Standards for Conduct of Research

2.2 Openness in Research

The University of Utah is commited to the principle that research should be conducted in an atmosphere of openness and academic freedom. To fulfill the University's mission of advancing knowledge and disseminating research findings, sponsored projects must be structured to allow for the free exchange of ideas and the timely publication of results, except where limited by legitimate and approved confidentiality obligations.

Open research practices support scientific integrity, promote collaboration, enhance reproducibility, and ensure that research outcomes remain accessible to the broader academic community.

Publication and Dissemination of Research Results

The University expects that:

• Investigators retain the right to publish, present, and otherwise disseminate the results of their research within a reasonable period of time.
• Sponsored project agreements must not include restrictions that prohibit or indefinitely delay publication of research findings.
• Limited publication review periods- typically for the purpose of protecting confidential information or allowing for intellectual property review - may be acceptable, provided they do not impede academic freedom or violate University policy.

The University will not generally accept sponsored agreements that require restrictive prior approval of publications or grant the sponsor editorial control over research outcomes.

Classified or Restricted Research

The University of Utah does not conduct classified research and does not accept agreements that:

• Require investigators to access or generate classified information; 
• Impose national security clearances as a condition of participation;
• Restrict participation of certain individuals based on citizenship or nationality unless required by law;
• Prohibit open communication of research findings beyond limited and reasonable pre-publication review.

Research that is subject to export control laws may proceed only if it can be conducted in compliance with those regulations without compromising academic openness. Investigators must work with the appropropriate University compliance offices when export-controlled materials, data, or technologies are involved.

Access to Research Data, Materials, and Facilities

Open research requires that investigators and collaborating research personnel have appropriate access to:

• Data and materials necessary to conduct the research;
• Shared research facilities, instrumentation, and laboratory space; 
• Research tools and documentation required to verify, reproduce, or extend research findings.

Access may only be restricted when required by law, regulation, or University policy (e.g., human subjects protections, biosafety requirements, data security regulations, export control restrictions). Such limitation must be scientifically and legally justified not based on sponsor preference or non-academic conditions. 

Collaboration and Participation

The University supports collaborative research that includes faculty, staff, students, and appropriately qualified external partners. Openness in research requires that:

• Participation not be restricted on the basis of citizenship, nationality, or other non-academic criteria unless such restrictions are mandated by law;
• Students and trainees be permitted to participate fully in research activities that contribute to their educational and professional development;
• Research agreements not impose constraints that would prevent graduate students from completing degree requirements (e.g., dissertation publication restrictions).

Any proposed agreement that limits participation must be reviewed by OSP and appropriate compliance offices. 

Materials

While the University values openness, it recognizes that limited confidentiality obligations may be necessary when:

• Sponsors share proprietary information;
• Intellectual property protection is being pursued;
• Privacy or security regulations apply (e.g., human subjects data, HIPAA-covered data).

Such restrictions must be:

• Narrowly tailored;
• Time-limited;
• Consistent with University policy on openness in research; and 
• Must not encroach upon publication rights or student academic progression.

Investigators must protect proprietary or confidential information in accordance with the terms of the agreement and applicable policies. 

Responsibility of Investigators

Investigators are responsible for:

• Working with OSP to ensure that proposed agreements do not include restrictions inconsistent with University policy on open research;
• Consulting with OSP as early as possible when terms could limit data sharing, publication, or participation;
• Adhering to all regulatory requirements that affect openness (e.g., human subjects protection, data security rules, export control); 
• Ensuring that students participating in research are not subjected to inappropriate publication or participation restrictions.

Investigators should always seek guidance from OSP as early as possible whenever agreement discussions or terms seem to constrain research activities beyond standard confidentiality or pre-publication review. 

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