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Recommended Principles to Guide Academy-Industry Relationships

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Recommended Principles to Guide Academy-Industry Relationships Recommended Principles to Guide Academy-Industry Relationships Purpose: To sustain and protect academic freedom, academic professionalism, research integrity, and public trust. Dedicated to the memory of Victor J. Stone (AAUP President, 1982–84), University of Illinois College of Law AMERICAN ASSOCIATION OF UNIVERSITY PROFESSORS Distributed by the University of Illinois Press To impart the results of their own and their fellow specialists’ investigations and reflection, both to students and to the general public, without fear or favor . requires (among other things) that the university teacher shall be exempt from any pecuniary motive or inducement to hold, or to express, any conclusion which is not the genuine and uncolored product of his own study or that of fellow specialists. Indeed, the proper fulfillment of the work of the professoriate requires that our universities shall be so free that no fair- minded person shall find any excuse for even a suspicion that the utterances of university teachers are shaped or restricted by the judgment, not of profes- sional scholars, but of inexpert and possibly not wholly disinterested persons outside of their own ranks. To the degree that professional scholars, in the formation and promulgation of their opinions, are, or by the character of their tenure appear to be, subject to any motive other than their own sci- entific conscience and a desire for the respect of their fellow experts, to that degree the university teaching profession is corrupted; its proper influence upon public opinion is diminished, and vitiated; and society at large fails to get from its scholars, in an unadulterated form, the peculiar and necessary service which it is the office of the professional scholar to furnish. “1915 Declaration of Principles on Academic Freedom and Academic Tenure,” AAUP Policy Documents and Reports, Tenth Edition (Washington, DC: AAUP, 2006), 294–95. ISBN 978-0-252-03824-2 (hardcover) ISBN 978-0-252-07982-5 (paperback) ISBN 978-0-252-09658-7 (eBook) © Copyright 2014 by the AAUP Foundation Washington, DC This report was largely written prior to the 2013 organizational restructuring of the American Association of University Professors, but it is being published in book form by the AAUP Foundation, a legal entity that was established through the restructuring. The AAUP Foundation was organized for such charitable and educational purposes, including establishing and supporting principles of academic freedom and the quality of higher education in a free and democratic society. Contents PREFACE .......................................................................v GLOSSARY OF ACRONYMS AND ABBREVIATIONS .......ix SUMMARY OF RECOMMENDATIONS ............................1 INTRODUCTION ......................................................... 25 • Why the AAUP Is Issuing This Report ............................................25 • Academic Freedom: The Relationship between Individual Faculty Rights and the Public Interest .........................................................29 • Embracing Diverse Missions: A Brief History of Academy- Industry Relationships ....................................................................35 • The Growth of University-Industry Engagement: 1970 to the Present .........................................................................39 • What Accounts for Rising Levels of Academy- Industry Engagement? ....................................................................47 The Bayh-Dole Act, the Stanford v. Roche Decision, and Campus IP Management ......................................................47 Other Factors Driving Academy-Industry Engagement ...............63 • Types of Academy-Industry Research Collaboration ........................65 • The Benefits and Compromises of Academy- Industry Engagement ......................................................................68 • Six Risks of Academy-Industry Engagement ....................................71 Risk 1: Violations of Academic Freedom and Researcher Autonomy ..................................................................................71 Risk 2: Restricted Access to Data and Suppression of Negative Results .........................................................................83 Risk 3: Threats to Open Science, Knowledge Sharing, and Timely Publication .....................................................................89 Risk 4: Financial Conflicts of Interest (FCOI) .............................95 Risk 5: Research Bias and Unreliability Associated with Corporate Funding ..........................................101 Risk 6: The Absence of Legal Protections to Safeguard Research Integrity and Academic Freedom in Industry- Sponsored Research Contracts ..................................................112 DETAILED DISCUSSION OF THE 56 RECOMMENDED PRINCIPLES .................. 117 • PART I. General Principles to Guide Academy-Industry Relationships University-Wide (1–7) ............................................118 • PART II. General Principles for Academic Education and Training (8–10) .............................................................................136 • PART III. General Principles for Management of Intellectual Property (IP) (11–21) ....................................................................141 • PART IV. General Principles for Management of Conflicts of Interest (COI) and Financial Conflicts of Interest (FCOI) (22–31) .........................................................................................163 • PART V. Targeted Principles: Managing COI in the Context of Clinical Care and Human Subject Research (32–35) .................189 • PART VI. Targeted Principles: Strategic Corporate Alliances (SCAs) (36–48) .............................................................................194 • PART VII. Targeted Principles: Clinical Medicine, Clinical Research, and Industry Sponsorship (49–56) .................................213 APPENDIX A: FACULTY HANDBOOK AND COLLECTIVE BARGAINING AGREEMENT VERSIONS OF THE 56 PRINCIPLES ............................ 230 APPENDIX B: THE SOURCES OF THE 56 PRINCIPLES: A SUMMARY OF WHICH PRINCIPLES ARE NEW, VERSUS THOSE DERIVED FROM AAUP OR OTHER PROFESSIONAL GROUPs’ RECOMMENDATIONS ....... 247 ENDNOTES ................................................................ 269 Preface he American Association of University Professors (AAUP) hereby issues this comprehensive report, Recommended Principles to Guide Academy-Industry Relationships. Work on this project began prior to the 2013 organizational restructuring of the AAUP and at that time was funded by a bequest from the estate of Victor J. Stone, a professor Tin the College of Law at the University of Illinois at Urbana-Champaign who served as AAUP general counsel and from 1982 until 1984 as AAUP president, and by grants from the Open Society Foundations, the AAUP’s Academic Freedom Fund, and the Canadian Association of University Teachers (CAUT). This report is being published in book form by the AAUP Foundation, which was established through restructuring to support academic freedom and the quality of higher education in a free and democratic society. Grants to the AAUP (before restructuring) and to the AAUP Foundation (after restructuring) from a number of AAUP chapters and state conferences have made the publication of this book possible. Donors include the chapters at Connecticut State University, Michigan State University, Oakland University, the University of New Hampshire, the University of Rhode Island, Rider University, the University of Illinois at Urbana-Champaign, Utah Valley University, and Wright State University, as well as the Assembly of State Conferences, the Nevada Faculty Alliance, and the AAUP state conferences in Alabama, California, Colorado, Connecticut, Illinois, Louisiana, Minnesota, Missouri, New York, Ohio, Texas, and Washington. An updated list of donors will be published in Academe. This is perhaps the longest report the AAUP has ever produced, as well as the most comprehensive in its scope and collation of empirical evidence. It addresses issues that make the news weekly and regularly affect higher education in the United States and across the world. The days when industry- funded research was concentrated in a limited number of universities have v vi PREFACE passed. Every type and size of institution now faces both the opportunities and the responsibilities associated with industry-sponsored research relation- ships. And such relationships occur throughout the world. As a result, faculty members both here and abroad should find the report useful. In the Summary of Recommendations, the report first outlines the 56 principles that the AAUP recommends all colleges and universities adopt, as appropriate, in their governing and advisory documents to manage academy- industry engagement. Appendix A provides condensed versions of the 56 principles in language suitable for faculty handbooks and collective bargain- ing agreements. The precise language a campus chooses to employ might vary according to the nature of the destination document, but much of the sample policy language provided in Appendix A should prove directly transferable. The lengthy Introduction to this report provides a detailed overview of the current state of engagement between industry and the academy, and discusses why the AAUP is issuing these 56 principles now. The main body of the report analyses each of the AAUP’s 56 recommended principles individu- ally, discussing its rationale,
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