possible time
for review.
- The Restricted Research Committee, in accordance with the
policy statements in Part III above, shall review every proposal
for a research grant or contract that carries a provision
expressed or implied that seeks to limit access to facilities
or the freedom of the investigators to publish or otherwise
disseminate the product of their research (except for those
cases involving relatively short delays of publications described
in Section III.2.a above which may be reviewed administratively).
Proposals will be referred to the Restricted Research Committee
by the Vice Provost
for Research and Graduate Studies, deans, center directors,
department chairs or individual investigators whenever in
their judgment a review is necessitated. Each recommendation
by the Restricted Research Committee shall be promptly published
in a notice to the Faculty Senate Research Committee. The
notice shall include:
- Title of project;
- Name of principal investigator or project director;
- Source or sources of funds for support of project;
- Action by the Restricted Research Committee as to approval
or disapproval;
- If approved, a short statement of justification for the
proposed research in terms of the purposes of the University
and in the light of the criteria for approval as listed
in Section IV.D. below; if disapproved, a short statement
of the reasons for rejection.
- The Faculty Senate Research Committee, in accordance with
the policy statements in Part III above, shall:
- Maintain a current record, open for review, of the review
actions taken by the Restricted Research Committee and
the Office of Research and Graduate Studies.
- Make an annual report to the Faculty Senate Executive
Committee listing each restrictive grant or contract considered
during the year, to include references to all information
identified in Section IV.C.2 above.
- Criteria for Approval
- A proposed research grant or contract that involves restrictions
on access, publication or non-publication will be recommended
for approval only when in the judgment of the Restricted
Research Committee the merits of the proposed research and
the potential benefits to be realized clearly outweigh the
disadvantages of the restrictions. The following criteria
shall be used as a basis for judgment; however, a proposal
need not qualify under all criteria.
- Involves unique University capabilities.
- Has very substantial scholarly or educational benefits.
- Constitutes a very substantial public service.
- All documents setting forth the terms of the proposed research
grant or contract must be unrestricted and the general nature
of the research must be freely disclosed.
- Recommendations and Advice
Any recommendation by the Restricted Research Committee shall
be made by a majority vote of the committee. If the vote results
in a tie, the matter is eligible for appeal, as outlined in
Section IV.F below.
The Restricted Research Committee shall transmit to the Vice Provost
for Research and Graduate Studies its recommendation on the approval or
disapproval of each proposal together with the explanatory
statements required by Section IV.C.2. Any decision by the
Vice Provost
for Research and Graduate Studies which is counter to the recommendation
of the Restricted Research Committee must be promptly reported
to the Restricted Research Committee and the Faculty Senate
Research Committee with explanatory statements similar to those
required by Section IV.C.2. Disapproved proposals will be returned
by the Vice Provost
for Research and Graduate Studies to the initiator of the proposal,
along with the statement of why the proposal was disapproved
and any advice or suggestions for resolution of the difficulties
leading to rejection. This statement will also be copied to
the Dean/Center Director and the Department Chair of the individual
investigator. Such rejection may be appealed (Section IV.F).
The Restricted Research Committee and the Office of Research and Graduate Studies shall assist the initiator of the proposal
and other University personnel to achieve the greatest degree
of publishability compatible with the proposed research by
clearly defining modifications to proposed research restrictions
which would be acceptable.
- Appeals
When a recommendation has been made by the Restricted Research
Committee and approved by the Vice Provost
for Research and Graduate Studies, or
when the action of the Vice Provost
for Research and Graduate Studies differs with
the recommendation of the Restricted Research Committee, the
investigator or a group of 10% or more of the graduate faculty
or 25% of the Faculty Senate may appeal the recommendation
by requesting review by the Faculty Senate Research Committee.
An appeal must be made within two weeks after official publication
of the recommendation of the Restricted Research Committee.
Those who are appealing may be invited to express their views
at the next meeting of the Faculty Senate Research Committee
during a reexamination of the recommendation of the Restricted
Research Committee. The Faculty Senate Research Committee members
shall then vote to sustain (or override) the recommendation
of the Restricted Research Committee and will submit the results
of that vote to the Vice Provost
for Research and Graduate Studies for final determination.
The Faculty Senate Research Committee action terminates the
faculty voice in the appeal process for the investigators of
the proposed research or for the group of faculty who have
appealed the recommendation of the Restricted Research Committee.
- Timing
The Restricted Research Committee's consideration of and
recommendation regarding a specific proposal should be completed
within two weeks from the time of referral. The resolution
of an appeal through action by the Faculty Senate Research
Committee should be so coordinated that normally the time required
would be less than six weeks after the time of appeal.
In highly unusual circumstances wherein a research submission
deadline does not permit completion of the review by the Restricted
Research Committee, the Vice Provost
for Research and Graduate Studies may endorse
submission of a research proposal prior to the review by the
Restricted Research Committee. Acceptance of an award from
such a proposal, however, would be predicated upon the completed
review and recommendation of the Restricted Research Committee.
Questions? Please contact:
William Sharp
785-864-7430 | wsharp@ku.edu
Director | Research Integrity
— or —
Susan MacNally
785-864-4148 | sumac@ku.edu
Compliance Coordinator | Research Integrity
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