POLICIES ON THE USE IN UNIVERSITY-BASED RESEARCH OF MATERIALS, PAPERS, OR DATA NOT ACCESSIBLE TO OTHERS*

1. For many compelling reasons (e.g., safety, safekeeping, privacy, and proprietary interests), outside parties may wish to place conditions on the use of materials, papers, or data they provide to university researchers. Many restrictions are appropriate and acceptable, but none may conflict with the University’s research policies. Specifically, investigators may not give those who furnish materials, papers or data the right to prevent publication of university-based findings any more than they may give this right to research sponsors.
2. Another problem can arise if a third party refuses to give other investigators access to the materials to repeat and verify the university-based research. Replicability is a fundamental tenet of scholarly research – strongly advocated by professional societies and journals. Replicability allows results to be checked, interpretations to be examined, and extensions to be explored. The University places a high value on replicability, and asks investigators to take steps to assure that agreements to gain access to materials or information owned or controlled by a third party ("Material Transfer Agreements") make verification of University-based research possible. The Appendix provides guidelines.
3. Institutional agreements restricting the use of third-party material samples, papers, or data must be negotiated in association with the Office for Technology and Trademark Licensing. In addition, investigators must disclose to the Chair of the Committee on Professional Conduct all formal private agreements they make with those providing materials, papers, or data, if those agreements could prevent verification of University-based research. The investigator or the Chair may have questions regarding the conformance of an agreement with University policies. If so, a group including the Chairs of the Committees of Research Policy and Professional Conduct, and others who may be designated by the Dean of the Faculty of Arts and Sciences, should resolve these questions before the agreement is signed. On an annual basis, this group should review all such agreements to assure compliance with the Faculty’s Guidelines for Research Projects Undertaken in Cooperation with Industry and its Policies Relating to Research and Other Professional Activities Within and Outside the University.

Appendix

Ordinarily, transfer agreements should include a clause that states:

[The provider] will control any future distribution of [the material, papers, or data]. However, so long as [the material, papers, or data] are reasonably available, [the provider] will make them accessible to additional appropriate researchers so that the research performed at Harvard can be verified.

Such language is unnecessary when any of the following conditions are satisfied:

1. the supplier will permit the Harvard investigator to make the material, papers, or data available to others;
2. the material, papers, or data are available commercially under terms academic investigators can accept;
3. the material, papers, or data are available from public depositories or libraries;
4. the material, papers, or data are in the public domain and thus generally available;
5. sufficient information has been published to permit investigators to verify the Harvard research independently;
6. it can be demonstrated that the provider is generally willing to make the material, papers, or data available to qualified investigators.

Investigators who would like the University to be party to an agreement that neither includes the above clause nor meets one of the above conditions are asked to submit, in writing, for approval by the Dean or the Dean’s designate, their rationale for an exception.

The Office for Technology and Trademark Licensing reviews, negotiates, and signs Material Transfer Agreements for the Faculty of Arts and Sciences. When necessary, this office will review the above policy with investigators and request their compliance.

Footnotes

* Adopted by the Faculty Council on April 17, 1991; amended by the Committee on Research Policy on February 8, 2001.